Social Due Diligence Report. People's Republic of China: Municipal Waste to Energy Project. Zhenjiang Waste-to-Energy Project

Transcription

1 Social Due Diligence Report Project Number: Loan 2522/7296 July 2011 People's Republic of China: Municipal Waste to Energy Project Zhenjiang Waste-to-Energy Project This report is made publicly available in accordance with ADB s Public Communications Policy (2005). It does not necessarily reflect the views of ADB.

2 Asian Development Bank Financed Waste-to-Energy Project Social Due Diligence Report for the Zhenjiang Waste-to-Energy Project Everbright Environmental Energy (Zhenjiang) Limited July 2011

3 Contents 1 Basic Information of the Project Brief Description of the Project Overview of the Affected Areas Preparation Process of this Report Survey Methods Survey Process Impacts of the Project Permanent Acquisition of Rural Collective Land Demolition of Rural Residential Housing Affected Entities Affected Ground Attachments Affected Population Vulnerable Groups Socioeconomic Survey Socioeconomic Profile of Affected Villages Survey Results of Affected Households Distribution of Population by Age Educational Level Housing and Living Conditions Main Household Properties Type of Production Income Household Expenditure Policies, Compensation and Resettlement Main Laws and Policies Applicable to Resettlement Compensation for Acquisition of Rural Collective Land and Resettlement Compensation for LA Basic Living Security for Land-expropriated Farmers Employment Training Income Restoration Compensation and Resettlement for Demolition of Rural Residential Housing Demolition Procedure Compensation Standard Relocation Resettlement Policies for Affected Agency Resettlement Policies for Affected Infrastructure and Ground Attachments Entitlement Matrix Cost Public Participation, Consultation and Information Disclosure Public Participation Activities Organized by LA and House Demolition Agencies Public Participation Activities Organized by Other Entities Appeal Procedure Agencies LA and House Demolition Agencies Institutional Capacity Building II

4 10 Monitoring and Evaluation Monitoring and Evaluation Agencies Procedure and Scope of Monitoring Monitoring Indicators Conclusion Existing Issues and Next-step Action Plan Appendix 1 Brief Profile of the Consulting Firm and its Experts Appendix 2 Household Questionnaire Appendix 3 Provisions of Laws and Regulations Applicable to the Project Appendix 4 Agreement for Acquisition of Rural Collective Land Appendix 5 House Demolition Agreement and Compensation Table III

5 List of Tables Table 1 Agencies Interviewed...4 Table 2 Rural Collective Land Acquired for the Project (mu)...5 Table 3 Entities Affected by the Project...6 Table 4 Information on Population Affected by LA and House Demolition...7 Table 5 Socioeconomic Statistics of Dianshang Village in Table 6 Average Possession of Properties of Sample Households...9 Table 7 Standard of Basic Living Security for Land-expropriated Farmers Table 8 Rates of Replacement Cost for Demolished Buildings Table 9 Rates of Transition and Moving Subsidies Table 10 Rates of Relocation Subsidies for Household Facilities Table 11 Economic and Technical Indicators of the Resettlement Community Yicui Garden (Phase 3) Table 12 Compensation Rates for Ground Attachments Table 13 Tomb Relocation Costs (RMB) Table 14 Entitlement Matrix Table 15 Total Cost for LA and Resettlement List of Figures Figure 1 Interview with Affected Households...3 Figure 2 Original Condition of Rural Collective Land Acquired for the Project...5 Figure 3 Original Condition of Rural Residential Housing Demolished...6 Figure 4 Distribution of Sample Population by Age...8 Figure 5 Distribution of Sample Population by Educational Level...9 Figure 6 Annual Gross Income of Sample Households Figure 7 Annual Gross Expenditure of Sample Households Figure 8 Skills Training for Land-expropriated Farmers in Zhenjiang New Area Figure 9 Resettlement Community Cuizhu Garden in Dagang Sub-district Figure 10 Flowchart of Tomb Relocation Figure 11 Beishan Cemetery in Zhenjiang New Area IV

6 Abbreviations AAOV ADB AHs APs CEIL DFID DMS FGD HD LA M&E NRCR PRC WB WTE BOT PC Average Annual Output Value Asian Development Bank Affected Households Affected Persons China Everbright International Limited UK Department for International Development Detailed Measurement Survey Focus Group Discussion House Demolition Land Acquisition Monitoring and Evaluation National Research Center for Resettlement People s Republic of China World Bank Waste-to-Energy Build-Operate-Transfer Personal Computer Units mu m 2 Chinese area measure for land 1 mu = ha Square meter V

7 1 Basic Information of the Project 1.1 Brief Description of the Project 1. Urban waste is one of the major issues facing all countries in the world, and also a prominent environmental issue in China today. With the development of the economy, the improvement of people s standard of living and the acceleration of urbanization, the amount of urban waste produced is increasing, and the environmental pollution arising from urban waste is increasingly serious. 2. In July 2009, the Zhenjiang Municipal Government chose China Everbright International Limited (CEIL) as the partner through bid invitation to construct the Zhenjiang Waste-to-Energy (WTE) Project (hereinafter referred to as the Project ) in the mode of Build-Operate-Transfer (BOT). Everbright Environmental Energy (Zhenjiang) Limited is the owner of the Project. 3. The proposed Zhenjiang WTE Plant has a daily treatment capacity of 1,000 tons of urban waste, an annual treatment capacity of 365,000 tons of urban waste and an annual generating capacity of 129 million kwh. 4. The total investment in the Project is RMB million. The construction site is located in Dianshang Village, south of Datie Road and west of Zhencheng Road in Zhenjiang New Area, with a floor area of 135 mu. 5. On October 19, 2009, the Zhenjiang Municipal Urban Administration Bureau (Party A) and the bid winner Everbright Environmental Energy (Zhenjiang) Limited (Party B) entered into a concession right agreement, where Everbright Environmental Energy (Zhenjiang) Limited shall invest in, build, operate and maintain the Zhenjiang WTE Plant and its supporting facilities; the land used for the Project shall be allocated by the land and resources authority to the municipal environmental sanitation office as land used for municipal construction and provided by Party A to Party B without compensation; Party B shall have the right to use such land freely and exclusively hereunder during the concession right period. 6. Prior to the signing of the concession right agreement, the land acquisition process began in March 2009 when LA and HD agencies began the group discussions and household level interviews about their perception of the project and its impacts, the range and period of demolition, the resettlement mode and the construction of resettlement buildings. As of July 31, 2011, the land acquisition (LA) and house demolition (HD) work within the boundary line of the plant, and the HD work within the environmental protection distance had been completed. 1

8 7. Party B, through CEIL, proposes to use ADB funds for the construction of the WTE project. As required by ADB for projects where land acquisition is ongoing or completed, a social due diligence was conducted to determine whether there are any outstanding issues or any gaps in resettlement implementation following national laws and ADB s Involuntary Resettlement Policy requirements. This report documents the findings of the social due diligence conducted by social/resettlement specialists from National Research Center for Resettlement (NRCR) who is experienced on involuntary resettlement and knowledgeable on ADB s policy requirements. A brief profile of the consulting firm and its experts is attached in Appendix Overview of the Affected Areas 8. Zhenjiang City is located in the south western Jiangsu, on the south of the lower Yangtze River, bordered by Changzhou City on the southwest and Nanjing City on the west, and opposite to Yangzhou and Taizhou Cities across the river. The city has a land area of 3,847 km 2, accounting for 3.74% that of the province. 9. By the end of 2009, the city s resident population was million and the registered population was million. In 2009, the per capita disposal income of urban residents was RMB 20,949, the per capita net income of rural residents was RMB 9,642, the city s regional GDP was RMB billion and per capita regional GDP was RMB 54, Preparation Process of this Report 2.1 Survey Methods 10. The questionnaire survey for the Project is mainly aimed at the affected households, and covers information on LA and building demolition, the production level and standard of living of affected households (AHs) before and after project implementation, the resettlement of AHs, and the level of participation of AHs in the Project and their satisfaction with the Project. The Chinese and the English versions of the questionnaire are attached in Appendix Since the questionnaire survey is not in-depth enough in some aspects, face-to-face interviews were also conducted with AHs and resettlement implementing agencies to obtain more details. Interviewees included households affected by LA and HD, and affected enterprises. 12. The resettlement of displaced persons and the preliminary restoration of production and livelihoods can be learned through field visit. Displaced persons have been resettled in the two resettlement communities in Dagang Sub-district, namely Yicui Garden and 2

9 Cuizhu Garden, and the sites of field visit were the two communities. 2.2 Survey Process 13. During the preparation of this report, 40 affected households were interviewed. The survey team also collected comments on LA, HD and resettlement from village committees, villagers, affected enterprises, land administration authorities, HD authorities, and labor and social security authorities during the survey, and conducted extensive consultation. 14. The survey team visited Everbright Environmental Energy (Zhenjiang) Limited, and interviewed the project leader on project construction, LA and resettlement to collect relevant information. 15. The survey team visited the Construction Bureau, Social Development Bureau, Finance Bureau, and Land and Resources Bureau of Zhenjiang New Area, and interviewed their leaders in charge of LA and resettlement to collect relevant information. 16. The survey team visited the Dagang Sub-district Office and the Dianshang Village Committee, and interviewed the chief leaders in charge on LA, HD, resettlement and compensation to collect relevant information. It also issued the questionnaire to the three villager teams of Dianshang Village. 17. The survey team conducted a questionnaire survey and interviewed 40 AHs and two enterprises in the manner of random sampling, and visited the two resettlement communities of Yicui Garden and Cuizhu Garden on spot. Figure 1 Interview with Affected Households 3

10 Table 1 Agencies Interviewed No. Agency Contact Person 1 Everbright Environmental Energy (Zhenjiang) Limited He Yinghan 2 Demolition Management Urban and Rural Construction Bureau of Office Zhu Ping Zhenjiang New Area Construction Management Office Gao Yulong 3 Social Development Bureau of Zhenjiang New Area Xi Hongrong Economic Construction 4 Finance Bureau of Zhenjiang New Area Sect. Yi Fangqin Enterprise Sect. Zhang Yun 5 Investment Promotion Bureau of Zhenjiang New Area Project Dept. Wang Yongming 6 Labor and Social Security Bureau of Zhenjiang New Area 7 Zhenjiang Municipal Land and Resources Bureau, New Area Branch Wu Genlin 8 Enterprise Management Station, Dagang Sub-district Office, Zhenjiang New Area Wei Yu 9 Dianshang Village, Dagang Sub-district, Zhenjiang New Area Zhao Heping 3 Impacts of the Project 3.1 Permanent Acquisition of Rural Collective Land mu of rural collective land of three villager teams in Dianshang Village, Dagang Sub-district, Zhenjiang New Area has been acquired permanently for the Project, and 48 households and 128 persons are affected. The impacts of LA are shown in Table 2. The land condition before acquisition is shown in Figure According to the development of the Zhenjiang New Area, the Zhenjiang New Area Administration Commission acquired all land of Dianshang Village. After the collective land was transferred to state-owned land, the government will allocate the land to different municipal projects. Although the Project just acquired 4.7% of the total agricultural land of the village, the affected 48 households lost all their land. 4

11 Affected entity Total area Total area Table 2 Rural Collective Land Acquired for the Project (mu) Farmland Arable land Irrigated land Nonirrigated land Garden plot Rural road Other farmland Pond Land for farmland irrigation Field ridge Land for construction Industrial & mining land Total area Rural settlement Fangquan Team Qianjiawan Team Qianjiawan Team Total Total Figure 2 Original Condition of Rural Collective Land Acquired for the Project 3.2 Demolition of Rural Residential Housing 20. Rural residential housing of 34,100 m 2 the site and the environmental protection distance (300 meters) needs to be demolished. The original condition of rural residential housing to be demolished is shown in Figure 3. 5

12 Figure 3 Original Condition of Rural Residential Housing Demolished 3.3 Affected Entities 21. Three entities are affected within the site and the environmental protection distance (300 meters), with a total demolition area of 120 m 2. The details of the affected entities are shown in Table 3. Table 3 Entities Affected by the Project Entity Demolition area (m 2 ) Floor area (mu) Dianshang Kindergarten Subtotal Remarks It was closed down in 2002, and the premises (collectively owned) have been laid idle. There is no practical impact. 3.4 Affected Ground Attachments 22. The ground attachments affected by the Project mainly include 80 tombs, including 72 earth tombs and 8 cement tombs. 3.5 Affected Population households with 562 persons are affected by LA and HD, as shown in Table 4. 6

13 Table 4 Information on Population Affected by LA and House Demolition Directly affected population Impact Dianshang Village No. of Households affected by both LA and HD 48 No. of Persons affected by both LA and HD 128 Households affected by HD only 174 No. of Persons affected by HD only 434 Subtotal of number of directly AHs 222 Subtotal of directly affected persons Vulnerable Groups 24. The Project affects one Wang-surnamed disabled person in Fangquan Team, Dianshang Village, who is 42 years old and is receiving the minimum living security benefit from the government which consist of (i) RMB 280 living subsidy per month and this will be adjusted by the local government each year according to the living cost; (ii) medical insurance provided by the local government.. 4 Socioeconomic Survey 25. To learn the production level and standard of living of affected persons (APs) before LA and HD, the survey team of the National Research Center for Resettlement at Hohai University (NRCR) conducted a sampling socioeconomic survey of AHs in November and December 2010 by means of questionnaire survey and interview. The sampling survey involved 40 rural households affected directly by the Project (accounting for 18.02% of all AHs). The socioeconomic data of the sampling survey will be the baseline data used for external resettlement monitoring and evaluation. 4.1 Socioeconomic Profile of Affected Villages Table 5 Socioeconomic Statistics of Dianshang Village in 2009 No. Indicator Unit Dianshang Village 1 Number of villager teams / 31 2 Number of households / 1,602 3 Registered population / 4, Where: Labor force / 2, Labor force engaged in primary industries / Farmland area mu 2, Where: Arable land mu Water surface mu Other mu 1,220 5 Agricultural income RMB 10, , Where: Income from sale of products RMB 10, , Household operating income RMB 10,000 2, Other operating income RMB 10, Disposable net income RMB 10,000 8,379 7

14 No. Indicator Unit Dianshang Village 7 Farmers per capita gross income RMB 4,448 8 Farmers per capita net income RMB 10, Survey Results of Affected Households 26. All the 155 persons of the 40 sample households are Han people, including an agricultural population of 143 and a non-agricultural population of 12. The sample population includes 47 women, accounting for 30.3%; 115 laborers, accounting for 74.2%; and 16 students, accounting for 10.3%. Out of the 40 households who were covered by the survey,26 households were affected by house demolition and lost all their paddy land and 14 households were affected by house demolition only Distribution of Population by Age 27. Among the 155 persons of the 40 sample households, 7 are under 8 years old, accounting for 4.5%, 15 are 8-16 years old, accounting for 9.7%; 98 are years old, accounting for 63.2%; 28 are years old, accounting for 18.1%; and 7 are above 60 years old, accounting for 4.5%. See Figure 4 for the distribution by age Population >60 Age Educational Level Figure 4 Distribution of Sample Population by Age 28. Among the 155 persons of the 40 sample households, 13 are illiterate, accounting for 8.4%; 36 have received primary school education, accounting for 23.2%; 63 have received junior high school education, accounting for 40.6%; 23 have received senior high school education, accounting for 14.8%; and 20 have received above senior high school education, accounting for 12.9%. See Figure 5 for the distribution by educational level. 8

15 illiterate 14.80% 12.90% 8.40% 23.20% primary school junior high school senior high school 40.60% above senior high school education Figure 5 Distribution of Sample Population by Educational Level Housing and Living Conditions 29. The sample households have 8.2 rooms on average, an average housing area of 260 m 2 and a per capita housing area of m 2. The demolished housing includes two-storied housing in masonry-concrete or masonry-timber structure Main Household Properties 30. Among the sample households, the average possession of television sets, refrigerators, electric fans, motorcycles and mobile phones is high, while that of cars and personal computers (PCs) is low, which is consistent with the local production level. The total possession and average possession per household of properties of the sample households are shown in Table 6. Table 6 Average Possession of Properties of Sample Households Item Unit Total number Average possession per household Bicycle / % Electric fan / % Radio recorder / 10 25% Washing machine / % Television set / % PC / 8 20% Air-conditioner / % Refrigerator / 34 85% Tractor / 4 10% Motorcycle / 30 75% Car / 0 0% 9

16 Item Unit Total number Average possession per household DVD/VCD / 22 55% Fixed telephone / % Mobile phone / % Type of Production 31. The agricultural production status of the 40 sample households in 2009 was as follows: Every household grew paddy rice and the total area of paddy field was mu; most households have grown fruit trees around their houses but in small quantities and for self-consumption mainly; two households deal with stockbreeding Income 32. There are many enterprises in Dianshang Village, and the village s economy is mainly composed of secondary industries. According to the survey, the average gross income of the 40 sample households was RMB 38, in 2009, in which agricultural income was RMB 1,381.68, accounting for 3.59%, industrial income was RMB 31,539.01, accounting for 81.87%, stockbreeding income was RMB 1,247.86, accounting for 3.24%, income from migrant working was RMB 1,171.33, accounting for 3.04%, individual business (service) income was RMB 2,077.22, accounting for 5.39%, and other income was RMB 1,106.76, accounting for 2.87%. See Figure 6 for the annual average gross income of the sample households. 2.87% Agricultural 3.04% 3.24% 5.39% 3.59% Industrial Stockbreeding Migrant working 81.87% Individual business Other Figure 6 Annual Gross Income of Sample Households 33. It can be seen that the per capita annual income of the sample households was RMB 10

17 9, Since there are many enterprises in the village, local farmers have many opportunities of working and doing business, and therefore have high non-agricultural income. It can be seen from Figure 6 that the per capita non-agricultural income (industrial, employment, sideline and other income) of local farmers accounts for 93% gross per capita income, which is a very high number. The above analysis shows that AHs rely on land income at a low level Household Expenditure 34. According to the survey, the average gross expenditure of the 40 sample households was RMB 16, in 2009, in which agricultural expenses were RMB 1,371.43, accounting for 8.11%; water and electricity costs were RMB 1,518.57, accounting for 8.98%; communication expenses were RMB 1,135, accounting for 6.71%; educational expenses were RMB 2,128.57, accounting for 12.58%; medical expenses were RMB 1,443.33, accounting for 8.53%; non-staple food expenses were RMB 3,336.43, accounting for 19.72%; business operating expenses were RMB 3,453.16, accounting for 20.41%; traffic expenses were RMB , accounting for 1.84%; clothing expenses were RMB 1,328.57, accounting for 7.85%; and other expenses were RMB 889.9, accounting for 5.26%. See Figure 7 for the annual average gross expenditure of the sample households. 35. It can be seen from the above analysis that the annual per capita expenditure of the sample households was RMB 4, It can be seen that operating, non-staple food, educational and medical expenses were main expenses, while water and electricity costs, and traffic expenses were minor, which is largely consistent with the local living conditions. 11

18 Figure 7 Annual Gross Expenditure of Sample Households Agricultural 7.85% 5.26% 1.84% 8.11% 8.98% 6.71% Water and electricity Communication Educational Medical 20.41% 19.72% 8.53% 12.58% Non-staple food Business operating Traffic Clothing Tax 5 Policies, Compensation and Resettlement 5.1 Main Laws and Policies Applicable to Resettlement 36. The resettlement policies of the Project are mainly based on Asian Development Bank (ADB) policy and requirements and the applicable laws and regulations of the People s Republic of China (PRC), including: ADB policy and requirements ADB Policy on Involuntary Resettlement (1995) Operations Manual F2 on Involuntary Resettlement (Sep 2006) Handbook on Resettlement (1998) Resettlement Framework ( State laws and regulations Land Administration Law of the PRC (effective from January 1, 1999, amended on August 28, 2004) Regulations on the Implementation of the Land Administration Law of the PRC (Decree No.256 of the State Council) (Decree No.256 of the State Council, effective from January 1, 1999) Decision of the State Council on Deepening the Reform and Rigidly Enforcing Land Administration (SC [2004] No.28) (effective from October 21, 2004) Guidelines on Improving Compensation and Resettlement Systems for Land Acquisition (MLR [2004] No.238) (effective from November 3, 2004) Policies of Jiangsu Province Measures of Jiangsu Province for Compensation for Land Acquisition and Basic 12

19 Living Security for Land-expropriated Farmers (Decree No.26 of the Jiangsu Provincial Government, effective from September 1, 2005) Policies of Zhenjiang Municipality Interim Measures of Zhenjiang Municipality for Minimum Living Security for Rural Residents (effective from January 1, 2005) Rules for the Implementation of the Basic Living Security System for Land-expropriated Farmers of Zhenjiang Municipality (ZMG [2006] No.40) Notice of the Zhenjiang Municipal Government on the Amendment of the Rules for the Implementation of the Basic Living Security System for Land-expropriated Farmers of Zhenjiang Municipality (ZMG [2007] No.47) Interim Measures of Zhenjiang New Area for Resettlement for Building Demolition on Collective Land (ZMG [2003] No.231) Rules for the Implementation of Resettlement for House Demolition on Collective Land of Zhenjiang New Area (ZMGO [2003] No.226) See Appendix 3 for detailed provisions. 5.2 Compensation for Acquisition of Rural Collective Land and Resettlement Compensation for LA 37. The affected village locates in the city planning area, and people actually rely on non-agricultural income generation activities. According to the household survey, agricultural income only made 3.6% contribution of the total income. Consultation with the local villagers indicates that they prefer to get cash compensation and be included in the social security system. Compensation and resettlement costs for LA include land compensation fees, resettlement subsidies, and compensation fees for ground attachments and young crops. 38. The rate of land compensation fees for the acquisition of arable land is 10 times of the average annual output value (AAOV) for the three years preceding the acquisition. The minimum AAOV for the three years preceding the acquisition is RMB 1,400 per mu for arable land. Regard to the rates of compensation fees for other land, (i) in case of other farmland, 10 times of the AAOV of arable land for the three years preceding the acquisition; (ii) in case of unused land, 5 times of the AAOV of arable land for the three years preceding the acquisition; (iii) in case of collectively-owned land for non-agricultural construction, 10 times of the AAOV of arable land for the three years preceding the acquisition. 39. Rates of resettlement subsidies for LA is set based on the following: (i) Resettlement subsidies for the acquisition of arable land is based on the number of land-expropriated farmers to be resettled, which is the amount of arable land acquired divided by the per capita arable area of the affected rural collective economic organization before the acquisition. For each land-expropriated farmer to be resettled, the 13

20 resettlement subsidy is RMB 13,000. (ii) The rate of resettlement subsidies for the acquisition of other farmland is 70% of the rate of compensation fees for such land. (iii) In case of acquisition of unused land or collectively-owned land for non-agricultural construction, no resettlement subsidy is paid Basic Living Security for Land-expropriated Farmers 40. Basic living security funds for land-expropriated farmers are from the following sources: (i). 80% of compensation fees for farmland and all resettlement subsidies; (ii). Part of land transfer fees and other income on the use of land drawn by the government: The Zhenjiang Municipal Government and the Administrative Committee of Zhenjiang New Area shall draw RMB 10,000 per mu on the newly acquired land area in the current year from land transfer fees and other income on the use of land (in case of land supply by allocation, the RMB 10,000 per mu shall be included directly in LA costs); (iii). Any land within the urban planning area of our city whose income on use shall be collected and then refunded, such as an enterprise s withdrawal from the urban area or the construction of a development zone (including existing and additional land), RMB 10,000 per mu shall be drawn before refund as the part of land transfer fees and other income on the use of land drawn by the government; (iv). Interest and value-added income on basic living security funds for land-expropriated farmers; and (v). Other funds available for basic living security for land-expropriated farmers. 41. The special account of basic living security funds for land-expropriated farmers shall consist of a personal account and a social pooling account. 80% of compensation fees for farmland and all resettlement subsidies shall enter the individual account; funds drawn by the government from land transfer fees and other income on the use of land shall enter the social pooling account. 42. After LA is approved according to law, land-expropriated farmers shall be divided into the following five age groups based on the date of approval of the compensation and resettlement program: (i). Group 1: less than 16 full ages; (ii). Group 2: attaining 16 full ages and less than 35 full ages for women, attaining 16 full ages and less than 40 full ages for men; (iii). Group 3: attaining 35 full ages and less than 45 full ages for women, attaining 40 full ages and less than 50 full ages for men; (iv). Group 4: attaining 45 full ages and less than 55 full ages for women, attaining 50 full ages and less than 60 full ages for men; and (v). Group 5 (pension age): attaining 55 full ages for women or 60 full ages for men. 14

21 43. Those in Group 1 shall receive a living subsidy at 80% of the per capita compensation fees for farmland for land-expropriated farmers at a time, which shall be made up to RMB 6,000 if insufficient, and the deficiency shall be included in LA costs; they shall be managed as new urban labor when attaining working age, and no longer included in the basic living security system after receiving the one-time living subsidy. All resettlement subsidies drawn for the number of persons in Group 1 shall be included in the social pooling account. 44. Male land-expropriated farmers attaining 16 full ages and less than 60 full ages, and female ones attaining 16 full ages and less than 55 full ages may participate in basic living security or the basic endowment insurance for enterprise workers; male land-expropriated farmers attaining 60 full ages and female ones attaining 55 full ages can only participate in basic living security. If the amount of 80% of compensation fees for farmland and all resettlement subsidies entering the individual account is less than RMB 40,000, it shall be made up to RMB 40,000 and the deficiency shall be included in LA costs. When reaching pension age, a land-expropriated farmer shall not be entitled to both basic living security and the basic endowment insurance for enterprise workers. It s confirmed that the compensation payments to be deposited under individual accounts have already been deposited and affected households have confirmed that they have already received the compensation. This is a formal procedure that only after all the compensation payments have been received by the affected households, the land can be acquired and transferred to the Project. Table 7 Standard of Basic Living Security for Land-expropriated Farmers Age Security rate: RMB/month Area Payment rate group Pension Living subsidy 2 80% of compensation fees for farmland and all Dagang 3 resettlement subsidies (made up to RMB 40,000 by Sub-district, the government if insufficient); part of land transfer Zhenjiang fees and other income on the use of land drawn by New Area the government Notes: 1) The pension is payable only when an insured attains pension age; 2) Living subsidies will be adjusted based on economic development annually, the living subsidy rates listed in the above table were effective at the time of LA. 45. The excess of RMB 40,000 of 80% of compensation fees for farmland and all resettlement subsidies entering the individual account shall be returned by the labor and social security authorities to land-expropriated farmers. 46. Funds required for land-expropriated farmers to receive employment support and free employment services shall be disbursed by local governments at the rate of RMB 1,500 per capita at a time from local income on the use of land, and used together with special funds for employment promotion. 15

22 5.2.3 Employment Training 47. To strengthen employment and re-employment, improve the employment and business startup abilities of land-expropriated farmers and rural laborers, and regulate the management of financial subsidy funds for training, the Opinions of Zhenjiang New Area on the Management of Financial Subsidy Funds for the Employment Training of Land-expropriated Farmers and Rural Laborers. Anyone who has attended training on scarce skills on the market and obtained a corresponding certificate of professional qualification rating will receive a one-time subsidy at 70% of training expenses and up to RMB 700 for land-expropriated farmers, or at 50% of training expenses and up to RMB 300 for rural laborers. Any land-expropriated farmer or rural laborer who has attended training on non-scarce skills on the market and obtained a corresponding certificate of professional qualification rating will receive a one-time subsidy at 40% of training expenses and up to RMB 200. Any land-expropriated farmer or rural laborer who has attended pre-job guiding training, tertiary industry service training or pre-job training shall receive a subsidy of RMB Training covers metallic materials and thermal treatment, mechanical drawing, electric and electronic techniques, and welding and cold working skills mainly. A trainee who has passed the examination and obtained a certificate of professional qualification will be sent to an enterprise directly for employment on the basis of merits. Figure 8 Skills Training for Land-expropriated Farmers in Zhenjiang New Area 16

23 49. The relevant governmental agencies of Zhenjiang New Area would organize job fairs for land-expropriated farmers irregularly, and publish recruitment information on zjlm.jslss.gov.cn (Zhenjiang s public recruit service site), (Zhenjiang New Area s portal site) and zjdg.com (Dagang Sub-district information site). 50. Everbright Environmental Energy (Zhenjiang) Limited provided priorities to the affected villagers. During the construction period, employment opportunities were offered to the AHs, however, they didn t take these opportunities as most of them had jobs before. Presently, there are 10 persons working in the plant, and among these 3 are female. The salary is higher than the local average level Income Restoration 51. According to the survey, the land acquired for the Project is mainly arable land. The affected areas boast a high level of socioeconomic development and developed non-agricultural industries, and there is a small labor force specializing in agriculture. Although most of APs are of agricultural status in household registration, agricultural income is no longer their main source of income (see Section 4.2.6), and wage, employment and individual business income accounts for a high proportion of their gross income, so LA has little impact on the income of AHs. The living subsidy is higher than the agricultural income, while they still have their non-agricultural income. According to the survey, there is a small labor force engaging in agriculture in the affected areas, and laborers affected by LA are mostly employed. In addition, skills training for farmers would be organized in Zhenjiang New Area and Dagang Sub-district every year, and provided employment information and job opportunities. These measures have promoted the employment of laborers affected by LA. 5.3 Compensation and Resettlement for Demolition of Rural Residential Housing Demolition Procedure 52. In May 2009, the Administrative Committee of Zhenjiang New Area discloses the displacer, and the range and period of demolition to displaced persons. 53. Since July 2009, a qualified agency was entrusted to conduct house value appraisal and the displacer signed a written agreement with any displaced person on compensation and resettlement for HD, as presented in appendix Compensation Standard A. Compensation rate for housing site 54. The location-based compensation rate for housing sites is RMB 320 per m 2. 17

24 55. The housing site area of a displaced person shall be recognized based on the approval documents issued by land authorities. If a housing site is less than 100 m 2, the compensation area shall be 100 m 2 ; if a housing site is greater than 100 m 2 but less than 200 m 2, the compensation area shall be the actual area of such housing site. 56. If a proprietor has two or more housing sites in Zhenjiang New Area, the combined area of such housing sites shall be used as the basis of compensation. B. Compensation for housing at replacement cost 57. Table 8 sets out the rates of replacement cost upon appraisal; Table 9 sets out the rates of transition and moving subsidies; Table 10 sets out the rates of relocation subsidies for household facilities. Reinforced concrete Eaves height Table 8 Rates of Replacement Cost for Demolished Buildings Appraised Eaves price (RMB/m 2 ) 3.2m 850 Masonry concrete Masonry timber Simple structure Appraised Appraised height Grade Eaves price (RMB/m 2 height Grade price ) (RMB/m 2 ) Appraised Eaves price height (RMB/m 2 ) Table 9 Rates of Transition and Moving Subsidies Compensation rate Item Transition subsidy (RMB/month m 2 Moving subsidy (RMB/m 2 ) ) Housing 2 4 Note: (I) The moving subsidy includes a subsidy for loss of working time of RMB 2. (II) The transition period shall be calculated from the date of vacation by the displaced person and shall not exceed 18 months. If the extension period is not more than 12 months, the transition subsidy shall be doubled; if the extension period exceeds 12 months, the transition subsidy shall be tripled from the month of excess. Table 10 Rates of Relocation Subsidies for Household Facilities No. Item Unit Amount (RMB) Remarks 1 Compensation for removal and reinstallation of water heater / 60 Including pipeline, etc. 2 Compensation for removal and reinstallation of solar water heater / 100 Including pipeline, etc. 3 Compensation for removal and reinstallation of range hood / 30 Including pipeline, etc. 4 Compensation for removal and reinstallation of split air-conditioner / 150 Including pipeline, etc. 5 Relocation of wired telephone / To be compensated for at 6 Relocation of cable TV Household replacement cost as stipulated by 7 Relocation of pipe gas / competent authorities 18

25 No. Item Unit 8 Relocation of broadband network Household Relocation Amount (RMB) Remarks 58. For the demolition of any housing on a housing site, the AHs have two options including cash compensation and proving resettlement houses. 59. According to the resettlement policy of Zhenjiang New Area, displaced persons under the Project are resettled in Yicui Garden (Phase 3) and Cuizhu Garden in Dagang Sub-district mainly. Yicui Garden Ph 3 and Cuizhi Garden are both located in the central downtown area of Dagang Sub-district which is9 km away from their original location. Prior to land acquisition and relocation, most of the affected people have been working in the downtown area of Dagang sub-district, therefore, it is more convenient now for them to go to work. The key economic and technical indicators of Yicui Garden (Phase 3) in Dagang Sub-district are shown in Table 11, and its as-built pictures are shown in Figure 9. 19

26 Table 11 Economic and Technical Indicators of the Resettlement Community Yicui Garden (Phase 3) Total area of plot 145,966 m 2 Aboveground building area 324,985 m 2 Residential building area 305,985 m 2 Building area of commercial and supporting 19,000 m 2 facilities Building density 18.5% Floor area ratio 2.23 Green space ratio 40% Public green space 12,000 m 2 Number of households 3,258 Number of households in high-rise buildings 2,221 Number of households in medium-rise 1,037 buildings Building area of underground garage 27,700 m 2 (where air defense facilities: 20,300 m 2 ) Number of motor vehicle parking spaces 1,424 (including 120 commercial ones) Number of parking spaces of underground 1,282 garage Number of aboveground parking spaces 142 Number of non-motorized vehicle parking 8,593 (including 1,425 commercial ones) spaces 60. The preferential price of new housing in this resettlement community for farmers affected by LA is about 1,000 RMB/m 2. Except housing compensation and compensation for housing site, a land-expropriated farmer is also entitled to a moving subsidy and a moving reward. According to the housing compensation rate of Zhenjiang New Area and the sampling survey, the housing compensation rate of the Project is 1,000-1,200 RMB/m 2, so the compensation received by a land-expropriated farmer is sufficient to buy a new house in this resettlement community. 61. This resettlement community is located beside Tonggang Road, a trunk road in the built-up urban area of Dagang Sub-district, and nearby commercial housing mostly sells at 3,500-4,000 RMB/m 2, so the market price of resettlement housing bought by land-expropriated farmers is much higher than demolished housing. 62. The apartments in Yicui and Cuizhi Gardens has 13 different carpet areas, including m 2, m 2, m 2, m 2, 92.58m 2, 93.86m 2, 94.20m 2, 64.96m 2, 63.80m 2, and 49.99m 2. The AHs can select and buy the housing according to their needs. With the compensation, people can buy bigger carpet area than the carpet area of the affected residential housing. A typical housing unit has 2 bedrooms, a kitchen, a living room, 24/7 water and power supply, internet access. The parking slot is free to the residents. There are kindergarten, community rooms, and food markets in the Yicui and Cuizhi Gardens. Transportation is very convenient since several bus lines have a station 20

27 near the Yicui and Cuizhi Gardens. This means that each housing unit provides adequate space for each household and is an improvement from their previous living condition. The AHs interviewed are satisfied with the present living condition. 63. Since displaced persons have diversified needs for resettlement housing, some desired housing layouts are temporarily unavailable at the time of demolition, the demolition agency and the resettlement housing construction agency have constructed resettlement housing in full consultation with displaced persons, and some buildings have not been completed yet. Thirty households of displaced persons are still in transition. They will move to the resettlement houses in October The AHs during the transition period mostly rent a house near Cuizhu Garden, and some households are living temporarily with friends and relatives. It is learned that the monthly rent of a house near Cuizhu Garden is RMB , and the transition subsidy is sufficient to cover such rent. Figure 9 Resettlement Community Cuizhu Garden in Dagang Sub-district 21

28 5.4 Resettlement Policies for Affected Agency 64. The kindergarten was closed down in 2002, and the premises (collectively owned) have been laid idle. There is no practical impact. Direct cash compensation was paid. 5.5 Resettlement Policies for Affected Infrastructure and Ground Attachments 65. Any affected infrastructure or ground attachment shall be restored by the proprietor after receiving compensation from the owner of the Project, or rebuilt by the owner according to the original standard and size. 66. If there is any objection to the compensation rate, the displacer and the displaced person shall handle the objection through negotiation. 67. The compensation rates for affected tombs are shown in Table 12. Table 12 Compensation Rates for Ground Attachments Type Item Unit Compensation rate (RMB) Subsidy (RMB) Tomb Earth tomb / relocation Cement tomb / According to the survey, the actual costs of relocating a tomb are RMB 550, while the tomb relocation subsidy received by an affected household is about RMB There is no special custom for tomb relocation within the affected areas. All the 80 tombs affected by the Project have been relocated to Beishan Cemetery in Zhenjiang New Area (Figure 11), exempt from the tomb space fee. Figure 10 outlines the relocation process. Table 13 Tomb Relocation Costs (RMB) Excavation cost Incineration and purchase Burial fee Management fee of urn (10 years)

29 Receiving a tomb relocation certificate from village collective Applying for a tomb space at Beishan Cemetery and paying the fee Burial under the Staff s guidance Transcribing the epigraph back at the office End Figure 10 Flowchart of Tomb Relocation Figure 11 Beishan Cemetery in Zhenjiang New Area 23

30 5.6 Entitlement Matrix 69. The entitlements of all affected households are summarized in Table 14. Table 14 Entitlement Matrix Type of impact Acquisition of collective land (135 mu of rural collective land) Demolition of rural housing (34,100 m 2 ) Demolition of non-residential buildings Ground attachments Affected persons Dianshang Village 48 households with 128 persons Dianshang Village 174 households with 434 persons Dianshang Village Proprietors Compensation and resettlement policy Transferring 80% of compensation fees for farmland and all resettlement subsidies for land-expropriated farmers who have been covered by the basic living security system into the special financial account of basic living security funds for land-expropriated farmers opened by the finance authority at the same level at a bank, paying 20% of compensation fees for farmland, and all land compensation fees for unused land and collective land for non-agricultural construction to the affected rural collective economic organization, and paying compensation fees for young crops and ground attachments to their respective proprietors; Receiving training and job opportunities, being assisted in maintaining their business income, having priority in employment. Receiving compensation for housing site, housing compensation at replacement cost and compensation for the relocation of household facilities; After a displaced person receives housing compensation in cash, he/she has two options: cash compensation and resettlement, and will receive a moving subsidy and a transition subsidy. Receiving an appraised compensation sum. Receiving a compensation sum from the LA or HD agency. Rate The rate of land compensation fees for the acquisition of arable land shall be 10 times the average annual output value (AAOV) of such land for the three years preceding the acquisition. The AAOV for the three years preceding the acquisition is 1,400 RMB/mu for arable land; in case of orchards or other economic forest land, 12 times of the AAOV of arable land for the three years preceding the acquisition; in case of other farmland, 10 times of the AAOV of arable land for the three years preceding the acquisition; in case of unused land, 5 times of the AAOV of arable land for the three years preceding the acquisition; in case of collectively-owned land for non-agricultural construction, 10 times of the AAOV of arable land for the three years preceding the acquisition; Resettlement subsidies for the acquisition of arable land shall be based on the number of land-expropriated farmers to be resettled. The resettlement subsidy shall be RMB 13,000; Young crop compensation fees: paddy rice 800 RMB/mu; vegetables 1,000-1,200 RMB/mu. Reinforced concrete: 850 RMB/m 2 ; Masonry-concrete: Grade 1: 580 RMB/m 2 ; Grade 1: 550 RMB/m 2 ; Grade 1: 520 RMB/m 2 ; Masonry-timber: Grade 1: 650 RMB/m 2 ; Grade 1: 580 RMB/m 2 ; Grade 1: 540 RMB/m 2 ; Simple structure: 360 RMB/m 2 ; Moving subsidy: 4 RMB/m 2 ; transition subsidy: 2 RMB/month m 2 The compensation rate is the same as the residential houses. Earth tomb: RMB 700; cement tomb: RMB

31 6 Cost 70. The total LA and resettlement cost of the Project is RMB million. Compensation for HD is RMB million, and compensation for the acquired land is RMB 4.05 million. The total cost for the relocation houses is RMB million, as indicated in the table below. Table 15 Total Cost for LA and Resettlement No Item Cost (million) Percentage 1 Compensation for HD % 2 Compensation for LA % 3 Resettlement houses construction % 4 External Monitoring and Evaluation (M&E) % 5 LA management fee % Subtotal % 7 Public Participation, Consultation and Information Disclosure 71. At the design and planning stage, Everbright Environmental Energy (Zhenjiang) Limited, and the relevant LA and HD agencies organized public participation activities, such as the socioeconomic survey on AHs, holding a village meeting to discuss issues of LA, and including consultation results in the LA plan; listening extensively to households affected by LA and HD, and discussing LA, HD and resettlement programs; identifying vulnerable groups within the affected areas, and providing special assistance in consideration of their requirements. At the stage of preparation for LA and HD, the LA and HD agencies issued the LA announcement, the announcement of the compensation and resettlement program for LA, and the HD announcement, and also published the complaint and supervision hotlines. 72. During LA and HD, a task force composed of staff members of the Land and Resources Bureau, the Demolition Management Office, Dagang Sub-district, Dianshang Village and AHs to ensure effective LA and HD and listen to APs comments timely. The task force is composed of stakeholders, so it can communicate with APs easily. It solved some issues such as providing the minimum living subsidy to the one disabled household when this was identified during DMS. 25

32 7.1 Public Participation Activities Organized by LA and House Demolition Agencies 73. From March to July 2009, the LA and HD agencies held four focus group discussions (FGDs) and five door-to-door interviews in Dianshang Village, involving 94 persons, in order to discuss local residents attitude to the Project, the range of LA, the compensation rates and agreement for LA and HD, the resettlement modes, the construction of the resettlement communities and environmental protection, and solicit their comments. 74. While soliciting comments from displaced persons, the LA and HD agencies also invited some unaffected villagers to participate in FGDs and listened to their comments and suggestions on resettlement. Through the above mentioned public participation activities, affected residents have fully understood the significance of the Project and the resettlement measures to be taken, and most of them expect the Project to be completed as soon as possible to promote local economic development and environmental improvement. 7.2 Public Participation Activities Organized by Other Entities 75. During the preparation of this report, the survey team of NRCR visited the Land and Resources Bureau, Construction Bureau, Civil Affairs Bureau, and Labor and Social Security Bureau of Zhenjiang New Area, the Dagang Sub-district Office and the Dianshang Village Committee, and went to the affected areas for door-to-door interview and questionnaire survey. It was learned that during resettlement, all implementing agencies attached great importance to consultation with AHs and persons, listened extensively to their comments, reviewed the design repeatedly in order to minimize LA and resettlement impacts on the affected areas. The agencies concerned and the village committee held a number of villagers congresses to discuss the compensation and resettlement program for LA, and how to develop collective public services with compensation fees. 26

33 8 Appeal Procedure 76. When any dispute arises from LA and HD, a displaced person may file an appeal with competent authorities through the following routes: Channel 1: If a displaced person has any doubt about LA and HD, he/she may file an appeal with the task force composed of staff members of the land and resources bureau, the demolition management office, Dagang Sub-district and Dianshang Village, and the task team will reply to such appeal face to face and discuss a solution with such person; Channel 2: A displaced person may file an appeal with the office for letters and visits of the government directly; Channel 3: A displaced person may file an appeal with administrative authorities of competent jurisdiction level by level in accordance with the Administrative Procedure Law of the PRC for arbitration. If such person is dissatisfied with the arbitration award, he/she may bring a suit in a civil court in accordance with the Civil Procedure Law of the PRC after receiving such award. 77. A displaced person may file an appeal about any aspect of resettlement, including compensation rates. The above appeal channels have been notified to displaced persons at a meeting or otherwise, so that they fully understand their right of appeal. Mass media have been utilized for reportage, and displaced persons comments and suggestions compiled into messages and fed back to resettlement agencies at all levels. Grievances and appeals from displaced persons are accepted for free. 9 Agencies 9.1 LA and House Demolition Agencies 78. During project implementation, the agencies responsible for the planning, management, implementation and monitoring of LA and HD activities of the Project include: Land and Resources Bureau of Zhenjiang New Area Labor and Social Security Bureau of Zhenjiang New Area Demolition Management Office of Zhenjiang New Area Dagang Sub-district Office, Zhenjiang New Area Dianshang Village Committee, Dagang Sub-district, Zhenjiang New Area NRCR Land and Resources Bureau of Zhenjiang New Area: handling, examining and approving the LA formalities, and responsible for the coordination, management, supervision and arbitration of implementation Labor and Social Security Bureau of Zhenjiang New Area: handling social security formalities for land-expropriated farmers, organizing skills training for displaced persons, providing employment information and job opportunities, providing social assistance and development support to low-income AHs Demolition Management Office of Zhenjiang New Area: conducting physical indicator survey and registration for LA and HD, implementing LA, HD and resettlement, assisting in 27

34 solving arising issues Dagang Sub-district Office, Zhenjiang New Area: assisting in investigating and confirming physical indicators of LA and HD, implementing LA, HD and resettlement, and solving arising issues Dianshang Village Committee: assisting in investigating and confirming physical indicators of LA and HD, implementing LA, HD and resettlement, and solving arising issues, and convening a villagers congress to disclose information on LA and HD NRCR: responsible for the external monitoring and evaluation (M&E) of LA, HD and resettlement 9.2 Institutional Capacity Building 79. The agencies concerned have taken the following measures in strengthening capacity building: (i.) Providing technical and administrative staff to the resettlement agencies first, and strengthening training on professional skills and management level; (ii.) Organizing operational training for key staff members of the resettlement agencies to understand the policies on LA and HD, and ADB s relevant requirements, and improve professional competencies and the ability to apply policies; (iii.) Strengthening information feedback, and keeping an unobstructed flow of information from the bottom up and from the top down; and (iv.) Strengthening the responsibility system for internal monitoring, solving issues timely and establishing a risk pre-warning system. 10 Monitoring and Evaluation 80. To ensure that LA and HD are implemented in accordance with the applicable ADB policies, and realize the objective of proper resettlement, LA, HD and resettlement activities will be subject to regular M&E Monitoring and Evaluation Agencies 81. External M&E refers mainly to the regular independent M&E of LA, HD and resettlement activities by the independent monitoring agency. Independent monitoring is the responsibility of NRCR and includes the following: The functions of the different line agencies involved in LA and HD The progress of implementation of and compensation for LA, HD and resettlement; The resettlement and restoration of displaced persons and entities; and The survey and analysis of displaced persons standard of living and production level. 82. Independent monitoring is conducted by an agency independent of resettlement implementation, which reviews all resettlement activities from a comprehensive and long-term perspective. The independent monitoring agency will track resettlement activities to evaluate if resettlement complies with the state laws on LA, HD and resettlement, and the applicable ADB policies, and if displaced persons standard of living and production level have been improved or are at least equal to pre-project levels. The independent monitoring 28

35 agency will propose suggestions to the implementing agencies according to its monitoring findings in order to solve issues arising from resettlement timely Procedure and Scope of Monitoring 1. Preparing the terms of references of M&E 2. Developing software for the M&E information system 3. Preparing the survey outline, survey forms, and record cards of affected residents and typical entities 4. Designing the sampling survey plan: The sample size shall not be less than 15% of the number of households affected by LA and HD. 5. Baseline survey: A baseline survey shall be conducted on households affected by LA and HD as required for independent M&E to obtain baseline data on the standard of living and production level of the monitored households and entities. 6. Establishing the M&E information system: An M&E information system shall be established, where data on M&E is sorted out to establish a database, in order to realize computer-aided analysis and follow-up monitoring. 7. M&E survey Capacity evaluation of resettlement implementing agencies: investigating the capacity and working efficiency of the resettlement implementing agencies Progress of resettlement, compensation rates and payment Impact analysis of LA and HD Follow-up survey and evaluation of income level of households affected by LA (with a sampling rate of not less than 15%) Monitoring of typical households affected by HD: monitoring the availability of compensation fees to urban residents, the availability of resettlement housing, relocation, income restoration and resettlement quality; the progress and quality of housing construction, etc. Entity monitoring: monitoring the availability of compensation fees, LA for new sites, building construction, relocation progress, production restoration, workers income restoration and resettlement quality Restoration measures for vulnerable groups Public facilities: monitoring the availability of compensation fees, and the progress of functional restoration and reconstruction of public facilities Public participation and consultation: monitoring public participation activities and their effectiveness during LA and HD Appeals: monitoring the registration and handling of appeals raised by displaced persons 8. Compiling monitoring data and establishing a database 9. Comparative analysis 10. Preparing M&E reports according to the monitoring plan 29

36 In June 2011, the independent M&E team was established and the terms of references prepared; In June 2011, the preparatory work for independent M&E was completed, including preparing the survey outline and forms, establishing an M&E system, defining tasks and selecting monitoring points; In July 2011, the M&E Report (No.1) (baseline survey report) will be submitted; In December 2011, the second round of M&E will be conducted and the M&E Report (No.2) submitted; In December 2012, the third round of M&E will be conducted and the M&E Report (No.3) submitted; In December 2013, the fourth round of M&E will be conducted and the M&E Report (No.4) submitted Monitoring Indicators Socioeconomic indicators: per capita net income of rural residents, GDP, employment rate Institutional indicators: staff composition, staff quality, rules and regulations, equipment, and completion rate of matters Displaced persons affected by LA: availability of compensation fees, number of persons participating in different types of living security, proportion of non-agricultural income to gross income, training received (men-times, contents, training funds, effectiveness), rate of change of income, employment rate (change in industries of employment), satisfaction with resettlement Rural residents affected by HD: availability of compensation fees, construction progress and quality of resettlement housing (under unified construction), satisfaction with resettlement (location of resettlement point, infrastructure, layout and construction quality) Infrastructure: availability of compensation fees, functional restoration rate Public participation: number of times of participation, contents and impact on project implementation 11 Conclusion 83. Resettlement progress: In June 2009, the Land and Resources Bureau and the Demolition Management Office of Zhenjiang New Area completed the detailed measurement survey (DMS); in July 2009, the Dagang Sub-district Office signed LA and HD agreements with individuals, and HD began. By July 2011, the LA and HD work of the Project had been completed, and all compensation fees for LA and HD had been paid. Some displaced households have moved into the two resettlement communities, and some are in transition. 84. The compensation rates for LA comply strictly with the policies, and displaced persons have begun to receiving living security benefits. The compensation rates for tomb relocation comply strictly with the policies, and compensation fees and subsidies are sufficient to cover relocation costs. The construction of Zhenjiang New Area has provided numerous job opportunities to displaced persons. As displaced persons are moving, employment training 30

37 has just begun. 85. In conclusion, (i) the project did not have a significant impact on the livelihoods of the affected people in all the villages, (ii) the rehabilitation program being implemented by the local government is adequate, and there is no need for the the Project Company to prepare and implement a livelihoods restoration plan in addition to the activities being done by the local government. 86. The compensation rates for HD comply strictly with the national and ADB policies. The planned resettlement communities are advantaged geographically and satisfactory to displaced persons. 87. For the only one affected household falling into vulnerable groups, the Dianshang Village Committee and Dagang Sub-district Office have taken satisfactory preferential measures. 88. Organization: The resettlement agencies of the Project have defined duties, and the staff is well trained and competent for resettlement tasks. Everbright Environmental Energy (Zhenjiang) Limited is the owner of the Project, the Zhenjiang Municipal Urban and Rural Construction Bureau is the executing agency, and the Land and Resources Bureau of Zhenjiang New Area is the approval authority of the land used for the Project, and the Zhenjiang Municipal Demolition Management Office is a LA and HD agency. All agencies are able to perform their respective functions to promote the successful implementation of LA, HD and resettlement. 89. Public participation: At the preparation and implementation stages, the owner organized a number of public participation activities to address concerns of the AHs, including the DMS, compensation rates and disbursement of compensation fees. As a result, their doubts were dispelled, and they fully realized the necessity and importance of this public benefit project, laying a foundation for successful resettlement. However, some APs did not have a clear understanding of the resettlement policies and compensation rates, and public participation has to be further strengthened. 90. Grievance redress: The appeal channels for displaced persons are unobstructed, and a full-time coordinator has been appointed, so that displaced persons know how to file appeals when their rights are infringed on. 12 Existing Issues and Next-step Action Plan 91. The LA and HD agencies, the governmental authorities concerned and the owner have taken a variety of measures to resettle displaced persons. These measures are effective in general, but there are still some issues related to the availability of the desired housing layout and the timing of completion of some buildings 92. Knowing that displaced persons have diversified needs for resettlement housing, the demolition agency and the resettlement housing construction agency have constructed resettlement housing in full consultation with displaced persons. However, some still some 31

38 of the desired housing layouts were unavailable at the time of demolition, hence, some buildings have not been fully completed yet. In addition, some displaced persons are still decorating their houses. A small number of displaced persons are still in the transition period and are presently living with relatives or renting using the rental subsidy. 93. Next-step action plan: (1) Party B will coordinate with the government so that they will accelerate the construction of resettlement housing without compromising the quality, and ensure that the completed housing is available to displaced persons by the end of October (2) The independent monitoring agency will follow this up and prepare a monitoring report for submission to Party B and ADB. 32

39 Appendix 1 Brief Profile of the Consulting Firm and its Experts Approved by the Ministry of Water Resources, NRCR is the first national research institute (the only one so far in the world) specialized in project affected involuntary resettlement. The consulting service of NRCR include: Undertaking research on resettlement, social assessment and conducting economic analysis of development projects, related to water, electric power, communication, urban construction, railway, environment, etc; Undertaking resettlement planning, implementing consulting, monitoring, evaluation, training and social assessment for the projects financed by WB, ADB as well as other international agencies; Undertaking research on social assessment, participation and development projects for ethnic minorities; Undertaking research, planning, consultation, monitoring & evaluation, and training on regional development. During the past several years, NRCR has undertaken resettlement planning, monitoring & evaluation, and provided consulting services for over 50 WB/ADB financed projects. Many projects have been accomplished in cooperation with WB, ADB, DFID in U.K. and other related international agencies. These projects include National Resettlement Policy and Practice (ADB:RETA5781), Involuntary Resettlement Policy Influence (ADB:RETA5832), Resettlement Policy and Construction of Industrial Ability (ADB:RETA5935), Construction of Social Assessment Ability (ADB:TA3441), Guide of Monitoring & Evaluation on Resettlement for WB Financed Projects, Water Law Revising (financed by DFID), and Community Development. So far, NRCR has finished resettlement action planning for many large scale water, power and communication projects in China, including the Three-Gorge Project (Wushan County portion), Huaihe River Outfall Waterway Project, Gongboxia Plant, Jinping Hydropower Plant, Dongfeng Hydropower Plant, Sanmengxia Reservoir, Dongpinghu Reservoir, Zhalin Reservoir, etc. All the work was examined and approved by the Ministry of Water Resources and the Ministry of Electricity Power of P.R.China. The consulting team for ADB WTE project of CEIL is consist of the following experts. Shi Guoqing, the director of NRCR, the leading expert in China, who has more than twenty years experience of ADB and WB projects. Zhou Jian, staff consultant of ADB, WB and EIB, who has more than 40 ADB/WB/EIB projects experience, including preparation of RP, external monitoring, social impact assessment, social impact assessment, ethnic minority development plan. Gu Anqi, who has experience on ADB projects, including Xinjiang Regional Road Development Project, Nanjing Qinhuai River Environmental Improvement Project,etc. 33

40 Appendix 2 Household Questionnaire 亚行贷款光大环保 ( 镇江 ) 垃圾焚烧发电项目调查问卷 A 家庭人口调查表 项目名称 区 ( 县 ) 乡 ( 镇 街道 ) 村 ( 居委会 ) ( 组 ) 被调查户主姓名 : 是否低保户 ; 是否贫困户 人 ; 残疾人 人 ; 是否女性为主家庭 ; 是否 独居老人 ; 受影响类型 1) 只受征地影响 ;2) 只受拆迁影响 ;3) 既受征地影响又受拆迁影响 序号 姓名 与户主关系 家庭所有人口 性别年龄民族 户口性质 文化程度 其中 16 岁及以上人口婚姻状职业况 备注 与户主关系民族户口性质文化程度婚姻状况职业调查人 : 1. 户主 2. 配偶 3. 父母辈 4. 祖父母辈 5. 子 女 6. 媳 婿 7. 侄子 侄女 8. 孙辈 9. 兄弟姐妹 10. 无亲戚关系 11. 客人 12. 其他 1. 汉族 2. 回族 3. 其他少数民族 1. 农业 2. 非农业 3. 其他 1. 文盲及半文盲 2. 小学 3. 初中 4. 高中或中专 5. 大专及以上 1. 未婚 2. 有配偶 3. 离婚 4. 丧偶 5. 其他 1. 种植业 2. 养殖业 3. 工业 4. 商业 5. 服务业 6. 旅游业 7. 清洁工 8. 交通业 9. 通讯业 10. 教师 11. 干部 12. 学生 13 退休人员 14. 失业 15. 流动人口 16. 其他 34

41 1. 空调台 7. 计算机台 13.DVD/VCD 台 2. 自行车辆 8. 冰箱台 14. 生活用水 1) 自来水 2) 井水 3) 河塘水等 B 家庭经济调查表 3. 电风扇台 9. 拖拉机辆 15. 生活用电 1) 有保障 2) 有, 但无保障 3) 无 4. 收录机部 10. 摩托车辆 16. 房屋类型 1) 平房 2) 楼房 5. 洗衣机台 11. 汽车辆 17. 您出行的一般方式是交通方式 :1) 步行 2) 汽车 3) 自行车 4) 其它 6. 电视机台 12. 电话部 地方 距离 ( 公里 ) 交通方式 所用时间 ( 分钟 ) 1) 最近的医疗机构 2) 小学 3) 中学 4) 常去的 ( 商场 ) 集镇 5) 工 ( 劳 ) 作地点 6) 承包地 18 您家原有的土地资源 亩 1) 粮田 亩 2) 旱地 亩 3) 菜地 亩 4) 鱼塘 亩 5) 果园 亩 6) 林地 亩 7) 其他 亩 8) 承包地 亩 9) 出租 亩 10) 非承包地 ( 未登记 ) 亩 19 被征用的土地资源 亩 1) 粮田 亩 2) 旱地 亩 3) 菜地 亩 4) 鱼塘 亩 5) 果园 亩 6) 林地 亩 7) 其他 亩 8) 承包地 亩 9) 出租 亩 10) 非承包地 ( 未登记 ) 亩 回答者在表 F1 中的序号 调查人 : 20. 您认为您家的生产条件 1) 很好 2) 好 3) 一般 4) 差 5) 很差 21. 您认为您家经济状况在村属于 1) 上等 2) 中上等 3) 中等 4) 中下等 5) 下等 22. 您认为您目前的居住环境 1) 很好 2) 好 3) 一般 4) 差 5) 很差 23. 您家与邻里关系 1) 很好 2) 好 3) 一般 4) 差 5) 很差 24. 您对目前生活的满意度 1) 很好 2) 好 3) 一般 4) 差 5) 很差 35

42 C 家庭收入与支出调查表 1 您家 2009 和 2010 年总收入 / 元, 主要收入来源有 : 01) 从事农业人员 / 人, 收入 / 元 02) 从事工业人员 人, 收入 / 元 03) 从事畜牧业人员 人, 收入 / 元 04) 外出打工人员 人, 收入 / 元 05) 从事经商 ( 服务业 ) 人员 人, 收入 / 元 06) 从事旅游业人员 人, 收入 / 元 07) 房屋或铺面出租收入 / 元 08) 工资收入 / 元 09) 从事渔业人员 人, 收入 元 10) 从事其他职业如, 人员 人, 收入 / 元, 人员 人, 收入 / 元, 人员 人, 收入 / 元 11) 家庭男性劳动力收入 人, 占收入 % % 12) 家庭女性劳动力收入 人, 占收入 % % 13) 壮劳力 ( 男 16-60, 女 16-55) 人, 占收入 % % 14) 老人 ( 男 60 以上, 女 55 以上 人, 占收入 % % 2 您家 2009 年和 2010 年的总支出 / 元 01) 水费 元 02) 电费 元 03) 污水费 元 04) 垃圾费 元 05) 娱乐费 元 06) 生活开支 ( 柴米油盐菜等 ) 元 07) 衣着开支 元 08) 农业生产投入 ( 种子 化肥等 ) 元 09) 经营开支 ( 加工 成本 ) 元 10) 租房开支 元 11) 教育开支 元 12) 医疗开支 元 13) 交通开支 元 14) 税费开支 元 15) 其他开支, 如 元如 元 元 元 元 元 调查人 : 36

43 D 项目拆迁调查表 ( 抽样调查 ) 项目名称 区 ( 县 ) 乡 ( 镇 街道 ) 村 ( 居委会 ) ( 组 ) 被调查人姓名 : 家庭人口 ( 人 ) 人 住宅类别 1 城市 2 农村 调查人 : 结构 长 (m) 宽 (m) 层 面积 ( m2 ) 有证无证 钢混 一等 混合 二等三等 房屋 四等一等 砖木 二等 三等 一等 其他 二等三等 四等 土地所有权性质 1) 集体, 宅基地面积m2 ; 2) 国有,a) 出让土地使用 b) 划拨使用土地 区位级别 1) 一级,2) 二级,3) 三级,4) 四级,5) 五级,6) 六级,7) 七级 建设年代造价 原来 元 / m2 现在 元 / m2 建房方式 :(1) 自拆自建 (2) 统拆统建 (3) 统一规划自建 安置情况 (4) 其他 ( 需要说明 ) 建房地点 :(1) 本组 (2) 本村 (3) 本乡镇 (4) 其他 树木 ( 幼木 ) 树木 ( 成材 ) 果树 ( 幼木 ) 果树 ( 成材 ) 水池 (m 3 ) 附属物 水井 ( 处 ) 沼气池 (m 3 ) 坟墓 ( 个 ) 备注注 : ( 1) 如果为城乡结合部, 涉及土地产权的, 请填写土地等级及产权性质 (2) 房屋附属物按实际填写 (3) 本表工程内容必须与可研一致 37

44 E 公众意见和建议调查表 项目名称 : 区 ( 县 ) 乡 ( 镇 街道 ) 村 ( 居委会 ) 组 1 回答问题者受影响类型 1) 拆房 2) 征地 3) 征地 / 拆房 2 您是否清楚本项目建设的情况? 1) 清楚 2) 不太清楚 3) 不清楚 3 您赞成修建该项目吗? 1) 赞成 2) 不赞成 4 您认为项目建设带来的好处是 ( 允许多项选择 ) 1) 改善居住环境 2) 改善经营环境 3) 解决饮水问题 4) 增加就业机会及收入 5) 其它 5 您认为该项目建设带来的不利之处是 ( 允许多项选择 ) 1) 生活受到影响 2) 工作或生产受到影响 3) 人地关系更加紧张 4) 收入降低 5) 其它 6 您是如何知道目前本区的征地或拆迁补偿政策的? 1) 电视 2) 报纸 3) 入户宣传 4) 张贴公告 5) 村民会议 7 本项目的土地补偿费以及安置补助费是如何使用的? ( 受征地影响户填写 ) 1) 全部分给受影响户, 不调田, 自谋职业 2) 土地补偿费留在村集体, 安置补助费分配给受影响户, 参加失地农民社会保障 3) 全部集体掌握使用资金, 进行村内土地调整 4) 安置补助费给予受影响的家庭, 土地补偿费用于集体发展企业, 不进行土地调整 5) 其他 ( 列出 ) 8 土地征收后, 你是否参加了失地农民社会保障? 1) 是 2) 否 8.1 如果您参加了, 且您交纳了部分保障费用, 那么您个人缴纳的费用是 : 1) 小于 5000 元 2)5001~10000 元,3)10001~20000 元,4)20001 元以上 8.2 如果没参加, 主要原因是 : 1) 自己出资费用太高 ;2) 保障的水平太低 ;3) 较长时间后才能享受 ;4) 其他 ( 请列出 ) 9 你家的房屋拆除, 你的安置方式是什么?( 受拆迁影响户填写 ) 1) 本村后靠, 统一安排宅基地重建 2) 给予现金补偿, 外迁自己购买商品房 3) 提供还建房屋 4) 其他 10 据您所知, 在安置区选择过程中是否征求了安置区居民的意见? 1) 是 2) 否 11 您认为, 征地拆迁后您的生活水平是否得到了提高? 1) 是 2) 否 12 您是否了解被征地拆迁户的抱怨申诉机制? 1) 是 2) 否 38

45 12.1 您遇到的与征地拆迁相关的问题采取的何种方式解决 1) 直接与征迁部门交涉 2) 逐级向政府部门反映 3) 上访 4) 向新闻媒体反映 5) 向法院提起诉讼 6) 其它 ( 请注明 ) 7) 未采取任何行动 12.2 您对所遇到的征地拆迁相关的问题的解决效果如何?1) 很好 2) 好 3) 一般 4) 较差 5) 很差 13 在征地拆迁过程中您是否进行了参与?1) 是 2) 否 13.1 您是在什么阶段进行了公众参与 ( 答案为否, 则跳过本问题 ) 1) 征地拆迁方案拟定阶段 2) 实物复核阶段 3) 补偿标准制定阶段 4) 征地拆迁实施阶段 5) 其他 13.2 您未进行公众参与的原因是什么?1) 本人不愿意 2) 政府未组织 14 您认为征地拆迁工作总体如何? 1) 很好 2) 好 3) 一般 4) 较差 15 您认为安置方面还有哪些问题需要解决 ( 详细写出 ) 调查人 : 39

46 Resettlement Questionnaire A Household Population Project name:. Group village Town/Street District/County Head of household:. Is your household categorized as lowest -safeguard household? Y/N Is your household below poverty line? Y/N Are there any handicapped persons in your household? Y/N, how many? Is woman head of your household? Y/N In case of old person, are you living alone? Y/N Type of impact: 1)only land acquisition 2)only housing demolition 3)land acquisition as well as housing demolition S.no Name Relationshi p with head of household All members of family Sex Age Ethnic group Type of registered resident book Educati on level 16-year-old and above Statue of marriage Professi on Remarks Relationship with head of household Ethnic group 1.Head 2.Spouse 3.Parents 4.Gradeparent 5.Son/daughter 6.Son/daughter-in-law 7.Nephew/niece 8.Grandchild 9.Sisters and brothers 10.No relations 11.Guest 12.Others 1.Han 2.Hui 3.Others Type of registered resident book 1.Rural 2.Non-rural 3.Others Education level 1.Illiteracy/semi-literary 2.Primary school 3.Junior middle school 4.High school or technical secondary school 5.Junior college and higher Status of Marriage 1.Single 2.Married 3.Divorced 4.widow/widower 5.others 1.Planting 2.Aquatic breed 3.Industry 4.Commerce 5.Service 6.Tourism 7.Cleaner Profession 8.Transportation 9.Communication 10.Teacher 11.Cadre 12.Student 13Retiree 14.Unemployed 15.Floating population 16.Miscellaneous Enumerator:. 40

47 B Household Economy Survey 1.Air conditioners 2. Bikes 3.Electric fans 4.Radio-recorder s 5.Washing machines 6.Color/B&W TV sets 7.Computers 8.Freezer 9.Tractors 10.Motorcycles 11.Automobles 12.Telephones 13.DVD/VCD 14.Water 1)Tap water 2)Spring 3)Pond etc. 15.Electricity 1)Guaranteed 2)available, but no guarantee 3)No 16.Type house 1)Bungalow 2)Storied building 17.How long is your house to the following places By:1)Walk 2)Motorcycle 3)Bike 4)Ferry 5)Miscellaneous Places Distance(Km) Transportation Time needed(min) 1)Nearest clinic 2)Primary school 3)High school 4)Marketplace /township 5)Working place 6)Contracted land 18 Your land resources mu 1)Paddy field mu 2)Dry land mu 3)Vegetable Plot mu 4)Fish pond mu 5)Orchard mu 6)Woodland mu 7)Others mu 8) amount of contracted land, 9) amount leased, 10)land used in an informal 19 Requisitioned land resources mu 1)Paddy field mu 2)Dry land mu 3)Vegetable Plot mu 4)Fish pond mu 5)Orchard mu 6)Woodland mu 7)Others 20. What are your comments on the livelihood condition of your household? 1)Excellent 2)good 3)Fair 4)poor 5)very poor Enumerator: mu, 8) amount of contracted land, 9) amount leased, 10)land used in an informal 21. To what level do 22. What are your 23. What are your you think your comments on your comments on your economic status living condition? relationship with belongs within your 1)Very good your community 2)Good neighbourhood? 1)Very good 1)Best 3)Fair 1)Very good 2)Good 2)Better 4)Poor 2)Good 3)Fair 3)fair 5)Very poor 3)Fair 4)Poor 4)Worse 4)Poor 5)Very poor 5)Worst 5)Very poor of 24.Are you Satisfied with your living at present? 41

48 C Household Income and Expenditure Survey 1 your household income in 2009, CNY, in 2010, CNY, the main income sources: 1)Farming person, income CNY 2)Industry person, income CNY 3)Stockbreeding person, income CNY 4)Working away from home person, income CNY 5)Business( service) person, income CNY 6)Tourism person, income CNY 7)Rent from house or store CNY 8)Salary CNY 9)Fishery person, income CNY 10)Undertaking another works such as, person, income CNY person, income CNY person, income CNY 2 Your household expenditure in 2009 CNY, in 2010 CNY 1)Water CNY 2)Electricity CNY 3)Sewage CNY 4)Rubbish CNY 5)Recreation CNY 6)Living expenditure(firewood rice oil vegetable and so on) CNY 7)Clothes CNY 8)Agriculture production input(seed, fertilizer and so on) CNY 9)Management Expenditure(process, cost) CNY 10)House rent CNY 11)Education CNY 12)Health care CNY 13)Transportation CNY 14)Tax CNY 15)Miscellaneous, such as CNY CNY CNY Enumerator:. 42

49 D Housing Demolition Survey( Sampling) Project name:. Group village Town/Street District/County Interviewee: population of HH category of housing: 1. Urban 2. Rural Enumerator:. Dwelling house Ownership of land Zone bit Age Cost Resettlement Ancillary facilities of the house Structure Brick and concrete Compo site Brick and wood Other First-rate Second -rate Third -rate Forth -rate First-rate Second -rate Third -rate First-rate Second -rate Third -rate Forth -rate Length x width x floor Area ( m2 ) Certificated Non -certificated (1) collective owned, are of residential land is m2 (2) state owned: a) transferred, b) allocated ; 1) First-rate, 2)Second-rate, 3)Third-rate, 4) Forth-rate,5) Fifth-rate, 6) Sixth -rate,7) Seventh-rate Cost in time of construction Yuan/ m2 Currently cost Yuan/ m2 Means of house construction: (1)self removal and self construction; (2)unity removal and construction; (3)planned self construction; (4)Miscellaneous(need detailing) Location of new house: (1)within the community (2)within the village (3)within the town (4)other places Tree(young) Tree(grown-up) Fruit Tree (young) Fruit tree(grown-up) Pool (m 3 ) Well Bio-gas pond(m 3 ) Grave Remarks Note:(1)The grade and ownership must be filled in, in case the piece of land is located in the outskirt of the city or town.(2)only existing ancillary facilities of the house can be filled in.(3) the project components should be consistent with FSR. 43

50 Project name: Group village Town/Street E Public Opinions and Advice, District/County 1 Type impact 1)housing demolition; 2)land acquisition; 3) both 1) and 2) 2.Are you aware of the construction condition of the project 1)yes 2)not so clear 3)not clear. 3.Do you agree with the construction of this project? 1)yes 2)no 4.What s the advantage of the project in your opinion? (one or one more answer) 1)improve the habitation environment 2)improve the working condition 3)solve the problem of drinking water 4)increase the opportunity of employment 5)other 5. What s the disadvantage of the project in your opinion?(one or one more answer) 1)affect living 2)affect working and production 3)make more imbalance between people and land 4)income decrease 5)other (specify) 6. How do you learn the compensation policies of land acquisition or house demolition in this area? 1)television 2)newspaper 3)door-to-door communication 4) public announcement 5)villager's meeting 7. How about the using of land compensation and resettlement subsidy? (to be filled by households affected by land acquisition) a) All disburse to affected household, individuals search for jobs, no land readjustment b) Land compensation managed by collective, and resettlement subsidy distributes to affected households, participate in social security system for landless peasants c) All compensation managed by collective, land readjustment in the village d) Resettlement subsidy disburse to affected household, land compensation used for developing collective enterprise, etc, no land readjustment e) Others (specify) 8. After land acquisition, have you participated in social security system for landless peasants? 1)yes 2)no 8.1 If so, and you have paid some security fees, how much have you paid: 1)< 5000 CNY, 2)5001~10000 CNY, 3)10001~20000 CNY, 4) > CNY 8.2 If not, the main reasons are: 1)too much for individuals to pay; 2)the low secured level; 3) be benefited after a relatively long time; 4) Others (specify) 9.If your house is moved, what is the resettling means?(to be filled by households affected by resettlement) 1)Unified arrangement of house sites to do rehousing, in the village 2)Cash compensation for individuals to buy commercial housing 3)Providing relocated house plot 4)other (specify) 10. As you know, have opinions of APs been asked during the selection of resettlement site? 1)yes 2)no 11. As for you, do you feel your livelihood has been improved after land acquisition and house demolition? 1)yes 2)no 12. Do you know the mechanism of complaints and appeals for APs? 1)yes 2)no 44

51 12.1 Which means do you prefer when facing problems related to land acquisition and house demolition? 1)negotiate with relevant departments directly 2)report to the government grade by grade 3)meet with the higher authorities 4)report to news medias 5)bring it to the court 6)other (specify) 7)no actions 12.2 How about the result of solutions for your problems? 1)Best 2)Better 3)fair 4)Worse 5)Worst 13 Have you taken part in the process of land acquisition and house demolition? 1)yes 2)no 13.1 Which phase did you take part in?( if the answer is NO, skip this question) 1) scheming phase of land acquisition and house demolition 2) checking phase of material objects 3) formulating phase of compensation standards 4) implementation phase of land acquisition and house demolition 5)other 13.2 What was the reason for you of not taken part in public participation? 1)not willing to 2)hasn't been organized 14. As for you, how is the overall situation of land acquisition and house demolition? 1)Best 2)Better 3)fair 4)Worse 15 As for you, is there any problems of resettlement should be solved now?(specify) Enumerator:. 45

52 Appendix 3 Provisions of Laws and Regulations Applicable to the Project Rules for the Implementation of the Basic Living Security System for Land-expropriated Farmers of Zhenjiang Municipality Article 3 These Rules apply to compensation for LA and basic living security for land-expropriated farmers within the administrative area of our municipality. In case of acquisition of collectively owned land within the urban planning area of the municipality and controlled cities, a basic living security system for land-expropriated farmers shall be established hereunder; in case of acquisition of collectively owned land out of the above area, a basic living security system for land-expropriated farmers by reference hereto. Article 10 In case of acquisition of arable land, the number of land-expropriated farmers shall be the amount of arable land acquired divided by the per capita arable area of the affected organization before the acquisition; in case of acquisition of other farmland, the number of land-expropriated farmers shall be 70% of the total sum of compensation fees for such land divided by the local per capita amount of resettlement subsidies. Article 13 After the compensation and resettlement program for LA is approved, the administrative departments for land of Zhenjiang Municipality, the controlled cities, Dantu District and Zhenjiang New Area shall pay compensation and resettlement fees for land-expropriated farmers who have not been covered by the basic living security system, and living subsidies for those under 16 years old in full within 3 months of the date of approval of the compensation and resettlement program for LA, transfer 80% of compensation fees for farmland and all resettlement subsidies for land-expropriated farmers who have been covered by the basic living security system into the special financial account of basic living security funds for land-expropriated farmers opened by the finance authority at the same level at a bank, pay 20% of compensation fees for farmland, and all land compensation fees for unused land and collective land for non-agricultural construction to the affected rural collective economic organization, and pay compensation fees for young crops and ground attachments to their respective proprietors. Article 18 Basic living security funds for land-expropriated farmers are from the following sources: (1) 80% of compensation fees for farmland and all resettlement subsidies; (2) Part of land transfer fees and other income on the use of land drawn by the government: The Governments of Zhenjiang Municipality, the controlled cities and Dantu District, and the Administrative Committee of Zhenjiang New Area shall draw RMB 10,000 per mu on the newly acquired land area in the current year from land transfer fees and other income on the use of land (in case of land supply by allocation, the RMB 10,000 per mu shall be included directly in LA costs); (3) Any land within the urban planning area of our city whose income on use shall be collected and then refunded, such as an enterprise s withdrawal from the urban area or the construction of a development zone (including existing and additional land), RMB 10,000 per mu shall be drawn before refund as the part of land transfer fees and other 46

53 income on the use of land drawn by the government; (4) Interest and value-added income on basic living security funds for land-expropriated farmers; and (5) Other funds available for basic living security for land-expropriated farmers. If basic living security funds are insufficient, the deficiency shall be made up by the finance authority at the same level. Article 19 The special account of basic living security funds for land-expropriated farmers shall consist of a personal account and a social pooling account. 80% of compensation fees for farmland and all resettlement subsidies shall enter the individual account; funds drawn by the government from land transfer fees and other income on the use of land shall enter the social pooling account. Article 20 Interest shall accrue on funds in the personal account of basic living security for land-expropriated farmers at the prevailing bank deposit rate. Article 21 After LA is approved according to law, land-expropriated farmers shall be divided into the following five age groups based on the date of approval of the compensation and resettlement program: (1) Group 1: less than 16 full ages; (2) Group 2: attaining 16 full ages and less than 35 full ages for women, attaining 16 full ages and less than 40 full ages for men; (3) Group 3: attaining 35 full ages and less than 45 full ages for women, attaining 40 full ages and less than 50 full ages for men; (4) Group 4: attaining 45 full ages and less than 55 full ages for women, attaining 50 full ages and less than 60 full ages for men; (5) Group 5 (pension age): attaining 55 full ages for women or 60 full ages for men. Article 22 Those in Group 1 shall receive a living subsidy at 80% of the per capita compensation fees for farmland for land-expropriated farmers at a time; such living subsidy shall be made up to RMB 6,000 if insufficient for those in Jingkou and Runzhou Districts, and Zhenjiang New Area, or to RMB 5,000 if insufficient for those in other areas, and the deficiency shall be included in LA costs. Those in Group 1 shall be managed as new urban labor when attaining working age, and no longer included in the basic living security system after receiving the one-time living subsidy. All resettlement subsidies drawn for the number of persons in Group 1 shall be included in the social pooling account. Article 23 In Jingkou and Runzhou Districts, male land-expropriated farmers attaining 16 full ages and less than 60 full years, and female ones attaining 16 full ages and less than 55 full ages may participate in basic living security or the basic endowment insurance for enterprise workers; male land-expropriated farmers attaining 60 full ages and female ones attaining 55 full ages can only participate in basic living security. If the amount of 80% of compensation fees for farmland and all resettlement subsidies entering the individual account is less than RMB 40,000, it shall be made up to RMB 40,000 and the deficiency shall be included in LA costs. When attaining pension age, a land-expropriated farmer shall not be entitled to both basic living security and the basic endowment insurance for enterprise workers. 47

54 The excess of RMB 35,000 of 80% of compensation fees for farmland and all resettlement subsidies entering the individual account shall be returned by the labor and social security authorities to land-expropriated farmers. Notice of the Zhenjiang Municipal Government on the Amendment of the Rules for the Implementation of the Basic Living Security System for Land-expropriated Farmers of Zhenjiang Municipality Governments of the controlled cities and municipal districts, the Administrative Committee of Zhenjiang New Area, municipal commissions, offices and bureaus, and all units directly under the municipal government: The municipal government has approved the amendment of some provisions of the Rules for the Implementation of the Basic Living Security System for Land-expropriated Farmers of Zhenjiang Municipality as follows: 1. Article 13 has been amended to read: After the compensation and resettlement program for LA is approved, the administrative departments for land of Zhenjiang Municipality, the controlled cities, Dantu District and Zhenjiang New Area shall pay compensation and resettlement fees for land-expropriated farmers who have not been covered by the basic living security system, and living subsidies for those under 16 years old in full within 3 months of the date of approval of the compensation and resettlement program for LA, transfer 80% of compensation fees for farmland and all resettlement subsidies for land-expropriated farmers who have been covered by the basic living security system into the special financial account of basic living security funds for land-expropriated farmers opened by the finance authority at the same level at a bank, pay 20% of compensation fees for farmland, and all land compensation fees for unused land and collective land for non-agricultural construction to the affected rural collective economic organization, and pay compensation fees for young crops and ground attachments to their respective proprietors. 2. Article 15 has been amended to read: For 20% of compensation fees for farmland, and all compensation fees for unused land and collective land for non-agricultural construction payable to the rural collective economic organization affected by LA, the finance authorities of the controlled cities and districts, and the Administrative Committee of Zhenjiang New Area shall set up a separately account of land compensation fees in the town (sub-district) in which such organization is located, and the use of such funds shall be supervised. Such funds shall be used for the designated purpose. Provided such funds are used specifically for livelihoods of land-expropriated farmers, they may also be used for productive and public services of such organization. The governments of the controlled cities and districts, and the Administrative Committee of Zhenjiang New Area shall formulate detailed administrative measures in accordance herewith. 3. Article 22 has been amended to read: Those in Group 1 (except those in Jingkou and Runzhou Districts) shall receive a living subsidy at 80% of the per capita compensation fees for farmland for land-expropriated farmers at a time; such living subsidy shall be made up to RMB 6,000 if insufficient for those in Zhenjiang New 48

55 Area, or to RMB 5,000 if insufficient for those in the controlled cities and Dantu District, and the deficiency shall be included in LA costs. Those in Group 1 shall be managed as new urban labor when attaining working age. 4. Article 23 has been amended to read: In Jingkou and Runzhou Districts, land-expropriated farmers of Groups 1-5 shall be included in the basic living security system for land-expropriated farmers stipulated herein in a unified manner. Male land-expropriated farmers attaining 16 full ages and less than 60 full years, and female ones attaining 16 full ages and less than 55 full years may participate in basic living security or the basic endowment insurance for enterprise workers; male land-expropriated farmers attaining 60 full ages and female ones attaining 55 full ages can only participate in basic living security. If the amount of 80% of compensation fees for farmland and all resettlement subsidies entering the individual account is less than RMB 40,000, it shall be made up to RMB 40,000 and the deficiency shall be included in LA costs. When attaining pension age, a land-expropriated farmer shall not be entitled to both basic living security and the basic endowment insurance for enterprise workers. The excess of RMB 40,000 of 80% of compensation fees for farmland and all resettlement subsidies entering the individual account shall be returned by the labor and social security authorities to land-expropriated farmers. 5. Article 24 has been amended to read: Different security standards shall apply to Groups 2-5 of basic living security; for Jingkou and Runzhou Districts, the standards specified in the appendix hereto shall apply; the standards for the controlled cities, Dantu District and Zhenjiang New Area shall be determined by the governments of the controlled cities and Dantu District, and the Administrative Committee of Zhenjiang New Area based on local economic level, and shall not be less than the minimum standards for different types of areas specified by the provincial government. (1) Those in Group 2 shall receive a living subsidy on a monthly basis from the month in which basic living security becomes effective for two years, and receive a pension on a monthly basis when attaining pension age; (2) Those in Group 3 shall receive a living subsidy on a monthly basis from the month in which basic living security becomes effective until pension age, and receive a pension on a monthly basis when attaining pension age; (3) Those in Group 4 shall receive a living subsidy on a monthly basis from the month in which basic living security becomes effective until pension age, and receive a pension on a monthly basis when attaining pension age; (4) Those in Group 5 shall receive a pension on a monthly basis from the month in which basic living security becomes effective. Notice on the Adjustment of the Compensation Rates for LA 1. Adjustment of compensation rates for LA (1). Compensation rates for the acquisition of arable land The rate of land compensation fees for the acquisition of arable land (vegetable plot) 49

56 shall be 10 times the average annual output value (AAOV) of such land (plot) for the three years preceding the acquisition. The minimum AAOV for the three years preceding the acquisition is 1,400 RMB/mu for arable land and 3,000-3,500 RMB /mu for registered vegetable plots in Jingkou and Runzhou Districts, and Dingmao Area of Zhenjiang New Area; 1,400 RMB /mu for arable land and 1,800-2,000 RMB /mu for registered vegetable plots in other areas. (2). Compensation rates for the acquisition of other land (1) In case of intensive fishponds, 12 times of the AAOV of arable land for the three years preceding the acquisition; in case of other aquaculture surfaces, 7 times of the AAOV of arable land for the three years preceding the acquisition; (2) In case of orchards or other economic forest land, 12 times of the AAOV of arable land for the three years preceding the acquisition; (3) In case of other farmland, 10 times of the AAOV of arable land for the three years preceding the acquisition; (4) In case of unused land, 5 times of the AAOV of arable land for the three years preceding the acquisition; (5) In case of collectively-owned land for non-agricultural construction, 10 times of the AAOV of arable land for the three years preceding the acquisition. (3). Rates of resettlement subsidies for LA (1) Resettlement subsidies for the acquisition of arable land shall be based on the number of land-expropriated farmers to be resettled, which shall be the amount of arable land acquired divided by the per capita arable area of the affected rural collective economic organization before the acquisition. For each land-expropriated farmer to be resettled, the minimum resettlement subsidy shall be RMB 17,000 in Jingkou and Runzhou Districts, and Dingmao Area of Zhenjiang New Area, and RMB 13,000 other areas; (2) The rate of resettlement subsidies for the acquisition of other farmland shall be 70% of the rate of compensation fees for such land ; (3) In case of acquisition of unused land or collectively-owned land for non-agricultural construction, no resettlement subsidy shall be paid. (4). Rates of compensation fees for ground attachments and young crops (1) Young crop compensation fees shall be paid at a time based on quarterly output value. Young crops that can be harvested on schedule shall not be compensated for. A transplantation fee shall be paid for seedlings, flowers, grasses and perennial economic forests that can be transplanted; a reasonable compensation sum shall be paid for those that cannot be transplanted, or those that cannot be transplanted shall be purchased; (2) Flowers, grasses, forests and young crops grown, and ground attachments built after the adjustment of the land use and the publication of the new land plan shall not be compensated for; (3) The rates of compensation fees for ground attachments and young crops shall comply with Appendixes 1, 2 and 3 hereto; (4) Land for non-agricultural construction and non-arable land shall not be 50

57 compensated for; The compensation rates and measures for housing, other buildings and structures shall be otherwise determined. Interim Measures of Zhenjiang New Area for Resettlement for House Demolition on Collective Land For the demolition of any housing on a housing site, cash compensation will be offered, housing constructed in a unified manner will be offered, or where conditions permit, a housing site may be offered. The formula of housing compensation fees shall be: (newness-adjusted replacement cost building area + compensation fees for decoration and attachments) + compensation sum for housing site. The compensation rate for housing site and the calculation rules shall be determined by the Municipal Land and Resources Bureau together with the Administrative Committee of Zhenjiang New Area and the Municipal Prices Bureau, and submitted to the municipal government for approval. The compensation rate for housing site shall be adjusted timely and published to the public. The building area of a demolished house to be compensated for shall be determined based on the actual building area within the certificate of title of such house. The house of any displaced person that should be demolished but has not been demolished according to the approval formalities for construction application shall not be compensated for. Illegal buildings and attachments on illegal land shall not be compensated for. If any demolished residential house is used as a place of business, it shall still be compensated for at the replacement rate specified herein. In case of resettlement by offering housing constructed in a unified manner, the preferential area shall comply with the rules of calculation of the compensation sum for housing site. The displacer and the displaced person shall determine the compensation sum pursuant to paragraph 1 of Article 14, and settle the price difference from the preferential price of housing constructed in a unified manner. However, any excess of the preferential area shall be bought at market price. The displacer shall offer not less than two houses at each displaced person s option. In case of resettlement by offering a housing site, such housing site shall comply with the overall urban plan and the land utilization plan of Zhenjiang New Area. The area limit and approval of each housing site shall comply with the applicable provisions of the Land Administration Law and the Zhenjiang Municipal Government. The transitional house of any displaced person shall be obtained by itself. The displacer shall pay a transition subsidy and a moving subsidy to the displaced person at the specified rates. Rules for the Implementation of Resettlement for House Demolition on Collective Land of Zhenjiang New Area In case of acquisition of collective land and HD for any development or construction 51

58 project in Zhenjiang New Area, the displacer shall entrust the task to a demolition service in Zhenjiang New Area. In case of resettlement by offering housing constructed in a unified manner, the preferential building area of such housing shall be the compensable area for housing site multiplied by 70%. In case of cash compensation, the displaced person may purchase a house within the community designated by the displacer at a preferential price. If any displaced person has been compensated and resettled in Zhenjiang New Area, he/she shall no longer be granted compensation at a location-based price. If the building area of a demolished house (excluding attics and basements) exceeds the actual floor area, the excess shall be compensated for at 150 RMB/m 2. The area of a displaced person s housing site in excess of the compensable area shall be compensated for at 105 RMB/m 2. If a displaced person is compensated in cash, he/she shall no longer be offered housing constructed in a unified manner or a housing site; if a housing site is provided to the displaced person for housing construction, the displaced person shall be granted the newness-adjusted replacement cost, and compensation for compensation fees for decoration and attachments only. In case of cash compensation, the displacer shall grant a transition subsidy for 6 months to any displaced person at a time; in case of resettlement by offering housing constructed in a unified manner, the transition subsidy shall be granted for the actual transition period. The transition period shall be calculated from the date of vacation by the displaced person and shall not exceed 18 months. If the extension period is not more than 12 months, the transition subsidy shall be doubled; if the extension period exceeds 12 months, the transition subsidy shall be tripled from the month of excess. 52

59 Appendix 4 Agreement for Acquisition of Rural Collective Land 53

60 Appendix 5 House Demolition Agreement and Compensation Table 54

61 55