PRC: Xi an Urban Road Network Improvement Project

Transcription

1 Updated Resettlement Plan September 2013 PRC: Xi an Urban Road Network Improvement Project Prepared by Xi an Urban Road Network Improvement Project Management Office for the Asian Development Bank. This is an updated version of the draft originally posted in April 2011 available on

2 Xi an Urban Road Network Improvement Project Updated Resettlement Plan for the first batch of items --- East Kunming Road ---Xinghuo Road Interchange ---Hongmiaopo Interchange ---Zhuhong Road---North 2 nd Ring Road Interchange ---Zhuhong Road--- Fengcheng 4 th Road Interchange Xi an Urban Road Network Improvement Project Management Office March 2013

3 Table of Contents COMMITMENT LETTER... X EXECUTIVE SUMMARY... XI 1 PROJECT DESCRIPTION PROJECT BACKGROUND PROJECT INTRODUCTION Contents of the project The socioeconomic significance of the project Measures to avoid or minimize land acquisition and house demolition The impact of LA&R SCOPE OF LAND ACQUISITION AND RESETTLEMENT OVERALL IMPACT OF PROJECT LAND ACQUISITION AND RESETTLEMENT (LAR) SURVEY METHOD AND SUMMARY IMPACTS Description on the early stage survey Impact Data PERMANENT LAND ACQUISITION FOR THE PROJECT Permanent Acquisition of Rural Collective Land Acquisition of rural collective land used for construction Permanent Acquisition of State-owned Land HOUSING DEMOLITION Demolition of Rural Housing Enterprises and Enterprise Housing Affected by Demolition AFFECTED FAMILIES OF VULNERABLE GROUPS AFFECTED ATTACHMENTS AND INFRASTRUCTURE SOCIOECONOMIC INFORMATION AND PROFILE SOCIOECONOMIC OVERVIEW OF THE PROJECT SITE SOCIO ECONOMIC STATUS OF AFFECTED SUB-DISTRICTS SOCIO ECONOMIC SITUATION OF AFFECTED VILLAGES SOCIO ECONOMIC STATUS OF AFFECTED HOUSEHOLDS Demographic information i

4 3.4.2 Economic Situation of Sampling Households Gender-related impacts of demolition of rural housing INFORMATION DISCLOSURE, CONSULTATION, AND PARTICIPATION DEFINITION OF STAKEHOLDER CONSULTATION DURING THE PREPARATION STAGE Public consultation Public opinion survey Public participation and consultation of the second stage in September Public participation and consultation plan during RP updating for 1 st Batch Public participation and consultation plan during RP implementation DISCLOSURE GRIEVANCE REDRESS MECHANISMS LEGAL FRAMEWORK AND POLICIES OVERVIEW OF RELEVANT LAWS, REGULATIONS AND POLICIES ADB S POLICY ON INVOLUNTARY RESETTLEMENT COMPARISON OF ADB S INVOLUNTARY RESETTLEMENT POLICIES WITH THE XIAN S URBAN-VILLAGES RECONSTRUCTION POLICIES COMPENSATION ELIGIBILITY AND ENTITLEMENTS Eligibility for compensation and beneficiaries Affected collective land Compensation rates for state-owned land Compensation standard for demolishing housing Enterprises and housing affected by first-batch items Affected attachment ENTITLEMENT MATRIX RESETTLEMENT AND INCOME RESTORATION OBJECTIVES RELOCATION OF HOUSING Bayi Village Urban-villages INCOME RESTORATION Bayi Village Urban-villages ii

5 6.4 REHABILITATION PLAN FOR ENTERPRISES AND INSTITUTIONS ECONOMIC REHABILITATION PROGRAM FOR VULNERABLE GROUP TRAINING SPECIAL FACILITIES RESETTLEMENT BUDGET AND FINANCING PLAN RESETTLEMENT BUDGET ANNUAL RESETTLEMENT BUDGET FLOW AND PAYMENT OF RESETTLEMENT FUND Flow of Resettlement Fund INSTITUTIONAL ARRANGEMENTS RELEVANT INSTITUTIONS RESPECT TO RESETTLEMENT INSTITUTION STRUCTURE RELEVANT BUREAUS AND STAFF MEASURES FOR INSTITUTIONAL CAPACITY BUILDING RESETTLEMENT IMPLEMENTATION SCHEDULE MONITORING AND EVALUATION INTERNAL MONITORING Purpose The contents of the internal monitoring Procedure and demand of monitoring agencies Internal monitoring report EXTERNAL MONITORING Contents and method of external monitoring External monitoring report EVALUATION AFTER RELOCATION APPENDIX 1 RELEVANT LAWS AND REGULATIONS APPENDIX 2 TOR FOR EXTERNAL MONITORING AND EVALUATION APPENDIX 3 AFFECTED RURAL HOUSE DEMOLITION HOUSEHOLDS (INITIAL SURVEY DONE IN 2011) APPENDIX 4 AFFECTED ENTERPRISES AND INSTITUTIONS APPENDIX 5 COMPENSATION POLICY FRAMEWORK iii

6 Contents of Figures and Tables Table 1-1 Road improvement contents and scale... 3 Table1-2 The first batch of the road improvement contents and scale... 4 Table 1-3 Contents of MIF... 5 Table 2-1 Overall Land Acquisition and Resettlement Impacts... 1 Table 2-2 Land Acquisition and Resettlement Impacts of the first batch... 2 Table 2-3 Overall Permanently Acquired Land... 3 Table 2-4 Overall Permanently Acquired Collective Land... 4 Table 2-5 Overall Impact of acquisition of rural cultivated land on affected villages... 5 Table2-6 Overall Affected households by cultivated land acquisition... 5 Table2-7 Agricultural crop income in project area... 5 Table 2-8 Loss of construction land... 6 Table 2-9 Acquired state-owned land... 7 Table 2-10 Affected rural building data... 8 Table 2-11 Affected enterprises and institutions... 9 Table 2-12 Affected families of vulnerable groups Table 2-13 Attachment and infrastructure affected by first-batch outputs Table 2-14 Affected attachments and infrastructure Table3-1Socioeconomic overview of Xi an Table 3-2 Overview of affected sub-districts Table 3-3 Socioeconomic overview of affected villages in Table 3-4 Basic Information of 285 Sampling Affected Households Table 3-5 Distribution of sampling Households Table 3-6 Age distribution of sample affected persons Table 3-7 Educational background of affected persons Table 3-8 Employment Situation of the Sampling Households Table 3-9 Incomes and Their Sources of All Sampling Families in Table 3-10 Expenditure Pattern of Surveyed Households, Table 3-11 Statistics of household electric appliances and other assets Table 4-1 Public participation in preparation stage Table 4-2 Public opinion questionnaire Table 4-3 Process and plan for information disclosure for 1st Batch Table 4-4 Procedure of Public Participation iv

7 Table 4-5 Public participation plan Table 5-1Comparison between ADB and Xian Urban-village Reconstruction Policy Table 5-2 Acquired collective land compensation standard Table 5-3 Condition of the affected housing Table 5-4 Analysis of construction of buildings surveyed Table 5-5 Analysis of components of construction Table 5-6 Analysis of housing value Table 5-7Compensation standard of housing Table 5-8Compensation Standard of Attachment Table 5-9 Entitlement Matrix Table 6-1 Enterprise relocation Table 6-2 Project training plan Table 7-1 Resettlement cost Table 7-2 Detailed Resettlement Budget of the Project Table 7-3 Details of LA&R fee of first-batch items Table 7-4 Compensation standard for ground attachment of first-batch items LA&R Table 9-1 Next Steps for RP Planning (especially for Keji 2 nd road and Dazhai road) Table 9-2 Schedule of land acquisition, housing demolition and resident resettlement Table 10-1 Progress on land acquisition and relocation Table 10-2 Progress on use of fund Table 10-3 Updated Schedule of monitoring and evaluating Figure 11 Content and Scale of first-batch items of Road Network Improvement Output... 4 Figure 21 Family member courtyard of No.15 Construction Bureau of Sinohydro Corporation affected by Zhuhong Road-North 2nd Ring Road Interchange... 8 Figure 22 The Enclosure of Xi an XD Switchgear Electric Co. Ltd. effected by East Kunming Road... 9 Figure 31 Age distribution of sample affected persons Figure 32 Educational background of affected persons Figure 41 Discussion with enterprise ---Xian Sirui Company Figure 51 Procedures of Urban-village Reconstruction Figure 52 Family member courtyard of Fanxin Co. Ltd. affected by Hongmiaopo interchange LA&R Figure 71 Procedure of compensation payment v

8 Figure 81 Resettlement Institution Structure of the Project vi

9 Abbreviation AAOV ACWF ADB AP DMS EDZMC FS HDMO ITLP ITS LA & R LRB M&E PMO PRC QZMC RP RIB TA XMG XMURCC XMURO YIZMC XICIG Annual Average Output Value All China Women s Federation Asian Development Bank Affected Person Detailed Measurement Survey Economic Development Zone Management Committee Feasibility Study House Demolition Management Office International Trade and Logistics Park The Intelligent Transport Systems Land Acquisition and Resettlement Land and Resources Bureau Monitoring and evaluation Project Management Office People s Republic of China Qujiang Zone Management Committee Resettlement Plan Resettlement Information Booklet Technical assistance Xi an Municipal Government Xi an Municipal Urban & Rural Construction Commission Xi an Municipal Urban-villages Reconstruction Office Yuhua Industrial Zone Management Committee Xi an Infrastructure Construction Investment Group Co. Ltd vii

10 viii

11 Weights and Measures ha hectare (10,000 m 2 ) km 2 square kilometre km kilometre m 2 square metre m metre mu m 2 ix

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13 Commitment Letter Xi an Urban Road Network Improvement Project Management Office has obtained a loan from ADB for the Xi an Urban Road Network Improvement Project (hereafter referred to as the Project). The implementation of the project must meet the requirements of ADB s social safeguards policy. The plan is a key requirement of ADB and is the basis of land acquisition, housing demolition and relocation of the project. The plan also complies with the laws and regulations of China, Shaanxi Province, and Xi an municipality. In order to complete the project better, the plan includes some unique measures for implementation and monitoring, as required by ADB. Xi an Urban Road Network Improvement Project Management Office hereby confirms the contents of this updated RP for the first batch of items and promises that the land acquisition, housing demolition, relocation, compensation, and budget will be executed according to the plan. The updated resettlement plan is based on detailed designs for the project and a census of affected persons; the updated RP should be submitted to ADB for its concurrence before implementation of land acquisition and resettlement. Director of Xi an Urban Road Network Improvement Project Management Office (signature) (date) x

14 A. Background Executive Summary 1. The Project will improve traffic infrastructure facilities and the urban environment in the urban area of Xi an Municipality in Shanxi Province. Xian Municipal Government intends to undertake the Xian Road Network Improvement Project with the loan from ADB. The Project includes five outputs, namely, (i) road network improvement; (ii) intersection improvements and pedestrian safety; (iii) multimodal interchange facilities (MIF); (iv) intelligent transport system (ITS) and road user safety program, and (v) environment protection enhancement. Among the five outputs, the road network improvement and the multimodal interchange facilities need LA&R, so this report is about these two outputs. 2. In September 2012, the project implementing organ confirmed the first-batch items of the road improvement output and finished the draft design. The first 5 items are the East Kunming Road (West 2 nd road---zaohe River), Zhuhong Road---North 2nd Ring Road Interchange, Zhuhong Road--- Fengcheng 4 th Road Interchange, Hongmiaopo Interchange, and the interchange of Xinghuo Road. The details of the items are in Table 1, including those covered in the 1st batch. 3. The construction of two roads in the road network improvement outputs of the project will require land acquisition, which will result in both physical and economic displacement. Based on the extent of the impacts, a resettlement plan was prepared for the Project. Since the original resettlement plan was based on the feasibility design, in March 2013, this resettlement plan was updated according to the design of the first-batch items. The same will be updated based on detailed design and detailed measurement survey and will be submitted to ADB for concurrence prior to implementation. The resettlement planning and implementation is designed to ensure that the affected persons (APs) will be better-off as a result of the Project. xi

15 B. Resettlement Impacts 4. From September 2012 to December 2012, the project implementing organ defined the first-batch subprojects (items) and finished the design. The first draft was updated according to the design. The experts surveyed the effect of LA&R of the 5 items, including the East Kunming Road (West 2 nd road---zaohe River), Zhuhong Road---North 2 nd Ring Road Interchange, Zhuhong Road---Fengcheng 4 th Road Interchange, Hongmiaopo Interchange, and the interchange of Xinghuo Road. The affected area covers one sub-district in each of Lianhu District and Weiyang District, and two economic development zones. The five first-batch items need no collective land acquisition, because the occupied land is allocated state-owned land, which is 2.73 hectares (40.95 mu). The five items need to relocate 3 enterprises and institutes, and demolish 19574m 2 of buildings. 877 persons of 285 households will be affected by demolition and relocation. No rural households are affected. C. Policy and Legal Framework 5. Compensation for permanent land loss is based on the Land Administration Law of PRC (2004), the State Council Decision to Deepen Reform and Strictly Enforce Land Administration (Document 28 dated November 2004) and Regulation on Land Administration in Shaanxi Province (2000), the circular from the People's Government of Xi an Municipality on Issues Enforce Procedures Execution of Land Acquisition and House Demolition in Municipal Road (SZF [2003] 39), and Measures on Acquisition and Compensation of Housing on State-owned Land of Xi an City issued by the third commission of XMG on March 13, 2012 (SZF [2012] 93). 6. House demolition is based on the Regulations on the Expropriation of Houses on State-owned Land and Compensation (January, 2011), Regulations of Xi an on the Administration of the Demolition and Removal of Urban Houses (2003). Because some of the occupied land of the Project is allocated by the government, some land is connected with the annual plan ( ) of urban-village reconstruction. Regulations on Urban Village Reconstruction of Xi an City (SZF (2007) 129 is a policy that the Project should pay attention to when formulating compensation and resettlement policies. In this RP a comparative analysis has been done of the regulation with ADB SPS 2009 to identify if there are any gaps between the requirements of ADB SPS 2009 and how to address them. D. Compensation Standard, Income, and Livelihood Restoration Scheme 7. The first-batch items need no collective land and rural population. There are three enterprises affected by LA&R, and the residential housing of one enterprise and the enclosure of another enterprise are affected by LA&R. For the affected households and enterprises, according to the rules of Measures on Acquisition and Compensation of Housing on State-owned Land of Xi an City issue by the third commission of XMG on March 13, 2012 (SZF [2012] 93) and the discussion with staff and survey, the Project formulates the compensation principle: (a) the affected persons can choose compensation fee in replacement price or housing property change; (b) the affected persons and enterprises can get removing fee, subsidy for shutdown of production or business, and 500 yuan per month for 24 months; and (c) the government will help during choosing site for relocation housing, examining and approving the land using, and dealing with relevant approval. i

16 8. The occupied land of the first-batch items is state-owned land allocated by the government. The Project will pay compensation to the original owners. The occupied land of the first-batch items is located in the Class II and Class III area. In Class III area, the compensation standard will be 100,000 yuan per mu. And in the Class II area, the compensation standard is 120,000 yuan per mu. 9. Compared to the original RP, this updated RP undertook a detailed survey for the five first-batch items and formulated more detailed resettlement policies. For the affected persons of the two enterprises affected by LA&R, the Project undertook a census household by household. To guarantee the production, life and rights, the Project propels the preparation of LA&R with steady steps. By now, the Project and the affected persons and enterprises agreed on the primary compensation policy frame, while some further concrete measures will be formulated and carried out.concerning the rising cost of construction and the labor cost,etc. The compensation has been rasied consequently.the updated compensation standards are higher than those in the original RP. E. Information Disclosure, Participation, and Grievances 10. All of the affected households, enterprises/institutions and villages/communities, village leaders and sub-districts and municipal governments have been involved in the project impact and social-economic surveys. On various occasions during meetings, interviews, focus group discussions, public consultation workshops, and community consultation meetings, local representatives have participated in the planning and concerns have been integrated into the RP. Before implementation, the Xi an PMO, municipal governments, implementing units and village leaders will further consult with the APs representatives regarding the impacts on every village/community and discuss the detailed compensation plan. This would be done to ensure that the APs interests are protected and that employment opportunities are provided to the APs to compensate for loss in livelihood as a result of Project implementation. Particular attention will be paid to ensuring that there is full and effective involvement and participation of women in this process. Municipal governments will disclose the resettlement plans (exposure draft) in the community and village offices and to the affected people. The information booklet is being formulated and will be handed out to the affected persons before the end of May The information booklet contains the resettlement scope, project schedule, compensation rates for land and other assets, relocation and economic rehabilitation strategies and grievance redress mechanisms. This updated RP will also be posted on the ADB website. After several consultation and discussion with the relevant staff from No. 2 Construction Company of No. 15 Construction Bureau of Sinohydro Corporation, and considering their opinions about the RP, the Project and the company agreed on the compensation policy framework in July F. Implementation Arrangement and Schedule 11. Xi an PMO has at least two full-time staff responsible for RP implementation. The PMO takes the lead responsibility for coordinating the planning, implementation, financing, and monitoring of land acquisition and resettlement. They will work closely with relevant village officials, land administration bureaus and house demolition offices, and will be responsible for supervision and monitoring of resettlement (e.g. delivery of entitlements, selection of new housing sites, restoration of incomes, provision of replacement land, and other economic measures). A training program will be organized by the PMO for the resettlement officers in second part of This resettlement plan has been sent to ADB for review and concurrence prior to any land acquisition and ii

17 physical or economic displacement of affected households. Without the examination and approval of ADB, the land acquisition and house demolition cannot begin. G. Resettlement Cost and Fund Management 12. The total cost estimate for resettlement for the Project is equivalent to CNY billion in December 2012 prices, including contingencies. The resettlement cost estimate for the 5 first-batch items is CNY million (see Table 3). Resettlement implementation, in terms of payment of all compensation and assistance, as per the RP, will be completed prior to commencement of civil work for the sub-component construction. The implementing units and the municipal governments will ensure that such funds are made available on a timely manner. H. Monitoring and Evaluation 13. Internal and external monitoring of RP implementation has been conducted. Monitoring methodologies are specified in the RP. The Implementing Unit will carry out internal supervision and monitoring and follow up to ensure compliance with the provisions of the RP. The PMO and implementing unit have agreed to a set of supervision milestones with ADB, to ensure timely and effective implementation of resettlement activities. The external monitoring on the land acquisition and demolishment of the first batch of Xian Road Network Improvement Project was started on May 31, 2012 by Shaanxi Kexin Consulting Co. Ltd. The external monitoring contract was signed on Dec.3, 2012.The external monitors will share a work schedule to ensure the monitoring of all key milestones like, payment of compensation, assistance for relocation, skill training, etc. are timely covered as part of the monitoring process and reported to EA and ADB. Semiannual external monitoring reports will be forwarded to EA and ADB to ensure the affected persons maintain their living standard and not to suffer due to the project. iii

18 1 Project Description 1.1 Project background 1. Xi an is a world famous historical and cultural city, a centre for scientific research, higher education and high-tech industry. Its central location in the Western China Region has helped to make it a focal point in the region s economic and transport development. 2. In its role in the development of the Western China Region, Xi an has served as a model city for open policy, its urban development being guided in recent years by the concepts of internationalization, market economy, humanization and protection of the ecology. With its advantageous geographical position, progress has been rapid, with the growth of science, technology, education, culture, equipment manufacturing and hi-tech industries. A layout that consists of five zones, one park and two bases has taken shape. These zones and bases include the High-tech Industrial Developmental Zone, the Economic-technological Developmental Zone, the New Qujiang Zone and the Chanba Ecological Zone, as well as the Yanliang National Aviation Hi-tech Industry Base, Xi an Aerospace Science and Technology Industry Base, and Xi an International Trade and Logistics Park, which is a good base for future development. 3. An effective urban road network is essential for the development of a city and must ensure that all the functions of the city can be performed efficiently. In recent years, the Xi an Municipal Government has invested a lot of money to upgrade the urban road network, and the traffic infrastructure has been significantly improved. The first ring-road, the second ring-road, the east-west axis road and the south-north axis road now provide the main linkages in the road network. The third ring-road and some connecting roads have been built, and the roads in the High-tech Industrial Developmental Zone, the Economic-technological Developmental Zone, and the New Qujiang Zone are available. 4. However, there are still some transportation problems hindering economic development. The road network is still not very efficient: the links between different roads are limited, some roads have too much traffic, and there are a lot of traffic jams. It is not easy to enter or leave the city: it is difficult to connect with the expressways. In the old downtown area, pedestrians, vehicles and non-motor vehicles intermingle in a manner that impacts all three adversely. Lack of parking facilities force vehicles to park on the side of the road, exacerbating traffic congestion. Traffic problems further aggravate problems associated with the environment, energy conservation and land resources. 5. With the growing emphasis on low-carbon measures, it is necessary to build an efficient, convenient, and environmentally advantageous urban transport network. It is to achieve this that Xi an City seeks to make use of an ADB loan. 6. In April, 2009, according to a document of the National Commission of Development and Reform, the Xi an Urban Road Network Improvement Project became a project of the Ministry of Finance of China, which will make use of the loan supplied by ADB. In November 2009, Xi an Municipal Government empowered the Xi an Commission of Urban-Rural Development as the project Executing Agency and Xi an Infrastructure Construction Investment Group Co. Ltd as the project Implementing Agency in order to prepare for the project. The Executing Board of Directors of ADB approved of the Xi an Urban Road Network Improvement Project in

19 1.2 Project Introduction Contents of the project 7. Xi an Urban Road Network Improvement Project (hereafter referred to as the Project) is an optional project using foreign fund approved by the National Development and Reform Commission and the Ministry of Finance in ADB approved of the Xi an Urban Road Network Improvement Project in ADB will supply USD 150 million loan for the Project, and the other construction fund will be from Xi an Municipal Government and loans from domestic banks. 8. The Project includes five outputs, namely, (i) road network improvement; (ii) intersection improvements and pedestrian safety; (iii) multimodal interchange facilities (MIF); (iv) intelligent transport system (ITS) and road user safety program, and (v) environment protection enhancement. The following provides a brief description of each of these outputs. The static investment of the Project is billion yuan. When contingencies are allowed for, the budget becomes 3.08 billion yuan. 9. The road network improvement output contains 9 subprojects (items), that is, west section of Kejierlu (Xiraocheng---Zhangbabei Lu), Dazhai Lu (Yanhuan Lu---Xisanhuan), Kunming Lu, Zhuhong Road---North 2nd Ring Road Interchange, Zhuhong Road--- Fengcheng 4 th Road Interchange, Hongmiaopo Interchange, Xinghuo Road Interchange. After completion of the output, the connection between the Erhuan Lu and Sanhuan Lu, which forms a road network and strengthens the Sanhuan Lu as the urban trunk road. The purpose of building these items is to improve the urban road system, to reduce the traffic current on urban roads, to improve the capacity of the urban roads, and to strengthen the connection between development zone and the downtown. Then the traffic in the city is safe, clear, convenient and orderly. The implementation time of the road network improvement output will be 5 years, from 2013 to Output 1, Road network improvement: The road improvement output includes the construction of 6 interchanges and 3 urban roads, involving a total investment of billion yuan. The width of the roads is m, and the total length is 13.7km. The details are in Table 1-1, including the details of the proposed improvements to be carried out. 2

20 Table 1-1 Road improvement contents and scale No Type Item Location 1 West Keji 2nd Road (west belt expressway---north Zhangba Road)) West suburb, connecting Fenwei New District Length (m) Width (m) Dazhi Road(North Yanhuan Road Road---west Third ring-road) East Kunming Road (west 2 nd ring-road---zaohe) West Kunming Road (west belt expressway---xibao expressway) Zhuhong Road-North 2 nd road interchange 6 Hongmiaopo interchange Interchange ring Zhuhong Road--- Fengcheng 4 th Road Road interchange 7 Xinghuo Road interchange th Fengcheng Road--Beicheng Road interchange 8 th Fengcheng Road Taihua Road interchange West suburb, connecting Xi an HTDZ West suburb, quick way West suburb, quick way Node of North suburb, Node of North suburb, Node of North suburb, Node of North suburb, Node of North suburb, Node of North suburb, / / / Zhuhong Road 80; North 2 nd ring road North 2 nd ring road 80 Zhuhong Road 80; 4th Fengcheng Road 40 Zhuhong Road 50; Daxing Road 70 / Xinghuo Road 40 / / 8th Fengcheng Road 60; Beichen Road 100 8th Fengcheng Road 60; Taihua Road 80 Source: Feasibility Study Report (2011). 3

21 Figure 11 Content and Scale of first-batch items of Road Network Improvement Output 11. In September 2012, the project implementing organ confirmed the first-batch items of the road improvement output and finished the draft design. The first 5 items are the East Kunming Road (West 2 nd road---zaohe River), Zhuhong Road---North 2nd Ring Road Interchange, Zhuhong Road---Fengcheng 4th Road Interchange, Hongmiaopo Interchange, and the interchange of Xinghuo Road. The details of the items are in Table 1-2 and are shown in Figure 1. Table1-2 The first batch of the road improvement contents and scale No Type Item Location Length (m) Width (m) 4

22 1 Road 2 3 East Kunming Road (west 2 nd ring-road---zaohe) Zhuhong Road-North 2 nd ring road interchange Zhuhong Road--- Fengcheng 4 th Road interchange Interchange 4 Hongmiaopo interchange 5 Xinghuo Road interchange West suburb, quick way Node of North suburb, Node of North suburb Node of North suburb Node of North suburb ~74 / 80 / / / Zhuhong Road 80 Fengcheng 4 th Road 40 Zhuhong Road 50 Daxing Road 70 Xinghuo Road Output 2, Pedestrian crossing and safety improvements: This output will involve pedestrian crossing safety improvements at 125 urban intersections and mid-block crossing facilities to promote the use of non-motorized transport that is safe and caters to those segments of the society that are less likely to have access to private modes of transport and therefore rely on walking or public transit. The proposed budget is 120 million yuan. There are no LA&R impacts anticipated for this output. 13. Output 3, Multimodal interchange facilities (MIF): This output includes construction of (i) four multimodal interchange hubs that will allow easy connections between metro, bus, taxi, car and/or motorcycle; (ii) five multi-level parking facilities, three at stations, linked to the transport hubs to promote the use of public transport, and two on the edge of the old walled city as a traffic demand management measure to avoid motorized trips entering this congested area; and (iii) five new compressed natural gas (CNG) stations, three next to the transport hubs to facilitate the efficient fueling access of buses and taxis, and two to encourage further switch-over to this more environmentally sustainable fuel source. The total proposed budget is 340 million yuan. The details are in Table 1-3. There are some LA&R impacts anticipated for this output which will be addressed in a subsequent updated RP. Table 1-3 Contents of MIF NO. Type Name 1 Bus park Xi an North Railway Station Bus Park Xi an Civil Aerospace Base Bus Park area (mu) 200 5

23 NO. Type Name 2 Subway interchange station Yuhuazhai Interchange station International Port District interchange station area (mu) North 2 nd ring road-taihua Road parking station 3 Sky park Ring road-taihua Road parking station 24 Xianning Road-South Dongguan Road parking station Mujiangwang gas station Aerospace base bus station gas station 4 Gas station North Railway station gas station Yuhuazhai gas station International port district gas station Total Source: Feasibility Study Report (2011). 14. Output 4, The Intelligent Transport Systems (ITS)and road user safety program: Based on the ITS completed as part of the first phases of ADB and WB Projects, this output will focus on the Third Ring-road to set up traffic management, information collecting and dissemination, traffic monitoring and safety education. The proposed budget is 40 million yuan. There are no LA&R impacts anticipated for this output. 15. Output 5, Environmental Protection Enhancement: This output will focus on enhancing the existing vehicle emissions monitoring program for data collection, analysis and information dissemination; and expansion of emission enforcement capabilities through mobile monitoring vehicles. It includes capacity development components to ensure a more effective management and enforcement of vehicle standards and public education program on the emissions from transport. The proposed budget for the same is 35 million yuan. There are no LA&R impacts anticipated for this output The socioeconomic significance of the project 16. The Project is very important for the improvement of the road network in Xi an, and will help improve both the environment and quality of life of the residents in the following ways: it is a pre-requisite for the successful implementation of Xi an s overall development plan it will facilitate socioeconomic development and improve the industrial structure it will ease the traffic pressure in the downtown area it will strengthen the connection between different industrial zones it will facilitate tourism in Xi an it will improve residents living conditions it will improve drainage, and it will raise the value of the land in the vicinity of the road construction Measures to avoid or minimize land acquisition and house demolition 17. The basic principle underlying project design and implementation is the avoidance or minimization of any negative impacts on socioeconomic development and/or people s lives. The preparatory work undertaken reflects this principle. During the survey and design stage, the project was discussed by local government representatives and 6

24 experts. It was agreed that, without decreasing technical standards or standards associated with environment protection, the location and direction of the project would be decided according to the following principles: Occupying as little cultivated land as possible, taking advantage of barren hills and land to minimize land acquisition. Cultural property (including temples for religious activities) and cultural relics need to be avoided from land acquisition. Densely populated areas would be avoided to minimize the number of affected persons. Environmentally sensitive areas would be avoided, and Relocation site/s would be integrated into local development planning. 18. In the feasibility study stage, the design of some components was compared to reduce the resettlement impacts. The following is the example of Zhuhong Road---Fengcheng 4 th Road Interchange. Case study: Zhuhong Road---Fengcheng 4 th Road Interchange 19. In Design I, Zhuhong Road interchange spanned Fengcheng 4 th Road and Fengcheng 5 th Road to speed up the traffic on the main section of Zhuhong Road. Design II was to build two left-turn ramps. The latter would have required acquisition of 8 mu land, demolishing 3400 m 2 of buildings, and thereby affecting 238 persons in 46 households. For the first design, the investment is lower, the construction time is shorter, no further land needs to be acquired, the residents along the line will not be affected, no green area is occupied, the draft suits the future plan of Zhuhong Road, and the height of the interchange is lower, which is better to protect the cultural heritage in Han City. Accordingly, the first design was chosen as the draft to be implemented The impact of LA&R 20. Among the outputs of the Project, the road improvement output (Output 1) and MIF (Output 3) need land acquisition, housing demolition and relocation, which will result in physical and economical change. In 2011, during the preparation stage, a RP was made out according to the feasibility report. According to the report, the Project needs to acquire 46.5 ha (697.5 mu) collective land, including 9.13 ha ( mu) farmland, and ha ( mu) state-owned land allotted by the government. The impact data changed in September 2011 due to the completion of the draft design, mainly because of the change of an item, Kunming Lu. For this item, the feasibility report needs ha ( mu) land, while the draft design needs ha (200.1 mu). So, the Project needs 58.9 ha (883.5 mu) land, 0.21 ha (3.15 mu) more than the feasibility report. The designs of other items have no land acquisition but results in the change of other data (see Section 2, Table 2-2). 73,350 m 2 residential housing and 274,526 m 2 building of enterprises will be demolished and relocated, which will affect 10,049 persons in 3,524 households. 21. The five first-batch items need no collective land acquisition, because the occupied land is allocated state-owned land, which is 2.73 ha (40.95 mu). The five items need to relocate 3 enterprises and institutes, and demolish 19,574m 2 of buildings. 877 persons of 285 households will be affected by demolition and relocation. No rural households are affected. 7

25 2 Scope of Land Acquisition and Resettlement 2.1 Overall Impact of Project land acquisition and resettlement (LAR) 22. According to the survey, the project will have the following physical impacts so far as land acquisition, demolition and resettlement is concerned: there will be loss due to permanent land acquisition; housing and associated assets will be demolished and removed; non-residential buildings (enterprises and shops) will be demolished, and ground attachment and infrastructure will be lost. 2.2 Survey method and summary impacts 23. The scope of land acquisition and resettlement (LA&R) for the original RP was based on the Feasibility Study Report. The results of the detailed design and detailed measurement survey are included in this updated RP which will be submitted to ADB. 24. Within the scope decided by the Feasibility Study Report, the Project surveyed the effect of LA&R. When the first design was made out, the Project made a detailed measurement survey (DMS) on the effect of LA&R. The details of the various surveys are as follows Description on the early stage survey 25. The survey work which formed the basis of this updated RP was carried out in two stages: The first stage Between August 2009 and September 2010, the Implementing Agency carried out a preliminary socioeconomic survey of the affected area as part of the overall feasibility study for the project. Local government and some opinions of some villagers were solicited. Between August and October 2010, the Implementation Agency, along with social development experts from Shaan xi Kexin Consultant Company and Xi an Academy of Social Sciences, carried out a complete survey of the socioeconomic conditions in the project-affected villages, and of affected persons, land, houses and attached facilities. The survey involved 1,034 persons from 256 of the 277 affected households (92%) in the 3 sub-districts and 9 villages which will be affected by land acquisition and resettlement. Based on the data from the survey and the processing of the data, and the policies of our country and ADB, the experts made out the First Draft of LA&R of Xi an Urban Road Network Improvement Project (hereafter referred to as the first draft). The second stage From September 2012 to December 2012, the project implementing organ defined the first-batch items and finished the design. According to the design, the RP was updated according to the design. The experts surveyed the effect of LA&R of the 5 items, including the East Kunming Road (West 2 nd road---zaohe River), Zhuhong Road---North 2nd Ring Road Interchange, Zhuhong Road---Fengcheng 4th Road Interchange, Hongmiaopo Interchange, and the interchange of Xinghuo Road. The affected area covers one sub-district of Lianhu District and Weiyang District, and two economic development zones. 8

26 26. The physical survey of project-affected property covered land acquisition, LAR affected persons, housing and attachment demolition, scattered trees, rural common facilities, special facilities, etc.: Based on the design institution s identification of the land to be acquired, the Land Acquisition Survey Group examined the current property rights, use and area of this land; The affected persons survey covering the demographic characteristics of the affected households and vulnerable families, such as age, nationality, education background, employment, income, expenditure, etc.; The housing and attachment survey investigated each household according to their rights to the residential land use and structure of the house and associated attachments; The scattered trees survey enumerated the different types of trees in the affected area; and The special facilities survey, in collaboration with staff from relevant departments, investigated the power supply and telecommunication facilities in the affected area Impact Data A. Occupied land for the Entire Project 27. Based on the data of the first stage survey, the project will need to acquire ha (1,578 mu) of land, including 46.5 ha ( mu) of rural collective land, and 58.7 ha ( mu) of state-owned land. In all, 340,607m 2 of buildings will be demolished, including 73,350 m 2 (21.54%) rural housing and 267,257 m 2 of housing belonging to 22 enterprises and institutions. The villages that will be affected by land acquisition and demolition are Dingjiaqiao Village in the Zhangba Subdistrict, and Hujiazhuang Village, Yingfazhai Village, Xinfeng Village, Zhousong Village, Beishiqiao Village, Erfuzhuang village, and Minqizhai village in the Yuhua Subdistrict, and Bayi Village in the Dongmen Subdistrict. Among the 9 villages, 8 are urban-villages which have already been scheduled for demolition under the Urban-village Reconstruction Plan. Only Bayi Village is a fully rural village and will not be covered under the urban village reconstruction plan. 28. Based on the above studies and surveys, the original RP estimated that the permanent land acquisition and house demolition required by the 2 outputs will affect a total of 9,576 persons, including 282 persons in 63 households whose collective land will be acquired, and 837 persons in 214 households who will be affected by both land acquisition and housing demolition persons of 277 rural households are affected. The remaining 8,457 affected persons are associated with 22 enterprises and institutions and will be affected by housing demolition. No land external to the Project construction sites will be required for temporary use during construction. 29. Based on the data of the second stage survey, the above data for this updated RP are revised as follows: the project will need to acquire ha (1,581 mu) of land, including 46.5 ha ( mu) of rural collective land, and 58.9 ha (883.5 mu) of state-owned land. In all, 347,876 m 2 of buildings will be demolished, including 73,350 m 2 (21.09%) rural housing and 274,526 m 2 of housing belonging to 22 enterprises and institutions. The project will affect a total of 10,049 persons, including 282 persons in 63 households whose collective land will be acquired, and 837 persons in 214 households 9

27 Road Network Improvement MIF Sub-component S01 Keji 2nd Road West Section S02 Dazhai Road Expansion S03 Kunming Road Reconstruction S04 Zhuhong Rd-North 2 nd Ring Road Interchange S05 Zhuhong Rd-Fengcheng 4 th Road Interchange S06 Hongmiaopo Interchange S07 Xinghuo Road Interchange S08 Fengcheng 8 th Rd-Beichen Avenue Interchange S09 Fengcheng 8 th Rd-Taihua Rd Interchange Permanent Land Acquisition (planned) (ha) Total Collective State- owned Table 2-1 Overall Land Acquisition and Resettlement Impacts Permanent Land Acquisition (update) (ha) Total Collective Stateowned House demolition (m 2 ) Residents Enterprises Residential Enterprises AHs APs planned updat planned update planned update e ,500 83,766 83, ,850 33,186 33, ,000 71, , ,855 7, ,000 30, Subtotal , , , ,276 9, S10 Public Transport Hub S11 Subway Station Transit

28 Hub S12 CNG Station ,000 37, S13 Parking Garage Subtotal ,000 37, Total , , , ,576 10, Source: Physical Survey and updated

29 who will be affected by both land acquisition and housing demolition persons of 277 rural households are affected. The remaining 8,930 affected persons are associated with 22 enterprises and institutions and will be affected by housing demolition. No land external to the Project construction sites will be required for temporary use during construction. The overall resettlement impact of the Project is shown in Table B. Effect of the first-batch items 30. The occupied land of the first-batch items is confirmed by the second stage survey. The five first-batch items are the East Kunming Road (West 2 nd road---zaohe River), Zhuhong Road---North 2 nd Ring Road Interchange, Zhuhong Road---Fengcheng 4 th Road Interchange, Hongmiaopo Interchange, and the interchange of Xinghuo Road. The additional permanently occupied 2.73 ha (40.95 mu) land was allotted state-owned land. The five items will demolish m 2 housing of two enterprises. The enclosure of one enterprise will be affected by the demolition and relocation. 877 persons of 285 households are affected, and no rural households are affected. See Table 2-2. C. The comparison of data of occupied land of the first-batch items 31. Compared to the first draft, the impact of the east section of Kunming Lu changed in occupied land. The survey showed that the item had to occupy 3.2 mu (0.21 acre) land outside the enclosure of Xi an Xidian Switch Co. Ltd. The housing demolition affected Xi an Fangxin Food Co. Ltd (Zhuhong Road---North 2 nd Ring Road Interchange), No. 2 Construction Company of No. 15 Construction Bureau of Sinohydro Corporation (Zhuhong Road---North 2 nd Ring Road Interchange). Compared with the first draft, the affected housing area increased significantly. The original demolished area is 12,305 m 2, and the new figure is 19,574 m 2. The affected persons increased from 404 persons of 142 households to 877 persons of 285 households. The reasons of change are: first, the construction design of No. 2 Construction Company of No. 15 Construction Bureau of Sinohydro Corporation is contained in the design of Daxin New Zone, Weiyang District which is changed a lot, so the feasibility study report and design of Zhuhong Road---North 2 nd Ring Road Interchange changed. Second, the original design only took the affected number within the plan line into consideration. When it is updated, it is found that although some buildings are out of the plan line, the construction will cause danger or affect the daily life of the residents. So, when updated, these data were added. Third, compared to 2010, the enterprises adjusted the houses among their staff, and the data of household head and the family members changed. All the above affect the data of this updated RP. 1 The overall impacts of the Project are updated based on the detailed design for the 1 st Batch only. Subsequent updates for other Batches will be reflected in subsequent updated RPs. 1

30 Table 2-2 Land Acquisition and Resettlement Impacts of the first batch Permanent land acquisition (ha) Housing demolition Item Planned Update Housing area (m 2 ) households(hh) population (person) Planned Update Planned Update Planned Update enterprise S01 East Kunming Road S02 Zhuhong Road-North 2 nd ring road interchange S03 Zhuhong Road--- Fengcheng 4 th Road interchange S04 Hongmiaopo interchange S05 Xinghuo Road interchange Subtotal ,450 11, ,855 7, (37.8mu) 2.73 (40.95mu) 12,305 19,

31 2.3 Permanent Land Acquisition for the Project Table 2-3 Overall Permanently Acquired Land Sub-project Construction Affected village / unit Road Hongmiaopo interchange Xi an Fangxin improvement Food Co. Kuming Road YIZMC XIAN XD SWITCHEAR ELECTRIC CO.LTD. Zhuhong Road---north 2nd ring interchange SINOHYDRO CORPORATION ENGINEERING BUREAU 15 CO.,LTD. Zhuhong road Fengcheng 4thRoad interchange Xinghuo Road interchange Xi an Daxing District Management Committee Acquired The nature land (ha) of the land 0.52 State-owne d Land State-owne d Land 0.67 State-owne d Land EDZMC 0 State-owne d Land 1.33 State-owne d Land Fengcheng 8th Road---Beicheng Road EDZMC 10 State-owne interchange d Land Fengcheng 8th Road---Taihua Road EDZMC 8.67 State-owne interchange d Land Keji 2nd Road Dingjiaqiao 37.2 collective Hujiazhuang land Yingfazhai Xinfeng Zhousong Bayi Dazhai Road Beishijiao 9.33 collective Erfuzhuang land Minqizhai MIF Bus park 1)XRS bus park XMURCC 6.67 State-owne d Land 2)XAB bus park QZMC 6.67 State-owne d Land Subway interchange multi-storey parking station 1)Yuhuazhai YIZMC 3.33 State-owne d Land 2)XIPD ITLP 3.33 State-owne d Land (1)Yuhuazhai multi-storey parking station (2)International Port District multi-storey parking station (3)Lejuchang multi-storey parking station (4) Nanguoshangcun multi-storey parking station YIZMC 0.53 State-owne d Land ITLP 0 State-owne d Land XMURCC 0 State-owne d Land XMURCC 0.53 State-owne d Land 3

32 (5)West station sky XMURO ) Mujiangwang XMURCC ) XAB bus park QZMC 0.55 Gas station 3) north railway station XMURCC ) Yuhuazhai YIZMC ) ITLP ITLP 0.55 Total State-owne d Land State-owne d Land State-owne d Land State-owne d Land State-owne d Land State-owne d Land Permanent Acquisition of Rural Collective Land 32. The overall project will permanently acquire collective land from 9 villages, Dingjiaqiao Village, Hujiazhuang Village, Yingfazhai Village, Xinfeng Village, Zhousong village, Bayi Village, Beishiqiao Village, Erfuzhuang Village, and Minqizhai Village. The acquired collective land will be mu, including 137 mu cultivated land, 202 mu garden, 140 mu residential land, and mu construction land belonging to villages. Details of the current use of this rural collective land are outlined in Table 2-3. Table 2-4 gives the dimensions of permanent land acquisition at the village level. Output Affected subdistrict Table 2-4 Overall Permanently Acquired Collective Land Affected village Cultivated land owned by village Land to be Acquired Cultivated land Unit: mu Current use of land to be acquired Garden Residental land Construction land Zhangba Dingjiaqiao West Keji 2 nd Road Yuhuazhai Hujiazhuang Yingfazhai Xinfeng Zhousong Dongmen Bayi subtotal Dazhai Road yuhuazhai Beishiqiao Erfuzhuang Minqizhai subtotal Total Source: Physical Survey and Socioeconomic Survey. 4

33 Village Table 2-5 Overall Impact of acquisition of rural cultivated land on affected villages Before LA Impact of LA Household Populatio n Cultivate d land(mu) Cultivated land per household Acquired cultivate d land Loss (%) Loss per household Xinfeng Zhousong Bayi Erfuzhuan g Total Source: Physical Survey and Socioeconomic Survey. 33. Acquisition of rural collective land under cultivation: Of the 202 households affected by acquisition of cultivated land, 193 households (95%)will lose less than 10%of their cultivated land and 9 households (5%) will lose 11%~20% of their cultivated land (Table 2-5). The garden land belongs to the village collectivity. Table2-6 Overall Affected households by cultivated land acquisition HH: households, PS: persons % of Land to be Lost TOTAL Village <10% 11%-20% HH PS HH PS HH PS Xinfeng Zhousong Bayi Erfuzhuang Total Source: Physical Survey and Socioeconomic Survey. 34. The 202 households that will lose cultivated land plant wheat and corn. In Xi an, farmers can harvest twice a year. The output value of wheat per mu is 660 yuan; and of corn is 770 yuan. So, the annual average output value per mu is about 1300 yuan. According to survey, the agricultural production cost per mu in Xi an is 300 yuan. The net income per mu is therefore about1000 yuan per year (Table 2-6). Type Table2-7 Agricultural crop income in project area Average Price Output Over Last 3 Total (kg) Years income (yuan) Costs (not including labor costs) Net Income (yuan) wheat(mu) corn(mu) Based on the survey results, because the project will acquire only a small quantity of farmland and the income from this land accounts only a small part of the total income of farmers, and hence the effect of LA&R will not be 5

34 significant. Moreover, these losses will be compensated timely and fully according to the relevant policies Acquisition of rural collective land used for construction Output Keji 2nd Road Dazhai Road 36. As indicated above, of the mu rural collective land to be permanently acquired, mu is used as villages construction land for business. According to the survey and consultation with the village collectivity, the income per mu averagely from construction land is 4000 yuan (Table 2-7). No of Affected village Person Table 2-8 Loss of construction land Income per capita Acquired land Total income Income from acquired land per capita Income loss(%) Total Source: Physical Survey and Socioeconomic Survey. 37. According to survey data, because of the loss of construction land, the 4 villages affected by this loss will lose 8,575,760 yuan annually - a per capita loss of 199 yuan, accounting for 2.79% of the total village income. This impact is also not significant. 38. There are eight villages affected by the Project will undertake urban village reconstruction. After the completion of LA&R for urban village reconstruction, the municipal government will allot construction land for the Project Permanent Acquisition of State-owned Land 39. The project will acquire 58.9 ha (883.5 mu) of state-owned land, which will be allocated by the government. Xian Xidian Switch Co. Ltd., Xian Fangxin Food Co. Ltd., and No. 2 Construction Company of No. 15 Construction Bureau of Sinohydro Corporation have the certificate of the state-owned land using and they will get compensation based on market price. The details are provided in Table

35 Table 2-9 Acquired state-owned land Sub-project Construction Land owner Acquired land (ha) Hongmiaopo interchange Xi an Fangxin Food Co Kuming Road YIZMC XIAN XD SWITCHEAR ELECTRIC CO.LTD Zhuhong Road---north 2 nd ring SINOHYDRO CORPORATION 0.67 interchange ENGINEERING BUREAU 15 CO.,LTD. Road Zhuhong road Fengcheng 4 improvement Road EDZMC 0 interchange Xinghuo Road interchange Xi an Daxing District Management Committee 1.33 Fengcheng 8 th Road---Beicheng Road interchange EDZMC 10 Fengcheng 8 th Road---Taihua Road interchange EDZMC 8.67 Total Bus park 1)XRS bus park XMURCC )XAB bus park QZMC 6.67 MIF Subway interchange multi-storey parking station 1)Yuhuazhai YIZMC )XIPD ITLP 3.33 (1)Yuhuazhai multi-storey parking station (2)International Port District multi-storey parking station (3)Lejuchang multi-storey parking station (4) Nanguoshangcun multi-storey parking station YIZMC 0.53 ITLP 0 XMURCC 0 XMURCC 0.53 (5)West station sky XMURO ) Mujiangwang XMURCC ) XAB bus park QZMC 0.55 Gas station 3) north railway station XMURCC ) Yuhuazhai YIZMC ) ITLP ITLP 0.55 Total Total Source: Physical Survey, 2010 and updated Housing Demolition 40. The project will require the demolition of a total of 347,876 m² of buildings, including 73,350 m² of rural residential buildings and 274,526 m² of enterprise buildings. 7

36 2.4.1 Demolition of Rural Housing 41. Rural housing demolition for the project will affect 837 persons from 214 households. The project will demolish 73,350 m² of buildings, including 68,710 m² of brick and concrete structure (93.7% of the total amount of demolition), and 4,640 m² of simple structure (6.3%). All of the 214 households affected will have their houses entirely demolished. (Details provided in Table 2-9 and Appendix 4). Table 2-10 Affected rural building data Demolished building area (m 2 ) Sub-district village Household persons Brick and Total concrete Other Zhangba Dingjiaqiao Hujiazhuang Yuhuazhai Yingfazhai erfuzhuang Dongmen Bayi Total Note: Other refers to the simple housing. Source: Physical Survey and Socioeconomic Survey, Enterprises and Enterprise Housing Affected by Demolition Figure 21 Family member courtyard of No.15 Construction Bureau of Sinohydro Corporation affected by Zhuhong Road-North 2nd Ring Road Interchange 8

37 Figure 22 The Enclosure of Xi an XD Switchgear Electric Co. Ltd. effected by East Kunming Road 42. According to the survey, 22 enterprises and institutions, including 3 schools, 4 government institutions and 14 factories and 1 market, will be affected by the project. 15 enterprises will need to be totally removed, and the remaining 7 would be partially removed. The total number of staff working in the affected enterprises and institutions is 13,775. As a consequence of its impact on these enterprises, the project will directly affect 8,930 persons, result in the demolition of 274,526m² of housing associated with these enterprises, and all the buildings are of brick and concrete. For details, see Table The five first-batch items of the Road network improvement will demolish 19,574m 2 housing of two enterprises. Also, the enclosure of one enterprise will be affected. And 873 persons in 285 households will also be affected. The details are in Tables 2-11 and The demolition and relocation will not affect rural households. Subcomponent Table 2-11 Affected enterprises and institutions Existing Demolition Enterprise Staff land type Building Area area (m²) (m²) Ratio (%) Xi an Nylon 400 collective APs Bodi School 4000 collective Xi an International 2200 collective Keji 2 nd road University Dingjiaqiao Market 200 collective Sirui company 700 collective Guanzhong driving school 150 collective Subtotal Delong company 200 collective Jianxin company 60 collective Dazhai Road Gemeile company 120 collective Aoke company 280 collective Subtotal East Kunming Road Heping Industry zone 3000 State-owned

38 Subcomponent North 2 nd ring road Hongmiaopo Enterprise Staff land type Xi an XD Switcher Electric CO.,LTD. SINOHYDRO CORPORATION ENGINEERING BUREAU 15 CO.,LTD. Xi an Fangxin food company 300 State-owned Existing Building Area (m²) Demolition area (m²) Ratio (%) APs 500 State-owned State-owned Subtotal Taihua road Tanjia Sub-district office Tanjia State Taxation Bureau Weiyang District City Management Bureau Tanjia Local Taxation Bureau Sanjiacun Rural credit cooperatives 300 State-owned State-owned State-owned State-owned State-owned Subtotal Chuangxin Furniture 80 State-owned Aerospace Wansheng transport hub Furniture 200 State-owned Yimin Scientific & Technology 20 State-owned Subtotal Total Source: Physical Survey and Socioeconomic Survey. 2.5 Affected families of vulnerable groups 44. Among the APs, 16 of the 277 affected households (5.8%) receive the minimum living standard guarantee subsidy. Among these 16 households, 3 have disabled members, 10 are low-income households and 3 are aged households (see Table 2-13). The project will pay special attention to the vulnerable group, and a fund representing 0.1% of the direct cost of LA&R has been set up to implement the special activities. Table 2-12 Affected families of vulnerable groups Location Name Population (persons) Poverty cause Bayi village Gao suiyun 4 Disease 10

39 Location Name Population (persons) Poverty cause Gao yongqi 4 Disease Wang qingxiang 2 Aged Ding hongzhi 3 Disease Li qiaofeng 4 Disease Xue renmin 4 Disabled Subtotal 6 21 Li shunyi 4 Disabled Erfuzhuang village Xue guangcai 2 Disease Zhang fengxian 3 Aged Wei yinxu 4 Disease subtotal 4 13 Zhou minqi 3 Disabled Zhousong village Zhou fangling 3 Disease Li wenke 4 Disease Zhou ruihua 3 Disease subtotal 4 13 Xinfeng village Wang anquan 2 Aged Zhou wenhua 4 Disease subtotal 2 6 Total Note: The persons affected by housing demolition of the first batch of items are state-owned enterprises. Their salary and other benefits are paid according to the standard for state-owned enterprises. The affected persons will enjoy the same salary and benefits under the same conditions. There are no consistently poor families. If several families confront contemporary difficulties, the enterprises and the Trade Union will help them. 2.6 Affected attachments and infrastructure 45. The affected special facilities and the affected property assets apart from housing will be paid according to the replacement price, including compensation for the loss of crops from productive trees at the time of their removal, or the cost of making good. The latter include 359 mature trees, 429 young trees, 2380m of enclosure, 1 water closet and m 2 grassland. The affected special facilities are: meters of water pipe, 139 power poles, 6400 meters of power cable, 5,000 meters of telecommunication wire, 400 meters optical cable, 14 pylons, 27 transformers, 1 bypass, and 2 emergency telecommunication stations. The affected details are in Table The affected details of the Road Network Improvement Output are in Table The data in brackets in the above two tables are the original data of LA&R. Table 2-13 Attachment and infrastructure affected by first-batch outputs Zhuhong Zhuhong road- Kunming Hongmiaopo Xinghuo Rd Road- North Item Unit Road interchange interchange 2 nd Fengcheng ring Rd 4 th Rd interchange interchange (6) (55) (20) (0) Mature tree tree Young tree Enclosure tree m (400) 344 (200) 220 (20) 26 (50) 50 (0) 21 (30) 38 Total (81)359 (450)429 (250)

40 Item Unit Kunming Road Hongmiaopo interchange Xinghuo Rd interchange Zhuhong Road- North 2 nd ring Rd interchange Zhuhong road- Fengcheng 4 th Rd interchange Total Water closet set (0) 1 (0) Grassland m 2 (7000) 7000 Power wire m (3000) 3000 Telecommunication wire m (2400) 2400 Pole set (90) 90 Optical cable m (400) 400 Transformer set (25) 25 Electric tower set Pipe m (6000) 6000 (500)500 (500) 500 (4) 5 (2000) 2000 (0) 2000 (0) 1800 (38) 40 (0) 500 (0) 300 (6) 6 (2500) 2500 (0) 400 (0) 2 (400) 700 (2) 2 (12) 12 (2107) 2107 (11500) (3500) 6400 (2900) 5000 (138) 141 (400) (300) 1200 (12) 14 (8807) Flyover set (0) (0) Emergency communication station set (0)2 (0)2 12

41 Item Owner Unit Keji 2 nd Road Dazhai road Table 2-14 Affected attachments and infrastructure Kun ming Road Hongmiaopo interchange Fengcheng 8 th Rd -Beichen Avenue interchange Fengcheng 8 th Rd -Taihua Rd interchange Zhuhong Road- North 2 nd ring Rd interchange Aerospace transport hub Grown tree state tree Young tree collectivity tree Enclosure private m Greenhouse private m Water closet state set Well state well Grassland state m Tomb private set Power wire state m Tele-commun state m ication wire pole state set Optical cable state m Transformer state set Electric tower state set 2 2 Channel collectivity m pipe collectivity m Source: Physical Survey. total 13

42 3 Socioeconomic Information and Profile 3.1 Socioeconomic overview of the project site 46. As the capital city of Shaanxi province, Xi'an is one of the four major ancient capitals in the world, enjoying equal fame with Athens, Cairo, and Rome. Xi an was once the capital of thirteen dynasties in Chinese history, including Zhou, Qin, Han, and Tang. 47. In 2012 the Gross Domestic Product (GDP) of Xi an reached RMB billion yuan, 13.8% more than The second industry develops fastest, reaching 169,716 billion yuan, 16.48% more than The first industry reaches billion yuan, 6.7% more than 2010.The third industry reaches billion yuan, 12.1% more than The first, second, and third industry account for 4.5%, 43.9%, and 51.6% in the GDP respectively. In the city, the disposable income per capita was 25,981 yuan, 10.6% more than For the farmer, the net income per capita was 9788 yuan, 19.6% more than Table3-1Socioeconomic overview of Xi an Item Unit I. population Total population Ten thousand Female Ten thousand natural population growth rate II. land area km Land area km Cultivated land III. working force Thousand hectare Ten thousand IV. GDP billion yuan V. living condition Average disposable income of urban residents Yuan Net income per capita of yuan rural people Housing area per capita for m urban residence Housing area per capita for m rural residence Source: Xi an Municipal Statistic Year Book, 2012.

43 3.2 Socio economic status of affected Sub-Districts 48. According to RP data submitted to ADB (the following data of the affected subdistrict and village are the annual statistic data of the Project), the project will affect the Zhangba, Yuhuazhai, and Doumen Sub-districts. These are being converted from rural communities to urban communities. Many villagers are rural registered residents, but work outside the village to make a living in the urban workforce. An overview of the three sub-districts is provided in Table 3-2. In terms of average annual income, Zhangba and Yuhuazhai Sub-districts in Yanta District are nearly the same, however, Doumen Sub-district which was previously a sub-district of Chang an district and now a sub-district of Xi an city is a bit lower. Table 3-2 Overview of affected sub-districts Output Unit Zhangba Yuhuazhai Doumen Land area km Population Female natural population growth rate Ten thousand Ten thousand Industrial labor force Person Agricultural labor force Person Third industry labor force Person Disposable income of urban residents Yuan Net income of rural residents Yuan Source: Socioeconomic Survey, 201X. 3.3 Socio economic situation of Affected Villages 49. In these 3 sub-districts, there are 9 villages that will be affected by the project. The population across these 9 villages is 10,622 across 2826 households, of which 5446 persons are male and 5176 are female (a ratio of 1:0.95). The population per household is According to the household survey, at the end of 2009, there were 45 village enterprises or individual enterprises in these 9 affected villages in the project area. Villagers income is from agriculture, part-time jobs and household aquaculture. At present, more than 4,626 persons (67% of the labor force) have part-time jobs, mainly in Xi an. The part-time job income accounts for 49% of the total household income. 191 families provide transportation for passengers or for agricultural products. All the other residents only undertake agricultural work. There are 8,252 mu of cultivated land in the affected villages. The cultivated land per capita is 0.78 mu. Villagers plant crops such as wheat, corn, bean and rapeseed, and economic crops such as gooseberry, peach and apricot. Property income is also an important income resource about 15

44 . one-third of the households get some income from property. The annual per capita net income in the 9 affected villages was 7,148 yuan (Table 3-3) Subcomponent Keji 2nd Road Table 3-3 Socioeconomic overview of affected villages in 2009 Cultivated Income per Subdistrict Village HHs Population Land capita (mu) (yuan) Zhangba Dingjiaqiao Yuhuazhai Hujiazhuang Yingfazhai Xinfeng Zhousong Doumen Bayi Subtotal Dazhai Road Yuhauzhai Beishiqiao Erfuzhuang Minqizhai Subtotal Total Source: Socioeconomic Survey, Socio Economic status of Affected Households 51. In order to understand the basic socio economic status of the affected families, the IA and experts from Shaanxi Kexin Consultant Company, Xi an Academy of Social Sciences conducted a socio economic survey. A total of 256 out of the total of 277 affected households were covered in the survey. The sample affected households are chosen at random in order to make the data object and effective. Table 3-4 Basic Information of 285 Sampling Affected Households item 285 household year population 877 Per capita annual net income (RMB Yuan) Per household annual net income Production expenditure (RMB Yuan) Living expenditure (RMB Yuan) Annual output value per mu (RMB Yuan)

45 (RMB Yuan) Housing area Per capita (m2) 28 Production Machinery (RMB 10,000 Yuan) Main Living cost (RMB 10,000 Yuan) Demographic information 52. The sample socio-economic survey of the project involved 1,034 persons in 256 households. The family size is 4 people. The sample distribution of the 256 households is presented in Table 3-4. Table 3-5 Distribution of sampling Households Subdistrict Village Affected HH APs Sampling HH sample rate(%) Zhangba Dingjiaqiao Hujiazhuang Yingfazhai Xinfeng Yuhuazhai Zhousong Beishiqiao 5 - Erfuzhuang Minqizhai 10 - Doumen Bayi Total Source: Socioeconomic Survey. 53. The basic information of the surveyed 256 families is presented as following. 54. According to the survey data, 526 household members were male and 508 female, the male to female ratio being 1:0.97.Of the1,034 persons in the surveyed households, 212 (20.5%) were aged under 18; 72 (7.0%) were aged over 60; and 750 (72%) were adults aged 18 to 60 (table 3-5). According to the Human Resource Bureau s definition of the labor force, the people between form the main body of the labor force. Thus, the labor force accounts for 72% of the total sample population in this survey. Age Table 3-6 Age distribution of sample affected persons Male Female total number % number % number % % % % 17

46 Age Male number % Total % 16.83% 15.67% 4.55% 2.42% 0.87% 50.87% Source: Socioeconomic Survey. Female number % % % % % % % % number total % 14.60% 33.17% 30.37% 8.99% 5.13% 1.84% % Figure 31 Age distribution of sample affected persons 55. According to Table 3-6, 77 persons (7.45%)of the total family members in sampled households had received no formal education. A further 97 (9.38%)had received elementary education. 679(65.67%) had received junior middle school education and 137(13.25%) senior middle school education. The proportion of males who received senior middle school education or above was slightly higher than the proportion of females, suggesting that women may have, or may have had in the past, less educational rights than the men in the project-affected area. Table 3-7 Educational background of affected persons item Male Femalee Total Number % number Number % Illiterate and semi-illiterate Preschool % 2.61% % 2..80% % 5.42% Elementary school % % % Junior middle school % % % Senior middle school or technical school % % % Junior college or above % % % 18

47 Total Source: Socioeconomic Survey % % % Figure 32 Educational background of affected persons 56. The occupational structure of the members of the surveyed households is shown in Table3-7. Only 5.28% of the labor forces are engaged in pure agricultural work. Most residents in the project area are engaged in non-agricultural work. This is a characteristicc of the urban villages. Table 3-8 Employment Situation of the Sampling Households Occupation person rate Institution % Migrant worker in Xian % Own business % Enterprise % Farming % Unemployed % Casual labor % Total % Source: Socioeconomic Survey Economic Situation of Sampling Households 57. The income and sources of the sample households are shown in Table 38. According to the survey, the average annual income per household of the 256 households in the 9 project affected villages was yuan and the per capita income is 7644 yuan which is higher than the 6,300 yuan average income for Xi an City. 58. The income from agriculture only accounts for The income from property is money received from urban villagers can easily rent their houses. 14%, while the rent of wage income is 58%. houses or rooms: the 59. On average, the men contribute 70% of the household income that is earned in the workforce and the women contribute 30%. The status reflected by the survey data echoes with the work division mode of the affected families of Men go out to work while women look after the house summarized from the field survey. The source of income is 19

48 presented in Table 3-8. Table 3-9 Incomes and Their Sources of All Sampling Families in 2009 Income Total amount Percentag Contribution by gender e Male (%) Female (%) Agricultural % Wage % Tertiary industry % Property % - - Others 406 1% - - Subtotal % Source: Socioeconomic Survey. 60. Expenditure on food accounted for 39.39% of expenditure, the biggest form of expenditure. Expenditure on agricultural production accounted for 14.92% of expenditure, the second largest output of expenditure, although the net income from the land is limited (compare Table 3-8 and 3-9). The education expenditure amounts to 9.97%, as the villagers prefer to send the children to the urban schools. Expenditure details are presented in Table 3-9. Table 3-10 Expenditure Pattern of Surveyed Households, 2009 Expenditure Total amount Percentage (%) A-Production % among this, agricultural production % B-Living % Food % Housing % Education % Medical % Others % C-Others % Subtotal % Source: Socioeconomic Survey. 61. According to the above socioeconomic data, the living standard in the project area is higher than the average standard of living in the PRC, Shaanxi Province and Xi an City. It should be noted that the total income is inversely proportional to the proportion of the agricultural income in the total income: the project-affected area is near the urban area and non-agricultural income is higher than agricultural income. 62. In the socioeconomic survey, the ownership of household electric appliances was surveyed and analyzed. It can be seen in the table below that the ownership rate of television sets is the highest at 100%, indicating that every household has a television set, followed by fixed telephone, mobile phones, refrigerators, washing machine and motorcycles. It can also be seen that 40.17% of the surveyed households own a PC and 13.39% own a car. See Table

49 Table 3-11 Statistics of household electric appliances and other assets Output Ownership rate Motorcycle 67.80% Television set 100% Washing machine 74.24% Refrigerator 89.83% PC 40.17% Car 13.39% Fixed telephone 96.36% Mobile phone 94.75% DVD/VCD 77.63% Source: Socioeconomic Survey Gender-related impacts of demolition of rural housing 63. Women s concerns about resettlement are identical with those of the men. In the social survey, both men and women were concerned about fair and timely compensation.: (a) compensation should be based on land output and resettlement cost; (b) the resettlement housing should be close to the road for the convenience of going to work, doing business and attending school; and (c) the living environment of the resettlement community should be better so that they can adapt to urban life more easily. They prefer to move into the high rise building, as the family can have better central heating system and other municipal services. In winter now, the family need to use the coal for heating, and the women should manage and clean the stove. It s expensive and will bring pollution. 64. Although agricultural income just accounts for 14% of the family income, women make a contribution of 72% of this. It is equivalent to 2,800 yuan per year. After the rural village wholly changed to urban community, women will get more jobs because of the developed commercial activities. In the individual village reconstruction plan, there will be detailed business development plan, and this will be included in the updated RP. 65. In fact, on relocation, the residents will obtain better dwelling conditions. Women in these villages are primarily responsible for household care. Improvements in the condition of their dwelling and improved access to urban utilities such as central heating will therefore be of higher benefit to them. 21

50 4 Information Disclosure, Consultation, and Participation 4.1 Definition of stakeholder 66. According to ADB s Safeguard Policy Statement 2009 and regulations of China s law, public participation and consultation with stakeholders and disclosure of the RP is an important part of the LA&R procedure. 67. The Project stakeholders can be divided as follows: The main stakeholders are the ones who are directly affected by the project, including (1) those who will directly benefit; (2) those who will suffer from land loss and property loss; (3) the enterprises and institutions affected by land acquisition and relocation; (4) the 9 villages of the three sub-districts in the area in which land will be acquired, and (5) all of the project agencies and companies which construct and operate the project, such as the construction contractors.(6) local government agencies Indirect stakeholder refers to indirect beneficiaries, such as construction material suppliers, government departments which take part in the project, and others that are interested in participation in the project. 4.2 Consultation during the preparation stage Public consultation 68. Since July 2010, under the guidance of the technical assistant consultant specialists, the agency responsible for formulating the RP and the project implementing agency has carried out a series of socioeconomic surveys and public opinion polls (41% with women). One of the important reasons for the surveys was to find out the situation, as well as the concerns and worries of the affected people. The main topics discussed in some of the key consultations and meetings are listed in Table 4-1. Table 4-1 Public participation in preparation stage Host time Participant number Purpose Plan formulating agency and implementing agency Consultant expert, formulating agency and implementing agency Formulating agency and implementing agency, Design July September 2010 August--- September, 2010 August November, 2010 Aps, village leaders, engineers Leaders of Zhangba, Yuhua and Doumen Sub-district, villager representative Leaders of 3 affected sub-district, villager representative Survey of relocation, visit site Resettlement preparation, socioeconomic survey Income rehabilitation plan Main suggestion/contents Introducing project background and purpose, occupying less cultivated land when choosing project site Affect survey, the necessity of the project, socioeconomic survey, relocated household survey discussion and negotiation compensation and rehabilitation plan 22

51 Institute Host time Participant number Purpose of 9 affected villages Main suggestion/contents 69. During the consultation, information on the AP s main concerns was collected and follow-up actions to address these concerns were discussed with the APs. All the concerns raised are included in this RP. (1) Some APs prefer to get resettlement apartments, rather than cash compensation; Response: in eight of the villages, land acquisition and house demolition will be carried out under the Xian Municipal Urban-villages Reconstruction Plan, which gives the APs two options, cash compensation or property exchange. (2) The displaced households accept moving from single-story buildings to multi storied buildings, and regard this as an opportunity for housing condition improvement; Response: after the implementation of the Xian Municipal Urban-villages Reconstruction Plan, the new apartments will have better municipal services, including central heating system, water and waste water collection systems, and better access to medical services and schools. (3) the APs want to be compensated at replacement cost; Response: the compensation for houses will be appraised by the qualified agency based on market value. 70. The meetings and survey played an important role in formulating a reasonable compensation standard, rehabilitation plan and training plan Public opinion survey 71. A public opinion survey was conducted. According to the survey results, people in the project area accept the Project and are clear about the Urban-village Reconstruction Plan policies. More than 90% of the responders accepted the Plan and were familiar with its policies. (See Table 4-2.) 23

52 Question Are you aware that the Project will be built? Do you approve of the construction of the Project? To what extent will the unsound infrastructure affect your life and work? Possible benefits of the Project for you Adverse impacts of the Project on you Do you know the compensation and resettlement policies for land acquisition and house demolition? Do you know the means of appeal when your lawful rights and interests are infringed on during land acquisition and house demolition? Do you think the Urban-villages reconstruction is acceptable? Do you think the policies for the Urban-villages reconstruction are acceptable? Table 4-2 Public opinion questionnaire Answer 1 Answer 2 Answer 3 Answer 4 Answer 5 Answer 1 Result (%) Answer 2 Result (%) Answer 3 Answer 1 Result (%) Answer 2 Result (%) Answer 3 Yes Not clear No 4.82 Yes No 3.19 Don t care 8.53 No Slight 4.86 Serious - Very serious - Improving living environment No adverse impact Improving working environment Affecting traffic Increasing job opportunities House demolition may cause economic losses Promoting physical and mental health Land acquisition may reduce income Other 4.46 Yes Somewhat 3.86 No - Yes No 7.63 Yes No Not clear 4.15 Yes No Not clear 4.14

53 Figure 41 Discussion with enterprise ---Xian Sirui Company Public participation and consultation of the second stage in September Due to the adjustment of the implementing plan, in September 2012, the consultant experts updated the RP and added the data of the adjustment. The experts focused on the effect of the five first-batch outputs and undertook survey and consulting. The following is the data of public participation and consultation Public participation and consultation plan during RP updating for 1 st Batch 73. With the progress of project preparation and implementation, especially the decision of the five first-batch items, the PMO, communities, entities, commercial stores and village collectives have conducted further public participation activities, including discussion of resettlement housing construction, area and layout; scope of training for the affected people; issues arising from construction and solutions; listening to the affected people s opinions and expectations. Disclosure of compensation rates and means of appeal will be done in May Further consultations will be conducted to ensure AP understand the implementation of the RP and the livelihood restoration options. The process and plan for information disclosure for 1st Batch is shown in Table 4-3.

54 Project Output document introduction to the construction of the project information disclosure of LA&R and introduction Updated RP (draft) Updated RP (final) Disclosure way and language used bulletin, data inquiry bulletin, data inquiry bulletin, data inquiry bulletin, data inquiry Table 4-3 Process and plan for information disclosure for 1st Batch Affected enterprises and community of Lianghu and Weiyang Districts Fengcheng 4 th East Kunming Road XIAN XD SWITCHGEAR ELECTRIC CO.LTD Xinghuo road interchange Fenghe community Time table of disclosure Hongmiaop o interchange Xi an Fangxin Food Co. Zhuhong road-north 2 nd ring road SINOHYDRO CORPORATION ENGINEERING BUREAU 15 CO.,LTD 一 District participants method Xi an Urban Road Lianhu and Network Weiyang district Improvement PMO of Xi an project, Land Bureau office Lianhu district, affected persons (including leaders, women representatives, poor household), relocation group, institute After inspected and approved by ADB Table 4-4 Procedure of Public Participation design interview, villager meeting, questionnaire contents and time socioeconomic field survey and survey resettlement method survey road-north 2nd ring road Xi'an Daxing District 一 compensation and resettlement policy Disclosure place district & subdistrict offices district & subdistrict offices district & subdistrict offices district & subdistrict offices resettlement plan consultation main conclusion 1field survey, confirm of the data ; 2 compensation and resettlement policy, 3 resettlement plan: feasible and satisfying ;4 support the construction of the project 26

55 4.2.5 Public participation and consultation plan during RP implementation 74. With the progress of project preparation and implementation, the PMO, communities, entities, commercial stores and village collectives will conduct further public participation activities, including discussion of resettlement housing construction, area and layout; scope of training for the affected people; issues arising from construction and solutions; listening to the affected people s opinions and expectations during implementation; disclosure of compensation rates and means of appeal; and understanding the implementation of the RP and the livelihood restoration of the affected people. The public participation plan is shown in Table 4-5. Table 4-5 Public participation plan Purpose Mode Time Agency Participant Topic Disclosure of the Updated RP or RIB Disclosure of the Updated RP Land acquisition announcement Announcement of compensation and resettlement option for land acquisition Disclose results of DMS and updated RP Determination of income restoration plan Disclosure of compensation fees and date of payment Monitoring of the affected people Distribution of RIB ADB website Village / community bulletin board, village/ resident meeting Village bulletin board and villager meeting PMO PMO Field survey Villager meeting Villager meeting Door-to-door interview (about original RP) It will be discussed during subsequent batch PMO, district offices sub-district offices, community officials County PMO, sub-district offices, community officials, External M&E agency Affected people All affected people All affected people All affected people All affected people All affected people Random sampling Publication of compensation rates and means of appeal Disclosure of land acquisition area, compensation rates and resettlement modes, etc. Compensation fees and mode of payment Finding out anything omitted to determine the final impacts List of occupied land and lost properties of displaced persons Preparing the basic compensation contract Discussing the final income restoration plan and the plan for use of compensation fees Disclosure of compensation fees and date of payment Understanding the implementation of the RP and the livelihood restoration of the affected people 27

56 4.3 Disclosure 75. Municipal governments will disclose the resettlement plan in the community and village offices and to the affected people in Chinese. The updated RPs will also be posted on the ADB and EA website. Resettlement information booklet will also be distributed to affected households by April The information booklet contains the resettlement scope, project schedule; compensation rates for land and other assets, relocation and economic rehabilitation strategies and grievance redress mechanisms. When the first batch items were decided, the resettlement information booklet (updated) in Chinese was disclosed to the affected people in the form of notice or information consulting between November 2012 to May The information booklet contains the resettlement scope, project schedule; compensation rates for land and other assets, relocation and economic rehabilitation strategies and grievance redress mechanisms. (See Table 4-3). 4.4 Grievance Redress Mechanisms 76. During the formulation and implementation of the RP, public participation has been and will continue to be encouraged in order to avoid or resolve future disputes. However, it is inevitable that unforeseen problems will arise. In order to solve such problems effectively and to ensure successful implementation, the project will set up an open and effective complaint and appeal system, as outlined in Figure 4-1. The basic contents will be as follows: Stage 1: If residents have complains about arrangements regarding land acquisition, housing demolition and/or resident resettlement, they may first report their complaints to the village committee or the enterprises in written or verbally, and ask for a solution or response. If the compliant is made verbally, the village committee or the enterprises should write the complaint down. The village committee or the enterprises should resolve the complaint within two weeks. Stage 2: If a resident is not satisfied with the result, he/she can appeal to the Sub-district Committee after receiving the decision. The Sub-district Committee should resolve the problem within two weeks. Stage 3: If the resident is still not satisfied with the result, he/she can appeal to district government/ District urban village reconstruction office,. The district government/ District urban village reconstruction office should resolve the problem within 30 days. Stage 4: If the resident is not satisfied with the result from district government/ District urban village reconstruction office, he can appeal to Xian municipal urban & rural construction commission/ Xi an Urban Village Reconstruction Office, or, in accordance with the Law of Civil Procedures, he/she can take an administrative lawsuit to Xi an Municipal People s Court within three months. 77. The APs can appeal about any problems concerning relocation, including the compensation standard. The names, places, leaders, telephone numbers of the above mentioned appeal procedures and agencies will be informed to those being relocated through either meeting, notice or handbook, so that they know their right to appeal. 78. All the above mentioned agencies will accept the complaints and appeals from the affected persons for free. The relevant cost is part of contingency costs. All the appeal 28

57 procedures should be in effect throughout the entire Project construction process, so that affected persons can solve any relevant problem throughout this time. 29

58 Xi an legislative departments Xi an Urban Village Reconstruction Office Xian municipal urban & rural construction commission Discipline inspection department District urban village reconstruction office District Government External M&E Agency Bureau for letters and calls Sub-district Government Village committee APs, affected enterprises Figure 41 Appeal and complaint procedure 30

59 5 Legal Framework and Policies 5.1 Overview of Relevant Laws, Regulations and Policies 79. The resettlement policies of this project are based on ADB s policies and on the laws and regulations of the People s Republic of China (PRC). These are as follows. 80. The relevant ADB policies are: ADB Safeguard Policy Statement (2009), Safeguard requirement 2: Involuntary Resettlement 81. The PRC s laws and regulations on land acquisition and relocation include the following: (1) The Land Administration Law of the People s Republic of China. (Amended at the Eleventh Session of the Standing Committee of the Tenth National People s Congress on August 28, 2004; and effective as of then) Main contents: formulations on land ownership, overall land use plan, cultivated land protection, land for construction, supervision and inspection, legal responsibility, including land expropriation compensation, subsidy standard for relocation, and manner of relocation of relocated people. (2) Regulations on the Protection of Basic Cultivated land (No.257 Decree of the State Council of The People s Republic of China on December 27, 1998) Main contents: in line with Agriculture Law of the People s Republic of China and the Land Administration Law of the People s Republic of China, concrete formulations for the country s protection of basic cultivated land, including delimitation, protection, supervision and management, legal responsibility, etc. (3) Interim Regulations on Cultivated land Use Tax of the People s Republic of China (No. 511 Document of the State Council issued on December 1, 2007 and effective on January 1, 2008) Main contents: formulations about tax contribution standard and contribution range of state construction occupied cultivated land (4) Regulations on the Expropriation of Houses on State-owned Land and Compensation (2011) Main contents: regulations on how to demolish on state-owned land in a planned urban area, and how to compensate to the affected persons. (5) Decision on Furthering Reform of Land Management of the State Council (Guofa [2004] No. 28) Main contents: In order to use the land properly, to protect the legal rights of the farmers whose land is expropriated, to maintain social stability, and to perfect the land expropriation and resident relocation system, the decision puts forward the guiding principle and way to perfect the compensation of land expropriation. The decision requires all the county, city and province governments to take effective measures to ensure that farmers living standards will not decrease after their land is expropriated, and that according to laws in force, the land compensation, relocation compensation, ground attachment and young crop compensation are paid in full and in time. If after the 31

60 payment of land compensation and relocation compensation in accordance with the laws in force, the farmers whose land has been expropriated cannot maintain their original living standard and their social safeguards cannot be paid, the province, autonomous region and/or municipality government should agree to provide further relocation compensation. If the sum of land compensation and relocation compensation reaches the legal upper limit, but the farmers whose land has been expropriated cannot maintain their previous living standard, the local people s government can subsidy with the state-owned land income. The government of province, autonomous region and/or municipality should work out and promulgate the standard of output value or price of land. The land expropriation should be the same price for the same land. National key construction projects should incorporate the expense of land expropriation into its budget. (6) Notice on the Suggestions for Completing Compensation and Relocation System of Land Expropriation by the Ministry of Land Resources of People s Republic of China (Nov. 3, 2004, Guotuzifa [2004] No. 238) (7) Real Property Right Law of the People s Republic of China. (Order of the People s Republic of China No. 62, in effect as of October 1, 2007) 82. The relevant policies of Shaanxi Province and Xi an City are: (1) Regulations on the Implementation of the Land Administration Law of the People s Republic of China of Shaanxi Province (adopted at the Twelfth Session of the Standing Committee of the Ninth Provincial People s Congress on November 30, 1999, and effective on January 1, 2000) Main contents: in line with the Land Administration Law of the People s Republic of China, and the reality in Shanxi Province, concrete formulations on the land administration in Shaanxi Province. (2) Detailed Implementation Regulations on Regulations on the Protection of Basic Cultivated land of Shaanxi Province (No. 30 Decree of the People s Government of Shaanxi Province on April 4, 1996) Main contents: in line with the Land Administration Law of the People s Republic of China, Regulations on the Protection of Basic Cultivated Land by the State Council, relevant laws and regulations, and the socio-economic profile in Shaanxi Province, concrete formulations on the protection of the basic cultivated land in Shaanxi Province. (3) Regulations on Land Acquisition for Construction Project of Shaanxi Province. No.78 document issued and effective as of January 8, 2002 by Shaanxi Provincial Government. Main contents: to regulate the land acquisition in Shaanxi Province. According to The Land Administration Law of the People s Republic of China and Regulations on the Implementation of the Land Administration Law of the People s Republic of China of Shaanxi Province, the regulations puts forward the principal and method to protect, explore and use land reasonably, and to guarantee construction land environment and to balance the land use and the land reclaim. (4) Regulations of Xi an on the Administration of the Demolition and Removal of Urban Houses (effective on October ) Main contents: regulations on how to demolish on state-owned land in a planned urban area, and how to compensate and relocate the affected persons. (5) Regulations on Urban housing demolition and relocation of Xi an (Xi an Municipal Government Order No. 22, effective on June 10, 2004) (6) Several Regulations on how to strengthen the self-built housing and how to demolish and compensate in rural areas by Xi an Municipal Government (shizheng fa (2010) No.62) 32

61 Main contents: regulations on how to demolish rural housing in a planned urban area, and how to compensate and relocate the affected persons. Key provisions include: (1) house demolition in urban villages should be included into the urban village reconstruction plan and managed by the urban village reconstruction management office; (2) for rural houses, the compensation should be appraised by an qualified agency; (7) Regulations on assessment for demolishing and relocating in Xi an (SZF (2004) 62) (8) Regulations on strengthening land acquisition and relocation for urban roads by Xi an Municipal Government (SZF (2003) 39) Main contents: in Xi an urban road construction, how to locate, compensate, redistribute residential land, and relocation etc. (9) Regulations on Urban Village Reconstruction of Xi an City (SZF (2007) 129, in effect as of October 20, 2007). This is a key policy for the urban village reconstruction, which is in appendix ADB s Policy on Involuntary Resettlement 83. ADB s Safeguard Policy Statement (June 2009) provides systematic guiding policies and operation instructions for resettlement in its loan projects. 84. The key principles of ADB SPS on Involuntary Resettlement are : (1) Screen the project early on to identify past, present, and future involuntary resettlement impacts and risks. Determine the scope of resettlement planning through a survey and/or census of displaced persons, including a gender analysis, specifically related to resettlement impacts and risks. (2) Carry out meaningful consultations with affected persons, host communities, and concerned non-government organizations. Inform all displaced persons of their entitlements and resettlement options. Ensure their participation in planning, implementation, and monitoring and evaluation of resettlement programs. Pay particular attention to the needs of vulnerable groups, especially those below the poverty line, the landless, the elderly, women and children, and Indigenous Peoples, and those without legal title to land, and ensure their participation in consultations. Establish a grievance redress mechanism to receive and facilitate resolution of the affected persons concerns. Support the social and cultural institutions of displaced persons and their host population. Where involuntary resettlement impacts and risks are highly complex and sensitive, compensation and resettlement decisions should be preceded by a social preparation phase. (3) Improve, or at least restore, the livelihoods of all displaced persons through (i) land-based resettlement strategies when affected livelihoods are land based where possible or cash compensation at replacement value for land when the loss of land does not undermine livelihoods, (ii) prompt replacement of assets with access to assets of equal or higher value, (iii) prompt compensation at full replacement cost for assets that cannot be restored, and (iv) additional revenues and services through benefit sharing schemes where possible. (4) Provide physically and economically displaced persons with needed assistance, including the following: (i) if there is relocation, secured tenure to relocation land, better housing at resettlement sites with comparable access to employment and production opportunities, integration of resettled persons economically and socially into their host communities, and extension of project benefits to host communities; (ii) transitional support and development assistance, such as land development, credit facilities, training, or employment opportunities; and(iii) civic 33

62 infrastructure and community services, as required. (5) Improve the standards of living of the displaced poor and other vulnerable groups, including women, to at least national minimum standards. In rural areas provide them with legal and affordable access to land and resources, and in urban areas provide them with appropriate income sources and legal and affordable access to adequate housing. (6) Develop procedures in a transparent, consistent, and equitable manner if land acquisition is through negotiated settlement to ensure that those people who enter into negotiated settlements will maintain the same or better income and livelihood status. (7) Ensure that displaced persons without titles to land or any recognizable legal rights to land are eligible for resettlement assistance and compensation for loss of non-land assets. (8) Prepare a resettlement plan elaborating on displaced persons entitlements, the income and livelihood restoration strategy, institutional arrangements, monitoring and reporting framework, budget, and time-bound implementation schedule. (9) Disclose a draft resettlement plan, including documentation of the consultation process in a timely manner, before project appraisal, in an accessible place and a form and language(s) understandable to affected persons and other stakeholders. Disclose the final resettlement plan and its updates to affected persons and other stakeholders. (10) Conceive and execute involuntary resettlement as part of a development project or program. Include the full costs of resettlement in the presentation of project s costs and benefits. For a project with significant involuntary resettlement impacts, consider implementing the involuntary resettlement component of the project as a stand-alone operation. (11) Pay compensation and provide other resettlement entitlements before physical or economic displacement. Implement the resettlement plan under close supervision throughout project implementation. (12) Monitor and assess resettlement outcomes, their impacts on the standards of living of displaced persons, and whether the objectives of the resettlement plan have been achieved by taking into account the baseline conditions and the results of resettlement monitoring. Disclose monitoring reports. 5.3 Comparison of ADB s involuntary resettlement policies with the Xian s Urban-villages Reconstruction Policies 85. As indicated above, in eight of the affected villages, the XMG will implement their Urban-village Reconstruction Plan, and the land will then be allocated for the Project for municipal use. This means that the key resettlement policy of this Project will be the Xian Municipal Regulation on Urban-villages Reconstruction Regulation Table 5-1 compares this regulation and ADB s resettlement policies and based on same no major gaps were identified between the provision of the regulation and ADB SPS

63 Table 5-1Comparison between ADB and Xian Urban-village Reconstruction Policy ADB SPS Xian Relevant resettlement information 1 Information disclosure 2 Consultation and participation 3 Residential houses relocation Income restoration should be disclosed Meaningful consultation with affected persons Livelihood and standard of living of displaced persons are improved, or at least restored to pre-project levels and that the standards of living of the displaced poor and other vulnerable groups are improved, not merely restored. (1) all polices, plans, procedures, introduction of the resettlements, approval notice of the reconstruction plan of the village, annual reconstruction plan and the contact information of municipal and district UVRO are disclosed on website and (2) Information booklets about the policies are available in village office, municipal and district UVRO; (3) After the Xian UVRO approve the reconstruction plan, it should be disclosed in the village (1) The village will have a meeting to select the implementation agency for the urban village reconstruction project which would need to be approved by at least two third of the village households; (2) During the preparation of the reconstruction plan, the district UVRO will consult with the villagers and their concerns will be incorporated into the reconstruction plan. (3) The reconstruction plan should be agreed on by at least 85% of the households. The process of the consultation meeting will be kept in record. All participants should sign. (4) After the Xian UVRO approves the reconstruction plan, it will be disclosed in the village. (5) The reconstruction plan of these villages which are located near the main city roads or cultural treasures should be consulted widely; (6) The implementation agency for the reconstruction of the urban-village should sign the house demolition compensation and agreement with each household, and the agreement should include: The location, ownership, areas, structure, purpose of the houses; Compensation standard, the way of payment; The location, area, structure of the relocation apartments; The time of the transition period is ; default responsibility the grievance redress mechanism; (1) Two options will be provided: cash compensation and property exchange; the affected households can choose the preferred option. (2) Cash compensation will be based on market value, and the appraisal will be conducted by a professional and qualified agency; (3) The housing area of the first and second stories of Collective Land Use Certificate can be exchanged based on 1:1 standard. Other areas of the houses will be paid cash compensation based on market value. (4) If the housing area per person of the household is below 65 m 2, the household will be provided resettlement houses to make sure the housing area per capita can arrive 65 m 2 to improve the living condition of the poor households. (5) The relocation apartment will be in a multi-story building, with better infrastructure, including central heating system, waste water collection system, etc. Better education and hospital will also be provided. (1) All villagers will be transferred to non-agricultural household registration, they will benefit from : (1) the social insurance system, covering medical insurance and pension insurance; (2) the urban Minimum Standard Living System; (2) Rural people are generally noted to have relatively large house area. After relocation, each family will have several apartments. They can benefit from the increasing value of the assets and can also get rent. (3) after reconstruction, some commercial land will be allocated to the asset management corporation, village collective, and it can be 35

64 Institutional arrangement used for the business industry; (4) each person will get 15 m 2 business houses but this will vary from village to village bases on negotiation and agreement between villagers and Xian municipality and as agreed in reconstruction plan; (5) the rural economic collectivity will be transferred to an asset management corporation, which belongs to all village member; each year they can get dividend; (6) people will be included in the urban employment management system, which includes skill training, providing job information; (1) Xian UVRO and district UVRO; (2) Other bureaus will participate in the whole procedures of the reconstruction, including planning, land resource, civil affairs, labor and social security, education etc. 86. The Xi an Municipal Urban-villages Reconstruction Office has a set of strict procedures for managing the whole process of reconstructing villages. (See figure 5-1). The village will select the implementation agency to implement the village reconstruction. The housing land can be used for development. Part of the land will be used for constructing the resettlement houses and part will be used for commercial development. The agricultural land will be acquired by the government and reserved. Application for reconstructing the village (Sub-district office) Check, approval and report to a higher body (District urban-villages reconstruction office) Including into annual plan (Xi an municipal urban-villages reconstruction office) Disclose the relocation plan in the village (Sub-district urban-villages reconstruction office) Discussion with the experts about the relocation plan (Sub-district urban-villages reconstruction office) Discussion with the villagers about the relocation plan (Sub-district urban-villages reconstruction office) Appraisal of the demolished houses, sign the contract, pay the compensation (Sub-district urban-villages reconstruction office) Construction of the resettlement houses (Sub-district urban-villages reconstruction office) Villagers move into the new houses (Sub-district urban-villages reconstruction office) Figure 51 Procedures of Urban-village Reconstruction 5.4 Compensation Eligibility and Entitlements Eligibility for compensation and beneficiaries 87. The cut-off date for determining eligibility for compensation will be the date on 36

65 which the XMG confirms the updated RP. For the 1 st Batch items, the cut-off date is the same. Affected people who are resettled in the affected areas, newly reclaimed farmland, newly built houses, and trees planted and facilities added purely for extra compensation will not be entitled to compensation or subsidization Affected collective land 88. Cultivated land: In line with the Xi an Municipal Government regulations (SZF (2003) 39), for urban road, the land compensation is not more than yuan per mu. The compensation standard for the cultivated land of this project will be 60,000 yuan per mu. 89. According to the socio-economic survey, the Annual Average Output Value (AAOV) of the acquired cultivated land in the past 3 years is 1,000 yuan, thus the compensation standard is 60 times of AAOV. 90. Construction land: The compensation standard for construction land will be the same as the price of transferring land use rights of state-owned land in the same class area. For Zhuhong Road---North 2 nd Ring Road Interchange, most of the project site are located in the Class III area, where the compensation will be 100,000 yuan per mu. Hongmiaopo interchange is in the Class II area, where the compensation standard is 120,000 yuan per mu. 91. (3) Residential land: 60,000 yuan per mu. 92. (4) Garden land: 60,000 yuan per mu. The compensation for the saplings on garden land is 2000 yuan per mu according to the initial negotiation with the owner. 93. (5) Compensation for young crops on the cultivated land is calculated as the AAOV in the previous three years. The standard is 1000 yuan per mu. Type Compensation standard Table 5-2 Acquired collective land compensation standard Unit:Yuan/mu Cultivated land Construction land Construction land Residental land Garden (third class (second class area) area) 60, , ,000 60,000 60, Table 5-2 summarizes the standard rates for land compensation. During the implementation of the urban-villages reconstruction, all compensation of collective land will be negotiated with the villages, which can t be less than the rate in table 5-2., which is one of the processes and requirement of the urban village reconstruction regulation Compensation rates for state-owned land 95. The Project is a public program, for which state-owned land will be acquired by allocation. Xi an Fangxin Food Company and No.2 Construction Company of No.15 Construction Bureau of Sinohydro Corporation have the certificate of the state-owned land using. The land is located in the class II and class III area and they will get 37

66 compensation based on 120,000 yuan per mu and 100,000 yuan per mu respectively 38

67

68 5.4.4 Compensation standard for demolishing housing 96. The compensation standard of the demolishing housing is based on the survey result of the housing price in the same area and of the same structure in 2013;the final compensation price of the demolishing housing will be estimated by the qualified assessment organ in site, and the demolisher and the demolishee will consult it according to the assessment, then decided by the qualified assessment organ. 97. The demolishing housing is near the main urban area, the compensation standard for demolishing housing will base on the compensation standard of the urban housing. Table 5-3 Condition of the affected housing Characteristics of structure and decoration Characteristics of facilities structure Brick and concrete Housing class Apa rtm ent buil ding Spec ial class Condition of the building Over 5-story brick and concrete apartment building, 3.0m for each story, structure against Richter Scale 8 earthquake founda tion St eel and concre te, or brick base Supporti ng facilities 24 or 37CM thick mail wall, steel and concrete building roof and room roof, steel and concrete ground wall roof floor P erforat ed brick or light brick Heat preservation and insulator on roof, water-proof roof, drain pipe,. Cement and sand floor in room, water-proof floor at kitchen and toilet. Smooth cement floor at stairs and common corridor. Outside wall surface Inner wall surface Facing tile on outer wall, cement and sand inner wall with coating, cement and sand at kitchen and toilet, emulsion at stairs and common corridor ceiling Door and window Double aluminum alloy or plastic window with screen; the first door is wooden door with antitheft door or multipurpose door, indoor wooden door, emulsion on roof at stairs and common corridor applianc e Inwall wiring, different chandeli er, availabl e wire of TV, telepho ne and internet, availabl Water, water closet R unnin g water and hot water pipe; bathin g and washi ng faciliti Heating and natural gas General radiator in Living rom, bedroom, kitchen, and water closet; gas or natural gas

69 , double beam, e all es, balconies available kinds of toilet on both round power bowl sides and beam outlet site in rubbish and toilet; way, structure sink available pole site in power, kitche water, n; heating, floor telephone, drain; cable TV, fire-fi and ghting internet, faciliti briefly es decorating room, and basement 98. According to the Document No. 97 of Xian Municipal Government and relevant regulations, the compensation standard should base on the market price of the demolishing housing. So, for the compensation of every demolishing housing, the market price of the housing should be assessed. The first method of assessment is market price comparison. The two enterprises affected by demolition are No. 2 Construction Company, No. 15 Construction Bureau, Sino Hydro Group, located at Zhuhong Road and North Second Ring, and Xian Fangxin Food Company, located in Hongmiaopo. The resettlement organ invited relevant experts to survey the building in sale or being built and urban village reconstruction project near the two enterprises, and the result is as following: 1 Building A,located 500m south of No. 15 Construction Bureau. The building is steel and concrete structure high-story apartment building. The building is being built. 2 Building B, located 300m south of Fangxin Food Company, west side of the road. The building is steel and concrete shear wall 41

70 high-story apartment building. The building is being sold with complete ancillary facilities. 3 Building C, located in the middle of Liyuan Road. The building is steel and concrete high-story apartment building. The building is being built and is being sole as a future housing. type Table 5-4 Analysis of construction of buildings surveyed Apartment building, brick and concrete, multi-story Characteristics of construction 1.water 1. basic Belt-shaped base, around base supply construction drain and 2. wall structure Concrete hollow brick 2.strong power 3. scaffold Scaffold for indoor and outdoor wall, beam and pole, and docoration 3.weak power 4.concrerw, steel Concrete, pumping, concrete hollow cored slab, some and concrete ready-made beam, a few parts 4.heating Characteristics of installation Indoor galvanized conduit, polypropylene water pipe, outdoor steel pipe, plastic drain Distribution box, in-wall distribution box, power and lighting wire (copper) Indoor galvanized conduit, polypropylene feed pipe, steel radiator, outdoor steel pipe (brazing) 5.wall and 5.aircondition Ordinary wooden door, antitheft door, plastic door and window window ing 6.floor Cement and sand floor 6.firefighting 7.roof, heat preservation Slope roof or smooth roof 7.safeguard 8.ourdoor decoration Facing tile wall, emulsion wall 8. gas 9.indoor decoration Sand wall surface, 888 wall surface, covering surface 10. Ultrahigh and vertical transport Ultrahigh and vertical transport, vertical transport fee for multi-story 42

71 building (lower than 20m) 11. Bulk construction Drain, slope, outdoor stairs, passageway, passage for smoke, dilatation joint, railing of stairs, cloth racks, and so on 12. others Railing for windows item Building A Departments and standards name Table 5-5 Analysis of components of construction Components (yuan/m2) Rate if each component (%) Guide price Manage mac Mana Labor machiner Labo mate (yuan/m2) material ment hine geme cost y r cost rial cost ry nt cost total Ground work Brick masonry scaffold Concrete, steel and concrete Door and wall floor Roof, heat preservation Outdoor decoration Indoor

72 decoration Ultrahigh and vertical transport Bulk construction others Civil construction (total) Water and drain system Power Weak electricity heating Air conditioner firefighting Safeguard Natural gas Installation (total) Civil construction (total)

73 Item Buildin g A Buildin g B Buildin g C area Cost of construction Basic cost of constr uction Compr ehensi ve rate Cost of constr uction Cost based on area Table 5-6 Analysis of housing value Early-stage cost Management cost interest Sales cost profit tax Cost Rate based based on cost of constr uction cost of constr uction total rate Manag ement cost rate interes t rate cost Interes interes t rate t % % % % % % % % % % % % % % % rate tax Replace ment price Dep reci atio n rate Buildin g value From the data in the table, due to structure, location and ancillary facilities, the price of the buildings is different. From Table 4, without the cost of land, the price of Building A is 3151yuan/ m2,building B 3255 yuan/ m2,and Building C 3175yuan/ m2 The replacement price and compensation standard of the demolishing housing of the project is 3200yuan/ m2 according to the average price of the three buildings surveyed. The final compensation price of the demolishing housing will be estimated by the qualified assessment organ in site, and the demolisher and the demolishee will consult it according to the assessment, then decided by the qualified assessment organ Enterprises and housing affected by first-batch items There are two enterprises affected by the first-batch items, that is, Xi an Fangxin Food Co. Ltd. located in the construction area of Hongmiaopo Interchange and No.2 Construction Company of No.15 Construction Bureau of Sinohydro Corporation located in the construction area of Zhuhong Road---North 2nd Ring Road Interchange. The compensation to these two enterprises is based on Measures on Acquisition and Compensation of Housing on State-owned Land of Xian City issue by the third commission of XMG on March 13, The Zhuhong Road---North 2nd Ring Road Interchange is now one part of the overall construction plan of Xi an Daxing New Zone begun in July 2012 by the XMG. The Hongmiaopo Interchange is one part of the overall construction plan of Xi an Daminggong begun in January So, this updated RP should connect with the overall construction plan and policies of LA&R of Xi an Daxing New Zone and Xi an Daminggong. After discussing with the IAs of Xi an Daxing New Zone and Xi an Daminggong, the Project formulates the resettlement entitlement framework for Xi an Fangxin Food Co. Ltd and No.2 Construction Company of No.15 Construction Bureau of Sinohydro Corporation. The representatives of the affected enterprises and their staff took part in the consultations and discussions of the 45

74 100. resettlement enetitlements (see Table 4-3, 4-4, 4-5). The overall construction plans of Xi an Daxing New Zone and Xi an Daminggong are being perfected, and the concrete plan for LA&R should be detailed and some policies need to be defined. So, the RPs for Xi an Fangxin Food Co. Ltd. and No.2 Construction Company of No.15 Construction Bureau of Sinohydro Corporation are action framework, which is confirmed by the IAs of Xi an Daxing New Zone and Xi an Daminggong (see Appendix IV). The main content of the framework are as follows a. The area and usage of the acquired buildings are decided by the property rights certificate. If there is no area and usage on the certificate or there is disagreement on area and usage, the local government and administrative committee, along with the relevant department such as development and reform, planning, land resources, and urban-rural construction, will survey, confirm and deal with according to laws and regulations. b. After the decision of acquisition, the affected person will get the compensation of the price of the acquired housing, removal and relocation subsidy, and the loss of shutdown of production or business. c. The Project and the local government will formulate the compensation plan. There are two alternatives of compensation for the affected persons, who can choose compensation in cash or compensation of new housing. By now, the Daxin New Zone has planned a new site for No.2 Construction Company of No.15 Construction Bureau of Sinohydro Corporation, which is within one kilometer from its original site. The Reconstruction Office of Daminggong has planned a new site for Fangxin Co. Ltd., which is 500m southeast of the original site. d. For the compensation of the acquired housing, the price should not lower than that of the similar real estate on the date of announcement of the acquisition. The affected enterprises are located in the class 2 and class 3 areas, so according to Regulations on Urban housing demolition and relocation of Xi an, the compensation for brick concrete is 3200yuan/m 2. The real value of the acquired housing is assessed by the qualified real estate assessment agency. The choosing of the real estate assessment agency, trust management, assessment standard, and dealing of disagreement on assessment will be coped with according to relevant regulations. e. If the affected persons choose compensation in cash, the Project will pay a subsidy which is 20% of the assessment value. f. If the affected persons choose compensation of new housing, the Project will pay transitional subsidy before the new housing is provided. (a) if the acquired building is residential housing, the Project will pay transitional subsidy which is 0.35% of the assessment value per month. If the subsidy is lower than 500 yuan per month, the Project will pay 500 yuan per month. (b) if the acquired builiding is business or production housing, the Project will pay transitional subsidy which is 0.35% of the assessment value per month. If there is loss in business or production caused by the acquisition, the Project will also pay compensation for the loss which is 0.1% of the assessment value per month. (c) if the acquired building is office housing, the Project will pay transitional subsidy which is 0.35% of the assessment value per month.(d) if the acquired building is a store or used other purposes, the Project will pay transitional subsidy which is 0.25% of the assessment value per month. g. If the relocation housing is multi-story housing (7 stories or below), the transitional period is not more than 24 months. If the relocation housing is high-story housing (8 stories or above), the transitional period is not more than 30 months. Transitional period begins from the date when the affected persons vacate their old housing. If the transitional period is more than the time in the agreement, from the exceeding month, the Project will pay compensation two times as the original standard as subsidy for relocation and loss for business or production per month.

75 h. If the building for business or production is acquired, and the affected persons choose compensation in cash, and there is loss caused by the acquisition, the Project will also pay compensation for the business loss which is 2% of the assessment value only for one time. i. The Project will pay the affected persons removal subsidy: (a) The removal subsidy is 2000 yuan per household. (b) If the affected persons have to remove telephone, air conditioner, cable TV, and internet, the Project will pay compensation as much as the fee at the date of acquisition. (c) If there is equipment to remove, the Project will pay the removal subsidy as much as the freight fee formulated by the country, the province or the city. j. If the affected persons remove within 20 days appointed by the real estate assessment organ, every household will get yuan as a reward. If the affected persons remove within 30 days appointed by the real estate assessment organ, every household will get yuan as a reward. If the affected persons remove after 30 days appointed by the real estate assessment organ, there is no reward at all. k. When the relocation housing is offered, the affected persons can choose the story and direction according to the order they offered the old housing, which will be publicized. l. The relocation housing should meet the following conditions: (a) The relocation housing should meet the national standard of quality and safety, the cost of which is included in the compensation appraisal. (b) The property right is clear. (c) The housing is suitable for living. Based on the above regulations, the Project or the local government or the administrative committee along with the relevant departments will sign compensation contract with the affected persons on compensation alternative, compensation amount, payment time, the location and area of relocation housing, removal fee, subsidy or temporary housing, loss due to shutdown, removal period, transitional way, and transitional time, and so on. When the compensation contract is signed, if one party cannot undertake the contract, the other party can appeal to court or administrative procedure. m. If the IA and the affected persons cannot make an agreement within the time appointed by the acquisition and compensation plan, or the property rights of the acquired housing is not clear, the department in charge of housing acquisition should make a decision of compensation after the approval of XMG. If the affected persons don t agree with the decision, they can apply administrative judge or appeal to court. n. The Project should pay compensation first before the affected persons remove. When the affected persons receive the compensation, the affected persons and the lessee of the state-owned housing should move within the time appointed by the compensation contract or compensation decision The compensation plan for other affected enterprises is based on the above policies. Table 5-7Compensation standard of housing type Item Unit standard Remark Residential Housing Other Housing Other compensation Brick and concrete yuan/m Brick and concrete (not for living) and other building structures yuan/m Moving allowance Yuan/AH Negotiate with the owner for moving equipment and restoring services Wage loss yuan/month/ The maximum transitional 47

76 type Item Unit standard Remark person wage loss period is 2 months; The averagely wage is 1500 yuan per month. Negotiate according to the profit of previous 6 months If the housing for business and production is acquired, the temporary resettlement allowance, that is, 0.35% of the assessment value of the Assessed acquired housing, should be Compensation for business value of 2% paid to affected persons every lost business month. If there is shutout of business and production, the compensation for shutout of business and production, that is, 0.1% of the assessment value of the acquired housing, should be paid to affected persons every month. Figure 52 Family member courtyard of Fanxin Co. Ltd. affected by Hongmiaopo interchange LA&R Affected attachment 103. After the assessment of the relevant authorities, compensation fee for the affected attachment shall be paid according to replacement price. See Table 5-5 for the compensation standard. Output Fully-grown tree Table 5-8Compensation Standard of Attachment Compensation Unit standard Output Unit (yuan /unit) Compensation standard (yuan /unit) Power wire m 10 48

77 Output Unit Compensation standard (yuan /unit) Young tree 50 Output Telecommunication wire Unit Compensation standard (yuan /unit) m 10 Enclosure m 100 Utility Pole 330 Greenhouse m Optical cable m 100 Water closet 1000 Transformer Well Pylon Turfgrass m 2 5 Channel m 100 Tomb 1000 pipe m All specialized facilities, including facilities for hydraulic works, power and communication shall be compensated according to the evaluation carried out by a professional evaluation agency based on replacement value. 5.5 Entitlement matrix 105. The Entitlement Matrix presented in Table 5-6 is based on relevant policies discussed in this chapter. 49

78 Type of losses Permanent acquisition of collective land Demolition of rural Table 5-9 Entitlement Matrix Level of impact Entitled persons Resettlement and compensation policy Compensation standards mu collective land will be acquired, contracted villagers, 277HHs with 1,119 Village committee persons Demolition of 73,350m 2 rural Bayi village (rural village) Cultivated land/housing plot land/garden land:60,000 (1) Receiving land compensation fees, resettlement yuan/mu subsidy and young crop compensation fees; Saplings on garden land:2,000 yuan/mu (2) Before 2014 each AP will get at least 3 time skill Construction land:100,000/mu(in Hongmiaopo: training with specific need based trainings for women. 120,000/mu) Standing crops:1,000 yuan/mu Other 7 villages (urban-villages) (1) Receiving land compensation fees, resettlement subsidy and young crop compensation fees; (2) Villagers will be transferred to non-agricultural household registration and included in the social security system; affected villagers shall participate in social insurance and pension system. Collective economic organization, affected villagers and local government shall pay for the social insurance; (3) APs will be included in urban employment management system, which includes skill training, specific for women providing job information; (4) The compensation for ground attachments belongs to its owner; (5) Villagers who are entitled can benefit from the Urban Minimum Standard of Living System; (6) The collective economic organizations will be transferred to a asset management corporation which will be a profit making body with all original villagers as the members entitled to receive the dividends. Bayi Village (1) Receiving house compensation at replacement (1) cultivated land/housing plot land/garden land:60,000 yuan/mu young trees on garden land:2,000 yuan/mu Construction land:100,000/mu(in Hongmiaopo: 120,000/mu) Standing crops:1,000 yuan/mu; (2) Regarding social insurance, the villagers will get the pension according to the standard of the year he starts to get the pension, which is adjusted by the Xian government; (3) The Urban Minimum Standard of Living is 330 yuan per month, which is adjusted each year; (4) the villagers can get benefit from the asset management corporation each year, and the amount of money depends on the profit; brick and concrete structure:3,200 yuan/ m 2 ; other structures:1,500 yuan/ m 2 ;

79 Type of losses residential houses Demolition of enterprises and institutions Level of impact Entitled persons Resettlement and compensation policy Compensation standards residential houses, 214HHs with 837 rural households in persons Bayi Village Demolition of 267,257 m 2 houses, 3 schools, 13 enterprises and 1 market, 4 institutions rural households in Other 8 urban-villages Institutions and enterprises; Employees; cost; (2) cash compensation, pus a housing site for self-building; (3) Being granted transition and moving subsidies. moving subsidy:1,000 yuan/hh; Transition subsidy:4 yuan/ m 2, 30 months (1) Option of either receiving house compensation at replacement cost OR property exchange; (2) Selecting a resettlement mode voluntarily, including cash compensation, and property exchange; (3) The housing area of the first and second stories of Collective Land Use Certificate can be exchanged based on 1:1 standard. Other areas brick and concrete structure:3,200 yuan/ m 2 ; of the houses will be paid cash compensation other structures:1,500 yuan/ m 2 ; based on replacement value; moving subsidy:1,000 yuan/hh; (4) If the housing area per person of the household is below 65 m 2 Transition subsidy:4 yuan/ m 2 /month, for maximum of, this household will be provided 30 months resettlement houses to make sure the housing area per capita is 65 m 2 to improve the living condition of the poor households; (5) The relocation apartment will be in a multi-story building, with better infrastructure, including central heating system, waste water collection system, etc. Better education and hospital will also be provided. (1) Administrative institutions are compensated in cash; (2) Receiving house compensation at replacement cost; (3) Non-movable assets need to be appraised and compensation negotiated; (4) Compensation for lost wages to staff of business enterprise; (5) Compensation for lost wages to staff and (1) brick and concrete structure:1,300 yuan/ m 2 ; (2) moving subsidy:will be discussed with the owners; (3) 2 months wage lost; relocation of the affected enterprises will be started in advance in order to minimize the impacts to the workers; (4) Compensation business lost:will negotiated with the owners based on the income of the enterprises in the previous 6 months 51

80 Type of losses The affected households of enterprise/i nstitutions Vulnerable groups Level of impact Entitled persons Resettlement and compensation policy Compensation standards Demolition of m 2 houses 16 HHs with 41 persons 285HHs with 873 persons contract workers of business enterprises. (6) Providing transition and moving subsidies, and compensation for business losses; (7) The government will provide necessary support during the relocation period. (1) Option of either receiving house compensation at replacement cost OR property exchange; (2) Selecting a resettlement mode voluntarily, including cash compensation, and property exchange; (3) The housing area of the first and second stories of Collective Land Use Certificate due to historical reasons can be exchanged based on 1:1 standard. brick and concrete structure:3,200 yuan/ m 2 ; Other areas of the houses will be paid cash other structures:1,500 yuan/ m 2 ; compensation based on replacement value; moving subsidy:1,000 yuan/hh; (4) If the housing area per person of the household is below 65 m 2 Transition subsidy:4 yuan/ m 2 /month, for maximum of, this household will be provided 30 months resettlement houses to make sure the housing area per capita is 65 m 2 to improve the living condition of the poor households; (5) The relocation apartment will be in a multi-story building, with better infrastructure, including central heating system, waste water collection system, etc. Better education and hospital will also be provided. (1) 841,400yuan - special fund targeting the vulnerable group; (2) Have the priority of selecting the housing plot and the resettlement houses; (3) Proving labor to assist in the construction of the The compensation rates for land acquisition and house new houses in Bayi village; demolition are the same as above. (4) During project construction, labor from vulnerable group households will be recruited to do unskilled jobs first; (5) If the housing area per person of the household 52

81 Type of losses Ground attachment s and public facilities Level of impact Entitled persons Resettlement and compensation policy Compensation standards Owners is below 65 m 2, this household will be provided resettlement houses to make sure the housing area per capita can arrive 65 m 2 to improve the living condition of the poor households. (1) The compensation for ground structures or attachments is paid to proprietors; (2) Compensation will be paid at replacement cost or such facilities restored by the demolisher to the original size and standard. See table

82 6 Resettlement and Income Restoration 6.1 Objectives 106. The objectives of resettlement have been determined as follows, based on the actual standard of living of the displaced persons in 2010, the 12 th five-year national economic and social development plan and 2015 long-term goals of Xi an City. The annual per capita net income of the displaced households is restored to the pre-displacement level; The living environment of the displaced households is improved; The utilities, infrastructure, cultural, educational and sanitary facilities, and natural environment available to the displaced persons are equivalent or better than pre-displacement conditions; and All affected land attachments are compensated for at replacement cost; public buildings and special facilities are compensated for at replacement cost and restored to the original standard. 6.2 Relocation of Housing Bayi Village 107. There are 105 households in Bayi Village which will need to be relocated, which is ~20% of all households in the village. In order to relocate these households, the Bayi Village Committee negotiated with the affected persons and decided to redistribute the housing land to the affected persons own village team, so that the affected persons can still live in their own village team. The housing land allocated to the affected households will be at least the same area as the average housing land area per household. The new housing land would be chosen in order to be convenient for daily life and business, or to be near the highway in order to be more convenient for transport, medical care and children s education. Because the country is developing a New Countryside Construction Project, the newly-built houses of the affected persons will be part of this and have better municipal infrastructure. The local government is preparing the detailed plan for the New Countryside Construction Project and this will be included in the updated RP. The housing of the relocated persons will be better than their original housing Urban-villages 108. According to the principle of propelling the urban-village reconstruction with steady steps, the Xi an Urban-village Reconstruction Plan adjusted in The reconstruction of Dingjiaqia began in 2011 and the reconstruction of Yingfazhai, Hujiazhuang, and Erfuzhuang will begin in The reconstruction of Dingjiaqian is being undertaken smoothly, and the relocation building will be finished at the end of The villages can relocate in the first half of By now, there is no collective complaint or appeal. The villages in reconstruction or in would-be-reconstruction are located in the third class area of Xi an, and are in Yanta District. Thus, the relocation plan for the four villages will be similar, and as follows: Cash compensation: If the affected persons choose cash compensation, they can choose their relocation method themselves according to their wishes and economic situation, and the project will not interfere. They will get the cash

83 compensation, and they can t buy the relocation houses. Property rights exchange: The housing area of the first and second stories according to the household standard area of Collective Land Use Certificate can be exchanged based on a 1:1 standard. Other areas of the houses can be paid cash compensation based on market value. The construction of the relocation housing will based on the city s plan and the relocated persons opinions. The surroundings of the relocation community will be better than the original one, and the infrastructure such as water, power and heating utilities will be better. If the housing area per person of the household is below 65 m 2, this household will be provided with are settlement house sufficient to ensure that the new housing area per capita will reach 65 m 2 and thus improve their living condition. No physical or economic displacement will begin until and unless (i) the Xian municipality and villagers agree and sign the reconstruction plan and (ii) the implementing agency to execute this scheme is finalized and contracted. 6.3 Income Restoration Bayi Village 109. The permanent land acquisition from Bayi by the project will be 97 mu, 33 of which is cultivated land (1.55% of village s whole cultivated area), and the rest of which is homestead land. 110 households (19.6% of the village total), with a total of 427 members (19.6% of the village population), will be affected. Measured according to the present level of the village s planting model, the net economic rewards from one mu of land can reach 1,000 yuan. Taking all losses into consideration, the annual average loss of the village s net income will reach 33,000 yuan and for the affected households, with a loss of 77 yuan per person. After the land acquisition, the average cultivated land area per household will be 3.75 mu According to the primary consultation, all APs prefer to get the cash compensation. The village will get land compensation fees of 1,980,000 yuan and 33,000 yuan for standing crops.all 111. Based on the results of general negotiations with the villagers, the Village Committee has preliminarily formulated some feasible measures for restoring villagers income. Some of the affected households: choose to take part in the project s skills training for construction workers and then go to Xi an to get jobs; their estimated annual income is 12,000 Yuan; choose to use the compensation money to rent 10 along-street market stalls that will be built, and use these to do business or rent; their potential annual income is 15,000 per household; choose to use the money to invest in small businesses and their predicted annual income is 24,000 yuan per household; choose to invest in the business of planting cash crops, predicting to benefit by 2,000 yuan per mu; will get jobs in a private factory producing closed pipelines in the village and can expect to gain 12,000 yuan yearly per person; choose to use the money to cultivate young trees and their annual income per household is expected to be 6,000 Yuan. 55

84 6.3.2 Urban-villages 112. Income restoration has been prepared based on the following existing situation: The villagers incomes come mainly from non-agricultural activities; Due to their location, the villagers can also rent their houses to outsiders and this is also an income resource which needs to be restored The smallest area of the new housing for those to be relocated is no less than 65 m 2. The difference in area of the different house plans will be no less than 10 m 2. According to the survey, the average area of the project affected householders homes is up to 342 m 2 According to the property rights exchange criteria, households will, on average, be allocated three apartments of about 100m 2 in exchange for their existing home. They can live in 2 apartments and one can be used for renting at an income of 1500 yuan per month at least. The value of the property is increasing each year After reconstruction, some commercial land will be allocated to the Asset Management Corporation, which can use it for business activities. The details will be included in the update RP when the individual reconstruction plan is ready. The original villagers will share the profit of this corporation each year. This can reach, on average, at least 15,000 per household annual and is a long-term benefit Each person of the village can be allocated 15 m 2 of business area, but this will vary from village to village bases on negotiation and agreement between villagers and Xian municipality and as agreed in reconstruction plan. This means that each household will have a shop area which they can operate by themselves or rent. This will bring at least 10,000 yuan per year. This will be settled through negotiation between collective and Xi an municipality and the details will be included in the update RP Rehabilitation plan for enterprises and institutions enterprises and institutions will be affected by this project, including 6 enterprises affected by Keji 2 nd Road, 4 enterprises/institutions affected by Dazhai Road, 1 enterprise affected by Zhuhong road, 1 enterprise affected by Hongmiaopo Interchange, 1 institution affected by Xinghuo Road, 5 enterprises/institutions affected by Taihu Road, 1 enterprise affected by Kunming Road and 3 enterprises affected by the Aerospace Base bus park Project implementation will have one of two possible impacts on these different enterprises/institutions. The first is that the enterprise will be demolished completely; the second is that it will only be partly affected The compensation to the affected enterprises is paid in cash. For the first of the above impacts, the project implementing agency, along with local government, will assist the affected enterprise to choose a new site to build a new factory and to resume production as soon as possible. These sites will be relocated in Yuhuazhai of High-tech Development Zone For the second type of impact, such as on Xi an Bodi School and Xi an International University, the implementing agency will assist the school to begin their teaching activities and cope with the adverse effects of the project. The implementing agency will pay compensation for land, housing and other facilities and will pay three 56

85 kinds of compensation: a) subsistence allowance, b) staff s salary during the stop-work time, and c) the production loss incurred during the stop-work time enterprises asked for cash compensation for future reconstruction on the new site, namely, Xi an Nylon, Shaanxi Sirui, Shaanxi Delong, Xi an Jianxin, Xi an Gemeile, Shaaxi Aoge, Xi an Chuangxin, Wansheng Furniture, Xi an Yiming, and DIngjiaqiao Market. Dingjiaqiao Market will move into Yuhuazhai of High-tech Development Zone. Other enterprises will rebuild on new sites. The local government will assist them to move, rebuild and resume production as quickly as possible. After the consultation with the owners of the enterprise, they will bring all their workers to the new site and dormitories will be built for the workers enterprises asked for cash compensation and will rebuild themselves on their owned land site. These are the Xi an Bodi School, Xi an International University, Heping Industry Zone, Xi an Fangxin. The project road will cross through Bodi School and separate the school into two parts, a pedestrian overcrossing will be built to connect the two parts divided by the project road enterprises/institutions prefer to get cash compensation because the Project will not affect their operation, especially the administrative institutions. The details are in Table The cash compensation of 3 months wages will be paid to workers for the loss of their wages The LA&R of the five first-batch items, the East Kunming Road (West 2 nd road---zaohe River), Zhuhong Road---North 2 nd Ring Road Interchange, Zhuhong Road---Fengcheng 4 th Road Interchange, Hongmiaopo Interchange, and the interchange of Xinghuo Road, will affect three state-owned enterprises, that is, Xian Xidian Switchgear Co. Ltd., Xi an Fangxin Food Co. Ltd., and No.2 Construction Company of No.15 Construction Bureau of Sinohydro Corporation. The occupied state-owned land of the Project will be allocated by the government, but the Project will pay compensation to the three above enterprises according to the market price. The details are in Table

86 No. Enterprise Type of Business Output Value Table 6-1 Enterprise relocation Yearly Operating Workers Extent of Loss Profit State Relocation preference 1 Xi an Nylon Dairy good 110 Whole factory Cash compensation to rebuild on new site 2 Bodi school School Good 4000 Playground, office building and garden Cash compensation to rebuild on their own campus. The project will build a pedestrian overcrossing to connect the two parts of the campus. 3 Xi an International University School Good 800 Dormitory Cash compensation to rebuild on own campus 4 Dingjiaqiao market Farm product 60 good 200 Whole market 5 Shaanxi SIrui 6 Guanzhong school Electric equipment school Move to Yuhuazhai of High-tech Development Zone good 700 Whole factory Cash compensation to rebuild on new site good 150 All buildings Cash compensation to rebuild on new site 7 Shaanxi Delong Chemical ok 20 8 Xi an Jianxin Windows factory Door Some factory buildings and dormitory Some factory buildings, office and enclosure Cash compensation to rebuild on new site Cash compensation to rebuild on new site 9 Xi an Gemeile Furniture Factory Furniture Good 120 All factory buildings Cash compensation to rebuild on new site 10 Shaanxi Aoke Chemical good Heping Industry Zone Light industry good 1000 Some factory buildings, office Some factory buildings and enclosure Cash compensation to rebuild on new site Cash compensation to redesign the zone 58

87 No. 12 Enterprise Sinohydro Corporation Engineering Bureau 15 Co., Ltd. Type of Business Hydropower construction Output Value Yearly Profit Operating State Workers good Xi an Fangxing Food good Tanjia Sub-district office 15 Tanjia State Taxation Bureau 16 Weiyang District City Management Bureau 17 Tanjia Local Taxation Bureau Government agency Government agency Government agency Government agency 268 Extent of Loss Some buildings and enclosure Dormitory and enclosure Relocation preference Cash compensation to rebuild on new site Cash compensation to rebuild on own site Cash compensation 17 Cash compensation 24 Cash compensation 9 Cash compensation Sanjiacun Rural credit 15 Cash compensation 18 Bank cooperatives 19 Xi an Chuangxin Furniture good 80 Whole factory Cash compensation to rebuild on new site 20 Wansheng furniture Furniture good 200 Whole factory cash compensation to rebuild on new site 21 Xi an Yiming Electronic ok 20 Whole factory Cash compensation to rebuild on new site 22 Xi an XD Switchgear Electric Co., Ltd. Electronic good m Enclosure Cash compensation 59

88 6.5 Economic rehabilitation program for vulnerable group 125. For the vulnerable groups, such as the aged, the disabled, the poor and families lacking labor, the project will provide added financial and technical assistance as necessary. For these vulnerable groups, a series of measures will be implemented to minimize the adverse effects, to assist them to relocate and to rehabilitate their household economy. In addition, a special rehabilitation fund, representing 0.1% (CNY 841,400 yuan) of the total resettlement budget, will be spent on the implementation of measures to assist vulnerable groups. These are: to choose housing land/units first; to send labor to help build new rural houses; to give an extra resettlement and rehabilitation subsidy; to give priority in accessing other economy rehabilitation measures; and to give special attention and priority to the poor, the disabled, the aged and women with respect to receiving special education and skill training The Implementing Agency and relevant administrations have reached an initial agreement on the above principles. The relevant local government agencies also promise to assist the vulnerable groups to rehabilitate their economic and living conditions and more details in this regard will be included in the update RP. 6.6 Training 127. Systematic training needs assessment and skills training will be provided for the affected families. According to the needs of the local industrial structure, which will be further reconfirmed from affected persons, training will be provided on planting, agricultural machinery and marketing in order to help each family gain relevant employment skills. By the end of 2012, the affected persons should have received skill training at least three times (see Table 6-2). Principal and purpose Plan First half of 2013 second half of 2013 second half of 2013 In 2014 Table 6-2 Project training plan Provide systematic skill training to the affected families. According to the need of local industry structure, provide training on planting, agricultural machinery and marketing in order to make each family gain relevant employment skills. By the end of 2013, the affected persons should receive skill training at least three times. The representatives of APs go outside to study rural economic development; Vehicle Drivers Training Cooking training Free lecture on repairing the agricultural machinery (3 5 days, for 100 persons) Vehicle Drivers Training Other non-farm training based on AP s needs Skill training on poultry and gardening skill (3 5 days, for 100 persons) A skills training according to affected persons request 6.7 Special facilities 128. The affected special facilities are the electricity line and the telecommunication line. In the early stage of the feasibility study, a survey of the impact on residents from the relocation of the affected special facilities was carried out. The project plan takes 60

89 their opinions and suggestions into account after consulting with affected villages leaders, relevant agencies and affected families. For example, when rebuilt, the electricity line and telecommunication line poles can be raised; the relevant agencies should design and rebuild the electricity facilities and telecommunication facilities if necessary Regarding the 18 tombs- they are Han tombs. During the resettlement plan preparation period, after discussion, they have accepted the option of cash compensation. They will be relocated to the city cemetery. 61

90 7 Resettlement Budget and Financing Plan 7.1 Resettlement budget 130. All the fees incurred in the progress of land acquisition and resettlement will be included in the total budget. According to the price in 2012, the resettlement fee of the project is billion yuan The cost of permanently acquired collective land is million yuan (5.15% of the total cost); the cost of permanently acquired state-owned land is 0.78 million yuan (0.08% of the total cost); the cost of demolishing residential housing is CMY million yuan (21%); the cost of demolishing enterprises and institutions is million yuan (57.85% of the total cost); the cost of the ground attachment is 6.69 million yuan (0.67% of the total cost). Thus, the total direct cost of land acquisition, housing demolition and relocation is million yuan Other costs include the RP preparation fee, the management fee, the skills training fund, the M&E cost, the rehabilitation fund for vulnerable group, and the contingency fee. The details are provided in Tables 7-1 and 7-2. Table 7-1 Resettlement cost Unit: 10,000 yuan No. Item Road Improvement MIF Total Percent of Total Cost I Permanently acquired collective land II Permanently acquired state-owned land of enterprise III Resident housing demolition IV Enterprises demolition V Ground attachment VI Sub-total (I~V) VII Other cost VIII Land acquisition fee IX Total Source: Physical Survey and Socioeconomic Survey Because 22 enterprises and institutions are affected in the Project, the area for acquisition and relocation is large. The affected enterprises have to rebuild on new sites, and the project has to negotiate the cost for the equipment moving fee, adjusting fee and business loss, which is a large amount and may change. The relocation design institution determines the contingency fee as 10% of the total budget due to experiences of other projects and the results of the initial consultations (see details in Table 7-2). 62

91 Table 7-2 Detailed Resettlement Budget of the Project Unit: 10,000 yuan No. Project unit Compensation Road improvement MIF total rate standard (%) (yuan /unit) quantity cost quantity cost quantity cost 1 Permanently acquired collective mu land Cultivated land mu Garden mu Residential land mu ,4 Construction land mu Compensation for young crop mu Compensation for young tree mu Permanently acquired state-owned mu land Use fee of state-owned land Category 2 areas (mu) Category 3 areas (mu) Rural housing demolition and relocation Housing compensation Brick and concrete m Other structure m Moving fee m Subsistence allowance household Enterprise and institution demolition & relocation 4.1 Housing compensation ,

92 No. Project unit Compensation standard (yuan /unit) Road improvement MIF total quantity cost quantity cost quantity cost 4.2 Interim fee 24 month/house 500yuan /month Business loss Equipment moving fee Wage lost compensation Ground attachments Direct cost (1~5 subtotal) Other cost Rehabilitation fund for vulnerable Rate of direct cost 0.10% group RP preparation fee Rate of direct cost 0.03% Management fee Rate of direct cost 3% Skill training fund for DPs Rate of direct cost 1% External M&E cost Rate of direct cost 0.20% Contingency Rate of direct cost 10% Land acquisition fee New construction land use cost m Arable land reclamation fee m Arable land occupation tax (arable m land) Arable land occupation fee (other m agricultural land)) Land acquisition administrative cost Rate of direct cost 2.8% Total rate (%) 64

93 7.2 Annual Resettlement Budget 134. The resettlement fund of the project will come from the local government fund and domestic bank loan. Before the construction or during the implementation of the project, in order not to affect the APs life and production, the investment plan will be carried out in different stages. The details of the investment plan for the 1 st batch items are in Table 7-3. Table 7-3 Details of LA&R fee of first-batch items Unit: ten thousand yuan No. Item Unit Compensation standard (yuan /unit) Quantity Cost rate (%) 1 Permanently acquired mu state-owned land Use fee of state-owned land Category 2 areas (mu) Category 3 areas (mu) 2 Enterprise and institution demolition & relocation Housing compensation The interim fee 24* Ground attachments Direct cost (1~3 subtotal) Other cost RP preparation fee 5.00 Management fee Rate of direct cost 3% Skill training fee Rate of direct cost 1% External M&E cost Rate of direct cost 0.5% Contingency Rate of direct cost 10% Land acquisition fee Administration fee for land Rate of direct cost 2.8% acquisition Total Table 7-4 Compensation standard for ground attachment of first-batch items LA&R Item Unit Compensation standard Quantity Cost (yuan) Grown tree tree (81) Young tree tree 50 (450) Enclosure m 100 (2360) Water closet set 1000 (0)

94 Grassland m Power wire m 10 (3500) Tele-communication wire Numbers in brackets refer to quantities in the original RP The cost of developing resettlement sites will be included in the total budget for implementing the urban village reconstruction plan. Without enough fund, the village reconstruction plan can t be approved by the Xi an municipal urban village reconstruction management office. 7.3 Flow and Payment of resettlement fund m 10 (2900) Pole set 330 (138) Optical cable m Transformer set Electric tower set (13) Pipe m 50 (8807) Flyover set (0) Emergency communication station set 20 (0)2 40 Total Flow of Resettlement Fund 136. Based on compensation policies and the compensation standard set out in the RP, Xi an Project Management Office (PMO) and the project Implementing Agency will pay the compensation to the Village Committee, the APs and the affected enterprises and institutions The source and flow of resettlement fund is as follows: 66

95 Government Fund allocation Domestic Bank loan Xi an PMO XMICIG Enterprises (housing and other compensation) Villagers committee (land compensation) Villagers (housing, tree, etc.) Housing (owner) Owner (infrastructure compensation) Figure 71 Procedure of compensation payment 138. For the funds to development the resettlement site, they will be transferred from the developer (government, or a commercial developer) to the construction contractors At this stage, the budget is an estimate of the resettlement costs. Due to the possible changes in the project s components/outputs, the results of the Detailed Measurement Survey (DMS), the revision of compensation standards, and inflation, the fee may be increased. However, the city project implementing agency promises to pay for all the compensation and relocation costs. A contingency fee is contained in the budget, and may be used and revised according to the reality. 67

96 8 Institutional Arrangements 8.1 Relevant institutions respect to resettlement 140. During the implementation of the project, the following institutions will be in charge of the planning, managing, implementing and monitoring the resettlement of the Project (Figure 8-1): Leading Group of Xi an Urban Road Network Improvement Project; Xi an Municipal Urban & Rural Construction Commission (EA); Xi an Project Management Office (PMO); Xi an Infrastructure Construction Investment Group Co. Ltd (IA); Xi an Municipal Land and Resources Bureau; Xi an Municipal Administrative Office of Urban Housing Demolition; Xi an Urban-villages Reconstruction Office; Zhangba Subdistrict Office, Yuhuazhai Subdistrict Office, Doumen Subdistrict Office (hereafter referred to as affected subdistricts ); Affected villagers (residents ) Village Committees, and Design Institute 141. The Leading Group will be in charge of land acquisition, demolition and relocation, organizing and coordinating, reviewing the RP, and internal monitoring The Xi an Project Management Office has responsibility for guiding the formulation of the relocation policy, the make-out of the RP, and the implementation of land acquisition, demolition and relocation. In addition the PMO will be responsible for : To entrust design institution to measure project affect range To contract the agency to undertake the socioeconomic survey To contract the agency to undertake and coordinate the formulation of the RP To implement the policies of the RP To decide on and coordinate the implementation of the RP according to the timetable of project construction. To pay the fund for the resettlement To guide, coordinate and supervise the activities and progress of resettlement To contract the agency to undertake the external independent supervision, and to coordinate external supervision To check the supervision report To coordinate and deal with problems during implementation To coordinate and deal with entanglement and appeal during demolition and relocation To provide reports to ADB on progress of land acquisition and relocation, the use of funds and the quality of the implementation 143. The Xi an Infrastructure Construction Investment Group Co. Ltd, the project implementing agency, has ongoing responsibility for the socioeconomic and property survey, assisting to formulate the RP, dealing with all the work concerning relocation in conjunction with the Xi an Land and Resources Bureau, the Town Government and affected Village Committees. In addition the company will be responsible for : To contract the agency to undertake socioeconomic survey To register and check out property for land acquisition and demolition 68

97 To contract the agency to undertake public participation To coordinate and formulate the RP To apply for land use certificate and land use certificate from Xi an Land and Resources Bureau To implement the regulations relating to housing demolition and relocation To implement the laws and regulations relating to construction land To formulate the plan and compensation standard of land acquisition and for approval of relevant departments To handle the land use permission To apply for land use certificate and land use certificate To implement the RP To sign contract of permanent land acquisition compensation with relevant town government and villages To sign contract of contemporarily used land with relevant agencies To sign contract of land acquisition and relocation with resettled households and enterprises along with the implementing agency To check out progress of relocation To manage the information on land acquisition, demolition and relocation To train the staff To coordinate and deal with the problems To deal with the entanglement and appeal To report to the Xi an Project Office on the progress of land acquisition and relocation 144. The Xi an Municipal Land and Resources Bureau will be in charge of examining and approving the land acquisition permission, and coordinating, managing, monitoring 145. The Xi an Administrative Office of Urban Housing Demolition will be in charge of examining and approving urban housing demolition and housing in urban-villages, and coordinating, managing, monitoring and arbitrating the housing demolition 146. The Xi an Municipal Urban-villages Reconstruction Office will be responsible for approval, coordinating, managing, and monitoring on the reconstruction plan design and implementation of the urban-villages 147. Affected sub-districts offices will be in charge of coordinating surveys, signing the contract of land acquisition and relocation with Land and Resources Bureau, and coordinating land acquisition, housing demolition and relocation. Working close with the District Urban-villages Reconstruction Office to prepare the reconstruction plan and implementation. The staff members will be the relevant leader, Administrative Office and Land and Resources Office. The responsibilities will also include: To take part in the socioeconomic survey and to formulate the RP To contract the agency to undertake public participation and propaganda policies To implement, check out, monitor and record all the relocation in their own towns To handle housing construction permission To pay and manage the land compensation fund To monitor the use of land acquisition, housing and attachment demolition, reconstruction of housing, and removal To report progress of land acquisition, demolition and relocation to Xi an Land and Resources Bureau and the Resettlement Office 69

98 To coordinate and deal with the problems The High-tech Development Zone Urban-villages Reconstruction Office will be in charge of preparing the reconstruction plan for the affected urban-villages, organizing consultation meetings, and information disclosure, monitoring the construction the resettlement houses and the relocation for APs Affected Villagers (Residents ) Committees The affected villagers committees will be in charge of assisting the survey, adjusting cultivated land and residential land and providing the name list of the vulnerable group. The affected communities are in charge of information dissemination, assisting with measuring and evaluating, signing contracts of relocation and providing name list of vulnerable group. In addition the village committee will also handle : To take part in the socioeconomic survey and project affect survey To organize public participation and propaganda policies To choose the relocation site and distribute residential sites To adjust land and organize production To be in charge of fund payment and management To report suggestions and complaints of the relocated persons to higher level departments To report the progress of land acquisition, demolition and relocation To help the vulnerable households induced by land acquisition To coordinate the higher level departments to do relevant work The Designing Institute has responsibility for Project design and defines the land acquisition and house demolition scope of the Project. 8.2 Institution structure Leading Group Xi an Municipal Urban-villages Reconstruction Office Affected sub-district offices High-tech Development Zone Urban-villages Reconstruction Office Xi an Municipal Urban & Rural Construction Commission Xi an PMO Xi an Infrastructure Construction Investment Group Co. Ltd Internal Monitoring Xi an Municipal Land and Resources Bureau Xi an Administrative Office of Urban Housing Demolition Designing institute External M&E Institution Villagers committee APs Figure 81 Resettlement Institution Structure of the Project 70

99 8.3 Relevant bureaus and staff 151. The staff concerned with relocation will be the representatives from the relevant bureaus of the Xi an Municipal Government. The staff members have a wealth of experience and they have all taken part in many projects involving land acquisition, demolition and relocation. Because they are from different departments of the government, they can play an active role in implementation and coordination. The leading group consists of 28 presidents or vice presidents of relevant departments Under the guidance of the Leading Group and the PMO, the following agencies and leaders are the members of the agencies: Leader : Yang Guangxin,Vice Mayor of Xi an City Vice leader: Wang De an, Vice Secretary-general of Xi an Municipal Government Zhang Yong an President of Xi an Commission of Urban-Rural Development Lei Yingjie President of Xi an Municipal Administration Committee Pu Xi angyu Chairman of the Board of Xi an Chengtou Group Members: Xi ang De Vice-chairman of Xi an CPPCC, Vice-president of Xi an Cultural Heritage Bureau Gai Wenfeng Vice-president of Xi an Commission of Urban-Rural Development, Chief of the Xi an Project Office Liu Qin Vice-president of Xi an Development and Reform Committee Lan Shiwei Vice-president of Xi an Public Security Bureau Xu Sengji Vice- president of Xi an Civil Affairs Bureau Yang Ning Vice-president of Xi an Finance Bureau Wang Jiandong Vice-president of Xi an Land and Resources Bureau Hui Xilu Vice-president of Xi an Planning Bureau Qiang Yuansheng Vice-president of Xi an Transport Bureau Yan hao Vice- president of Xi an Environmental Protection Bureau Zhang Wei Vice- president of Xi an Parks and Woods Bureau Gao Maoshi Vice- general manager of Xi an Chengtou Group Cao Yu Vice- president of Yanta District Zhang Yongmin Vice- president of Weiyang District Yang Aimin Vice- president of Baqiao District Chen Xuanling Vice- president of Lianhu District Yang Mingrui Vice- president of Xi an Hi-tech Development Zone Wu Baojun Vice- president of Xi an Economic Development Zone Yang Shumin Vice- president of Xi an Qujiang New District Zone Ding Xuejun Vice- president of Xi an Chanba Ecological District Zhang Xinmin Vice- president of Xi an Civil Aerospace Base Qiang Xiao an Vice- president of Xi an International Port District Wang Xiaoming General Manager of Xi an Third Ring Road Co. Ltd 8.4 Measures for institutional capacity building 153. In order to ensure that the relocation proceeds smoothly, the staff who deal with relocation will be trained. The PMO will be in charge of ensuring that the training for the staff is appropriately implemented A system of training for the city, district, sub-district, and village level offices will 71

100 be set up. The training will adopt a number of techniques, such as lectures by experts, skills training, learning from other projects, and field training etc. The training contents will be as follows: Resettlement principle and policy Planning and management of a resettlement project Planning resettlement implementation Progress management of resettlement Financial management of resettlement Quality control of resettlement Management of the information system Monitoring and evaluation of resettlement 72

101 9 Resettlement Implementation Schedule 155. According to the project implementation timetable, the project construction will begin in 2013 and finish in The preparation stage has been four years ( ), and has dealt with the early stage preparation. The land acquisition, housing demolition and the residential resettlement plan must match the implementation plan of the project Keji 2nd Road and Da Zhai Road will cause the main resettlement impacts. As indicated in Figure 5-1, internal consultation procedure started in July The land acquisition and house demolition of these 2 roads will be commenced by the middle of The transition period will be finalized when the village reconstruction plan is finalized For other components, individual enterprises will be affected. Agreement will be signed and compensation will be paid before the housings are demolished See Table 9-2 for the schedule of all resettlement activities for each project component and for the first-batch items. The timing of the second batch is not decided yet. Table 9-1 Next Steps for RP Planning (especially for Keji 2 nd road and Dazhai road) No. Activity Deadline Remark 1 Approval of the detailed urban village reconstruction plan by Xian Municipal Urban-village reconstruction management office June Updated RP for first-batch items April village reconstruction submitted to ADB for approval plans will be included in the RP as appendix; specific labour re-employment plan will be developed as part of the updated RP 73

102 I Table 9-2 Schedule of land acquisition, housing demolition and resident resettlement Activities Planning of Land Acquisition and Resettlement Approval of FSR Approval of preliminary design II Land use Approval Approval of 4 Urban villages reconstruction plans Updating RP based on the DMS for first-batch items Updating RP based on the DMS and Urban villages reconstruction plans Finalize the scope of LAR for first-batch items Establishment of Cut-off Date for first-batch items Permanent Land Acquisition and Resettlement S01 Keji 2nd Road Provide RIB to APs Hold mobilization meetings and publicize policies Detailed Measurement Survey Approval of the individual village reconstruction plan (Dingjiaqiao, Hujiazhang, Yingfazhai) Negotiate and sign agreements 74

103 Activities Disburse compensation payment & acquire land, demolish house Commencement of Civil works Transition period Move to the new house Grievance redress after each stage & agreement S02 Da Zhai Road Provide RIB to APs Hold mobilization meetings and publicize policies Approval of the individual village reconstruction plan (Dazhai village) Detailed Measurement Survey Negotiate and sign agreements Disburse compensation payment & acquire land, demolish house Commencement of Civil works Transition period Move to the new house Grievance redress after each stage & agreement S03 Kunming Road Provide RIB to APs Detailed Measurement Survey Consult with related people and set the amount of compensation

104 Activities Payment of the resettlement compensation S04 Zhuhong Road-North 2nd Ring Road Interchange Provide RIB to Aps Detailed Measurement Survey Consult with related people and set the amount of compensation Payment of the resettlement compensation S06 Hongmiaopo Interchange Provide RIB to Aps Detailed Measurement Survey Consult with related people and set the amount of compensation Payment of the resettlement compensation S09 Fengcheng 8th Road -Taihua Road Interchange Provide RIB to Aps Detailed Measurement Survey Consult with related people and set the amount of compensation Payment of the resettlement compensation S10 Aerospace Transport Hubs Provide RIB to Aps Detailed Measurement Survey

105 III Activities Consult with related people and set the amount of compensation Payment of the resettlement compensation Livelihood and Income Restoration Employment of AP in the Project construction Implementation of measures to increase income of APs New skill training Institution, enterprise and shop rehabilitation Note: The 30 month transition time is the maximum time

106 10 Monitoring and Evaluation 159. In order to guarantee that the land acquisition, housing demolition and resident resettlement proceed smoothly and in accordance with ADB s policies, the project will regularly monitor and evaluate the implementation of land acquisition and relocation. Two kinds of monitoring will be put in place: an internal monitoring system by the PMO and an external monitoring and evaluation system. Since the external monitoring agency has a critical role to monitor both village reconstruction program and the RP implementation, the EA will hire trained agency which good track record of working on resettlement and rehabilitation on project with similar scale funded by multilateral agencies Internal monitoring Purpose 160. The purpose of internal monitoring is to make sure that all-level relocation agencies (i) operate well during the project implementation; (ii) monitor the preparation stage and all remaining stages of implementation, and (iii) are aware of the progress of relocation. This will enable the work of land acquisition and relocation to advance in a timely manner according to the RP. This will ensure that the project construction will proceed smoothly The contents of the internal monitoring 161. There are two aspects to the internal monitoring:(i) the monitoring of the relevant area administrative management departments, including the project implementing agency of county and village committees; and (ii) the monitoring of the payment of compensation for the affected individuals in accordance with the RP terms. The monitoring will confirm whether: Resident resettlement is carried out according to the RP terms; The affected individuals get enough compensation according to the formulations; More job opportunities are provided to the local residents taking advantage of the project implementation; The affected individuals are satisfied with the new residential land; The affected individuals are satisfied with the compensation program; The living conditions of the affected individuals are safe and proper; The affected individuals get the redistributed land according to the relevant regulations; The affected individuals who lose land are satisfied with the quantity and quality of redistributed land, living conditions and production conditions; The affected individuals are satisfied with their income change and rehabilitation situation after land acquisition; The affected individuals are satisfied with the project staff s working methods, attitude and effectiveness; The information, notification, consultation and coordination are given to the affected individuals in accordance with the procedures outlined in the RP; Resettlement payments/expenditures are recorded in written form, especially the description of the cause of overspending and resource of supplement; 78

107 The affected individuals are permitted to appeal in accordance with the process outlined in the RP; The affected individuals or enterprises are satisfied with the results During the preparation of the individual village reconstruction plan, if the consultation process are satisfied; Procedure and demand of monitoring agencies 162. The monitoring agencies will combine responsibility to the government with responsibility to the affected individuals. They should summarize experiences and lessons, and maintain a work record (log). The monitoring agencies will have a meeting at regular or irregular intervals and report relevant circumstances. Each quarter, the monitoring agency will give a written report to the project implementation agency about the monitoring work and how the supervised incidents have been dealt with. Every six months, a progress report of all of the Project monitoring will be submitted to ADB; including a summary of the progress on resettlement The implementing agency will collect monitoring data from the town(village)-level offices, sub-district government, and the High-tech Development Zone Urban-villages Reconstruction Office. The collected data will be stored electronically and up-dated after every monitoring survey The internal monitoring report will be discussed in every regular meeting of the project implementation agency Internal monitoring report 165. Xi an Project Office will submit an internal monitoring report to ADB every six months. The report will tabulate the progress of land acquisition, relocation and the use of compensation payment according to data collected over the previous six months. Table 10-1 and Table 10-2 are examples. Table 10-1 Progress on land acquisition and relocation district subdistrict(town) community(village) Cutoff date: YY MM DD Filling date: YY MM DD Output unit plan reality total rate Permanent land mu Temporary land mu Land compensation Training Arranged employment yuan person person Adjusted land mu Residential house m 2 demolition House reconstruction in new villages Units completed House relocation HH Payment of house Ten relocation fee thousand CNY House demolition of m 2 79

108 enterprise and public institution Provision of sites for No. of sites enterprise relocation Reconstruction of m 2 premise of enterprise and public institution Re-employment of % of workers workers re-employed Reporter: signature(leader): seal: Table 10-2 Progress on use of fund district subdistrict (town) community(village) Cutoff date: YY MM DD Filling date: YY MM DD Affected details 2 number investment compensation Adjusting village 1 village 2 collective resettlement Enterprises Reporter: signature(leader): seal: compensation rate 10.2 External monitoring 166. According to ADB s requirement, Xi an Project Office has contracted a qualified, independent and experienced agency as the external monitoring agency. The external monitor has been engaged since the Xi an municipality started the consultation and negotiation process with village collective under the urban village reconstruction regulation. The external monitoring on the land acquisition and demolishment of the first batch of Xian Road Network Improvement Project was started on May 31, 2012 by Shaanxi Kexin Consulting Co. Ltd. The external monitoring contract was signed on Dec.3, The external monitoring agency will monitor the progress, quality of relocation and the use of fund, and give comments and suggestions, on a semi annual basis. It will also monitor the living and production conditions of the resettled residents, and submit monitoring reports to the Xi an Project Office and the ADB. The outline of the TOR for external monitoring and evaluating is in Appendix Contents and method of external monitoring 168. (1) Baseline survey: The external monitoring agency will carry out a baseline survey of the project-affected villages and groups to obtain the base information of the relocated households living and production level (living, production and income level). A living and production level survey will then be held every half a year in order to obtain the changing information. A sample of 20% of the affected households, 50% of the affected villages, 50% of the affected enterprises, institutions and shops will be selected randomly for interview. Additional information will be gained from field observation. The evaluation will be based on the analysis of the information. 2 details refers to labor force training, employment and vulnerable group subsidy etc. 80

109 169. (2) Regular monitoring and evaluating: The external monitoring agency will carry out field work regularly every six months during the implementation of the project. This will include field observation, a sample household survey, and casual interviews to monitor the following: Payment and amount of compensation; Preparation of the relocated site; Reconstruction of the housing; Moving of the affected persons; Relocation of enterprises and institutions, and re-employment of workers Training; Support of the vulnerable groups; Rebuilding of the infrastructure and special facilities; Compensation of property loss; Compensation of lost working time Transition subsidy Time table of above mentioned activities Relocation status Use of collective land compensation and the relocated residents income Employment and income of DPs 170. (3) Public consultation and participation: The external monitoring agency will visit the affected villages and find out the results from the PMO town, villagers committee and the project Implementing Agency to evaluate the effect of public participation (4) Complaints: The external monitoring agency will regularly visit the affected villages and find out the results from the PMO town, villagers committee and the project Implementing Agency that deal with complaints. In addition, the external monitoring agency will interview the relocated residents who have complained, and put forward suggestions and measures regarding problem resolution to help the relocation become more effective External monitoring report 172. The external monitoring agency will submit a monitoring and evaluating report to Xi an Project Office and ADB every six months. The schedule is report is outlined Table Table 10-3 Updated Schedule of monitoring and evaluating Report Time 1 Socioeconomic baseline survey First monitoring report Second monitoring report Third monitoring report Fourth evaluating report Fifth evaluating report sixth evaluating report seventh evaluating report Final report Evaluation after relocation 81

110 173. When the project finishes, the external monitoring agency will evaluate the relocation of the project based on previous monitoring and evaluating by the theory and methods of post-project. The contents will evaluate the experience and lessons learnt during the land acquisition, housing demolition and removal of enterprises for the use of later relocation activities. The external monitoring agency will formulate an evaluating outline, set up an evaluating index system, carry out a socioeconomic survey, and compose Post-implementation Report of Xi an Urban Road Network Improvement Project to Xi an Project Office and ADB. 82

111 Appendix 1 Relevant Laws and Regulations A-Land Administration Law of the People s Republic of China Ownership and Right of Use of Land Article 8 Land in urban districts shall be owned by the State. Land in the rural areas and suburban areas, except otherwise provided for by the State, shall be collectively owned by farmers including land for building houses, land and hills allowed to be retained by farmers. Article 10 on lands collectively owned by farmers- those that have been allocated to villagers for collective ownership according to law shall be operated and managed by village collective economic agencies or villagers committee and those that have been allocated to two or more farmers collective economic agencies of a village, shall be operated and managed jointly by the collective economic agencies of the village or villagers groups; and those that have been allocated to township (town) farmer collectives shall be operated and managed by the rural collective economic agencies of the township (town). Article 11 People s government at the county level shall register and put on record lands collectively owned by farmers and issue certificates to certify the ownership concerned. People s government at the county level shall register and put on record the use of land collectively owned by farmers for non-agricultural construction and issue certificates to certify the right to use the land for construction purposes. People s government at the country level shall register and put on record uses of land owned by the State by units or individuals and issue certificates to certify the right of use. The State Council shall designate specific units to register and put on record State-owned land used by central government agencies. Certification of ownership or use right of wooded land and grassland, and the use of water surface and beach land for breeding purpose shall be administrated according to relevant provisions of the Forest Law of the People s Republic of China, the Grassland Law of the People s Republic of China and the Fisheries Law of the People s Republic of China. Article 12 Changes of owners and usages of land, shall go through the land alteration registration procedures. Article 13 The ownership and use right of land registered according to law shall be protected by law and no unit or individual is eligible to infringe upon it. 83

112 Article 14 Land collectively owned by farmers shall be contracted out to be run by members of the collective economic agencies for use in crop farming, forestry, animal husbandry and fisheries production under a term of 30 years. The contractors shall sign a contract with the correspondents contractor to define each other s rights and obligations. Farmers who have contracted land for operation are obliged to use the land rationally according to the purposes agreed upon in the contracts. The right of land contractual operation by farmers shall be protected by law. Within the validity term of a contract, the adjustment of land contracted by individual contractors shall get the consent from over two-thirds majority vote of the villagers congress or over two-thirds of villagers representatives and then be submitted to land administrative departments of the township (town) people s government and county level people s government for approval. General Plans for the Utilization of Land Article 19 General plans for land use shall be mapped out according to the following principles: 1. Strictly protect the basic cultivated land and control the occupation of agricultural land for nonagricultural purposes. 2. Raise the utilization rate of land. 3. Make an overall plan and arrangements about the use of land of various kinds and in various areas. 4. Protect and improve the ecological environment to ensure a sustainable use of land. 5. Keep a balance between the occupied area of cultivated land and the developed and reclaimed area of cultivated land. Article 22 The amount of land used for urban construction shall conform to the standards prescribed by the State so as to make full use of the existing land for construction purposes, not to occupy or occupy as less agricultural land as possible. Urban general planning and the planning of villages and market towns shall be in line with the general plans for land use. The amount of land for construction use in the urban general planning and the planning of villages and market towns shall not exceed the amount of land used for construction purposes in cities, villages and market towns fixed in the general plans for the utilization of land. The land for construction purposes in cities, villages and market towns within the planned areas of cities, villages and market towns shall conform to the city planning and the planning of villages and market towns. Article 24 People s governments at all levels shall strengthen the administration of plans for land use and exercise control of the aggregate land for construction purposes. Article 26 Revision of the general plans for land use shall be approved by the 84

113 original agency of approval. Without approval, the usages of land defined in the general plans for the utilization of land shall not be changed. Whereas the purpose of land use defined in the general plans for the utilization of land needs to be changed due to the construction of large-scale energy, communications, water conservancy and other infrastructure projects approved by the State Council, it shall be changed according to the document of approval issued by the State Council. If the purpose of land defined in the general plans for the utilization of land needs to be changed due to the construction of large-scale energy, communications, water conservancy and other infrastructure projects approved by provinces, autonomous regions and municipalities, it shall be changed according to the document of approval issued by the provincial level people s governments if it falls into their terms of reference. Protection of Cultivated Land Article 31 The State protects the cultivated land and strictly controls the conversion of cultivated land into non-cultivated land. The State fosters the system of compensations of cultivated land to be occupied. In the case of occupying cultivated land for non-agricultural construction, the units occupying the cultivated land shall be responsible for reclaiming the same amount of land in the same quality as the occupied one according to the principle of reclaiming the same amount of land occupied. Whereas units, which occupy the cultivated land, are not available with conditions of reclamation of land or the land reclaimed is not up to requirements, the units concerned shall pay land reclamation fees prescribed by provinces, autonomous regions and municipalities for reclaiming land for cultivation on the land reclaimed. Article 32 The local people s governments at and above the county level may demand units which occupy cultivated land to use the topsoil of the land occupied for use in the newly reclaimed land, poor land or other cultivated land for soil amelioration. Article 33 People s governments of all provinces, autonomous regions and municipalities shall strictly implement the general plans for the utilization of land and annual plan for the use of land; adopt measures to ensure not to reduce the total amount of cultivated land within their jurisdictions. In case reductions occur, the State Council shall order for land reclamation within the prescribed time limit to make up for the reduced land in the same quantity and quality and the land administrative department of the State Council shall, together with agricultural administrative department, examine and accept it. Whereas individual provinces and municipalities find it difficult to reclaim enough land to make up for the land occupied due to scarce reserve resources, the total amount of land due to be reclaimed in their own regions may be reduced with the approval of the State Council but the rest of land for reclamation shall be made up for elsewhere. Article 36 Land shall be used sparingly for non-agricultural construction purposes. Where wasteland can be used, no cultivated land shall be occupied; where poor land can be used, no good land shall be occupied. 85

114 Article 41 The State encourages land consolidation. People s governments of counties and townships (towns) shall engage with rural collective economic agencies to carry out comprehensive consolidation of fields, water surface, roads, woods and villages according to the general plans for the utilization of land to raise the quality of cultivated land and increase areas for effective cultivation and improve the agricultural production conditions and ecological environment. Local people s governments at all levels shall adopt measures to ameliorate medium-and low-yielding land and consolidate idle and scattered and abandoned land. Article 42 Whereas land is damaged due to digging, cave-in and occupation, the units or individuals occupying the land shall be responsible for reclamation according to the relevant provisions of the State; for lack of ability of reclamation or for failure to meet the required reclamation, land reclamation fees shall be paid, for use in land reclamation. Land reclaimed shall be first used for agricultural purposes. Land for Construction Purposes Article 43 Any unit or individual that needs land for construction purposes shall apply for the use of land owned by the State according to law, except land owned by farmer collectives used by collective economic agencies for building township enterprises or building houses for villagers or land owned by farmer collectives approved according to law for use in building public facilities or public welfare facilities of townships (towns). The term for the use of land owned by the State according to law used in the preceding paragraph refers to land owned by the State and also land originally owned by farmer collectives but having been expropriated by the State. Article 44 Where occupation of land for construction purposes involves the conversion of agricultural land into land for construction purposes, the examination and approval procedures in this regard shall be required. For projects of roads, pipelines and large infrastructure approved by the people s governments of provinces, autonomous regions and municipalities, land for construction has to be approved by the State Council where conversion of agricultural land is involved. Where agricultural land is converted for construction purposes as part of the efforts to implement the general plans for the utilization of land within the amount of land used for construction purposes as defined in the general plans for cities, villages and market towns, it shall be approved batch by batch according to the annual plan for the use of land by the agencies that approved the original general plans for the utilization of land. The specific projects within the scope of land approved for conversion shall be approved by the people s governments of cities or counties. Land to be occupied for construction purposes other than those provided for in the second and third paragraphs of this article shall be approved by the people s governments of provinces, autonomous region and municipalities whereas conversion of agricultural land into construction land is involved. Article 45: The expropriation of the following land shall be approved by the State 86

115 Council: 1. Basic cultivated land; 2. Land exceeding 35 hectares outside the basic cultivated land; Expropriation of land other than that prescribed in the preceding paragraph shall be approved by the people s governments of provinces, autonomous regions and municipalities and submitted to the State Council for the record. Expropriation of agricultural land shall first of all go through the examination and approval procedure for converting agricultural land into land for construction purposes according to the provisions of Article 44 of this law. Where conversion of land is approved by the State Council, the land expropriation examination and approval procedures shall be completed concurrently with the procedures for converting agricultural land to construction uses and no separate procedures are required. Where the conversion of land is approved by people s governments of provinces, autonomous regions and municipalities within their terms of reference, land expropriation examination and approval procedures shall be completed at the same time and no separate procedures are required. Where the terms of reference have been exceeded, separate land expropriation examination and approval procedures shall be completed according to the provisions of the first paragraph of this article. Article 46 For expropriation of land by the State the local people s governments at and above the county level shall make an announcement and the implementation after the approval according to the legal procedures. Owners or users of the land expropriated shall, within the time limit specified in the announcement, go through the compensation registration for expropriated land with the land administrative departments of the local people s governments on the strength of the land certificate. Article 47 In expropriating land, compensation shall be made according to the original purposes of the land expropriated. Compensation fees for land expropriated include land compensation fees, resettlement fees and compensation for attachments to or green crops on the land. The land compensation fees shall be 6-10 times the average output value of the three years preceding the expropriation of the cultivated land. The resettlement fee shall be calculated according to the number of agricultural population to be resettled. The number of agricultural population to be resettled shall be calculated by dividing the amount of cultivated land expropriated by the per capital land occupied of the unit whose land is expropriated. The resettlement fees for each agricultural person to be resettled shall be 4-6 times the average annual output value of the three years preceding the expropriation of the cultivated land. But the maximum resettlement fee per hectare of land expropriated shall not exceed 15 times of the average annual output value of the three years prior to the expropriation. The standards for land compensation and resettlement fees for land expropriated shall be determined by various provinces, autonomous regions and municipalities in reference to the land compensation fees and resettlement fees for cultivated land expropriated. 87

116 The standards for compensating for ground attachments and green crops on the land expropriated shall be determined by various provinces, autonomous regions and municipalities. In expropriating vegetable fields in suburban areas, the units using the land shall pay the new vegetable field development and construction fund. Where the land compensation fees and resettlement fees paid according to the provisions of the second paragraph of this article are not enough to maintain the original level of living, the resettlement fees may be increased with the approval of the people s governments of provinces, autonomous regions and municipalities. But the combined total of land compensation fees and resettlement fees shall not exceed 30 times the average output value of the three years prior to the expropriation. In special circumstances, the State Council may raise the standards for land compensation and resettlement fees for land expropriated according to the social and economic development level. Article 48 After the plan for land compensation and resettlement fees is finalized, relevant local people s governments shall make an announcement and hear the opinions of the rural collective economic agencies and farmers whose land has been expropriated. Article 49 Rural collective economic agencies shall make public to its members the receipts and expenditures of the land compensation fees for land expropriated and accept their monitoring. It is forbidden to embezzle or divert the land compensation fees and other relevant expenses. Article 50 Local people s governments at all levels shall support rural collective economic agencies and farmers in their efforts toward development and operations or in starting up enterprises. Article 51 The standards for land compensation and method of resettlement for land expropriated for building large and medium-sized water conservancy projects and hydroelectric power projects shall be determined separately by the State Council. Article 52 In the process of the feasibility study for construction projects, land administrative departments may examine the relevant matters concerning the land for construction purposes and put forward their proposals according to the general plans for the utilization of land, the annual plan for the use of land and standards for land used for construction purposes. Article 53 Where a construction project approved needs land owned by the State for construction purposes, the construction unit shall file an application with land administrative department of the people s government at and above the county level with the power of approval on the strength of relevant documents required by law and administrative decrees. The land administrative department shall examine the application and submit it to the people s government at the same level for approval. 88

117 Article 54 A paid leasing shall go through in case of use of land owned by the State by a construction unit. But the following land may be obtained through government allocation with the approval of the people s governments at and above the county level according to law: 1. Land for use by government agencies and for military use; 2. Land for building urban infrastructure and for public welfare undertakings; 3. Land for building energy, communications and water conservancy and other infrastructure projects supported by the State. 4. Other land as provided for by the law and administrative decrees. Article 55 Construction units that have obtained State-owned land by paid leasing can use the land only after paying the land use right leasing fees and other fees and expenses according to the standards and ways prescribed by the State Council. Starting from the date when this law comes into effect, 30% of the land compensation fees for new construction land shall be handed over to the central finance, with the rest 70% to be retained by relevant local people s governments, for the development of land for cultivation. Article 56 In using State-owned land, construction units shall use the land according to the provisions of the contract for compensated use of leased land use right or according to the provisions of the documents of approval concerning the allocation of land use right. The change of the land to construction purposes shall get the consent from the land administrative departments of the relevant people s governments and be submitted to the people s governments that originally give the approval for the use of land. In changing the purpose of land within the urban planned areas, the consent shall be obtained form the relevant urban planning administrative departments before submission for approval. Article 57 In the case of temporarily using State-owned land or land owned by farmer collectives by construction projects or geological survey teams, approval shall be obtained from the land administrative departments of local people s governments at and above the county level. Whereas the land to be temporarily used is within the urban planned areas, the consent of the urban planning departments shall be obtained before being submitted for approval. Land users shall sign contracts for temporary use of land with relevant land administrative departments or rural collective agencies or villagers committees depending on the ownership of the land and pay land compensation fees for the temporary use of the land according to the standard specified in the contracts. Users who use the land temporarily shall use the land according to the purposes agreed upon in the contract for the temporary use of land and shall not build permanent structures. The term for the temporary use of land shall not usually exceed two years. Article 58 In one of the following cases, the land administrative departments of relevant people s governments shall recover the land use right of State-owned land with 89

118 the approval of the people s governments that originally gives the approval or the people s governments with the power of approval: 1. Use land for the sake of public interests; 2. Use land for adjustment in re-building old city districts in order to implement urban construction plans; 3. When the term for the land use right expires according to what is agreed upon in the contract for compensated use of land, the land user has failed to apply for extension or failed to get approval for extension; 4. The use of land originally allocated has been stopped due to cancellation or removal of units; 5. Roads, railways, airports and mining sites that have been approved to be abandoned. Proper compensation shall be given to land use right users whereas the use right of State-owned land is recovered according to the provisions of 1 and 2 of the preceding paragraph. Article 61 In using land for building public facilities and public welfare facilities, townships (towns) shall file an application with land administrative departments of local people s governments at and above the county level after being examined by the township (town) people s governments at and the application shall be approved by the local people s governments at and above the county level according to the term of reference provided for by provinces, autonomous regions and municipalities. Where occupation of agricultural land is involved, the examination and approval procedures provided for in Article 44 of this law are required. Article 62 One rural household can own one piece of land for building house, with the area not exceeding the standards provided for by provinces, autonomous regions and municipalities. Construction of rural houses shall conform to the general plans for the utilization of land of townships (towns) and the original land occupied by houses and open spaces of villages shall be used as much as possible for building houses. The use of land for building houses shall be examined by the township (town) people s governments and approved by the county people s governments. Whereas occupation of agricultural land is involved the examination and approval procedure provided for in Article 44 of this law is required. The application for housing land after selling or leasing houses shall not be approved. Article 63 The land use right of farmer collectives shall not be leased, transferred or rented for non-agricultural construction, except in the case of legal transfer of the land that conforms to the general plan for the utilization of land and legally obtained by enterprises due to bankruptcy or acquisition. 90

119 Article 64 Buildings or structures put up before the general plan for the utilization of land and unconformable to the general plans are not allowed to be rebuilt or expanded. Article 65 In one of the following cases, the rural collective economic agencies may recover the land use right with the approval of the people s government that gives the approval for the use of land: 1. Land needed for building public facilities and public welfare undertakings of townships (towns) and villages; 2. Land not used according to the purposes approved; 3. Land not used any more due to cancellation or removal of the original units. Proper compensation shall be given to land users in the case of recovering the land owned by farmer collectives provided for in output 1 of the preceding paragraph. B-Some articles from Regulation on Expropriation and Compensation of Houses on State-owned Land Article 2 In order to meet the demands of public interests, for the house expropriation from units and individuals on the state-owned land, the owner of the expropriated houses (hereinafter referred to as expropriate ) should be compensated fairly. Article 4 The city and the county people's governments shall be responsible for the administrative divisions of the house expropriation and compensation in their own administrative area.. Article 5 The house expropriation departments can entrust the implementation unit to undertake the concrete work of house expropriation and compensation, and the implementation unit cannot seek to make profit as its goal. Article 7 Any organization or individual have the rights to report to relevant people's government, house expropriation department and other relevant departments the behavior against the provisions of this regulation. The relevant people's government, house expropriation department and other relevant departments that receive the report should check and deal with the report in time. Article 8 In order to meet the public interests such as safeguarding the state security and promoting national economic and social development, the house expropriation is definitely needed for any of the following conditions. Then the city or county people s government can make the decision of house expropriation. (1) the need of national defense and foreign affairs; (2) the need of infrastructure construction for energy, transport, and water conservancy organized and implemented by the government; (3) the need of public affairs for science and technology, education, culture, health, sports, environmental and resources protection, disaster prevention and mitigation, cultural relic protection, social welfare, and municipal utilities organized and implemented by the government. (4) the need for low-income house organized and implemented by the government; (5) the need for reconstruction of the dangerous houses and poor infrastructure district in accordance with the relevant provisions of the urban and rural planning 91

120 organized and implemented by the government; (6) the need for other public interests needs set by laws, administrative rules and regulations. Article 10 The house expropriation departments makes an initial draft for expropriation and compensation and submit to city or county people's government. The city or county people's governments shall organize relevant departments to demonstrate and publish the expropriation and compensation draft to ask for public opinion, the period of which should not be less than 30 days. Article 12 Before the city or county people's government makes the decision of house expropriation, the government should make a social stability risk assessment. If the amount of house expropriation is large, it should be discussed and decided by the executive meeting of the government. Before the decision of house expropriation is made, the fund of expropriation and compensation should be in full amount in place, be deposited in special account and used only for this purpose. Article 13 After the decision of house expropriation was made, the city or county people s government should announce it in time. The announcement should include the house expropriation and compensation plan, the rights for the administrative reexamination and administrative proceedings and so on. The city or county people's governments and the house expropriation department should do well in propagating and explaining the house expropriation and compensation. The house is expropriated legally, at the same time, the use rights for state-owned land is also taken back. Article 16 After the range of house expropriation is determined, it is banned to newly build, expand, rebuild houses and to change the use of houses for more unreasonable compensation; no compensation will be paid to the implementation against the regulations. The house expropriation department should inform the relevant departments the above-mentioned behavior in written form to suspend relevant procedures. The written form should make the period of suspension clear, which should be no longer than one year. Article 17 The compensation to the expropriate by the city or county government that make the decision of house expropriation should include the following: (1) Compensation for the value of expropriated house; (2) The compensation for moving house and temporary shelters caused by house expropriation; (3) The compensation for production shut-down or business shut-down caused by house expropriation. The city or county people's government should formulate subsidies and incentive measures to subsidize and reward the expropriated household. Article 19 The compensation of the expropriated house should not be lower than the market price of the similar house on the publish date of the house expropriation decision. The value of expropriated house is decided by the qualified house evaluation organs according to the formulations of expropriated house evaluation. Article 21 The expropriated household/entity can choose monetary compensation or 92

121 choose house property right exchange. Article 25 Based on the provisions of this regulation, the house expropriation department and the expropriate sign compensation agreement on compensation method, compensation amount, payment period, the location and area of the house for property right exchange, moving fee, temporary relocation fee or temporary shelter house, production shut-down and business shut-down loss, time limit for removal, the transition way and transition period, and so on. After the signing of the agreement, if one party does not fulfill the appointed obligation in the agreement, the other party can lodge a lawsuit according to law. Article 26 If the house expropriation department and the expropriate can not reach a compensation agreement during the signing period defined by the house expropriation plan, or the owner of the expropriated house is not clear, the house expropriation department reports to the city or county people s government to make compensation decision and shall make public announcement in the house expropriation range according to the provisions of this regulation and the house expropriation plan. The compensation decision should be fair, including the relevant compensation agreement in Output 1, Article 25 of this regulation. If the expropriate refuses to accept the compensation decision, he can apply for administrative the administrative reexamination or lodge a lawsuit according to law. Article 27 The implementation of house expropriation shall compensate first and then move. After the city or county people's government that makes the house expropriation decision compensates the expropriated household/entity, the expropriated household/entity should finish moving within the deadline defined by the compensation agreement or compensation decision. No unit or individual can force the expropriate to move by violence, threat or illegal ways such as cutting off water supply, heat supply, gas supply, power supply and traffic, and the construction unit is banned to take part in the removal activity. Article 29 The house expropriation department shall establish house expropriation and compensation files according to laws, and publish compensation for each household for the expropriate in the house expropriation range. C Xian Municipal Regulation on Urban-village Reconstruction Regulation 2007 Xian Municipal People's Government September, 17,

122 Measures of Xian City Urban Village Reconstruction Management Chapter 1 General Provisions Article 1: In order to promote and standardize urban village reconstruction work, to speed up urbanization construction, to improve the living environment and improve the living standards of the residents, according to the relevant laws and regulations and the relevant provisions, in combination with the situation in Xian, the measures are formulated Article 2: The measures are applicable to urban village reconstruction in Xincheng District, Beilin District, Lianhu District, Yanta District, Weiyang District, and Baqiao District. Article 3: As mentioned in the present measures, the urban village refers to the villages within the scope of downtown of the city which lose all or most of their basic farmland, and still execute the villager autonomy and rural collective ownership. As mentioned in the present measures, the urban village reconstruction refers to the comprehensive reconstruction of the urban village according to the city s social and economic development and the city s general plan, and the requirement of urbanization. Article 4 Urban village reconstruction should fully arouse the enthusiasm of each respect, in order to improve the comprehensive environment of the urban villages, perfect urban public service function, and construct the harmonious community. And it should adhere to some principles such as the government leading, market operation, being beneficial and convenient to the people, scientific planning, and comprehensive reform. And it should protect the legitimate rights and interests of the members of the rural collective economic organizations in accordance with law, and be promoted actively and steadily. Article 5: The Municipal Urban Village Reconstruction Office is responsible for the management of this urban village reconstruction work within the city. The Municipal Urban Village Reconstruction Office is in charge of the relevant administrative work entrusted by some municipal administration such as the Municipal Development and Reform Commission, the Municipal Bureau of Urban and Rural Development, the Municipal Bureau of Real Estate, and so on. The Municipal Planning Bureau, the Municipal Bureau of Land and Resources and other administrative departments should set up branches in the Municipal Urban Village Reconstruction Office, which is responsible for the relevant administrative management and law enforcement work related to urban village reconstruction. Article 6 All the district people's government shall be responsible for the urban village reconstruction work within their own area. Their urban village reconstruction offices will be in charge of the organization and implementation of the urban village reconstruction work within their districts and accept the guidance of the Municipal Urban Village Reconstruction Office for business. The district urban reconstruction office execute the administration related to the urban village reconstruction entrusted by relevant departments. The urban village reconstruction work, within the area of High-technology Industry 94

123 Development Zone, Economic and Technological Development Zone, Qujiang New District and Chanba Ecological Zone, will be organized and implemented by the relevant administrative committees, and the relevant people s government should cooperate with them. Article 7 The departments of civil affairs, public security, agriculture, labor and social security and other departments shall, according to their respective functions, cooperate and deal well with the urban village reconstruction management work. Article 8 The Municipal Urban Village Reconstruction Office should, jointly with city planning administrative departments, formulates the urban village reconstruction special planning and submit to the municipal people's government for approval according to the overall urban planning and land use planning If the urban village reconstruction special planning is approved, any unit and individual shall not alter without authorization. Article 9 The management of the urban village reconstruction should be managed according to planning. All the urban villages within the Second Circle Road are within the planning of urban village reconstruction. The urban villages outside the Second Circle Road will be within the planning of urban village reconstruction after the district urban village reconstruction offices submit to the Municipal Urban Village Reconstruction Office and get its approval. The urban villages will be reconstructed within the statutory deadline by the relevant people's government if there are hidden social public security dangers. According to the relevant provisions, the people who migrate from the original urban villages for school, army and sentence can move back, and other non-agricultural personnel are prohibited to migrate to urban villages Article 10 The urban village reconstruction should be implemented taking an administrative village as a unit. If it is possible for several administrative villages to implement urban village reconstruction together, the reconstruction should be decided and implemented by the relevant district people's governments. After the completion of reconstruction, the main body of the reconstruction will be the new economic organization or investor, and the business entity established by the new economic organization and the investors. Article 11 The urban village reconstruction special fund will be established. The raising, using, and managing of the urban village reconstruction special fund will be dealt with according to relevant provisions. Chapter 2 Plan Formulation Article 12 The urban village reconstruction plan will be organized and formulated by the district urban village reconstruction office, according to the urban village reconstruction special plan, the requirements of the regional urban function, the comprehensive land use special planning index of the urban village reconstruction, the overall consideration for villager settlement, the environmental style and economic development, and the opinions of the villagers. 95

124 The reconstruction plan of the urban villages within the High-technology Industry Development Zone, Economic and Technological Development Zone, Qujiang New District and Chanba Ecological Zone will be organized and formulated by the relevant administrative committees. If there is any content involving restructuring, it is necessary to consult with the relevant district urban village reconstruction office. The reconstruction plan of the urban village should include current situation of the urban village, plan for establishing community resident committee, plan for asset and capital verification, plan for demolition and relocation, plan for land use, plan for construction design, and economic benefit analysis, etc. Article 13 After the villager meeting discusses and approves the plan of reconstruction, the district urban village reconstruction office should submit the plan to the Municipal Urban Village Reconstruction Office for approval. Within the area of the High-technology Industry Development Zone, Economic and Technological Development Zone, Qujiang New District and Chanba Ecological Zone, after the villager meeting discusses and approves the plan of reconstruction, the relevant administrative committee should submit the plan to the Municipal Urban Village Reconstruction Office for approval. Without approval, the reconstruction plan of urban village should not be implemented. Article 14 The approved reconstruction plan of urban village should not be modified without authorization. During the implementation of the reconstruction, if it is really necessary to modify the land use planning and construction design, demolition and relocation plan, the plan should be submitted for approval according to the original procedures. Chapter 3 Restructuring Article 15 The restructuring of the urban village should adhere to the household registration system, management system, economic organization form and the synchronous transformation principle of land property. Article 16 Villagers in the urban villages during the implementation of reconstruction change to urban registered permanent residents in accordance with legal procedures. Article 17 The collective land of the urban villages during the implementation of reconstruction changes to state-owned land in accordance with the legal procedures. Article 18 The property of the collective economic organizations of the urban villages shall be conducted in accordance with the assets and capital verification. The result of asset and capital verification should be publicized and confirmed by the villagers meeting. The departments of agriculture, finance, and auditing should strengthen the guidance and supervision of the assets and capital verification. Article 19 According to the result of the asset and capital verification, the urban village collective economic organizations shall formulate asset disposal plan and form new economic organization plan by themselves, and the villagers meeting will discuss, 96

125 approve and implement the plans. The asset of the original collective economic organizations shall be liable for the villagers social insurance premiums. Article 20 After the establishment of the new economic organizations, the villager committee will be cancelled according to relevant law and community resident committee will be set up. An administrative villages can independently establish a community resident committee or merge into a nearby existing community resident committee, and several administrative villages also can merge into a community resident committee. The personnel and working fund of the new community resident committee will be in accordance with existing regulations and standard for the community resident committee. Article 21 When the villagers of the urban villages change to urban residents, they will be unified into urban employment management. The new working chances due to the urban village reconstruction should be provided for original villagers first. Article 22 After the restructuring of the urban village, the original villagers should attend social securities according to relevant laws. The social insurance premium should be paid pro ratio by the government, the new economic organizations after restructuring and the original villagers. The specific measures will be formulated by the municipal labor and social securities department. The premium paid by the government in the preceding provision shall be paid by the legal land income of the urban village. After the restructuring of the urban village, the original villagers, who are in accordance with the subsistence allowances, will enjoy subsistence allowances. Article 23 After the restructuring of the urban village, the original infrastructure will be unified into municipal administration, and the environmental sanitation will be dealt with according to the mode and standard of the urban area environmental sanitation by the district environmental sanitation department. Chapter 4 Land Use Article 24 The comprehensive land use of urban village reconstruction shall be included in the annual land use plan The comprehensive land use of urban village reconstruction should be strictly in accordance with the land use special index of urban village reconstruction prescribed by the municipal people's government. Other land of the urban village except comprehensive land use of reconstruction should be compensated and then reserved by the government land reserve agency compensated according to law. Article 25 Comprehensive land use of urban village reconstruction should be transferred by the government. Except the land for relocating the villagers and building public facilities, the rest of comprehensive land of reconstruction can be changed to 97

126 profit-oriented land to develop. Implementing reform villages within the scope of The small amount of state-owned land within the urban village of reconstruction can be purchased or replaced by the government land reserve agency lawfully for the village reconstruction according to the need of the urban village reconstruction. Article 27 if the urban construction, important infrastructure construction and other development and construction need the total village to demolish and relocate, the village should be reconstructed totally according to this measures in order not to form a new urban village. Chapter 5 Planning and Construction Article 28 The urban village reconstruction should be implemented according to the approved design plan based on the urban village reconstruction special planning. The design plan of the urban villages near main blocks or cultural relic spots shall solicit opinions from all walks of life, or solicit design plan publicly. Article 29 If the urban village reconstruction involves urban infrastructure construction project decided by the city overall planning, it shall be listed in the urban construction annual plan, and be implemented with urban village reconstruction synchronously. Article 30 Before construction, the project of urban village reconstruction shall be carried out in accordance with the Construction Projects Site Selection, the Construction Land Planning Approval License, the Construction Project Building License. Article 31 All the construction projects of the urban village reconstruction are exempt from project quota determination fee, bulk cement special fund. The housing construction project for relocating the villagers are exempt from urban infrastructure supporting fees (excluding collecting funds). Other construction projects used for the original collective economic organizations to develop the economy will pay half of the urban infrastructure supporting fees (excluding collecting funds). Chapter 6 Relocation Article 32 The implementation of the urban village reconstruction should adhere to the principle that the original village is demolished and relocated totally and the housing for relocating the villagers should be built first in order that the villagers can move in as soon as possible. The demolition of the original village shall be implemented under the organization and supervision of the relevant urban village reconstruction office. If the original village has not been demolished, other construction project can not begin. Article 33 The main body of the urban village reconstruction shall be compensated and relocated according to the compensation and resettlement plan in accordance with the provisions of this chapter. If the dismantlees need to transit by themselves, the main body of the urban village reconstruction should pay moving subsidies and transition subsidy to the dismantlees 98

127 referring to the standard prescribed by Detailed Rules of Urban Housing Demolition and Resettlement of Xian. Article 34 The main body of the urban village reconstruction shall obtain Housing Demolition and Resettlement permission prior to implementation. Before the main body of the urban village reconstruction begin to demolish and relocate, a special fund account of compensation fund for resettlement should be opened in the nominated bank, and the compensation fund should be deposited in full amount, and the nominated bank and the Municipal Urban Village Reconstruction Office should sign an agreement on the supervision of the compensation fund. The bank shall not pay any fund without the approval from the Municipal Urban Village Reconstruction Office. Compensation and resettlement funds shall be used exclusively to the compensation and resettlement for dismantlement and shall not be used for any other purposes Article 35 For the housing demolition and relocation, the main body of the urban village reconstruction may make the demolition and relocation themselves, or can entrust a qualified organ for housing demolition and relocation which shall not entrust another one again. Article 36 Before the housing demolition and relocation, the main body of the urban village reconstruction shall entrust a qualified organ to evaluate the housing waiting for demolition. The evaluation shall be in accordance with the Interim Provisions of Evaluation on Demolished Urban Housing of Xian. Article 37 The compensation for housing demolition and relocation of urban village reconstruction shall base on the area and quality stated clearly in the building property right registration. Before the enforcement of Measures of Xian Urban Village Villager Housing Construction Management, the areas of the housing above the second floor (excluding the second floor) will be compensated according to the market value (namely replacement price). Article 38 The house demolition and removal of the urban village housing may be conducted by means of monetary compensation, they may also be conducted by means of exchanging the property rights. The dismantlees can choose any means according to himself. For the monetary compensation, the amount of monetary compensation shall be fixed by the evaluation of real estate market, in light of the factors such as the sections, uses, built-up areas, structures and so on. For the exchanging the property rights, the standard should base on the registered persons before changing, and the resettlement principle is that the area per capita is no less than 65 square meter, in light of the area of the original housing. Article 39 The price for housing property rights exchange is in accordance with the following provisions: 99

128 (1)The price for the same area of housing for resettlement and the housing for demolition bases on the comprehensive price (excluding supporting fees and floor price) and the market price of the house that is to be demolished. And the two prices pay for price difference if there is any. (2)If the area per capita of the original housing is less than 65 square meters, the housing for resettlement should not be less than 65 square meters. The price of this area is the replacement price of the new housing. (3)If the area of the housing for resettlement is more than compensation standard, the price is the comprehensive cost of the new building. Article 40 The transition period of the main body of the urban village reconstruction shall not exceed 30 months. If the transition period is longer than the period prescribed in the resettlement plan, the main body of the urban village reconstruction shall pay twice the transition subsidy to the dismantlees. If the transition period is longer than six months, the main body of the urban village reconstruction shall pay 3 times of the transition subsidy to the dismantlees from the seventh month. The transition period is from the date when the dismantlees move out of the housing. Article 41 The main body of the urban village reconstruction shall sign resettlement agreement with the dismantlees when obtaining the Housing Demolition and Relocation Permission. The agreement shall include the following: (1)the ownership of property right, the address, the areas,the tenure of use, the structure form of the housing demolished and removed, etc; (2)means and standard of resettlement and compensation, settlement methods; (3)the ownership of property right, the address, the areas,the tenure of use, the structure form of the housing for resettlement, the transition method, and the transition period; (4)responsibility of breach of contract and the way to solve dispute. Article 42 If the main body of the urban village reconstruction and the dismantlees cannot reach an agreement of compensation and resettlement, the party involved can apply for the coordination and verdict from the city urban house dismantlement resettlement management office in accordance with the law. Article 43 If the new economical organization after restructuring implements the reconstruction as the main body, the organization can formulate resettlement plan and standard of transition subsidy according to the approved reconstruction plan and current situation. The resettlement plan and standard of transition subsidy shall be publicized and discussed and approved by the original village meeting. Article 44 If the urban residents bought residential land in the rural area before January 1, 1987, the compensation bases on relevant national and local laws and regulations. If after January 1, 1987, the compensation bases on the relevant provisions of Land Administration Law and Decision on Furthering Reform of Land Management of the State Council. 100

129 Chapter 7 Supervision Article 45 The main body of the urban village reconstruction shall be civilized and law-abiding during the implementation of the reconstruction. The behavior such as falsification, embezzlement, pocketing or destruction of rural collective assets, shall bear corresponding legal responsibilities. Article 46 The main body of the urban village reconstruction shall implement the reconstruction strictly in accordance with the approved reconstruction plan. If the main body fails to implement according to the approved plan or changes the plan without authorization, it shall bear corresponding legal responsibilities. Article 47 The staff of the urban village reconstruction shall earnestly perform their duties. Abusing their powers, neglecting their duties or committing fraud will result in administrative sanctions by his organ or upper-level organ. Constituting a crime will lead to criminal responsibilities by the judicial organs. Causing losses to a party involved shall pay compensation. Article 48 In the implementation of urban village reconstruction process, violating land, construction, urban planning, taxation, dismantlement and other laws and regulations shall be punished by relevant administrative departments. Chapter 8 Supplementary Articles Article 49 These measures shall come into force starting from October 20, 2007.Interim Measures of Xian Urban Village Reconstruction Management issued by Xian Municipal Government on April 4, 2003, and Notice on Some Problems about Urban Village Reconstruction issued by General Office of Xian Municipal Government on March 5, 2004 shall be repealed simultaneously 101

130 Appendix 2 TOR for External Monitoring and Evaluation 1 Goal The goal of external monitoring and evaluation is as follows. According to the RP and socio-analysis handbook and social analysis guide, the monitoring agency independently monitors and evaluates demolition and relocation. After examining and tracking the progress, funding, and management of the demolition and relocation, the monitoring agency submits reports on changes in the life of affected persons to ADB, EA and concerned departments. This will enable these agencies to know the progress and condition of the demolition and relocation and to deal with possible problems in the reports. 2 The task of monitoring and evaluation (1) Monitoring the land acquisition and relocation Progress of the preparation and implementation of the urban-village reconstruction plan; Progress of land acquisition; Progress of temporarily occupied land; The progress of residential housing demolition; Progress of new housing construction; Arrangement for transition period; Progress of moving; The progress of payment: Payment of compensation fund; Income structure and source; Expenditure (budget and actual expenditure); The monitoring and evaluation of affected persons quality of life includes: affected persons quality of life before relocation, and affected persons quality of life after relocation; Affected persons employment before and after relocation; Mechanism and efficiency of appeal. Implementation of consultation and information disclose; Property of the village collectivity before and after the urban-village reconstruction Social security benefits of the Residents in the ruban-village; (2) Resettlement monitoring of the affected enterprises and institutions The independent monitoring organization shall follow up the resettlement of the enterprises and public institutions through phone call and the study on individual case. The followings will be most concerned about: Whether the time of land acquisition and the resettlement is arranged reasonably; Whether the losses of the affected enterprises are compensated; Whether the staff of the enterprises are resettled properly; Whether the production of the enterprises is resumed in time; and Whether the affected enterprise transfer their loss to their staff. (3) Monitoring of ROs Capable, specialized and efficient ROs may assure the success of resettlement. 102

131 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: Whether the personnel structure of the ROs at various levels meets the requirements of the resettlement; Whether necessary working conditions are provided for the ROs at various levels; Whether the quality of resettlement personnel meets the requirements of the resettlement; The resettlement staff training; and The internal data and information management of the ROs. 3 Technical procedure To prepare the RP questionnaire, the random sample plan, the basic survey; To build an information management system for monitoring and evaluating To build a database, and To contrast and analyze, to evaluate, and to prepare a monitoring report on the basis of examination of the monitoring results, and to draw conclusions. 4 Independent monitoring agency The Project Office or the implementing agency will employ an independent monitoring agency which is in charge of monitoring the demolition and relocation. Since the external monitoring agency has a critical role to monitor both village reconstruction program and the RP implementation, the EA will hire trained agency which good track record of working on resettlement and rehabilitation on project with similar scale funded by multilateral agencies. The Project Office will assist the external monitoring and evaluating agency especially with the site survey, staff and logistic services. 5 Monitoring and evaluating method Site survey, analysis, and comprehensive evaluation; Site survey and random sample survey on progress, fund, agency, and management; random sample of different kinds; A sample of 20% of the affected households, 50% of the affected villages, 50% of the affected Enterprises and institutions will be selected randomly for interview.; Comprehensive survey including interview, meeting and document checking; Collecting photos, cassette and material except documents. 6 Monitoring and evaluating schedule Report Time 1 Socioeconomic baseline survey First monitoring report Second monitoring report Third monitoring report Fourth evaluating report Fifth evaluating report

132 Report Time 7 sixth evaluating report seventh evaluating report Final report

133 age g o Name Appendix 3 Affected Rural House Demolition Households (initial survey done in 2011) T: totally demolished P: partly demolished Original housing (m 2 ) Demolished housing(m 2 ) Brick Mud Brick Brick and Brick and and and simple total and concrete concrete wood wood wood Mud and wood simple total area(mu) Pan xilan T Zhang rong T Wang caishun T Wang juanli T Wang baoxing T Wang dehua T Zhang junyang T Gtian sili T Yang wenqi T Liu wubing T Liu guangqian T Liu huanli T Ma jingfang T Hui xueqin T Liu zhihan T Sun shuxia T Wang caiying T Wang bao T Hou lushi T Cheng jinping T Yang wei T Zhang quan T Wen sanrong T Liu jianxue T Liu kuanhuai T Me sihu T Mei xuanliang T Yang liangqing T Li hongzhong T Mei shunli T Yang jianhong T Li qihui T Yang T T/ P 105

134 age Name xiaofeng Yang wenjian Yang yanfeng Original housing (m 2 ) Demolished housing(m 2 ) Brick Mud Brick Mud Brick and Brick and and and simple total and and concrete concrete wood wood wood wood simple total area(mu) T T Mei jianguo T Mei T jianzhou T/ P Wei genli T Wei lijun T Liu kuanhuai Liu longhu Cheng jinsheng Zhang guangjun Wang baizheng Wang qiaopeng al huang Hu benli T Hu bing T Hu gengli T Hu haili T Hu jianben T Hu jianping T Hu jinlu T Hu zongli T Hu zhengjiu T Hu shengji T Hu huixue T Hu haiqin T Hu qiang T Hu xinming T Hu shenglin T Hu limin T Hu lihua T Hu zongyuan T Hu Xi angben T Hu 260 zhengsheng T 106

135 age Name Original housing (m 2 ) Demolished housing(m 2 ) Brick Mud Brick Mud Brick and Brick and and and simple total and and concrete concrete wood wood wood wood simple total area(mu) T/ P al Wang shuli T gfazhai Liu zixue T Liu wenjun T al Ding hongbing T Ding yuli T yi Gong hongxing T Gao xiaoqi T Liu zhongmin T Gao yongde T Li zhongwa T Kang yaqin T Sheng mouxia T Jiang changan T Shen sanyu T Sheng xinen T Tian minli T Jiang minxue T Ding hongzhi T Chen yumin T Ding jiangkang T Ding baoxi ang T Jaing fuliang T Yin jianmin T Gao jun T Jiang shengxue T Gao suiyun T Jiang hailiang T Sun wenge T Gao yangqi T Chen hao T Sheng suili T Jiang wenqi T Yu jinrong T Wang yulin T Xue T 107

136 age yi Name Original housing (m 2 ) Demolished housing(m 2 ) Brick Mud Brick Brick and Brick and and and simple total and concrete concrete wood wood wood Mud and wood simple total area(mu) guangcai Liu renbo T Xue shicong T Bai qingxi ang T Zhao qingke T Xue suizhi T Xue kuanxin T Hu xiaofeng T/ P T Bai chuancai T Bai huanlu T Jiang zhigao T Chang baoan T Jiang zhili T Xue pingxue T Xue renmin T Chang xiaogang T Chen feng T Chang liangliang T Xue zhenhua T Xue limin T Li qiaofeng T Xue zhiyun T Xue anqiao T Xue xiaomei T Xue tongqiao T Xue zhimin T Xue xiuqiao T Cao xueqin T Chen zhe T Chen zhankui T Jiang xinping T Jaing tiancheng T Jaing lei T Jiang guagnqi T 108

137 age yi Name Original housing (m 2 ) Demolished housing(m 2 ) Brick Mud Brick Mud Brick and Brick and and and simple total and and concrete concrete wood wood wood wood simple total area(mu) Jiang jianjun T Chang yong T Jiang zhenghu T Chang shengdan T Cao jinlan T Jiang yu T Chen xibing T Chang T suicang Chen pingliang T Jiang fujie T Jing kun T Jiang fuqin T Jiang weiqian T Li baoan T Jiang qunsheng T Jiang xibing T Jiang yongjun T Li yongqiang T Chen yuliang T Wang yulong T Jiang wenge T Wang ximing T Luo peiqin T Jiang junsuo T Bai hailong T Xue jianxue T Wu weixing T Gao T xiaoming Yang xuejun T Xue pingxue T Bai zhenqiao T Xue renmin T Wu bo T Bai yinqiao T T/ P 109

138 age Name Zhang baoquan Jiang xueliang Sheng haifeng Original housing (m 2 ) Demolished housing(m 2 ) Brick Mud Brick Mud Brick and Brick and and and simple total and and concrete concrete wood wood wood wood simple total area(mu) T T T T/ P Liu fengyao T Liu gnegzhu T Wang shengrang T al Bao taohua T Guo guohong T Song engzhu T Zhao rongrong T Zou guifang T Guo yongge T Yang maosheng T Baojunyi T Niu shengli T Zhang huiqin T Niu chunping T Li biqi T uzhuang Zhang T lihceng Li xiuying T Wei yinxu T Wei lihong T Bai chunfang T Yang yanhong T Zhu hongmian T Yang zhihui T Zhou yonghong T Chen weiwei T Li shunyi T 110

139 age Name Original housing (m 2 ) Demolished housing(m 2 ) Brick Mud Brick Brick and Brick and and and simple total and concrete concrete wood wood wood Mud and wood simple total area(mu) Hu jimei T Bai suyun T Yang T zhenan Jing jingcheng T Li junyi T Wei xiulan T Shi chongxue T T/ P Zhao fengyi Cai junmin Zjhang Xi anzheng Yang guangnian Dian jianshe Liu sanyuan Wang caie Yang guoli T T T T T T T T Bao riqiang T Zhang T fengxi an Jia peiliang T al al

140 Appendix 4 Affected Enterprises and Institutions Affected enterprises and institutions Business situation (10000 CNY) enterprise affect quality address Output value sales profit salary Fixed asset Xi an nylon demolished collective Dingjiaqiao Bodi school XAIU Partly demolished Partly demolished Institution Yudou Road institution Zhangba Road Dingjiaqiao Market demolished collective Dingjiaqiao Sirui company demolished private Yudou Road Guanzhong school demolished private Zhangbabei Road Delong company demolished private Yuhua Jianxin company Demolished private Yuhau Gemeile company demolished Corporation Limited Heping Aoke company demolished Corporation Limited Heping Heping Industry zone Xi an Jinjin Food company Xi an Fangxin Tanjia Sub-district office Tanjia State Taxation Bureau Weiyang District City Management Bureau Tanjia Local Taxation Bureau Sanjiacun Rural credit cooperatives Xi an Chuangxin Furniture Wansheng Furniture Partly demolished Corporation Limited Heping industry zone Partly demolished Corporation Limited Zhuhong Road Partly demolished Corporation Limited Daxin road Partly Government agency Tanjia Sub-district demolished 268 demolished Government agency Tanjia Sub-district demolished Government agency Tanjia Sub-district demolished demolished Government agency institution Tanjia Sub-district Tanjia Sub-district demolished YanXi ang road demolished YanXi ang road Xi an Yiming demolished Stock company YanXi ang road No.15 Construction Bureau of Sinohydro Corporation demolished Zhuhong Road 506 AP

141 Appendix 5 Compensation Policy Framework Compensation policy framework for No. 2 Construction Company of No. 15 Construction Bureau of Sinohydro Corporation affected by the First-batch output of Zhuhong Road---North 2 nd Ring Road Interchange of Xi an Urban Road Network Improvement Project No. 2 Construction Company of No. 15 Construction Bureau of Sinohydro Corporation is affected by affected by the first-batch output of Zhuhong Road---North 2nd Ring Road Interchange of Xi an Urban Road Network Improvement Project. After several consulting and discussion with the relevant staff from No. 2 Construction Company of No. 15 Construction Bureau of Sinohydro Corporation, and considering their ideas about the RP, the Project and the company agreed on the following compensation policy framework according to Measures on Acquisition and Compensation of Housing on State-owned Land of Xian City issue by the third commission of XMG on March 13, 2012, and the good will that the company wants to cooperate the overall reconstruction of the area. 1. Affected amount 179 households are affected by the output and 11719m2 building of No. 2 Construction Company of No. 15 Construction Bureau of Sinohydro Corporation should be demolished. 2. Procedure and standard for compensation of demolished housing 2.1 The area and usage of the acquired housing are decided by the housing rights certificate. If there is no area and usage on the certificate or there is disagreement on area and usage, the local government and administrative committee, along with the relevant department such as development and reform, planning, land resources, and urban-rural construction, will survey, confirm and deal with according to laws and regulations. After the decision of acquisition, the affected person will get the compensation of the price of the acquired housing, removal and relocation subsidy, and the loss of shutdown of production or business. 2.2 The Project and the local government will formulate the compensation plan. There are two alternatives of compensation for the affected persons, who can choose compensation in cash or compensation of new housing. 2.3 For the compensation of the acquired housing, the price should not lower than that of the similar real estate on the date of announcement of the acquisition. The affected enterprises are located in the class 2 and class 3 area, according to Regulations on Urban 113

142 housing demolition and relocation of Xi an. The real value of the acquired housing is assessed by the qualified real estate assessment agency. The choosing of the real estate assessment agency, trust management, assessment standard, and dealing of disagreement on assessment will be coped with according to relevant regulations. 2.4 If the affected persons choose compensation in cash, the Project will pay a subsidy which is 20% of the assessment value. 2.5 If the affected persons choose compensation of new housing, the Project will pay transitional fee before the new housing is offered. (a) if the acquired housing is residential housing, the Project will pay subsidy which is 0.35% of the assessment value per month. If the subsidy is lower than 500 yuan per month, the Project will pay 500 yuan per month. (b) if the acquired housing is business or production housing, the Project will pay subsidy which is 0.35% of the assessment value per month. If there is loss in business or production caused by the acquisition, the Project will pay compensation for the loss which is 0.1% of the assessment value per month.(c) if the acquired housing is office housing, the Project will pay subsidy which is 0.35% of the assessment value per month.(d) if the acquired housing is store housing or other purposes, the Project will pay subsidy which is 0.25% of the assessment value per month. 2.6 If the relocation housing is multi-story housing (7 stories or below), the transitional period is not more than 24 months. If the relocation housing is high-story housing (8 stories or above), the transitional period is not more than 30 months. Transitional period begins from the date when the affected persons offer their old housing. If the transitional period is more than the time in the agreement, from the exceeding month, the Project will pay compensation two times as the original standard as subsidy for relocation and loss for business or production per month. 2.7 If the housing for business or production is acquired, the affected persons choose compensation in cash, and there is loss caused by the acquisition, the Project will pay compensation for the loss which is 2% of the assessment value only for one time. 2.8 The Project will pay the affected persons removal subsidy: (a) The removal subsidy is 2000 yuan per household. (b) If the affected persons have to remove telephone, air conditioner, cable TV, and internet, the Project will pay compensation as much as the fee at the date of acquisition.(c) If there is equipment to remove, the Project will pay the removal subsidy as much as the freight fee formulated by the country, the province or the city. 2.9 If the affected persons remove within 30 days appointed by the real estate assessment organ, every household will get 1some reward. If the affected persons choose compensation of new housing, every household will get extra reward. If the affected persons 114

143 remove after 30 days appointed by the real estate assessment organ, there is no reward at all When the relocation housing is offered, the affected persons can choose the story and direction according to the order they offered the old housing, which will be publicized The relocation housing should meet the following conditions: (a) The relocation housing should meet the national standard of quality and safety. (b) The property right is clear. (c) The housing is suitable for living. Based on the above regulations, the Project or the local government or the administrative committee along with the relevant departments will sign compensation contract with the affected persons on compensation alternative, compensation amount, payment time, the location and area of relocation housing, removal fee, subsidy or temporary housing, loss due to shutdown, removal period, transitional way, and transitional time, and so on. When the compensation contract is signed, if one party cannot undertake the contract, the other party can appeal to court If the IA and the affected persons cannot make an agreement within the time appointed by the acquisition and compensation plan, or the property rights of the acquired housing is not clear, the department in charge of housing acquisition should make a decision of compensation after the approval of XMG. If the affected persons don t agree with the decision, they can apply administrative judge or appeal to court The Project should pay compensation first and the affected persons remove. When the affected persons receive the compensation, the affected persons and the lessee of the state-owned housing should move within the time appointed by the compensation contract or compensation decision. The compensation plan for other affected enterprises will base on the above policies. 3. Compensation standard of housing: The project offers two alternatives of compensation for the affected persons. They can choose either compensation in cash or compensation of new housing. See table 1 table Compensation of new housing: Table 1 Name of Enterprise Relocation site Relocation plan No.15 Construction 500m southeast of the 1)If the affected persons choose compensation Bureau of Sinohydro Corporation original site of new housing, the Project will pay transitional fee before the new housing is 115

144 offered 2)If the relocation housing is multi-story housing (7 stories or below), the transitional period is not more than 24 months. If the relocation housing is high-story housing (8 stories or above), the transitional period is not more than 30 months. Transitional period begins from the date when the affected persons offer their old housing. 3.2 Compensation of cash: The compensation rates for house demolition have been fixed by reference to the replacement costs of similar local housing in 2013; the final rates will be agreed between the demolisher and displaced persons on this basis after a field appraisal by a professional and qualified real estate appraisal and surveying company. Table 2 Type Output Unit Standard Remark Housing compensation Other compensation Brick and concrete yuan/m Other structures Yuan/m Moving allowance yuan/hh 1000 transition allowance yuan/ m 2 /month 4 decided by the qualified real estate assessment organ Transitional period is from the day of relocation to the day of moving back, not more than 24 months. 4. Compensation standard for attachment 4.1 After the assessment of the relevant authorities, compensation fee for the affected attachment shall be paid according to replacement price. See Table 5-5 for the compensation standard Output Fully-grown tree Table 3 Compensation Standard of Attachment Compensation Unit standard Output (yuan /unit) Young tree 50 Unit Compensation standard (yuan /unit) Power wire M 10 Telecommunication wire M 10 Enclosure m 100 Pole

145 Output Unit Compensation standard (yuan /unit) Output Unit Compensation standard (yuan /unit) Greenhouse M Optical cable M 100 Water closet 1000 Transformer Well Pylon Turfgrass M 2 5 Channel M 100 Tomb 1000 pipe M All specialized facilities, including facilities for hydraulic works, power and communication shall be compensated according to the evaluation carried out by a professional evaluation agency based on replacement value. 4.3 Other items of relocation compensation are based on Measures on Acquisition and Compensation of Housing on State-owned Land of Xian City issue by the third commission of XMG on March 13, 2012 (SZF [ ). IA of LA&R for Comprehensive Reconstruction Project of Daxing New Zone, Weiyang District Signature: Seal: 117

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