World Bank Financed Zhaotong Central City Environmental Construction Project

Social Assessment Report

China Cross-Cultural Consulting Center at Sun Yat-sen University

November 21, 2009

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RP895V3

Abstract

Entrusted by the Yunnan Provincial Management Office and Zhaoyang District

Management Office of the World Bank Financed Yunnan Urban Environment Project,

the social assessment (SA) experts from the China Cross-Cultural Consulting Center

at Sun Yat-sen University (CCCC at SYU) went to Zhaoyang District, Zhaotong

Municipality for a field SA investigation of the three subprojects under the World Bank

Financed Zhaotong Central City Environmental Construction Project (hereinafter

referred to as the “Project”) from September 17 to November 12, 2009, and

completed the SA report of the Project on November 21, 2009 on schedule.

The Project consists of three subprojects, which are the central city river

management project, the northern area water supply and pipeline project and the

central city sewage treatment and intercepting sewer project.

The Project involves 3 sub-districts and 4 Townships of Zhaoyang District, which

are Longquan Sub-district, Taiping Sub-district, Fenghuang Sub-district, Beizha

Town, Xiaolongdong Xiang, Yongfeng Xiang and Shouwang Xiang, benefiting a total

population of 318,192, including an urban beneficiary population of 110,158,

accounting for 34.62% of total beneficiary population, a rural beneficiary population of

169,288, accounting for 53.20%, and a temporary beneficiary population of 38,746,

accounting for 12.18%. The affected place is a state-level poor county/district. The

Project will benefit 33 poor communities/villages and a poor population of 16,300,

accounting for 5.82% of total beneficiary population, including a poor rural population

of 12,600. In addition, the affected areas involve an ethnic minority population of

85,311, accounting for 21.47% of the population of the affected areas.

At the preparatory stage of SA, the SA experts of the World Bank identified the

key social factors affecting the fulfillment of project objectives: ① The possible key

social influencing factors of the river management project include the behavior of the

affected groups, community participation, institutional arrangements, poverty,

willingness and ability to pay, etc.; ② The possible key social influencing factors of

the northern area water supply and pipeline project and the central city sewage

treatment and intercepting sewer project include land acquisition and house

demolition, the lifestyle of the affected groups, poverty, willingness and ability to pay,

etc.; ③ Ethnic minorities: The social factors of concern include the policies applicable

to ethnic minorities, demographic, social and cultural characteristics of ethnic

minorities, learning specific requirements of ethnic minorities through consultation,

acquiring support of ethnic minority communities for the Project through consultation,

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and proposing measures to avoid or reduce negative impacts on ethnic minority

communities adapted to ethnic minority cultures.

Around the above social factors that may affect the fulfillment of the objectives of

the Project, this report focuses on the following on the basis of SA fieldwork

information:

1. The ethnic minorities in the affected areas, and the impacts of the Project on

ethnic minorities, so as to determine if it is necessary to develop a separate ethnic

minority development plan for the ethnic minorities in the affected areas. The SA

team has analyze the cultural characteristics of the ethnic minorities in the affected

areas, the impacts of the Project on ethnic minorities and how to ensure that ethnic

minorities are equally benefited in line with the World Bank policy OP4.10.

2. The poor population in the affected areas, and the impacts of the Project on the

poor population. The Project will benefit a rural poor population of 12,600 and an

urban poor population of 3,700, where poor population accounts for 5.82% of the

total population benefited by the Project.

All the three subprojects involve land acquisition or house demolition. Relatively

poor communities and population are often disadvantaged in resettlement using

compensation fees, benefiting from the Project and making forward adaptation. In

some projects that involve the relocation of urban residents, the affected poor

population may suffer from reduced income sources (e.g., rent income) and damage

to existing interpersonal relations. In addition, after the Project is completed,

increased sewage and waste treatment charges may increase the burden on urban

poor households.

However, the project design covers both rural and urban poor population. From

the following perspectives, the existing project plan and design will not marginalize

the poor population or create more poor population: First, the Project will improve the

living environment and conditions, and improve the health level of the poor

population; second, the Project will also provide job opportunities to the poor

population and increase their income; third, after the Project is completed, the

preferential charging policies for the poor population will alleviate the burden on the

poor population effectively; and fourth, the Resettlement Action Plan (RAP) focused

on the cultural and development needs of the poor population will help the poor

population restore livelihoods and offer development opportunities.

3. Involuntary resettlement arising from the Project: Land acquisition and house

demolition will lead to changes in livelihoods and reduced income of involuntarily

displaced persons, and may also result in a series of potential and long-term social,

cultural and mental adjustments.

4. Progress of payment, willingness and ability to pay of the affected areas: A

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preferential policy is in place on the payment of charges by the poor population in

Zhaoyang District. Certified five-guarantee families, some disabled people

(unsecured subsistence, and holding a Level 2 or above disability certificate) and

other groups with living difficulties are exempt from water charges (including sewage

treatment charges) for 3 m3 per month-household. The SA team has found through

door-to-door interview and FGD that both rural and urban residents can afford the

prevailing water rates, and are willing to pay the costs for the supporting facilities

(water meter, etc.) to be purchased for the Project.

1. Behavior of the affected residents and environmental protection: This report pays

particular attention to how the environmental protection awareness and lifestyle of

the affected groups are suited to the objectives of the Project, and thinks that the

environmental issues arising in the affected areas are closely associated with the

lifestyle of the affected groups in the affected areas.

2. Involvement of the primary stakeholders in the Project: In the fieldwork, the SA

team conducted free, prior and informed consultation with the primary stakeholders

by means of FGD, interview, drawing and ranking, and made an analysis of

development issues, needs for the Project, impacts of the Project and suggestions

for the Project together with them. On this basis, the SA team has developed the

participation outline for the primary stakeholders.

The SA team thinks the social benefits of the Project are embodied mainly in the

following:

1. The Project is an integral part of Zhaotong Municipality’s effort to improve the

environmental quality of key river basins and urban areas, drive the urbanization of

Zhaotong Central City and implement a sustainable development strategy, and a

priority action for the state, Yunnan Province and Zhaotong Municipality to drive

industry restructuring through urban improvement. All subprojects are urgent in the

local socioeconomic development process today. The implementation of these

projects will play an active role in improving basin and regional environmental quality,

urban environment and living conditions, expanding spaces of urban development,

improving urban image and investment environment, and promoting urbanization.

2. The promotional effects of the Project to urban economic development will be

shown over a long term. These effects mainly include: (1) improving urban

environment; (2) improving urban infrastructure; (3) laying a foundation for the

development of Zhaoyang District’s tourism, agriculture, service and other related

industries; (4) providing job opportunities to related industries during and after the

construction period; and (5) providing a guarantee for further urbanization.

3. The Project will also drive the institutional capacity building of the environmental

protection bureau and other related departments in the affected areas. Applying the

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advanced project management philosophy and approaches of the World Bank to

establish an advanced office management system can help train a number of

management personnel for environmental and World Bank projects, deepen these

departments’ understanding of the project team and international cooperative

projects, and expand the Project’s social influence and benefits. In addition, the

Project will also foster and enhance the environmental protection awareness of the

affected residents.

4. The Project covers both rural and urban poor population, and will improve the

living environment and conditions, and improve the health level of the poor

population. The Project will also provide job opportunities to the poor population and

increase their income.

The potential risks of the Project identified by the SA team include:

1. Resettlement risks: Both the river management project and the northern area

water supply and pipeline project involve land acquisition and house demolition,

which are the main potential social risks of the Project.

2. Risk of low ability to pay of the urban poor population: After the Project is

completed, some environmental charges will be added, which may increase the

financial burden on the urban poor population.

3. Risk of secondary pollution: During the treatment of urban sewage and river silt,

pollutants may pose negative impacts in respect of air, water and soil pollution to the

local residents due to their own characteristics.

4. Risk of fulfillment of project objectives and continuation of residents’ lifestyle:

Some urban and rural residents have not realized that they are also a pollution

source to rivers, nor have they realized that they must behave themselves to purify

rivers and control pollution. This might be adverse to the fulfillment and continuation

of the objectives of the Project.

5. Risk of residents’ environmental awareness and environmental protection: The

primary stakeholders have neither realized the impact of their own behavior on the

ambient environment, nor have they realized that they are one of the subjects of

environmental management. This will be adverse to the involvement of the primary

stakeholders in the Project during the whole project lifecycle.

6. Risk of subsequent project management: Subsequent project management is a

key to the continuation of the effects of the Project after the end of the

implementation period, and also an important indicator of the Project’s sustainability.

7. Risk of institutional capacity building: Ensuring institutional capacity building can

adapt to the continuation of the nature of different projects, and is an objective need

to relieve environmental issues and an important guarantee of successful project

implementation.

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8. Conflict between residents and construction: The construction process will bring

conveniences to the residents’ life, and may cause local public security issues. If

such negative impacts cannot be avoided or alleviated effectively, there is likely to be

conflict between the residents and the implementing agencies, thereby affecting the

progress of construction.

9. Risk of compensation for land acquisition: The Project involves an extensive

area of land acquisition and a complex mix of land types. The affected areas have

been subject to land acquisition many times. Since the compensation rates for land

acquisition of different Xiangs, towns and sub-districts in the affected areas vary, and

the title to part of the acquired land has been changed repeatedly, there is a certain

risk in solving the problem of compensation for land acquisition in different areas in

the Project.

10. Risk of protection of cultural relics: The Project involves the conservation of

temples near rivers and water sources. In the northern area water supply and

pipeline project, the Dalongdong water source is very close to the Dalongdong Taoist

Temple, and the surrounding area has been planned for an urban park. Ensuring the

conservation of historical and cultural relics after the water source conserve has been

delimited is an important prerequisite to avoiding the risk of cultural relic destruction

arising from the Project.

Aiming at the above possible social risks, the SA team has proposed the

following suggestions:

1. Optimizing the design: The employer and feasibility study agency of the Project

are advised to minimize the size of land acquisition and house demolition involved in

the Project, and employ advanced environmental protection measures to avoid the

possible secondary pollution issue. For the sources of pollution near the site of the

northern area water supply and pipeline project, it is advised to integrate project

planning and construction with the management of the surrounding environment.

2. Conducting participatory activities, and involving the primary stakeholders in the

design, implementation, management and supervision of the Project. The employer,

the project management office (PMO) and the SA team should develop the

participation outline of beneficiaries, and conduct monitoring and evaluation of

participatory activities to ensure that the primary stakeholders are involved during the

whole project lifecycle from preparation, design and implementation to monitoring

and evaluation, and build up a sense of subject for environmental protection. For the

Dalongdong water source, the Dalongdong Water Source Administration led by the

district government and involving the Dalongdong Taoist Temple Management

Committee, the waterworks, the municipal forestry bureau, Dalongdong Travel

Agency and local residents to coordinate and strengthen the management of the

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Dalongdong water source.

3. Giving education and training on environmental knowledge and public health: It

is advised that the competent department of the government should give training on

state and local environmental indicators, and environmental protection regulations,

and training on water conservation, civil treatment of sewage and waste, non-point

pollution control, waterborne disease prevention and waste recycling to the whole

public in conjunction with the publicity department, the education bureau, the

environmental protection bureau, the broadcast and television bureau, newspapers,

sub-districts, Townships, towns and neighborhood committees/villages, so that the

affected residents can realize which lifestyles may affect the ambient environment.

4. Developing a rational RAP: The PMO, the resettlement plan preparation team

and the employer are advised to ensure that the standard of living of the displaced

persons is at least not reduced due to the Project in light with the applicable policies

and on the basis of consultation with the affected people, taking into account any

negative impact on the traditional cultures of ethnic minorities due to the impact on

their land and natural resources; further resettlement effort should be paid to minor-

ethnic-minority displaced persons and their communities, and relatively poor

displaced persons.

5. Providing job opportunities: The PMO, the employer and the construction agency

are advised to provide job opportunities to the displaced persons, urban and rural

poor people, women and ethnic minorities in conjunction with the civil affairs bureau

and the labor and social security bureau, so that they can be involved in project

construction.

6. Enacting and enforcing preferential charging policies for the poor population: The

PMO, the employer and the price bureau are suggested to enact charging policies

suitable for the local poor population on the basis of public hearing.

7. Formulating rational compensation rates for land acquisition: The PMO, the

employer and the departments concerned are advised to listen extensively to the

requirements of different groups for compensation for land acquisition, and formulate

feasible compensation rates and supplementary implementation procedures for the

whole district with the assistance of SA and involuntary resettlement experts.

8. Maintenance of safety and convenience during construction: The employer and

the construction agency are advised to arrange the construction schedule taking the

objective production and living needs and habits of the local residents into full

consideration during the construction period.

9. Institutional capacity building: It is advised to define the rights and obligations of

the construction, management and maintenance agencies in the central city sewage

treatment and intercepting sewer project, and how proceeds and costs should be

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shared; in the river management project, it is advised to set up an environmental

management agency to solve the problem of overlapping river management,

strengthen the monitoring and evaluation of the surrounding areas and environment,

and strengthen law-enforcement capacity.

10. Subsequent project management mechanism: It is advised to involve the

affected residents in subsequent project management, set up a community

subsequent project management team on the basis of the community project

management team during the construction period, such as a “water users

association”. Members of such team should be elected by villagers, and must include

women’s representatives of not less than 30% of the headcount and ethnic minority

representatives from the community. Environmental authorities are advised to

strengthen legislation and law enforcement on environmental protection, and the

environmental education for the affected residents in order to realize sustainable

effects of the Project.

On the basis of an overall analysis of the social impacts of the Project, the SA

team has proposed specific actions required for each subproject in order to minimize

the negative impacts of the Project and ensure that the primary stakeholders are

equally benefited.

The SA team thinks all the three subprojects should take specific actions in the

following aspects: (1) conducting community participation activities to learn the

primary stakeholders’ needs and suggestions; (2) developing a RAP for projects

involving land acquisition and house demolition to assist the displaced persons in

restoring production and livelihoods and (3) designing a rational construction

schedule, and providing job opportunities to the affected groups, especially

vulnerable groups.

Foreword

From September 17 to November 14, 2009, the SA experts from the CCCC at

SYU went to Zhaoyang District, Zhaotong Municipality, Yunnan to make a field SA

investigation of the three subprojects under the Project.

The main objectives of this SA include: to learn the basic situation of①

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socioeconomic development of the affected areas, and analyze key social factors

affecting the fulfillment of project objectives; to identify the primary stakeholders,②

carry out project activities that involve the primary stakeholders, and analyze their

needs and the impacts on them; to assess the potential positive and negative③

impacts of the Project, and analyze the possible social risks of the Project; to④

incorporate social factors related to the fulfillment of project objectives into the project

design, and propose measures to avoid or alleviate negative impacts; and ⑤ to

determine if it is necessary to develop an ethnic minority development for the ethnic

minorities in the affected areas in light of World Bank OP4.10.

In two rounds of fieldwork lasting 8 and 4 days respectively, the SA team

collected all information required for the SA comprehensively by means of FGD with

stakeholders, questionnaire survey, in-depth interview and participatory rural

assessment (PRA), etc. around the above objectives. On September 25 and

November 14, 2009, we analyzed and compiled the collected information, and

completed the first draft of this report on November 21, 2009. At the end of

November 2009, the SA team supplemented relevant information and completed the

revision of this report based on the inputs of World Bank officials, experts of the

international consulting agency and the provincial/prefecture/municipal PMOs.

This SA was conducted with the great support from officials of the Yunnan

Provincial PMO, especially Ms. Guo Ping and Mr. Li Jiangping, the Zhaoyang District

Government, the district PMO and the employers, and the active cooperation of the

villagers/residents at the survey sites, and the relevant Xiang/town/sub-district

authorities. During the SA and the preparation of this report, World Bank expert Ms.

Zhou Meixiang gave valuable comments and inputs. We’d like to express our

heartfelt thanks to the leaders who has worked hard and those assisting with the

survey!

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Contents

Abstract.................................................................................................................................... I

Foreword..............................................................................................................................VIII

1 Background of the Project.............................................................................................3

1.1 Need for the Project....................................................................................................3

1.2 Development objectives of the Project.......................................................................5

1.3 Expected social benefits of the Project.......................................................................5

1.4 Objectives of social assessment..................................................................................7

1.5 Key social factors affecting the fulfillment of project objectives.................................7

1.6 Methodology of social assessment..............................................................................8

1.7 Structure of this report..............................................................................................11

2 Socioeconomic Profile of the Affected Areas............................................................13

2.1 Definition of the affected areas.................................................................................13

2.2 Socioeconomic conditions of the affected areas.......................................................17

2.3 Distribution of population and ethnic groups in the affected areas..........................18

2.4 Poverty in the affected areas.....................................................................................19

3 Overview of Ethnic Minorities and Relevant Policies...................................................22

3.1 Overview of ethnic minorities in the affected areas..................................................22

3.2 Profile of ethnic minorities........................................................................................25

3.3 Policies and regulations on ethnic minorities in the affected areas..........................29

3.4 Comparison of “ethnic minorities” under Chinese and World Bank policy

frameworks.....................................................................................................................32

4. Baseline of Ethnic Minorities Development and Impacts of the Project on Ethnic

Minorities...............................................................................................................................36

4.1 Baseline of ethnic minorities development...............................................................36

4.2 Impacts of the Project on ethnic minorities..............................................................42

5 Stakeholder Analysis........................................................................................................46

5.1 Identification of stakeholders....................................................................................46

5.2 Process of stakeholders’ participation in the Project.................................................47

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5.3 Demand analysis of stakeholders..............................................................................51

6 Project Impact Analysis....................................................................................................61

6.1 Survey Result of the Project Support.........................................................................61

6.2 Project Positive and Negative Impact Analysis..........................................................62

7 Willingness and Ability to Pay.........................................................................................86

7.1 Progress of payment..................................................................................................86

7.2 Analysis of willingness and ability to pay...................................................................89

8. Involuntary Resettlement in the Affected Areas...........................................................95

8.1 Basic information on land utilization and acquisition impacts in the affected areas. 95

8.2 Survey of land acquisition and house demolition arising from the Project.............100

8.3 Involuntary resettlement arising from the Project...................................................103

8.4 Experience in handling involuntary resettlement from past projects......................104

9. Identification and Control of Social Risks...................................................................106

9.1 Identification of social risks.....................................................................................106

9.2 Control of social risks..................................................................................................110

10 Community Participation Strategy..............................................................................132

10.1 Principles and framework for participation...........................................................132

10.2 Participation program for primary stakeholders....................................................133

11 Conclusion, Suggestions and Actions........................................................................152

11.1 Conclusion.............................................................................................................152

11.2 Suggestions............................................................................................................154

11.3 Actions...................................................................................................................157

Appendix I...........................................................................................................................160

Appendix II..........................................................................................................................161

Appendix III.........................................................................................................................163

Annex IV..............................................................................................................................165

1 Background of the Project

1.1 Need for the ProjectYunnan Province is located by the southwest frontier of China, borders on

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Guizhou Province and Guangxi Zhuang Autonomous Region in the east, Sichuan

Province in the north, Tibet Autonomous Region in the northwest, Myanmar, Laos

and Vietnam in the west and south. The province has a territory of 394,000 km2,

including an upland area of 94%. At the end of 2005, the province’s urbanization rate

attained 29.5%. During the 11th 5-year Plan, the province plans to reach an

urbanization rate of 35%, a gross GDP of 522.5 billion yuan, a per capita GDP of

11,360 yuan and an annual GDP growth of 8.5% by 2010.

However, the rapid development of urbanization and tourism has gone beyond

the bearing capacity of the existing urban infrastructure, bringing great challenges to

the overall urban living conditions. Deterioration of urban environment, such as water

degradation in urban rivers, resulting in inland inundation, and a general lack of

urban infrastructure that supports the urbanization process have emerged, which is

especially true in small towns. Although great effort has been paid to pollution

prevention and control in recent years, pollution remains serious in the surface water

and main lakes near the cities in the province.

For many years, the Yunnan Provincial CPC Committee and the provincial

government have been attaching great importance to environmental infrastructure

construction and protection, and committed to strengthening pollution control and

ecological construction. During the 9th and 10th 5-year plans, the Yunnan Environment

Project with focus on the control of Dianchi Lake pollution was implemented using

World Bank lending by constructing a range of sewage and waste treatment facilities,

playing an active role in promoting the integrated regulation of Dianchi Lake pollution

and the environment improvement of key cities.

In order to further promote the integrated regulation of key river basins in the

province, and accelerate the urbanization process of key cities, the provincial

government has sought for World Bank lending actively, and selected 32 projects in

Kunming, Dali, Lijiang and Zhaotong Cities/Prefectures from nearly 100 candidate

projects in 10 cities and prefectures, which constitute the Yunnan Urban

Environmental Project (Phase 1), in light of local development plans and the priorities

supported by the World Bank.

Since 14 subprojects, including the environmental protection and regulation of

Erhai Lake in Dali Prefecture, and environmental infrastructure construction in

Wenshan, Malipo and Maguan Counties, Wenshan Prefecture, are located in the

basins of the upper-reach branches of the cross-border Lancang-Mekong River and

Red River, the subprojects concerning cross-border rivers have been withdrawn from

the proposed Yunnan Urban Environmental Project, and are not implemented for the

moment in light of the applicable provisions of the World Bank, and the consultations

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between the Ministry of Finance and the World Bank. Therefore, according to the

scope of the Project identified in the assessment and the final willingness of the

Employer, the World Bank Financed Yunnan Urban Environmental Project (Phase 1)

consists of 18 subprojects, with an estimated gross investment of 1.22326 billion

yuan, in which a World Bank loan of US$90 million (equivalent to 612.16 million yuan,

the ratio of the US dollar to the RMB being 1:6.8) is under application, accounting for

50% of gross investment, and local counterpart funds will be 611.1 million yuan.

Since the credit line of the World Bank for the Yunnan Urban Environmental

Project is US$150 million, a World Bank loan of US$90 million is under application for

the 18 subprojects of Phase 1, with US$60 million remaining. The Zhaotong

municipality plans to apply for part of this loan for the construction of the Zhaotong

Central City Environmental Construction Project (hereinafter referred to the

“Project”).

Zhaotong Municipality is located on northeastern Yunnan, in the lower Jinsha

River, and at the junction of Yunnan, Sichuan and Guizhou Provinces, bordering

Liangshan Prefecture and Yibin City, Sichuan in the north and west, Bijie Region in

Guizhou in the east, and Qujing, Yunnan in the south. The city has a territory of

23,021 km2, and is located within east longitude 102°52′-105°19′ and north latitude

26°3-28°40′, with a maximum span of 241 km from east to west and 234 km from

south to north.

The construction sites of the Project are located mainly in Zhaoyang District,

Zhaotong, Yunnan, 381 km away from the capital city Kunming of Yunnan, and about

500 km away from the other 3 southwestern central cities Chongqing, Chengdu and

Guiyang by highway. The central city sewage treatment and intercepting sewer

project is located mainly in the northern new area of the city.

The Project consists of 3 components: northern area water supply and pipeline

project, central city sewage treatment and intercepting sewer project and central city

river management project. See Table 1-1 for the scope of the Project.

Table 1-1 Scope of the Project

Project Subproject Scope Employer

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Zhaotong Central C

ity Environm

ental C

onstruction Project

Northern area water supply and pipeline project

(1) Construction of a 23km delivery pipeline (DN1400) from Yudong Reservoir to Taiping Water Treatment Plant;(2) Construction of Taiping Water Treatment Plant with a near-term treatment capacity of 50,000 m3/d and a long-term capacity of 100,000 m3/d;(3) Construction of Qingmen Water Treatment Plant with a near-term treatment capacity of 10,000 m3/d and a long-term capacity of 20,000 m3/d;(4) Construction of the northern area distribution network of 113.38km(5) Structures and supporting facilities for water supply and drainage systems

Zhaotong Water Supply and Sewerage Company

Central city sewage treatment and intercepting

sewer project

(1) ①Northern area supporting sewer pipelines of 61.507km; ②an old urban area sewage pipeline of 29.451km;(2) Expansion of former Zhaotong Sewage Treatment Plant, with a total floor area of 136.8 mu; expansion to the treatment capacity of 20,000 m3/d in the near future using the oxidation ditch process

Zhaotong Water Supply and Sewerage Company

River management

project

Bank protection, reinforcement and regulation of watercourses of 48.162km, including 17.935km for the Liji River system, 30.227km for the Tuwei River system.

Zhaotong Urban Construction

Investment and Development Co.,

Ltd.

1.2 Development objectives of the ProjectThe overall objectives of the Project are to: reduce the pollution load of central①

urban river basins, remove water pollutants and retard environmental deterioration;

accelerate the construction of urban water supply and drainage, and sewage②

treatment systems of the affected towns, and solve water supply, sewage discharge

and treatment problems for residents of the new northern area and the old urban

area; and ③ accelerate urban infrastructure construction, thereby improving the

urban environment, and laying a foundation for urban economic and social

development.

1.3 Expected social benefits of the Project

The expected social benefits of the Project are to: ① reduce the pollution load of

rivers, dredge watercourses, solve the urban inland inundation and river pollution

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problems, and improve the city’s overall image; ② improve the living conditions of

urban residents of the northern area and the urban planning area, and improve the

living environment; and ③ accelerate urban infrastructure construction, improve the

city’s competitiveness, and laying a foundation for urbanization and urban industry

restructuring.

The objectives of the subprojects are to:

1.3.1 Central city river management project

① Accelerating the construction of urban environmental infrastructure in the

basin, and improving the urban environment;

② Eliminating point and non-point source pollution, and solving the urban water

logging problem;

③ Dredging watercourses, improving the flow capacity of watercourses, and

solving the inland inundation problem;

④ Improving river water quality, and solving the agricultural water problem of

the surrounding areas;

⑤ Improving the living environment in the affected areas, and improving the

public awareness of environmental protection in the basin; and

⑥ Improving the living environment and conditions of the residents around the

basin

1.3.2 Central city sewage treatment and intercepting sewer project

① Improving the water drainage conditions of the northern area, and meeting

the demand of economic development and the improvement of people’s standard of

living for drainage facilities;

② Disposing of sewage within the urban planning area properly, and realizing

the conservation and rational utilization of water resources in conjunction with the

river management project;

③ Accelerating urban infrastructure construction, thereby improving the urban

environment, and further promoting urbanization and urban industry restructuring;

④ Improving the urban environment and the city’s overall image

1.3.3 Central city northern area water supply and pipeline project

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① Solving the water problem for the residents in the northern area, and

meeting people’s most urgent need;

② Improving water quality, and ensuring healthy water use;

③ Reducing the usage of water wells, and avoiding the pollution of

groundwater and the waste of water resources;

④ Stimulating the residents’ awareness of environmental protection and

conservation of water resources by imposing water rates;

⑤ Driving the economic development of the new northern area, and attract

more fund inflows; and

⑥ Strengthening the infrastructure construction of the new northern area,

providing more job opportunities, and accelerating urbanization

1.4 Objectives of social assessment

The main objectives of this social assessment are:

① To learn the basic socioeconomic conditions of the affected areas, and

analyze the key social factors affecting the fulfillment of project objectives;

② To identify the primary stakeholders, carry out project activities that involve

them, and analyze their needs and impacts;

③ To assess the positive and negative impacts of the Project, and analyze the

possible social risks of the Project;

④ To include the social factors related to the fulfillment of the project objectives

in the project design, and propose measures to avoid or alleviate negative impacts;

and

⑤ To determine if it is necessary to develop an ethnic minority development for

the ethnic minorities in the affected areas in light of World Bank OP4.10

1.5 Key social factors affecting the fulfillment of project objectives

At the preparatory stage of the social assessment, the social assessment

experts of the World Bank identified the key social factors affecting the fulfillment of

project objectives:

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① The possible key social factors for the river management project include the

behavior of the affected groups, community participation, institutional arrangements,

poverty, willingness and ability to pay, etc.

② The possible key social factors for the Central city sewage treatment and

intercepting sewer project include land acquisition and house demolition, the lifestyle

of the affected groups, poverty, willingness and ability to pay, etc.

③ The possible key social factors for the northern area water supply project

include water source conservation, land acquisition and house demolition, the

lifestyle of the affected groups, poverty, willingness and ability to pay, etc.

④ Ethnic minorities: The social factors of concern include the policies

applicable to ethnic minorities, demographic, social and cultural characteristics, and

lifestyle of ethnic minorities; their specific requirements; the acquisition of the support

of ethnic minority communities for the Project; the proposal of measures that adapt to

ethnic minority cultures to avoid or alleviate negative impacts on ethnic minority

communities.

1.6 Methodology of social assessment

1.6.1 Social survey methods

This social assessment was conducted through a combination of secondhand

literature analysis and fieldwork. In the fieldwork, the social assessment (SA) team

conducted the following activities:

① FGD (FGD): a) The SA team held FGDs with officials of project management

offices (PMOs) at all levels, the project employers and the government agencies

concerned in Zhaoyang District, Zhaotong; b) Village/community FGDs with officials

and the public involving the primary stakeholders were held at each key community

surveyed; FGDs with the primary stakeholders involved those directly and indirectly

affected by the Project, especially representatives of the poor, ethnic minorities and

women. The SA team held 13 FGDs with the primary stakeholders in total.

② Ranking: At the FGDs with officials and the primary stakeholders, the SA

team carried out 9 rankings in respect of needs for, attitude toward, expectations and

8

suggestions for the Project.

③ In-depth interview: In this assessment, typical groups and individuals were

selected from typical communities for survey, and in-depth interview was carried out

in the key communities surveyed and the affected areas, involving a certain

proportion of women, ethnic minorities, poor people, stores and entities. 81 interview

cases were collected and compiled.

④ Drawing: The SA team drew a community map at every key community

surveyed.

Table 1-2 Schedule of fieldwork data of the SA team

Total numberLongquan Sub-district

Beizha TownFenghuang Sub-district

Taiping Sub-district

FGD 13 2 2 4 5

Ranking 9 1 2 3 3

In-depth interview

81 9 18 2727

Drawing 8 1 2 2 3

1.6.2 Selection of survey sites

The survey sites for this social assessment were selected based on the

following criteria: covering both beneficiary and adverse affected populations① ,

including the poor, women and other vulnerable groups; ② paying attention to core

areas adverse affected by the Project, especially those affected by land acquisition

and house demolition; ③ covering the main ethnic minorities in the affected areas; ④

selecting survey sites of different levels of economic development; and ⑤ covering

the protected cultural relics involves in the Project.

Table 1-3 Schedule of Survey Sites and Reasons for Selection

9

Subproject Survey site Reason for selecting this site

River management project

Guanba Community (Longquan Sub-district Office)

The community with the most extensive runoff area of the Liji River being regulated, site of the No.1 sludge drying plant

Fuqiang Community (Taiping Sub-district Office)

Run through by the Yaowan and Xiushui Rivers, seriously polluted, inhabited by Hui and Han people

Shuitangba Community (Taiping Sub-district Office)

In the upper Xiushui and Yaowan Rivers, with serious river silting, site of the No.5 sludge drying plant

Shizhahe Community (Taiping Sub-district Office)

In the upper Tuwei River, with serious river silting

Taoyuan Community (Taiping Sub-district Office)

Site of the No.3 sludge drying plant, temporary land acquisition

Yingfeng Community (Fenghuang Sub-district Office)

In the lower segment of the Dongmen River and the upper segment of the Zhonggou River, seriously polluted, inhabited by Hui and Han people

Xuezhuang Community (Fenghuang Sub-district Office)

In the upper Liji River, run through by the main sewer pipeline

Heping Community (Fenghuang Sub-district Office)

At the middle runoff of the Liji River; the Doumuge Taoist Temple on the river bank may be involved in the Project.

Dengzi Village (Beizha Town)At the upper runoff of the Liji River, rural community

Northern area water supply project

Ping’an Community (Fenghuang Sub-district Office)

Site of Qingmen Waterworks, extensive use of well water

Taoyuan Community (Taiping Sub-district Office)

Site of Taiping Waterworks, moderately developed

Dalongdong Park (Beizha Town)Water source of Qingmen Waterworks, with one ancient Taoist temple being a cultural relic

Shuiping Community (Taiping Sub-district Office)

Site of the booster pump station of Qingmen Waterworks, permanent acquisition of 3.3 mu of land

Central city sewage treatment and intercepting sewer project

Fenghuang Community (Fenghuang Sub-district Office)

Site of the existing sewage treatment plant, partial use of well water

Dengzi Village (Beizha Town)In the upper Liji River, without use of tap water, run through by the main interception pipeline

1.6.3 Data sources

10

The information collected in this assessment includes:

① Firsthand fieldwork data, such as interview information, FGD information,

community resource maps, and videos, etc.;

② Background materials and executive summaries from different levels related

to the Project, such as the proposals for project setup, feasibility study reports, urban

plans, etc.;

③ Official statistics, such as statistical yearbooks of the government agencies

at all levels, and policy documents promulgated, etc.; and

④ Local annals, such as Annals of Zhaoyang District and Annals of Zhaotong

Municipality, etc.

When applying the above-mentioned references, the SA team follows three

principles strictly: First, the latest statistics are used where possible; second,

village/community-level statistics are based on firsthand information collected during

the fieldwork where possible to ensure their objectiveness and accuracy; and third,

relevant issues are analyzed and discussed in consideration of the opinions of the

primary stakeholders, the project management agencies and the project employers in

order to provide a comprehensive and objective picture.

1.7 Structure of this report

The main part of this report consists of 8 chapters, Chapter 1 “Background”

provides an overview of Yunnan’s urban environmental construction, and describes

the objectives, methods and operating process of social assessment.

Chapter 2 “Socioeconomic Profile of the Affected Areas” describes the

macroscopic socioeconomic profile of the locations of the 18 subprojects.

Chapter 4 “Baseline of Ethnic Minorities Development and Impacts of the Project

on Ethnic Minorities” aims to analyze the development status of the ethnic minorities

in the affected areas, identify the impacts of the Project on them, and judge if it is

necessary to prepare a separate ethnic minority action plan.

Chapter 4 “Stakeholder Analysis” reveals the process of the SA team identifying

the stakeholders and conducting free, prior and informed consultation with the

11

primary stakeholders, and analyzes the needs of the stakeholders.

In Chapter 5 “Project Impact Analysis”, the SA team makes an analysis of the

positive and negative impacts of the Project on the primary stakeholders, especially

the displaced persons, the poor and other special stakeholders.

In Chapter 6 “Willingness and Ability to Pay”, the SA team reviews and sums up

the progress of payment of the relevant expenses in the affected areas, and analyzes

the willingness and ability to pay of the affected groups.

In Chapter 8 “Involuntary Resettlement in the affected Areas”, the SA team seeks

to identify and define the quantity, distribution and composition of involuntary

resettlement arising from the Project, and propose the corresponding measures on

the basis of reviewing and summarizing the past resettlement policies in the affected

areas.

In Chapter 9 “Identification and Control of Social Risks”, the SA team identifies

the 8 potential risks of the Project, and drafts risk control measures, and the

institutional arrangements and monitoring and evaluation activities intended to

implement such measures.

In Chapter 10 “Community Participation Strategy”, the SA team prepares the

Framework for Community Participation in the Project and the Participation Outline of

the Primary Stakeholders to ensure that the primary stakeholders are involved in the

whole project lifecycle.

In Chapter 11 “Conclusion, Suggestions and Actions”, the social benefits and

risks of the Project are summed up, and the corresponding suggestions and actions

to avoid such risks are proposed.

12

2 Socioeconomic Profile of the Affected Areas

2.1 Definition of the affected areas

The Project involves Zhaoyang District, Zhaotong. Zhaoyang District in the

Zhaotong Central City was converted from a municipality into a district in 2001, and

presently governs 3 sub-district offices (Longquan, Taiping, Fenghuang), 3 towns

(Yongfeng, Beizha, Jiupu), 14 Xiangs (Buga, Shouwang, Xiaolongdong, Panhe,

Jing’an, Qinggangling, Sayu, Leju, Sujiayuan, Sujia, Dashanbao, Dazhaizi, Yanshan,

Tianba), 129 village committees and 49 neighborhood committees.

First, the central city river management project includes river management by

taking such measures as dredging, expansion, dyke reinforcement and

reconstruction, and revetment construction depending on the present condition of the

rivers, and removal, modification or expansion of water-blocking structures, such as

bridges and overflow dams that affect river flow capacity. This subproject covers the

trunk stream of the Liji River, and the urban part of the trunk and branch streams of

the Tuwei River, including its branch streams the Dongmen Small River, the Yaowan

River and the Xiushui River. The total managed length of the central city river

management project is 48.162km.

Table 2-1 Scope of river management

No. NameLength

(km)Managed length

(km)Range of management

Total 84 48.162 　I

Liji River water system

27.1 17.935From the junction of the Liji and Zhaolu Rivers to the end of the flood discharge facility of the Beizha Reservoir

IITuwei River water system

56.9 30.227 　1

Tuwei River water system

28.1 19.638From the junction of the Zhaolu and Tuwei Rivers to the railway station

2 Xiushui River 12.4 4.329From the junction of the Yaowan and Xiushui Rivers to the airport

3 Yaowan River, a branch stream of

13.7 5.06 From the junction of the Yaowan and Tuwei River to Taiping Commune 9

13

Tuwei River

4Dongmen Small River

2.7 1.2From Zhaotong Normal College to the junction of the Dongmen Small River and the trunk stream of the Tuwei River

① The Liji River has a full length of 27.1km and a managed length of 17.9km,

ranging from the junction of the Liji and Zhaolu Rivers to the end of the flood

discharge facility of the Beizha Reservoir.

② The truck stream of the Tuwei River has a full length of 28.1km and a

managed length of 19.6km, ranging from the junction of the Zhaolu and Tuwei Rivers

to the railway station.

③ The Xiushui River has a full length of 12.4km and a managed length of

4.33km, ranging from the junction of the Yaowan and Xiushui Rivers to the airport.

④ The Yaowan River, a branch stream of the Tuwei River, has a full length of

13.7km and a managed length of 5.06km, ranging from the junction of the Yaowan

and Tuwei River to Taiping Commune 9.

⑤ The Dongmen Small River has a full length of 2.7km and a managed length

of 1.2km, ranging from Zhaotong Normal College to the junction of the Dongmen

Small River and the trunk stream of the Tuwei River.

Managed river length is 56.504km, including 18km in the Liji River water system,

29.864km in the Tuwei River water system and 8.64km for the Dahuashu flood

diversion channel.

Second, the northern area water supply and pipeline project includes

construction of a 23km delivery pipeline (DN1400) from Yudong Reservoir to Taiping

Water Treatment Plant, construction of Taiping Water Treatment Plant with a near-

term treatment capacity of 50,000 m3/d and a long-term capacity of 100,000 m3/d;

construction of Qingmen Water Treatment Plant with a near-term treatment capacity

of 10,000 m3/d and a long-term capacity of 20,000 m3/d; construction of the northern

area drainage network of 107.9km; and construction of structures and supporting

facilities for water supply and drainage systems. The aim is to attain an additional

water supply capacity of 60,000 tons/day, and provide domestic and drinking water to

14

all residents in the northern area of Zhaotong Central City.

Third, in the central city sewage treatment and intercepting sewer project, a

sewage pipeline of 74.1km, an old urban area sewage pipeline of 20.9km and an

along-river intercepting sewer pipeline of 64.35km will be built, former Zhaotong

Sewage Treatment Plant will be expanded to a total floor area of 136.8 mu, and

treatment capacity will be expanded to 20,000 m3/d in the near future using the

oxidation ditch process. This project will serve an urban population of 486,200 in the

near term (2020) and692,500 in the long term (2030).

15

Table 2-1 Schedule of affected areas (2008)

Subproject City/district

Is it a poor city/

district?

Is it an ethnic

minority city/

district?

Number of Xiangs/

towns/ sub-districts

Xiangs/ towns/ sub-districtsTotal beneficiary

population

Urban beneficiary population

Rural beneficiary population

Temporary population

River management project

Zhaoyang District, Zhaotong

Yes No 7

Longquan Sub-district, Taiping Sub-district, Fenghuang Sub-district, Beizha Town, Xiaolongdong Xiang, Yongfeng Xiang, Shouwang Xiang

318,192 110,158 169,288 38,746

Northern area water supply project

Zhaoyang District, Zhaotong

Yes No 7

Longquan Sub-district, Taiping Sub-district, Beizha Town, Fenghuang Sub-district, Xiaolongdong Xiang, Yongfeng Xiang, Shouwang Xiang

303,821 109,848 155,227 38,746

Central city sewage treatment and intercepting sewer project

Zhaoyang District, Zhaotong

Yes No 7

Fenghuang Sub-district, Taiping Sub-district, Longquan Sub-district, Beizha Town, Yongfeng Town, Xiaolongdong Xiang, Shouwang Xiang

318,192 110,158 169,288 38,746

16

Figure 2-1 Distribution of the affected areas

2.2 Socioeconomic conditions of the affected areas

Zhaoyang District, Zhaotong was changed from a prefecture to a municipality

2001, and governs 3 sub-district offices (Longquan, Taiping, Fenghuang), 3 towns

(Yongfeng, Beizha, Jiupu), 14 Xiangs (Buga, Shouwang, Xiaolongdong, Panhe,

Jing’an, Qinggangling, Sayu, Leju, Sujiayuan, Sujia, Dashanbao, Dazhaizi, Yanshan

and Tianba), 129 village committees and 49 neighborhood committees. In 2008, the

district’s total population was 805,400, including an agricultural population of 680,500

and an ethnic minority population of 131,800, with a natural population growth rate of

17

9.0‰. The population of the urban district as the seat of the municipal government is

230,000. The district’s GDP was 8.847 billion yuan, up 10.5% year on year, and per

capita GDP 11,100 yuan, up 11.4%. The district’s local general fiscal budgetary

revenue 300.96 million yuan, up 35.78%, and general budgetary expenditure 1.11959

billion yuan, up 39.48%. The per capita disposable income of urban residents was

10,449 yuan, up 12.56%; and the per capita net income of farmers 2,496 yuan, up

23.76%.

2.3 Distribution of population and ethnic groups in the affected areas

2.3.1 Distribution of population in the affected areas

Zhaotong Central City is the seat of the Zhaotong CPC Committee and Municipal

Government, and the political, economic and cultural center of the municipality. The

district has a total area of 2,167km2, in which mountain areas account for 64%, dam

areas 33.6% and river valleys 2.1%, with altitude ranging from 3,364m to 494m. The

district governs 20 Xiang/town offices, 9,129 village committees and 49 neighborhood

committees. By the end of 2008, the district’s total population was 805,441, including

an ethnic minority population of 131,793, accounting for 16.46% of the district’s total

population. The district’s gross grain output was 23.8928 trillion kg, per capita grain

possession 296kg, per capita net income 2,495 yuan, up 23.76%.

Table 2-3 Population distribution in the affected areas (2008)

Sub-district office / town

Total population (10,000)

Agricultural population (10,000)

Percentage of agricultural population, %

Ethnic minority population (10,000)

Percentage of ethnic minority population, %

Longquan Sub-district Office

7.13 2.61 37 0.56 7.0

Fenghuang Sub-district Office

9.59 3.83 40 1.20 12.0

Beizha Town 5.11 4.90 95 0.17 3.3

Taiping Sub-district Office

6.35 5.68 89 0.36 6.5

Shouwang Xiang 4.37 4.24 97 3.12 71.3

18

Xiaolongdong Xiang 3.27 3.18 97 2.68 81.9

Yongfeng Town 4.15 4.15 100 0.61 14.7

2.4 Poverty in the affected areas

In this report, rural poor population refers to the population whose annual per

capita net income is lower than the rural minimum living standard line of the affected

areas/counties and urban poor population refers to the population whose per capita

monthly income is lower than the local urban minimum living standard line.

① Urban poverty: The urban minimum living standard line in the affected areas is

130 yuan.

② Rural poverty: The rural minimum living standard line in the affected areas is

693 yuan for annual per capita net income①.

There are 17 poverty-stricken Townships and 79 poverty-stricken villages in

Zhaoyang District, Zhaotong Municipality which belongs to state-level poverty-

stricken counties/districts. However, in general, three sub-districts and four

Townships in the project implementation site and the affected areas are located in the

city proper or Townships around the city proper, so they are not specially poverty-

stricken areas and even some areas are the ones with the best economic situation in

the whole Zhaoyang District. In terms of horizontal comparison for project sites, there

is a big gap between the rich and poor in the same neighborhood or Townships, in

particular to the development of northern areas of Zhaoyang District, which causes

some farmers from the three sub-districts and four Townships to lose their land, thus

becoming land-expropriated farmers or peasant-change-resident group, who are at a

disadvantage in the whole Project. Along with the further development of northern

areas of Zhaoyang District, more and more farmers in the three sub-districts and four

Townships are to be urban residents because their land are to be expropriated and

thus become the potential vulnerable group in the city. In the three sub-districts and

four Townships, the economic development of Townships is worse than that of

neighborhoods and the poverty status in descending order is Xiaolongdong Xiang,

Beizha Town, Yongfeng Xiang, Shouwang Xiang, Taiping Sub-district, Longquan Sub-

19

district and Fenghuang Sub-district. Although there are some land-expropriated

farmers or peasant-change-resident farmers in the three sub-districts, they are able

to obtain the rent of their self-built houses or income dividend from village-run and

neighborhood-run enterprises as their land has been expropriated for urban land. On

account of the rural residents who are losing their land at the present stage,

Zhaoyang District People’s Government makes great efforts to solve the housing and

living problems of land-expropriated farmers by integrating the construction of

resettlement allocation districts with the planning of the matching commerce facilities.

The poor population of 16,300 in the whole District which accounts for 5.82% of

the total beneficiaries of the Project will benefit from the Project, of which, the rural

poor population who benefits from the Project amounts to 12,600. In the Taiping Sub-

district, the rural population who benefits from the Project is 3,740, the urban

population is 1,113 and the poor population who benefits from the Project accounts

for 6.41% of the total beneficiaries in the Taiping Sub-district; In the Longquan Sub-

district, the rural population who benefits from the Project is 2,703, the urban

population is 901 and the poor population who benefits from the Project accounts for

3.04% of the total beneficiaries in the Longquan Sub-district; In the Fenghuang Sub-

district, the rural population who benefits from the Project is 3,105, the urban

population is 1,179 and the poor population who benefits from the Project accounts

for 3.62% of the total beneficiaries in the Longquan Sub-district; In Beizha Town, the

rural population who benefits from the Project is 1,665, the urban population is 493

and the poor population who benefits from the Project accounts for 8.63% of the total

beneficiaries in Beizha Town; In Yongfeng Xiang, the rural population who benefits

from the Project is 247 and the poor population who benefits from the Project

accounts for 9.20% of the total beneficiaries in Yongfeng Xiang; In Xiaolongdong

Xiang, the rural population who benefits from the Project is 493 and the poor

population who benefits from the Project accounts for 8.77% of the total beneficiaries

in Longquan Sub-district; In Shouwang Xiang, the rural population who benefits from

the Project is 634 and the poor population who benefits from the Project accounts for

20

4.07% of the total beneficiaries in the Longquan Sub-district. The situation about the

poor population in the affected areas who benefits from the Project refers to Table 2-

4:

Table 2-4 Schedule for the situation about the poor population in the affected

areas who benefits from the Project (2008)

Location

Population under the coverage of the subsistence allowance in the affected areas

Rural poverty line (yuan/year)

Rural poor population in the affected

areas

Number of poor villages

in the affected areas

Ratio of poor beneficiaries (%)

Taiping Sub-district

1,113

6931

3,740 7 6.41

Longquan Sub-district

901 2,703 11 3.04

Fenghuang Sub-district

1,179 3,105 6 3.62

Beizha Town

493 1,665 4 8.63

Yongfeng Xiang

0 247 1 9.20

Xiaolongdong Xiang

0 493 1 8.77

Shouwang Xiang

0 634 3 4.07

Total 3,686 12,587 33 5.82

1 Source: Zhaoyang District Bureau of Statistics

21

3 Overview of Ethnic Minorities and Relevant Policies

3.1 Overview of ethnic minorities in the affected areas

3.1.1 Overview of distribution of ethnic minorities in Zhaoyang District

Yunnan Province which is situated in Southwest China is bordered by Guizhou

Province and Guangxi Zhuang Autonomous Region to the east, Sichuan Province to

the north, Tibetan Autonomous Region to the northwest, Burma, Laos and Vietnam to

the west and the south. In the whole province, there are 16 prefectures and cities,

and 129 counties, cities and districts, of which, there are 29 ethnic minority

autonomous counties. At the end of 2005, the province had the total population of

44.15 million, of which, 11.639 million for urban population and 32.117 million for

villagers. Yunnan Province is the province characterized by the most ethnic minorities

and most widely distributed ethnic minorities: 25 ethnic minorities are out of above

5,000 people and the population of ethnic minorities accounts for 33.4% of the total

population in Yunnan Province.

There are 20 sub-district offices in Zhaoyang District, Zhaotong Municipality, of

which, there are four ethnic Townships: Buga Hui Xiang, Shouwang Hui Xiang,

Xiaolongdong Hui and Yi Xiang and Qinggangling Hui and Yi Xiang, and there are 22

ethnic villages including 17 ones in ethnic Townships and 5 in non- ethnic Townships.

The District mainly consists of the Hui, Yi and Miao ethnic minorities with the total

population of 805,400, of which, there are 131,793for the population of ethnic

minorities: 103,134 for the Hui people, 20,028 for the Yi people and 6,884 for the

Miao people and there are 1,493 for the population of other ethnic groups, which

accounts for 16.36% of total population in the District. Ethnic minorities are

distributed in 20 sub-district offices, but they mainly live in 42 village committees and

242 unincorporated villages (settlements). 10% of ethnic minorities live in dam areas,

2.1% live beside river valleys and 87.9% live in semi-mountain areas and highly cold

Liangshan areas, mixing with the Han people, which take on the pattern of more

dispersion and less concentration.

22

Table 3-1 Distribution of ethnic minorities in Zhaoyang District (2008)

District TotalHui people

Yi peopleMiao people

Zhuang people

Buyi people

Bai people

Others

Longquan 5,569 3,965 969 279 33 15 118 190

Fenghuang 8,966 6,674 1,496 292 43 31 176 254

Taiping 4,136 2,601 1,215 80 18 6 53 163

Beizha 2,540 1,050 1,459 10 0 0 12 9

Jiupu 1,925 141 1,701 24 7 3 12 37

Yongfeng 6,102 4,703 1,332 37 6 0 1 23

Shouwang 31,150 31,088 43 3 0 0 1 15

Xiaolongdong 26,848 25,036 1,310 480 0 0 0 22

Leju 385 11 362 2 0 0 2 8

Sujiayuan 965 11 839 86 12 1 3 13

Sayu 2,291 15 1,852 380 22 0 2 20

Jing’an 6,201 3,773 1,775 626 1 3 3 20

Qinggangling 8,206 5,749 2,295 155 0 1 0 5

Buga 18,598 18,305 55 223 1 0 0 14

Panhe 3,117 9 366 2,734 3 0 1 4

Sujia 1,315 0 888 421 1 0 0 5

Dazhaizi 1,164 0 1,105 37 0 2 1 19

Dashanbao 1,519 0 707 786 0 0 1 25

Yanshan 485 1 421 16 32 1 3 11

Tianba 312 2 92 213 1 0 0 4

Source: Zhaoyang District Bureau of Statistics

3.1.2 Distribution for the population of ethnic minorities in the affected areas

The total population of main ethnic minorities in the affected areas is 85,311,

accounting for 21.47% of total population in the affected areas. In addition, the Hui

people with the population of 75,117 account for the most in the ethnic minorities and

second, Yi people, Miao people and Bai people in order.

Distribution and composition for the population of ethnic minorities in the affected

areas refer to the following table:

23

Table 3-2 Distribution for the population of ethnic minorities in the affected areas (2008)

Unit: Person

Ethnic Group Longquan Sub-district

Taiping Sub-district

Fenghuang Sub-district

Beizha Town Yongfeng Xiang Xiaolongdong Xiang

Shouwang Xiang

①Total population at the end of the year

71,361 63,516 95,908 48,638 41,515 32,762 43,704

②Population of ethnic minorities

5,569 4,136 8,966 2,540 6,102 26,848 31,150

Hui people 3,965 2,601 6,674 1,050 4,703 25,036 31,088

Yi people 969 1,215 1,496 1,459 1,332 1,310 43

Miao people 279 80 292 10 37 480 3

Bai people 118 53 176 12 1 0 1

Zhuang people 33 18 43 0 6 0 0

Buyi people 15 6 31 0 0 0 0

Others 190 163 254 9 23 22 15

Source: Zhaoyang District Bureau of Statistics

24

3.2 Profile of ethnic minorities

3.2.1 Ethnic minorities which conform to OP4.10 policies

The World Bank has always attached great importance to maintain rights &

interests of residents affected by the Project, in particular to ethnic minorities and

other vulnerable groups and thus specially formulated Operational Policy of the World

Bank OP4.10 (ethnic minority). Based on the complexity of the situation about “ethnic

minority” in different countries and the difference about the definition of “ethnic

minority” in different countries, a clear and uniform definition of “ethnic minority” isn’t

given in the OP4.10. However, it is mentioned in the OP4.10: in this policy, the word

of “ethnic minority” refers to the unique and vulnerable culture groups when it is used

as a general meaning and boasts the following characteristics on different degree:

(1) Self- identified to be one of a particular ethnic minority and the identification is

also identified by others;

(2) Collectively leeching on to the inhabited areas with unique geographical

features or dominions handed down from their ancestors in the affected areas and

the natural resources in these inhabited areas and dominions;

(3) Having a traditional cultural, economic, social or political system differing from

mainstream society and culture;

(4) Having a minority language differing from the native language or official

language in the district.

As mentioned above, “ethnic minority” addressed by the Operational Policy of

the World Bank is endowed with the key characteristics in three aspects: ①

subjective identification, namely, “ethnic minority” must have the ethnic

consciousness differing themselves from the main ethnic group and other people/

ethnic groups in their countries/places also identify the division; ② objective

distinction, namely, “ethnic minority” must have traditional culture, economy, social or

political system differing from mainstream society and culture as well as unofficial

unique language; ③ “ethnic minority” must collectively leech on to an inhabited area

with unique geographical features or dominion handed down from their ancestors

and the endowment of natural resources which are the base for them to maintain

25

their traditional culture, economy, social or political system; Otherwise, ethnic

minorities will lose the groundwork for maintaining their uniqueness.

In accordance with the above-mentioned standards, the SA team identifies the

situation about ethnic minorities in the affected areas. Hui, Yi, Miao, Zhuang and Buyi

people in the affected areas of central city river management project, northern area

water supply and pipeline project, and central city sewage treatment intercepting

sewer project are ethnic minorities living in scattered areas of cities and have

harmonious cultural characteristics with the main ethnic group in the affected areas;

in addition, Han people can be spoken in the affected areas, so the SA team believe

that OP4.10 policies about ethnic minority shall be not applicable in the above-

mentioned affected areas. Each subproject has been identified whether they are fit

for the ethnic minority policies in Table 3-1 based on ethnic minority policies and

standards of the World Bank.

26

Table 3-1 Profile of ethnic minorities in the affected areas

SubprojectEthnic minorities involved in the

Project

Cultural feature

Ethnic minority habitats in the affected areas

Language InhabitationDoes

OP4.10 apply?

Number of towns/ Xiangs

NameNumber of

poor villages

Central city river

management project

25 ethnic minorities,

including Hui, Yi, Miao, Zhuang, Buyi, Naxi and

Lisu

Largely identical with the

dominant ethnic group

Han

7

Beizha Town, Longquan Sub-district, Fenghuang Sub-district, Taiping Sub-district, Yongfeng Town, Shouwang

Xiang, Xiaolongdong XiangScattered in urban and rural areas

33 Chinese

A small number of Hui people inhabit Fenghuang Sub-district, Taiping Sub-district, Shouwang Xiang, Xiaolongdong Xiang and

Yongfeng Town

No

Northern area water supply

project

25 ethnic minorities,

including Hui, Yi, Miao, Zhuang, Buyi, Naxi and

Lisu

Largely identical with the

dominant ethnic group

Han

7

Beizha Town, Longquan Sub-district, Taiping Sub-district, Fenghuang Sub-district, Yongfeng Town, Shouwang

Xiang, Xiaolongdong XiangScattered in urban and rural areas

28 ChineseA small number of Hui people inhabit Taiping

Sub-districtNo

Central city sewage

treatment and intercepting

sewer project

25 ethnic minorities,

including Hui, Yi, Miao, Zhuang, Buyi, Naxi and

Lisu

Largely identical with the

dominant ethnic group

Han

7

Beizha Town, Longquan Sub-district, Fenghuang Sub-district, Taiping Sub-district, Yongfeng Town, Shouwang

Xiang, Xiaolongdong XiangScattered in urban areas

33 Chinese

A small number of Hui people inhabit Fenghuang Sub-district, Taiping Sub-district, Shouwang Xiang, Xiaolongdong Xiang and

Yongfeng Town

No

Source: fieldwork of the SA team

27

3.2.2 Cultural characteristics of the main ethnic minorities in the affected areas

Zhaoyang District belongs to the scattered living area of ethnic minorities. Less

population of ethnic minorities in the affected areas is affected and only some

resident groups in Fuqiang Community and Yingfeng Community belong to the

settlement community of Hui; Yi, Hui and Miao people in other affected areas account

for less number and keep the close intermarriage relation with other ethnic groups

with similar living mode and endowment of resources, so they are not much different

from other Han residents. In the settlement community of Hui people, they still

maintain their own customs and cultural traditions and good relations with Han

people and other ethnic groups without conflicts and have no discrepancy with other

ethnic groups in resource possession and social and economic development level.

Table 3-3 Schedule of traditional cultures of ethnic minorities in the affected areas

No.Ethnic Group

Traditional Cultural Characteristics of Ethnic Minorities

1Hui people

① History: People entered into Kunming in the Yuan Dynasty and a great more number of people settled here in the Ming and Qing dynasties.

② Language: Hui people usually speak Chinese language and write Chinese characteristics because their dialect is similar to the Chinese language, but they maintain Arabic and Bosnian words.

③ Religion: The entire population believes in Islam, and mosques can be found in centralized big villages or scattered small villages where Hui people lives in.

④ Social organization: They usually marry people within the same ethnic group and men or women must believe in Islam if they marry Hui people.

⑤ Economy: Hui people are adept in engaging in handicraft industry, raising beef cattle and running businesses, etc.

⑥ Others: They wear the same clothes with Han people: men wear white hat and women wear veil; festivals: Hari Raya, Corban and Shengji Festival of Islam as well as Dragon Boat Festival, Torchlight Festival, Autumn Commences Festival, the Mid-Autumn Festival and Spring Festival.

2 Yi people ① History: Lifetime resident clan, four prefectures and cities are one of areas for Yi people with the earliest reproduction. Ancients of Yi people engaged in businesses along the Jinsha River since the earliest days of the Yin and Shang dynasties.

② Language: Language of Yi people and Han people can be spoken and the language is attached to the Yi branch, the Tibet-Burmese group of the Sino-Tibetan language family, and belongs to sub-dialect of northeastern Yunnan in dialect.

③ Religion: Mainly believing in primitive religion, covering animistic nature worship,

28

No.Ethnic Group

Traditional Cultural Characteristics of Ethnic Minorities

ghost worship and ancestor worship, in particular to ancestor worship. At the beginning of 20th Century, Christianity was introduced into the area and attracts more and more people.

④ Social organization: They can marry Han people. The families of Yi people are mostly nuclear families and their parents usually live with children.

⑤ Economy: Yi people specializes in crop farming and is located in mountain area and highly cold mountain area.

⑥ Others: Although Han Chinese clothing is popular, they usually wear national dresses; traditional festivals: Torch Festival, Spring Festival holidays and Autumn Commences Festival; people who live in dam areas also celebrate Dragon Boat Festival and the Mid-Autumn Festival. Moreover, GanYi people has been in habit of celebrating the Flower-Mountain Festival on May 24, with the form same to Autumn Commences Festival celebrated by Bai Yi people. People who believe in Christianity shall not pray to the ancestors and the gods in the above festivals and they additionally celebrate Easter and Christmas.

3Miao people

① History: It originated from southern “barbarian” tribe and keeps close relation with “Jiuli”, “Sanmiao” and “barbarian” tribe in the age of teras. After “the Uprising of Qianjia” in the period of Qing Emperor Yongzheng, some Miao people settled in Wenshan Area via Xingyi City and live with various ethnic groups, gradually becoming one of the main ethnic minorities in Wenshan Area.

② Language: Miao language and Chinese language are popular and Miao language is used within Miao people. In the affected areas, Miao language belongs to Miao branch of the Sino-Tibetan Family and Southern Branch and Miao dialects of Sichuan, Guizhou and Yunnan are commonly used.

③ Religion: Nature worship (respect heaven and earth and believe in ghosts and gods), ancestor worship, polytheism (Legend of The Mountain, Legend of The Ocean, Cow Devil and Door Access Pig Devil) and Catholicism.

④ Social organization: They mainly marry the people of Miao people and recently the intermarriage through ethnic identity is ever increasing. Nuclear families are popular and patrilineal families are formed through blood relationship.

⑤ Economy: They engage in agriculture and live in mountain areas or semi-mountainous areas and most of them inhabit in villages or scattered houses.

⑥ Others: Spring Festival, the Flower-Mountain Festival and Offering a Sacrifice to Dragon.

3.3 Policies and regulations on ethnic minorities in the affected areas

3.3.1 State policies and regulations

The General Rules of the Constitution of the People’s Republic of China

stipulates that regional national autonomy means organs of self-government are

29

established at national autonomous areas to exercise powers of autonomy under the

unified leadership of the state, which embodies the state policy to respect and protect

the minority nationalities’ rights to mange their internal affairs, and the principle of

equality, unity and co-prosperity among different nationalities.

The Law of the People’s Republic of China on Regional National Autonomy is

the basic law on the implementation of the system of regional national autonomy

stipulated by the Constitution. The articles relating to the scope of the Project are:

Article 10 The organs of self-government of national autonomous areas shall

guarantee the freedom of the nationalities in these areas to use and develop their

own spoken and written languages and their freedom to preserve or reform their own

folkways and customs.

Article 11 The organs of self-government of national autonomous areas shall

guarantee the freedom of religious belief to citizens of the various nationalities.

Article 12 Autonomous areas may be established where one or more minority

nationalities live in concentrated communities, in the light of local conditions such as

the relationship among the various nationalities and the level of economic

development, and with due consideration for historical background. Within a national

autonomous area, appropriate autonomous areas or nationality townships may be

established where other minority nationalities live in concentrated communities.

Article 21 While performing its functions, the organ of self-government of a

national autonomous area shall, in accordance with the regulations on the exercise of

autonomy of the area, use one or several languages commonly used in the locality;

where several commonly used languages are used for the performance of such

functions, the language of the nationality exercising regional autonomy may be used

as the main language.

Article 22 In accordance with the needs of socialist construction, the organs of

self-government of national autonomous areas shall take various measures to train

large numbers of cadres at different levels and various kinds of specialized

personnel, including scientists, technicians and managerial executives, as well as

skilled workers from among the local nationalities, giving full play to their roles, and

30

shall pay attention to the training of cadres at various levels and specialized and

technical personnel of various kinds from among the women of minority nationalities.

Article 25 Under the guidance of state plans, the organs of self-government of

national autonomous areas shall independently arrange for and administer local

economic development.

Article 28 In accordance with legal stipulations, the organs of self-government of

national autonomous areas shall manage and protect the natural resources of these

areas. The organs of self-government of national autonomous areas shall protect and

develop grasslands and forests and organize and encourage the planting of trees

and grass. Destruction of grasslands and forests by any organization or individual by

whatever means shall be prohibited. In accordance with legal stipulations and unified

state plans, the organs of self-government of national autonomous areas may give

priority to the rational exploitation and utilization of the natural resources that the

local authorities are entitled to develop.

Article 48 The organ of self-government of a national autonomous area shall

guarantee equal rights for the various nationalities in the area. The organ of self-

government of a national autonomous area shall unite the cadres and masses of the

various nationalities and give full play to their initiative in a joint effort to develop the

area.

Article 49 The organ of self-government of a national autonomous area shall

persuade and encourage cadres of the various nationalities to learn each other's

spoken and written languages of the local minority nationalities. While learning and

suing the spoken and written languages of their own nationalities, cadres of minority

nationalities should also learn Mandarin and the written Chinese language commonly

used throughout the country. Awards should be given to state functionaries in

national autonomous areas who can use skillfully two or more spoken or written

languages that are commonly used in the locality.

Article 50 The organ of self-government of a national autonomous area shall

help other minority nationalities living in concentrated communities in the area

establish appropriate autonomous areas or nationality townships.

31

In addition, the Land Management Law and the Law on Land Contract in Rural

Areas of the People’s Republic of China are also the legal basis and institutional

guarantee on ethnic minorities land use rights in the affected areas.

3.3.2 Local policies and regulations

In this province inhabited by multiple ethnic groups, the provincial government

and the administrative organs thereunder have formulated a series of policies and

regulations for ethnic minorities, such as Some Provisions of Yunnan Province on the

Enforcement of the Law on Regional National Autonomy (Tentative), which stipulates

how to implement the Law on Regional National Autonomy according to the practical

situation in Yunnan. The autonomous prefectures and counties have enacted their

respective ordinances of autonomy to stipulate the main duties of the autonomous

organs.

3.4 Comparison of “ethnic minorities” under Chinese and World Bank policy

frameworks

There is one common ground for the identification about ethnic minority in the

policies of China and the World Bank: namely, the identity of ethnic minority must

firstly be a subjective identification and the subjective identification isn’t the

proposition only proposed by the ethnic minority, but is identified by the other

members of the society in the meantime. However, there are some significant

differences between the two parties:

(1) “Ethnic minority” in the policies of the World Bank has an objective distinctive

feature, namely, they are unique culture group and boast traditional culture, economy,

social or political system differing from mainstream society and culture; and

obviously, the highlighted distinctive feature is the current reality and truth. In China,

ethnic minorities are ethnic minorities because they objectively maintain the cultural

features differing from that of Han people on different degrees, such as Yi people and

Miao people; in addition, they may ever have unique social culture and those

features can be verified by historical documents, cultural relics, oral folk data, etc. but

32

in the current time, those features are unclear and even lost, such as Hui people,

ethnic minorities in cities, etc. In brief, “ethnic minority” cared about by the World

Bank is based on reality and highlights its specific circumstances; “ethnic minority”

identified by China is based on historical facts and is the identity which is affirmed by

national laws and can be inherited throughout generations, having nothing to the

actual circumstances of the whole ethnic minority and individuals.

(2) “Ethnic minority” in the policies of the World Bank is highlighted to be

endowed with vulnerability. The vulnerability originates from the following aspects

that they have less population and economy, social or political system differing from

that of mainstream society; one the one hand, they have difficulty in smoothly sharing

opportunities of the mainstream society; on the other hand, they are easy to be

assimilated by mainstream society and culture, consequently, they take on

vulnerability in the capability of maintaining their own features and obtaining

development opportunities. By contraries, ethnic minorities in China have their own

delegates in every levels of national political life as per the Constitution and the Law

of the Peoples Republic of China on Regional National Autonomy, and autonomy of

minority nationalities is commonly carried out in their relatively settled provinces,

prefectures (cities), counties (districts) and towns; what’s more, ethnic minorities

develop their economy and culture according to their will and obtain policy support

from the governments of higher levels and the central government, therefore, ethnic

minorities in China are not vulnerable groups whatever in national or local political,

economic and social lives.

(3) The policies of the World Bank emphasizes that “ethnic minorities”

collectively leech on to an inhabited area with unique geographical features or

dominion handed down from their ancestors and the endowment of natural

resources; in other words, ethnic minorities settle in an inhabited area with unique

geographical features or dominion handed down from their ancestors and rely on

natural resources for making a living, living together and thus enable to keep their

unique traditional culture, and social, economic or political system. In China, ethnic

33

minorities and Han people have formed the distribution pattern of “more dispersion

and less concentration”, moreover, there is less situation that the single ethnic group

or communities live singly in the areas of different levels and ranges in provinces,

prefectures (cities), counties (districts) and even in the most of villages, and different

ethnic groups also live together. In addition, individual property of basic means of

production, such as land, has been carried out among the most areas of ethnic

minorities in the Qing dynasty in China and only a part of barren hills and slopes,

forestry as well as some areas which are forbidden to be developed because they

are regarded to be saint mountain and water are possessed by village collective. In

the 1950s, state ownership and collective ownership were carried out for territorial

resources. The operational right of the land possessed by the collective was ever

dominated by village collective and was transferred to the farmers until 1980s by

means of contracting. That is to say, for more than a century, ethnic minorities in

China haven’t had collectively occupied and used natural resources in their inhabited

areas based on ethnic group or communities.

(4) It is pointed out in the policies of the World Bank that “ethnic minorities” often

have their own minority languages different from country or local official languages,

and speaking the unofficial language isn’t the past fact, but the present situation of

language. Having complex meanings, the present situation of language not only

means that minority languages are the important tool for people of ethnic minorities

to communicate with each other, maintain the important link of identification and an

important carrier of ethnic group culture, so they are important contents which need

ethnic minorities to live together to maintain and inherit traditional culture; but also

means that due to depend on the native language, a majority of people or a part of

people of ethnic minorities lack opportunities of learning and speaking official

language, so they have difficulty in smoothly communicating with mainstream society

and maintaining their rights to know and to participate in owing to language barrier;

language barrier causes the people of ethnic minorities to enhance their dependency

among them and show their vulnerability in facing the outer world, especially

34

mainstream society. In China, although possessing or speaking minority languages

different from national or local official language or not is a basis for identifying ethnic

minorities, it isn’t a necessary condition and present truth because most of Hui

people, Bai people and a part of Zhuang people, Buyi people and Yi people, in

particular to scattered ethnic minorities, don’t take minority languages as a basis to

identify the ethnic minorities.

This report confirms that the current policy and law framework of China and the

related operational policies of the World Bank hold the harmonious principle and

objective in promoting the development of society and economy, enhancing the rights

and interests of the residents, maintaining the benefits of vulnerable groups and

protecting the sustainable development of minority culture. Policies and regulations

of China play an important normalized role in the Project. Informed consent and

decision-making participation of residents highlighted in the policies of the World

Bank play an important steering effect in the Project. As policies and regulations of

ethnic minorities in China bring into correspondence with the policies of the World

Bank in pursuing the sustainable development, promoting the social equity and

harmony and helping ethnic minorities accelerate the development economy and

society, the Project centers on abiding by the two above-mentioned policies and

regulations, the rights and interests of related stakeholders can be protected and the

Project can be smoothly developed.

35

4. Baseline of Ethnic Minorities Development and Impacts of

the Project on Ethnic Minorities

4.1 Baseline of ethnic minorities development

In this assessment, three sub-districts and four Townships affected by the

Project are identified and the ethnic minorities in the affected areas take on the basic

characteristics of “more dispersion and less concentration” in living pattern; relatively

concentrated Hui Community have been formed in Fuqiang and Yingfeng

communities beside the rive of the Eastern Gate, but all ethnic minorities in other

communities are exhibited the characteristic of scattered residence. Livelihood

structure and development conditions of sub-districts and Townships are shown as

follows:

4.1.1 Longquan Sub-district

Jurisdiction of Longquan Sub-district is located in eastern and western sides of

Liji River and northern earth beam. At the end of 2008, Longquan Sub-district had

total population of 71,361, of which, 79,509 Han people in 19,176 households, 3,965

Hui people in 966 households, 969 Yi people in 254 households, 279 Miao people in

68 households, 118 Bai people in 36 households, 33 Zhuang people in 17

households, 15 Buyi people in 7 households and 190 people from other ethnic

minorities in 82 households. In 2008, there were 39,043 mu of arable land, 21,242

mu of planting area for grain crops, 6,115 tons of food crops, 6,374 mu of planting

area for vegetables and 8,609 mu of planting area for fruit. Apples and vegetables

have been the mainstay industry of Longquan Sub-district Office. There were 824

livestock on hand, 14,093 slaughtering pigs, 748 cattle on hand, 23,022 slaughtering

poultry and 1,592 tons of total production of meat, and farmers’ per capita net income

was 1,672 yuan.

4.1.2 Fenghuang Sub-district

Fenghuang Sub-district covers an area of 32.11 km and Liji River and Zhonggou

36

River flow into Zhaolu River from north to south through the western border. In 2008,

Fenghuang Sub-district had total population of 95,908, of which, 86,942 Han people

in 28,424 households, 6,674 Hui people, 1,496 Yi people in 439 households, 176 Bai

people in 100 households, 43 Zhuang people in 11 households, 31 Buyi people in 9

households and 254 people from other ethnic minorities in 70 households. In 2008,

there were 26,437 mu of arable land, 17,799 mu of planting area for grain crops,

5,840 tons of food crops, 3,968 mu of planting area for vegetables and 1,179 mu of

planting area for fruit. There were 498 livestock on hand, 18,326 slaughtering pigs,

459 cattle on hand, 135,155 slaughtering poultry and 2,126 tons of total production of

meat, and farmers’ per capita net income was 1,967 yuan.

4.1.3 Taiping Sub-district

The Beigan Channel of Yudong Reservoir in the border of Taiping Sub-district

flows through Taoyuan Community, Taiping Community and Shuitangba Community.

At the end of 2008, Taiping Sub-district had total population of 63,516, of which,

59,380 Han people in 14,793 households, 2,601 Hui people in 622 households,

1,215 Yi people in 223 households, 80 Miao people in 19 households, 53 Bai people

in 11 households, 18 Zhuang people in 5 households, 6 Buyi people in 2 households

and 163 people from other ethnic minorities in 25 households. In 2008, there were

51,704 mu of arable land, 24,902 mu of planting area for grain crops, 12,356 tons of

food crops, 6,307 mu of planting area for vegetables and 2,579 mu of planting area

for fruit. In addition, Taiping Sub-district developed into the base with the highest

technology content and complete facilities in the industrialized agriculture in

Zhaotong Municipality owing to boast 410 demonstration big-arch shelter planting

with over 100,000 tons of annual coal yield. At the end of 2008, there were 1,253

livestock on hand, 19,066 pigs on hand, 989 cattle on hand, 27,941 slaughtering

heavy pigs, 116,058 slaughtering poultry and 3,453 tons of total production of meat,

and farmers’ per capita net income was 1,920 yuan.

4.1.4 Beizha Town

At the end of 2008, Beizha Town had total population of 48,638 in 13,578

37

households, of which, 46,098 Han people, 1,050 Hui people, 1,459 Yi people, 10

Miao people, 12 Bai people, and 9 people from other ethnic minorities. In the whole

town, there were 98,118 mu of arable land, 59,500 mu of planting area for grain

crops, 20,546 tons of food crops, 11,107 mu of planting area for vegetables and

12,405 mu of planting area for fruit which include 12,529 hectares of apple orchard,

10,051 hectares of pear orchard, 40 hectares of peach orchard and 8 hectares of

grape orchard. In 2008, there were 2,732 livestock on hand, 27,468 pigs on hand,

35,549 slaughtering heavy pigs, 85,862 slaughtering poultry and 4,061 tons of total

production of meat, and farmers’ per capita net income was 1,992 yuan.

4.1.5 Shouwang Xiang

Shouwang Xiang is located in the upstream of Xiushui River. At the end of 2008,

Shouwang Xiang had total population of 43,704 in 9,062 households, of which,

12,554 Han people in 2,608 households, 31,088 Hui people in 6,419 households, 43

Yi people in 7 households, 3 Miao people in 3 households, 1 Bai person in 1

household and 15 people from other ethnic minorities. In 2008, in the whole Xiang,

farmers’ per capita net income was 2,149 yuan and the human resources had 20,945

people. In addition, in the whole Xiang, there were 74,588 mu of arable land, 42,000

tons of food crops, 6,673 mu of planting area for vegetables and 2,400 mu of planting

area for fruit. There were 8,272 livestock on hand, 6,789 pigs on hand, 6,800

slaughtering heavy pigs, 77,124 slaughtering poultry and 1,891 tons of total

production of meat.

4.1.6 Yongfeng Xiang

There are many ethnic minorities in Yongfeng Xiang, such as Han people, Hui

people, Yi people, Miao people, Bai people, Zhuang people, Dai people and

Tibetans, etc. At the end of 2008, Yongfeng Xiang had total population of 41,515 in

total 10,935 households, of which, 4,703 Hui people, 37 Miao people, 1,332 Yi

people, 1 Bai person, 6 Zhuang peoples and 23 people from other ethnic minorities.

In 2008, the total economic income of the whole town amounted to 75.93 million yuan

and farmers’ per capita net income was 1,863 yuan. In the whole town, there were

38

74,859 mu of arable land, 48,843 mu of planting area for grain crops, 17,896 tons of

food crops, 10,144 mu of planting area for vegetables and 12,077 mu of planting

area for fruit. In terms of tobacco production, in 2008, the whole town planted the

contract area of 8,237 mu in total, undertook 2,000 mu of municipal-level template

and purchased total volume of 2.543 million jin (note: jin is a Chinese unit of weight, 1

jin = 0.5 kg) with the average price of 9.53 yuan/kg. The whole town has developed

into the pattern of agricultural development centering on apple and taking vegetable

production into consideration.

4.1.7 Xiaolongdong Xiang

There are many ethnic minorities in Xiaolongdong Xiang, such as Hui people,

Han people, Yi people, Miao people and Dai people, etc. At the end of 2006,

Xiaolongdong Xiang had total population of 32,762 in total 7,260 households, of

which, 5,914 Han people, 25,036 Hui people, 1,310 Yi people, 480 Miao people and

22 people from other ethnic minorities. In 2009, the gross national product of the

whole Xiang is 35.242 million yuan and farmers’ per capita net income is 1,440 yuan.

In the whole town, there were 67,130 mu of arable land, 46,110 mu of planting area

for grain crops, 12,382 tons of food crops, 7,800 mu of planting area for vegetables

and 11,800 mu of planting area for fruit. In terms of tobacco production, in 2008, the

whole town planted the contract area of 8,237 mu in total, undertook 2,000 mu of

municipal-level template and purchased total volume of 2.543 million jin with the

average price of 9.53 yuan/kg. The contract area of planting tobacco was 7,877 mu

and the total purchasing volume was 1.10 million kg with the average price of 8.38

yuan/kg. Xiaolongdong Xiang is a town centering on agricultural production and

taking work away from hometown into consideration.

Therefore, it can be seen from the basic situation about the above-mentioned

several sub-districts and Townships that livelihood mode can be different due to

residential mode. Residents in the rural communities take agricultural production and

work away from hometown as the main livelihood mode and except the upstream

areas of Liji River, those areas with suitable water and land have preliminarily formed

39

the production mode of crop farming centering on apples and vegetables and other

areas center on work away from hometown and take farming at home into

consideration. In terms of income level and economical development ability, there

aren’t many differences between ethnic minorities and Han people with the per capita

net income of from 1,200 yuan to 2,200 yuan for families. It is discovered in this

assessment, possessing the plot for private use or not has been the basis for dividing

ethnic minorities of urban communities into ethnic minorities with urban resident

identification and ethnic minorities during the process of peasant-change-resident.

The two groups have a certain difference in development opportunity and economic

development level. Therefore, an important reason for deciding incomes relies on

possessing the plot for private use and benefiting from the land acquisition and

leasing done by cities. Therefore, ethnic minorities in urban communities earn income

by way of running business and working besides land leasing. However, in view of

economic income and development opportunity, household income won’t be affected

by ethnic identity. The basic situation concerning household economy of several

urban and rural residents known by the SA team during the period of investigation is

as follows.

Case 4-1

Interviewee:: Liu ××, female, 47 years old, Hui people, Team 3, Fuqiang

Community, Taiping Sub-district

Liu is a Muslim who has lived in Fuqiang Community for generations. In the

early few years when they were still in possession of land, they could live on

agricultural production. However, with the development of urban construction, they

gradually lost their land and became land-expropriated farmer since the 1970s. Now,

the main livelihood of the family is to sell the bean curd. She and the employed girl

get up in 3 o’clock every early morning and begin to make the bean curd. They will

work until 11 or 12 o’clock in the morning, and then her husband will go out to sell the

bean curd in the afternoon. The whole family, including the couple, 3 school children

40

and the aged, all depend on this. She says that about 100 yuan will be obtained by

selling the bean curd and their economic income level may be considered to be

medium in the community.

Liu presents that the tap water of this community will be priced 3.6 yuan per ton

and her family has to pay it in accordance with the price of industrially-used water

because they make the bean curd. The water bill will reach about 100 yuan per

month.

Team 3 of Fuqiang Community is a Muslim one and nearly all the residents are

Muslims, with only several Han families mixing among. There is a mosque in this

community. Liu says that her family will go to mosque on the Fast Day in a year but

they worship at home at other times. Especially the aged in the family may worship

religiously everyday. Simple bath is usually required for worshiping at home while

careful bath will be needed for worshiping in the mosque. She also says that,

according to the regulations in The Koran, 1.5 kilos of water will be used for simple

bath and 3.9 kilos of water will be used for careful bath. Here there are no special

rules for the water use of simple and careful bath, which are charged in accordance

with the price of domestically-used water. In this community, Akhond usually does

home visiting and pays a visit to the families and the believers every month or two

months. Akhond will persuade those who take unserious attitude toward religious

belief and refuse to chant the scriptures. Akhond is highly-respected in the

community and his words will be obeyed by the believers.

Now, as an urban village, Fu Qiang community is mostly expropriated. Several

families here live on working for others or doing some retail business. Liu says that

their land has been expropriated in 1985 and 1986. And there is still rare land,

farmed by her father-in-law and mother-in-law.

Case 4-2

Interviewee: Wang ××, female, 38 years old, Hui people, Team 3, Fenghuang

Community, Fenghuang Sub-district

41

Wang has two children, one boy and one girl with the educational degree of

junior middle school. Their main income depends on doing coolie, carrying mortar for

construction site, so does her husband, so they have not much net income with about

from 1,000 yuan to 2,000 yuan. And the money mainly is used for eating and clothes,

in particular to children. According to her introduction, she is remarried to the man

who doesn’t live in her because of working out, so she lives here with her two

children. In addition, they have the land less than 1 mu at home, planting corns and

yam. As they have less land presently, they don’t raise pigs and buy edible oil and

meat for eating. They have spent about 40,000 yuan or 50,000 yuan in building the

house with the area of about 90 m2 at that time. As her first husband is a mason, so

they engage in building the house by themselves. Their standard of living may be

considered to be below average in the village, so it is of great importance for them to

earn money. Currently, they drink tap water and their home is far away from rivers

and sewage plants.

Case 4-3

Interviewee: Wang ××, male, 35 years old, Han people, Team 3,

XuezhuangCommunity, Fenghuang Sub-district

There are 4 people including Wang’s wife and 2 sons. The only 0.1 mu land they

have is now mainly farmed by Wang’s father. They earn a living by selling vegetables

and working for others. Wang has a problem with his legs because of the polio, so

the life burden mainly falls upon his wife. She has been selling vegetables for 4 years

at the village by bulk every evening. Now their annual income is about 10,000 yuan,

so their standard of living may be considered to be below average in the village.

In light of the comparison for above-mentioned cases, whatever in cities or rural

areas, there has not much gap between ethnic minorities and Han people; in

addition, they have equivalent level in production and life.

42

4.2 Impacts of the Project on ethnic minorities

4.2.1 Impacts of water supply project on ethnic minorities

The positive impacts of the water supply project on ethnic minorities: ① prevent

local residents from drinking unprocessed and polluted well water and have them

drink clean tap water in favor of their health; ② alleviate residents’ burden of digging

wells or transporting water from vicinal water source area and have them drink tap

water quickly and easily; ③ avoid the difficulty in drinking water because of dry

season when drinking well water; ④ due to the land acquisition of water supply

project, ethnic minorities can obtain compensation to use freely.

The negative impacts: ① ethnic minorities must assume the cost of laying down

water supply line and tap water charges, which may increase their economic burden;

② the land acquisition for the Project causes local people to lose certain source of

livelihood, which may affect their living standards; ③ during the period of project

construction, noise and placing of material may affect local people’s normal life; ④

the protection of water source area may affect local residents to entertain in East

Dalongdong which belongs to scenic spot and protected area for water supply.

4.2.2 Impacts of sewage treatment project on ethnic minorities

The positive impacts of the sewage treatment project on ethnic minorities: ①

have ethnic minorities live in a better environment in favor of their physical and

psychological health. ② improve sewage disposal conditions for local residents for

disposing of sewage easily. ③ due to the land acquisition for the Project, ethnic

minorities can obtain compensation to use freely for improving their life or developing

production. Home demolition caused by the Project can make ethnic minorities obtain

opportunity of resettlement to live in a more hygienic community with rational

planning. ④ during the period of project construction or upon its completion, the

Project has the chance to provide employment opportunities for ethnic minorities,

which adds their channels of revenue sources.

Negative impacts: ① The land acquisition causes local residents to lose land

and forfeit a part of the source of livelihood, thus affecting their living standards; ②

43

cause ethnic minorities to transfer from agricultural population to urban residents,

which needs a long-term course of adaptation; ③ sewage treatment project causes

local residents to assume certain sewage disposal charges, which may add their life

pressure; ④ sewage treatment project may restrict some greatly polluted production

and operating activities, such as slaughter house of Hui people beside the river of the

Eastern Gate, which will affect their normal business activities; ⑤ engineering

construction may damage to the public facilities and noise and waste brought by the

construction will affect the normal life of local residents; ⑥ sewage disposal may

bring secondary pollution to affect the normal life of local residents.

4.2.3 Impacts of the river management project on ethnic minorities

The positive impacts of river management on ethnic minorities: ① improve local

residents’ living environment to be more beautiful and hygienic in favor of their

physical and psychological health. ② the matching implementation of river

management and sewage treatment project can improve urban environment on a

whole, enhance urban competitiveness and provide help for promotion investment,

thus indirectly offering more employment opportunities for local residents. ③ after

river management, local residents will have more activity places and bring

convenience for their entertainment. ④ strengthen the flood control capacity of the

river and reduce the degree of flood impacts on local residents. ⑤ due to temporary

land used during the implementation of the Project, local residents can obtain funds

to freely use for improving their life.

The negative impacts: ① the process of river management may damage to

bridges and irrigation ditches on the river and affect the normal production life of local

residents; ② river management will affect production operation of ethnic minorities

beside the river, for instance, many Hui people conduct business activities in the

intersection of river in the Eastern Gate and Zhonggou River, so the river

management may affect their businesses; ③ during the process of construction,

noise, waste and placing of material and damage to the public facilities may affect the

44

normal life and production of local residents.

4.2.4 Impacts of the Project on the poverty problem of ethnic minorities

In addition to the impacts of above-mentioned projects of different items on

ethnic minorities, the SA team also pays attention to the new poverty problem

brought to the settlement of ethnic minorities by the Project. Through the survey, the

SA team discovers that those communities which ethnic minorities lives in basically

belong to urban communities. As the whole area had been incorporated into the

urban scope by means of land acquisition at an early age, its economic development

is also integrated with the urban development, and the land lease, house for rent and

export of labor services are relatively developed. The SA team believes that the

implementation of the Project won’t lead to new poverty problems to ethnic minorities

if all measures on risk control, such as displaced person allocation action plan can be

guaranteed.

In the affected areas, some ethnic minorities are distributed in villages and their

identities won’t affect them to hold resource and obtain development opportunity,

similar to the development conditions of peripheral main ethnic group, so the

development of the Project won’t lead to poverty problem on them. The

implementation of the Project and improvement of infrastructures will ensure that the

Project won’t deepen the poverty degree of ethnic minorities in these villages.

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5 Stakeholder Analysis

5.1 Identification of stakeholders

The World Bank puts forward the concept of “stakeholder” in its assistance

strategy and divides stakeholder. Stakeholder refers to “those people who affect

actions and policies of the World Bank and are affected by the World Bank” (World

Bank 1994:1). Under the premise of determining poverty alleviation as the objective

of the World Bank, stakeholders involving in development project are divided into: 1.

The primary stakeholders refer to target group of development project, especially,

those poor people and marginal groups who are lacking in information and power

and excluded from development process. 2. The borrowing stakeholders refer to

governments of borrowing country. 3. The secondary stakeholders mainly include

non-governmental organizations, commercial organizations and those experts who

have professional skills and directly face the primary stakeholders. According to the

above-mentioned definitions made by the World Bank, the SA team identifies

stakeholders and the primary stakeholders of the three subprojects of Zhaotong

Central City Environmental Construction Project based on fieldwork.

Table 5-1 Schedule of stakeholders of the Project

Subproject Scope Stakeholders and primary stakeholders

Northern area water supply and pipeline project

(1) Construction of a 23km delivery pipeline (DN1400) from Yudong Reservoir to Taiping Water Treatment Plant;(2) Construction of Taiping Water

(1) Affected residents(2) The poor(3) Ethnic minorities(4) Village selected as plant site and villagers

46

Subproject Scope Stakeholders and primary stakeholders

Treatment Plant with a near-term treatment capacity of 50,000 m3/d and a long-term capacity of 100,000 m3/d;(3) Construction of Qingmen Water Treatment Plant with a near-term treatment capacity of 10,000 m3/d and

(5) Employer(6) Implementing agencies(7) Residents along the sewer network(8) Employer(9) Other government agencies concerned

Central city sewage treatment and intercepting sewer project

(1)①Northern are supporting sewer pipelines of 61.507km; ②an old urban area sewage pipeline of 29.451km; (2) Expansion of former Zhaotong Sewage Treatment Plant, with a total floor area of 136.8 mu; expansion to the treatment capacity of 20,000 m3/d in the near future using the oxidation ditch process

(1) Affected residents(2) Ethnic minorities(3) The poor(4) Village selected as plant site and villagers(5) Residents along the sewer network(6) Employer(7) Implementing agencies(8) Environmental protection bureau(9) Other government agencies concerned

Central city river management project

Carrying out integrated river management, attaining urban flood protection level by bank protection and reinforcement, protecting banks and land from erosion; Managed river length is 48.162km, including 17.935 km in the Liji River water system, 30.227km in the Tuwei River water system.

(1) Affected residents(2) Displaced persons(3) The poor(4) Ethnic minorities(5) Religious people and nearby followers(6) Relocated households along watercourses(7) Environmental protection bureau(8) Employer(9) Implementing agencies(10) Other government agencies concerned

Source: fieldwork of the SA team

5.2 Process of stakeholders’ participation in the Project

The SA team develops a series of activities for publicizing the Project in the

affected areas and mobilizes the primary stakeholders to participate in project

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decision. The process that stakeholders participate in the Project will be developed in

the three facets:

5.2.1 Official FGD

The SA team holds FGDs attended by officials of PMOs at all levels and related

government departments to ask for and collect: ① the status quo and assessment of

local approved project implementation; ② analysis on project risks and discussion

about the countermeasure for reducing risks; ③ suggestions on improving project

effects; ④ problems existed in the approved projects; ⑤ predicted impacts brought

by the implementation of the Project; ⑥ collect all the related documents and

materials and annual report of statistics of municipality, district and village

(community).

5.2.2 Project employers’ FGD

The SA team holds FGDs with subproject employer units to discuss about the

following subjects: ① the background and process of approved project; get to know

the status quo and assessment of project implementation; ② the process of project

design; ③ problems existed in the projects; ④ obtain suggestions about improving

the project effects and avoiding risks; ⑤ collect project employers’ documented data

concerning the Project; ⑥ select survey sites.

5.2.3 “Free prior informed consultation” of the primary stakeholders

The SA team develops “free prior informed consultation” among the primary

stakeholders of the Project. On the fieldwork of each subproject, the SA team selects

different survey sites to cover the primary stakeholders affected by the Project.

The work procedures for free prior informed consultation:

① Training the investigators: Before the survey, carry out PRA trainings on the

investigators with a view to having them better master PRA methods and know the

objective and requirements of project survey.

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② Collecting the overall data concerning rural communities and urban

communities in the affected areas: Before the survey, the relevant the investigators

collect and sort out the data related to the population and distribution of ethnic

minorities in the affected areas, their ethnic history and culture, their ethnic economic

and social development.

③ Holding villagers/residents FGDs: The survey team convenes the related

villagers/residents to attend FGD after entering into the villages/communities for

getting to know the situation about elementary production and life of

villagers/residents.

④ Drawing: The investigators assist villagers/residents in drawing concerning

resource distribution, community conditions, seasonal production and life.

⑤ Door-to-door interview: After knowing the basic situation about the

communities, the investigators go into the residents’ homes to carry out questionnaire

survey or depth interview.

⑥ Survey summary: The investigators analyze and summarize what it has

learned in the survey and write the first draft of survey report on this basis.

⑦ Information feedback: The survey team submits the survey results to project

decision-making department and advises the department to take the

corresponding measures to solve potential problems; in the meantime, the survey

team timely feedback the opinions made by decision-making department to the

related village.

The main working methods for free prior informed consultation:

① FGD and sequencing

In the villages/communities where the survey is carried out, the SA team

convenes villagers/residents from different ethnic groups, sexes, ages, rich or poor

families and places of residence to attend FGD for the purpose of letting them know

the main contents of project construction. When villagers/residents have

comprehensive understanding about the project construction, the investigators collect

the relevant information material (such as problem sequencing, plan of resource

49

distribution, seasonal life calendar and farming calendar, etc.) and jointly verify the

information material, analyze and summarize problems and seek the solutions to

problems with villagers/residents.

② Drawing

The investigators assist villagers/residents who are more aware of situations

concerning villages/communities to draw plan of resource distribution and community

of the village and preliminarily master the relevant information related to local

economic and social development overview and status quo of environment. After

that, the survey team discusses about the local environmental aspect, and the

problems existed in the economic and social development of villages with

villagers/residents to know their true thought and suggestions about project

construction.

The investigators respectively assist men and women villagers/residents to fill

and make seasonal production and living arrangements diagrams and get to know

local villagers/residents’ situation about farming activities and daily routines in

different seasons, and the role of different sexes in household production and life and

women’s degree of attentiveness and wish about project activities.

③ Questionnaire survey and depth interview

In order to learn about production and living conditions of residents who are

affected by land acquisition and home demolition and their understanding and

suggestions on the project construction as much as possible, the SA team works out

Outline of Door-to-Door Interviewing on Social Assessment of World Bank Financed

Zhaotong Central City Environmental Construction Project to have the investigators

to go into doors to collect information about the Project.

For those villagers/residents who have a more understanding about project

construction, we mainly adopt the way of depth interview to learn about their thoughts

and discuss about the problems related to the Project. Through depth interview, the

investigators collect a lot of data valuable to project construction and are more aware

of potential problems existed in project construction so as to ensure

villagers/residents’ depth of participation in project decision-making. Table 5-2 shows

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the situation concerning the primary stakeholders participating in the Project:

Table 5-2 Free, prior and informed consultation of primary stakeholders

Subproject ParticipantsParticipatory activity

Objectives

Northern area water supply and pipeline project

Local residents (including the poor, ethnic minorities, women and displaced persons)

FGDInterviewRankingDrawing

① Project information sharing② Project demand analysis③ Evaluation of project practice/design④ Project impact analysis⑤ Analysis of existing issues⑥ Expectations/suggestions

Central city sewage treatment and intercepting sewer project

Residents near sewage plant (including the poor, ethnic minorities, women and displaced persons)

FGDInterviewRankingDrawing

① Project information sharing② Project demand analysis③ Evaluation of project practice/design④ Project impact analysis⑤ Analysis of existing issues⑥ Expectations/suggestions

Urban residents (including the poor, ethnic minorities, women and nearby residents)

FGDInterviewRankingDrawing

① Project information sharing② Project demand analysis③ Evaluation of project practice/design④ Project impact analysis⑤ Analysis of existing issues⑥ Expectations/suggestions⑦ Expression of willingness to pay, analysis of ability to pay

Central city river management project

Local residents (including the poor, ethnic minorities, women and displaced persons)

FGDInterviewRankingDrawing

① Project information sharing② Project demand analysis③ Evaluation of project practice/design④ Project impact analysis⑤ Analysis of existing issues⑥ Expectations/suggestions

Source: fieldwork of the SA team

5.3 Demand analysis of stakeholders

Stakeholders involved in the Project vary in their actual needs. It is beneficial to

identify major social activities, mitigate potential social risks and facilitate the smooth

implementation of the Project by making a concrete analysis of different

stakeholders. Social assessment teams of each subproject have communicated fully

51

with stakeholders of the affected areas by means of questionnaire survey, interview,

informal discussion and observation and so on, learning about the needs of

stakeholders concerned. Table 5-3 below is the analysis and summary on the needs

of primary stakeholders.

Table 5-3 Demand Analysis of Primary stakeholders Involved in the Project

Subproject

Primary stakeholders

Common Needs Special Needs Remark

Northern area w

ater supply and pipeline project

Residents in the affected

areas (including

poor households,

ethnic minorities,

women and displaced person)

①Solve local community residents’ difficulties in water supply for production and living②Deal with problems of environmental pollution caused by neighboring factories around the water plant③Develop community economy and increase farmers’ income④Collect reasonable fees for water supply and installation according to actual situations⑤Rational compensatory policies for land acquisition, transparent in information and fair in execution①Improve supporting infrastructure for water supply and drainage pipe network②Ensure smooth second ploughing for temporary land acquisition③Guarantee the participation of community residents in the construction of the Project④Work out water conservation plan and proposal in detail to protect properly the surrounded Taoist Temple and other cultural treasures and historic sites

①Poor households: Able to take part in the construction of the Project to promote family income②Special groups: Priority would be given to rural residents disabled at work or those affected by the Project for arranging jobs or offering subsistence allowances③Household of land acquisition: To offer jobs in water plants and districts in water charge④Taoist Temple: Clean the sewage pipe network surround the Dalongdong Taoist Temple to guarantee the sewage drainage, define the management responsibilities over the water source areas; build mechanical floodgate at the month of the water source areas to ease down-draught of lake water in rainy season

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Subproject

Primary stakeholders

Common Needs Special Needs Remark

Central city sew

age treatment intercepting sew

er project

Residents neighboring the sewage

plants (including

poor households,

ethnic minorities, displaced

persons and women, etc.)

①Realize the effective sewage treatment② Develop local economy and increase residents’ income③ Handle external sewage and construct local supporting sewage disposal pipes④Construct supporting facilities to solve water supply for production and living⑤ Treat sewage in a scientific and safe way to avoid secondary pollution in the community⑥ Recover successfully the temporary acquired land⑦ Take part in the Project construction⑧Guarantee the community safety amid the construction⑨Guarantee safe agricultural production amid the construction⑩Handle major units involved in diffused and point source pollutions of water body

①Poor households: Participate in construction on the site amid the construction with comprehensive preferential policies on water charge worked out②Household of land acquisition: Minimize land acquisition and house demolition; rational indemnifying measures; offer subsistence allowances and; give priorities to job arrangement with favorable terms for development provided

Urban residents (including

poor households,

ethnic minorities,

residents near by the

pipeline network and women, etc.)

①Protect urban environment and improve community living environment②Regularize major units and pollution sources causing environmental pollution①Adjust comprehensive water charge② Build sewage disposal pipes in related communities③Work out rational compensation fees for temporary land acquisition④Try to avoid construction at night

①Poor households: Participate in construction on the site amid the construction with comprehensive preferential policies on water charge worked out②Residents near by the pipe network: Guarantee convenient traveling amid the construction and their participation in the Project

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Subproject

Primary stakeholders

Common Needs Special Needs Remark

Central city com

prehensive river treatment project

Residents of the affected

areas (including

poor households,

ethnic minorities,

women and displaced person)

① Develop village and community economy and increase economic income② Focus on the treatment of diffused and point source pollutions (Ham plants, cattle slaughter house and cement plants) along the river③Protect the living environment of urban and rural communities to prevent them from flood disaster④Improve infrastructure conditions of villages and communities, such as the smooth road conditions⑤No impacts expected to have on residents’ daily production and living⑥Rational compensatory policies for land acquisition, transparent in information and fair in execution⑦Help solve domestic refuse treatment for residents along the river(1) Guarantee second ploughing of the rural communities for temporary land acquisition② Build roads along the river to ensure the access of refuse trucks③Combination of river treatment and toilet upgrading for surrounding urban residents④Strengthen efforts to promote awareness of environmental protection.⑤Available long-term river treatment system

①Poor households: Offer job opportunities to them, esp. those with land acquired②Displaced person: Minimize the number of displaced person; carry out compensation measures according to actual needs with houses provided or economic compensation involved; the original living means of urban residents for store operation would be maintained after resettlement③Ethnic minorities: Guarantee multi-ethnic inhabitation and convenient collection of means of livelihood to solve problems concerning farmer's markets of cattle and horse slaughter houses and community farmer's market of the Hui nationality

54

Subproject

Primary stakeholders

Common Needs Special Needs Remark

Religionists and believers

of Taoist Temple in the affected areas

①Avoid house demolition to protect cultural relics and historic sites and geomancy②Treat comprehensively the environment of and around the Taoist Temple③Guarantee the operation of daily religious activities of believers amid the construction④Guarantee the operation of traditional festivals related to religions beliefs

①The incense burner built on the riverbank can be removed during construction and is required to set back upon completion②For house demolition of the Taoist Temple, the costs on its remolding and emplacement would be treated upon demolition③ “Geomancy” would be taken into account when selecting the site for reconstruction④Guarantee the operation of necessary “ritual ceremonies” amid the house demolition and resettlement

The Doumuge

Taoist Temple (No.

5 Community of Taiping

Community)

Source: Fieldwork of the SA team

The distribution of ethnic minorities in Zhaotong Municipality, similar to that of

other regions in Yunnan Province, is featured by “mixed large and small settlements”.

Zhaoyang District is mainly comprised of Han and Hui people. Therefore, local

Taoism for and Islamism are popular among the believers. And Taoism would be

involved in the Project: one is the “Dalongdong Taoist Temple” in the water source

area of Dalongdong Cave for central city water supply project, and the other

concerns the Doumuge Taoist Temple for comprehensive river treatment project. By

conducting field survey and FGDs and interviews with related religious personnel and

ordinary believers, the SA team believes that it is of great importance to learn about

the impacts on and special needs of stakeholders and to guarantee the

implementation of the Project by taking the inevitability to be affected by the Project

for such a featured and widely accepted tangible and intangible cultural heritage with

higher value for tourism development. It is hereby proposed two cases for references

of decision-making and implementation of the Project.

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Case 5-1

Dalongdong Taoist Temple is located at Dalongdong Natural Reserve in Beizha

Town, Zhaotong Municipality, which is 12km away from downtown area. It was

founded in 1765 AD (The 30th year at Emperor Qianlong’s reign). Wooden pedestal

can be seen at the back of temple gate, and the backyard is made up of the main hall

and two verandas. Covering an area of 6,500m2, it owns penthouses on both sides of

the main hall and stone railings for protection in front of the hall. Honoring the statues

of Great Priest, Taoist God Zhenwu, Lu Tung-pin, Qiuzu, the King of Medicine and

Erguan, the temple is surrounded by mountains and water with pine and cypress

trees, creating dense shade and beautiful scenery. The outlet of the water source of

Dalongdong Cave is right located at the side of worship statues, which is now

separated with fences for protection. The water pond in the water source area can

form the lovely scene called “March of the Vauclusian Spring”, one of the well-known

“Eight Scenic Spots in Zhaoyang District”. The building of the temple here has

something to do with the concept of “geomancy” in Taoism. Local residents always

attend the “Dragon Play Temple Fair” held on the 8 th day of the 2nd lunar month,

lasting 3-5 days and attracting a large number of people. Besides, there’re also the

“Fair for the Goddess of Mercy” on the 19 th day of the 2nd lunar month, the 19th day of

the 6th lunar month and the 19th day of the 9th lunar month and the “Fair for the Jade

Emperor” on the first month of the lunar new year, to name just a few.

The SA team has learned by interviewing the Abbot Mr. Geng of the Taoist

Temple that the temple is of great importance for the protecting the water source area

of Dalongdong Cave. First of all, the public, affected by the religious ideas, begin to

pay homage towards the water source, which has protected the water source area

and guaranteed the water quality objectively. According to the Abbot, the insiders of

the Temple are always willing to prevent consciously the water source from being

polluted. And more attention has been paid to the prevention of such a special and

exploitable cultural and tourist resource involving in all sorts of historical and cultural

factors from being polluted and destroyed during the economic development. As a

56

result, it has emerged an important component part of local people’s culture life,

which is closely associated with their traditional festivals.

There’re for sure many problems nowadays, which are the causes that leading to

the special needs likely to emerge in the Project. First, it concerns with the drainage

of domestic sewage produced by the Temple itself and the service facilities

surrounded, which have been failed to be handled well; this is more severe during

the temple fair, for it is more likely to increase the pollution of the water source area

with the growth of visitor’s flow rate. Second, it is related to the flood drainage of the

sluice ponds in front of the Temple. As the three sluice ponds lead directly to the

Northern Water gate Reservoir, the drainage between the former and the latter is

blocked by the increasing cumulated sludge around the year. What’s worse, as the

traditional water gate for drainage is rather difficult to handle in rainy seasons, large

amount of accumulated water can flow in all directions, drowning the temples located

at lower places, which can not only pollute the water source, but also pose great

threat to the ancient buildings involved.

The local officials of the temples and the communities express their

understanding of and support to the Project during the FGDs and interviews,

considering it a meritorious deed with their own needs and willingness shared.

①Try to avoid the house demolition and other damages to the ancient buildings

to protect the cultural relics and historic sites and geomancy, for all these cannot be

recovered once being knocked down due to the symbiotic relationship between the

water source area and the temples.

②Treat the surrounding environment and improve the facilities for water supply

and drainage and prevent the water source area from being polluted. This would be

done by placing special blow-off lines for the temples and units concerned and

replacing the old Water gates between the sluice ponds and Northern Water gate

Reservoir with mechanical floodgates for the sake of drainage and flood discharge

during rainy seasons.

③Define the responsibility for management over and protection of the water

57

source area. And special administrative committee can be established on demand,

which can be composed of the temples and units concerned.

④Guarantee the operation of religious activities and traditional festivals related

to local religious beliefs amid the implementation of the Project.

The case above serves as the instruction for the needs of Dalongdong Taoist

Temple involved in the Project. And the case below would demonstrate the needs of

the comprehensive river treatment project—the Doumuge Taoist Temple on the

Project in detail.

Case 5-2

Located along Liji River for sacrificing the mother the Gods—“Doumu”, Doumuge

Taoist Temple serves as one of the branches of Quanzhen Junta, Taoism which is

developed on the basis of a small temple in the 1990s. It employs 500-600 disciples

ranging from 17-year-old to 70-year-old.The Zhaoyang District owns nowadays 11

regular Taoist temples, among which six are under application, with the land use right

owned by the temples concerned. There’re the “Fair for the Goddess of Mercy” on

the 19th day of the 2nd lunar month, the 19th day of the 6th lunar month and the 19th

day of the 9th lunar month and the “Fair for the Jade Emperor” on the first month of

the lunar new year, to name just a few. In addition, believers go to the temples for

practicing abstinence on the first and 15th days of each lunar month, there’re even

those from Dashanbao Nature Reserve. Always there’re three to four disciples stay in

the temple. Covering an area of more than 100m2, it is built in two floors; the

sculptures placed in the center are made by masters from Sichuan Province, with a

number of 12-13, large and small in size, costing more than 10,000 yuan for

purchasing materials (3,000-4,000 yuan for each on average), with the funds from

both the believers and the government. As the Temple is relatively in size, it is rather

crowded when practicing abstinence. However, it is also difficult to expand it, for it is

too close to the river. As it is a quiet holy place with frequent activities, costs can be

saved for both the government and the Temple by avoiding relocation. This may be

58

solved by building it over the river, or relocation can be involved if a larger location

can be provided by the government, with the geomancy taken into account, for it is

the most powerful among its peers. Moreover, the location should be determined

prior to the relocation to guarantee the operation of religious activities, and realize the

promise toward the patriarch meanwhile. And 5-9 days would be taken for religious

rites and the ceremonies for starting construction and welcoming the golden statues

would be ensured. In addition, it is urgent to treat sewage discharge and dirty water

produced by residents on the other side of the river, which is of great impact on the

geomancy of the Temple (The data above is contributed by Mr. Wei of the Temple).

And we’ve also learned by interviews with the believers that they’re generally willing

to support the Project, with their own needs and willingness expressed in the

meanwhile.

①Avoid house demolition and affecting the geomancy.

②Deal with the river environment along the Temple and improve the facilities for

water supply and drainage of neighboring communities.

③Guarantee the operation of religious activities and traditional festivals related

to local religious beliefs amid the implementation of the Project.

④Consider the reconstruction, remodeling and replacement of the Gods on

demand upon house demolition.

⑤Take geomancy, convenient traffic conditions into account when selecting the

new site to facilitate the activities involved.

⑥Guarantee the operation of necessary religious rites during the house

demolition and resettlement.

The needs of other stakeholders are as follows:

(1) Employers and implementing agencies: Employers and implementing

agencies of subprojects are looking forward to kicking off as early as possible to

reduce the costs on construction and operation, making efforts to guarantee the

profits of the Project.

According to Zhaoyang Municipal Urban Construction & Development Tender

59

Co., Ltd., technicians are required for guidance and support due to its lack of

experience in river treatment project, or else it may become harder to carry out the

preliminary work; meanwhile, it hopes that the budget of the Project should be

accurate and other supporting funds, excepting that of the World Bank, should be

available and; more data for comprehensive river treatment projects are expected.

Water supply and drainage companies believe that it is rather difficult to collect

corresponding funds and more supports are required as the funds for initial capital

are far from enough.

(2) Related government agencies: The needs of related government agencies,

such as Urban Development & Reform Bureau, Urban Construction & Development

Management Commission, Environmental Protection Agency, Water Resources

Bureau, Bureau of Ethnic and Religious Affairs, Tourist Administration and four sub-

district offices in Zhaoyang District, etc., concern to evade as far as possible the

negative social impacts and risks caused by the Project, to guarantee particularly the

implementation and execution of government policies concerning land acquisition

and house demolition, and to look forward the smooth project development, so as to

improve the urban environment, promote people’s living standards and quality, speed

up the development of enterprises and institutions in the affected areas and improve

the image of the government.

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6 Project Impact Analysis

6.1 Survey Result of the Project Support

The survey indicates that all levels of government, people and ethnic minority in

the affected area support the Project. After acquiring the information, the related

agencies quickly established the foreign investment office of Zhaoyang District,

Zhaotong Municipality, which takes full responsibility of the Project related work by

attaching to the district office. A leading group is established as well, led by the

district mayor with persons in charge of the District Environmental Protection Agency,

the District Development and Reform Committee, the District Water Resources

Bureau, the District Water Supply Company, the District Urban Construction Bureau

and the District Public Finance, etc., as members of the group.

The editorial team communicates with the related agencies and residents using

limitless prior informed consultation, enabling the residents in the affected area to

understand the Project deeply. The findings reveal that either urban population or

rural population, either land acquisition villagers or replaced households, show highly

acknowledgement and wide support to the Project. Even the ethnic minority and

religious population are all willing to cooperate actively in the Project construction

and hope the implementation of the Project can solve the problems of “hard to drink

water, hard to blow down and smelly river” during the city development.

The following shows the Project support ranking of the residents in the affected

area, which is carried out by the assessment team during the survey period:

Table 6-1 Affected Population’s Support Will Ranking in the Affect Area

(Central city river management project)

Will

Community

To lower the burden of flood prevention

To improve the living environment of the residents on both sides

To increase the farmer’s income

To facilitate the transportation to have waste truck driven into the community

To reduce disputes between the villages

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Fuqiang

Guanba

Yingfeng

Shuitangba

Shizhahe

Taoyuan

Xuezhuang

Dengzi

Heping

Table 6-2 Affected Population’s Support Will Ranking in the Affect Area

(Central city sewage treatment intercepting sewer project)

Will

Community

To improve the living environment

To utilize the water resources reasonably

To eliminate the health risks brought by disorderly sewage discharge

To improve sewage treatment capacity

Fenghuang

Dengzi

Table 6-3 Affected Population’s Support Will Ranking in the Affect Area

(Central city northern part water supply and waterline project)

Will

Community

To improve the living environment

To save water resources

To solve drinking water problem

To remove water body pollution

To improve water supply capacity

Ping’an

Taoyuan

Shuiping

6.2 Project Positive and Negative Impact Analysis

The Project implementation will bring different impact on different stakeholders

and organizations, which can be divided into positive ones and negative ones.

Analysis towards the positive and negative impact on the primary stakeholders can

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effectively identify, control and avoid the social risks of the Project construction. The

SA team, by limitless prior informed consultation among the primary stakeholders

and combining the analysis of the filed survey materials, makes analysis of the

Project impact on the primary stakeholders, which can be shown as the following

Table 6-4:

Table 6-4 List of the Project Impact on the Primary Stakeholders

Subproject

Positively affected

population (people)

Positive impact

Adversely affected population (people)

Negative impact

Northern area w

ater supply and pipeline project

318192

①To solve the urban drinking water problem and promote the urbanization process and the local economy②To improve the resident living environment and infrastructure ③To reduce the local diseases resulted from drinking water problem and ensure the drinking water safety④To improve the water resources protection⑤To increase the employment of related industry during and after the Project construction ⑥To provide possibility for peasant urbanization and non-agriculture ⑦To provide non-agriculture employment chances during the Project construction

446

①Relating to temporary and permanent land acquisition problem②The Project implement may affect the local agricultural productivity activities.③Pipeline network laying may have certain effect on the resident daily life.④The collection and increase of water bills increase the living cost the residents.

63

Subproject

Positively affected

population (people)

Positive impact

Adversely affected population (people)

Negative impact

Sew

age treatment intercepting sew

er project

318,192

①To improve the current urban sewage situation and enhance the city and community integrated environment ②To improve the perfection of the city and community infrastructure③To prevent from repeated pollution of water system④Rain and sewage shunting can avoid flooding inside the city.⑤To increase the employment of related industry during and after the Project construction ⑥To provide possibility for rural urbanization and non-agriculture⑦To strengthen the environmental protection consciousness of the local residents

190,228

①Relating to temporary and permanent land acquisition problem②The Project implement may affect the local agricultural production activities. ③Relating to the temporary land acquisition problem and affecting the resident daily lives④The collection and increase of water bills increase the living cost the residents.

River m

anagement project

318,192 ①To improve the urban integrated environment and beatify the urban appearance②To attach importance to the resident hygiene and strengthened their environmental protection consciousness③To reduce the occurrence of diseases ④To ensure the drinking water safety of people and stock lives ⑤To avoid sewage running into the farmland and guarantee the agricultural production safety ⑥To improve the urban investment environment and facilitate the local economy development ⑦To dredge and broaden the watercourse and prevent from flood and draught disasters ⑧To improve the community public order along the river

5,149 ①Relating to temporary and permanent land acquisition problem②Relating to the surrounding replaced households③The Project implement may affect the local agricultural production activities.④The Project implement may affect the resident daily lives⑤The collection or increase of water bills and the collection of disposal fees may increase the resident living cost.

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Subproject

Positively affected

population (people)

Positive impact

Adversely affected population (people)

Negative impact

Related religious

population and

believers

①To improve the surrounding environment of Taoist temples②To strengthen people’s environmental protection consciousness towards water head sites③To protect the water head sites from pollution④To keep the local material culture and the non-material culture from destroying and to ensure its continuation⑤To protect the tourist resources from damage and to enhance the local tourist development

Related religious

population and

believers

①The religious sits along the river may be related to house demolition.②Affecting in different degree on normal religious activities and local celebrations of the local residents③The demolition and resettlement of the Taoist temples may result in corresponding land acquisition problem.

Source: fieldwork and data analysis by the SA team

6.2.1 Relocated households and resettlement

The three subprojects of the Zhaotong Central City Environmental Construction

Project relates, more or less, to land acquisition and house demolition, which is

particularly obvious in the central city river management project and northern area

water supply and pipeline project. The SA team believes that the land acquisition and

resettlement problem resulted from permanent land acquisition or house demolition is

an important negative impact given by the Project.

When people in the affected area are affected by the Project and permanently

move from or loss their original land, or completely lose their land, the original

production and living environment will be changed, leading to the transformation of

the way of life of the affected people.

First, the affected population lost their final life guarantees. Although the land

relating to the land acquisition is not the only and most important income resources

of the residents, it is their basis life guarantees. The farmers living in city fringe area

involved in the Project, being influenced by the urbanization process, whose status is

changing from rural residents to urban residents, while at the same time, the land

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that can be utilized and famed by the farmers are gradually losing in the process.

This point has been proved in the process of investigation and survey by the SA team

that using the current land to carry out faming production is not an effective way to

improve the villagers’ living standard, as is said that “farming can not support the

whole family” and “farming is only a back way for us and the children.” At the same

time, the crops on such land are usually the primary feedstuff resources of their

household breeding and sideline production, while the income hereby is the

important component of their gross earnings, which is particular important for the

poor.

Case 6-1

Interviewee: Zhou XX, male, Han people, Guanba Community Longquan Sub-

district

There are three people in Zhou’s family. Half a year ago, Zhou began to work in

the neighborhood committee, who stays at the village while there is something to

deal with and does some business like selling fruits while he is free from the

committee. His wife does works for others in Zhaotong Municipality. The child is just

in his first year at the primary school, so it is no need to hand in the tuition. With little

economic burden, Zhou’s is in a good economical state among the villagers. The

contracted field under his name is not very much and has already transferred to his

relatives in the earlier time.

He said that almost all the adults there work outside and that only farming can

not feed the whole family, which can at most provide adequate food and clothes,

because the annual grain income is only 2000 yuan or so. There are more than 4300

adults in Guanba Community, among which over 2000 work outside. In other words,

almost all the adult males are working outside for others. However, they generally

work in Zhaotong Municipality, because it is near for them to go out early and return

till late. Motorcycles are the main transportation and almost every household owns at

least a motorcycle. Generally speaking, people here do business or work in the city

66

as construction workers.

The financial status of this community ranks in the medium among Longquan

District, and still one half are still in the poverty. Generally, the more they farm, the

poorer they are. According to the standard of Zhaotong, a household with less than

693 yuan annual income belongs to a destitute one, against which there are 100 to

200 destitute households in this community. At present, the government gives

50yuan monthly subsidy to each person in the destitute household. There is also one

household enjoying the five guarantees (childless and infirm old persons who are

guaranteed food, clothing, medical care, housing and burial expenses).

It is now the period of corn harvest. The potatoes and corns here are mainly

used for feeding pigs. The ordinary household will feed one or two pigs to feed

themselves. No more pigs are fed because of lack of labors (more pigs will need

special person to look after) and space.

Second, the affected population lost their employment condition. The household

economy of majority of land acquisition affected farmers generally comprises of

agriculture and non-agriculture. Many households farming at home have their next

generation working outside. Besides the old age, these left-behind farmers master

limited production skills or life skills. The land acquisition may get them dispelled by

both the agricultural and the non-agricultural labor market. That is to say, they are

forced to retreat from the agricultural division because of the land acquisition, while it

is hard for them to realize reemployment in the non-agricultural division because of

lack of related training.

Case 6-2

Interviewee: Qiu XX, female, 50 years old, Han people, Xuezhuang Community

Fenghuang Sub-district

Qiu, married, with no more than an elementary school education, now has 0.3

mu of land, which shows that her land has been acquired a lot. All her three children

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work outside for others. She said that “the land left can do nothing at all with only

1000 yuan annual income. It can manage with difficulty to feed myself. Now I am old

and am hard to find a job outside. Only at the end of each year, I can get some

money from my children, while they themselves can not earn enough to feed

themselves. In addition, I am ill with hyperosteogeny and rheumatism and have to

spend two to three thousand to see a doctor. All the money is scraped together by

the children. Now my house is demolished also because a road will be built here. If

the land is acquired and I can’t work outside, it will be pretty hard for me to live.”

In addition, the land acquisition of the Project will also cause the loss of large

quantity of earning land and other earning capital goods (e.g. commercial stores),

thus resulting in the reduction of revenue sources of the affect population.

Case 6-3

Interviewee: Lu XX, male, 55 years old, Han people, Yingfeng Community

Fenghuang Sub-district

Lu, married, has never been to school. His three children, a son and two

daughters, all work outside. He said that the main income of his family is the buffet

and sometimes he also go outside to do some part time job, mainly ranging from

helping others to stretch the electric wire and plant the poles. The monthly income of

such job is about 1500 yuan to 1600 yuan, but such income is not common. As a

result, the annual net income is no more than 3000 to 4000 yuan, while the primary

expenses are food and clothes as well as the purchases of the buffet. His family

living standard is among the medium in the community. Before, people had more

land and were honest and frank. Once money was given as supplement, they would

have the land acquired. Now such thing happens over and over again and people

become more sophisticated. Once land acquisition occurs, they hope to have more

money supplemented. His house, nearly 100 square meters, was built in 1986, cost

no more than 5000 yuan. But the money at that time was much more valuable than

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now. He thinks that it is the most important to manage the river, so that the villagers’

living environment will be better and the life will be more convenient and everything

will be better bit by bit. At present, every ton of tap water is 2.80 yuan, while it was

1.90 in the previous time. The price is raised along with the building up of the sewage

treatment plant. However, the water bills are collected uniformly against the same

standard, so people have no disputes. Moreover, the river management can benefit

the surrounding, which is supported by all the villagers. For example, if a villager kills

his cow upriver, the dirty stuff will flow down along the river. Until three to four

o’clock, the blood water will be retained and undermine the atmosphere here. Take

our daily life waste for instance, only accumulating a little money from each

household can reach 36 yuan a year to have the waste drawn away by an

environmental protection worker. But the tenants who rent houses here did not pay

the money. Two or three years ago, people all dumped their waste into the river,

causing flies flying all over and smelly as well. As a result, it is good to have the river

managed, even though there are still some dumping their waste into the river on the

sly during the night. Now, all drink tap water rather than well water as before, as the

well water is polluted by the river. All kinds of waste water in each household are

directly drained into the river. The river was built with stones in the previous years

because of the flood. But now there is no land any longer. The villagers can not use

the waste water to flush their toilet and then use it as the fertilizer of the land. They

have no choice but to drain it into the river.

Referring to the World Bank Financed Zhaotong River Management Project, he

stated that he knew nothing before today. He believes that if house demolition is

needed to have the river managed, it is necessary to discuss and consult with the

villagers to have the problem solved. If his house is concerned, he will show his

support. However, the commons should not suffer losses and should not profit at the

government’s expenses. There is always a way to solve a problem. If his house is

demolished, it is better for him to find a new spot besides the road to build a new

house, so that he can continue to have his buffet, in case that his family will be

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poorer after the resettlement. In terms of the resettlement, he would like to stay

together with his own group to keep the usual communication. If the Project is

started, he would like to work for it and help the Project, as he thinks the Project only

lasts for a short period and will have little effect on the villagers’ daily life.

However, even if the proposal for compensation and resettlement exists during

the process of land acquisition or house demolition and the money for compensation

and resettlement can be obtained, the affected people might not confirm how to

utilize such resources. Especially for the poverty-stricken families, the problem of

sustainable livelihood cannot be ignored.

Case 6-4

Interviewee: Xu XX, male, 45 years old, Han Ethic Group, Ping’an Community in

Tai’ping Sub-district.

Xu, married, with educational level of primary school. There are 3 children in the

family. The net income a year is about 1,000 yuan, with 2 mu of land mainly for

planting corn and yam. The main expenditure is basic need and a great amount of

money will be spent on the sickness of children, such as cold and flu. Two pigs are

raised and one between will be sold at the end of the year. The standard of their

living is comparatively low in the village. No one in this family goes out for working,

moreover, he is told by the doctor not to do the heavy work as his arms were injured

during the farm work. So all the farming work depends on his wife. He said that if the

land acquisition was required by the river management, he advised, “it’s better not to

expropriate the land thus we can have some income. In previous years, 59,000 yuan

per mu is offered including young crops fee. Correspondingly, I can only get about

100,000 yuan since I have only 2 mu of land. From this piece of land, we can have

food from generation to generation and the future of children should be taken into

consideration. If the land is expropriated in future, enough compensation should be

offered. So people can adopt it into business or save it if not. However, the best is to

70

arrange a job to ensure the long-term food and clothing, otherwise, to use up the

resources in idleness will be dangerous. Factually, before land acquisition, you can

make an illustration to the masses and seek the opinions. To tell the truth, if the long-

term food and clothing can be solved, it is accepted even without money for the land

acquisition. Nowadays, prices of commodities are high in the city and we are also

promoted, which is hard to get through. So the income is nothing to speak of. Take

grocery shopping for example, we can plant some vegetables when we have enough

land in previous years. But now we have to pay the vegetables since we have less

land. I have heard that minimum living or endowment insurance will be offered in

some districts. I think it is better. But we haven’t any preferential policies in our

previous land acquisition. In fact, we are unable to get rich by such little land but only

as the minimum living guarantee. To some extent, you come to carry out the

development also on purpose of promoting the living standard of local people.”

The change of livelihood methods and the reduction of income are the negative

impact directly brought by the permanent land acquisition and house demolition,

which will be obvious in a short time. From the experience of involuntary resettlement

home and abroad, it shows that land acquisition and house demolition may bring

about a series of potential and long-term effect in society, culture and mind with the

change of livelihood methods as a blasting fuse, including:

First, land acquisition and resettlement means the end of the original ways of

production and life for the affected people. Without land, the living environment of

farmers changes, while the original concept and behaviors adjusting to the life in the

countryside will also change. For example:

① Interpersonal communication may gradually transfer from “acquaintance”

society with high homogeneity to the contact between residents of unfamiliar

communities; from the tie depending on blood relationship and geographical

relationship to the contact maintained by business relationship while the daily

communication demonstrates into divergence type and asymmetric type. In the

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interview, it is widely held by the villagers that: they prefer to live in the original

community nearby if in need of house demolition and resettlement. Such kind of

willingness is more intense especially in the community of ethnic minority.

Case 6-5

Interviewee: Ma XX, male, 44 years old, Muslim, Yingfeng Community in

Fenghuang Sub-district.

Ma has two sons and he said, “We absolutely support your project of sewage

treatment, as the river pollution is too terrible and boring. We are eager for the

treatment. Once it rains here, it will be flooded. In 1999, “7.14” flood had covered

nearly 80% of the riverside houses with many houses collapsed. At that moment, the

government had subsidized 5,000 yuan to each family and the insufficient part for

building houses were collected by themselves. Many people failed to repair it until

now. My house had also been flooded but without collapsing. Those earth houses

had nearly collapsed. The existing house was repaired 3 years before. I can

remember the river was clean in my childhood but polluted afterwards without any

treatment adopted. Gradually, it has been mistreated. The domestic sewage and dirty

things are all discharged into the river. The well dug anywhere in the riverside can be

used for drinking before, but now the pollution is terrible as more people dwell in. The

main income of my family is to make the bean curd. I’m originally a farmer with a

small amount of land. At that time, with the urban development, land acquisition was

required by some unit, our land was expropriated and we became landless. I think it

is impractical to increase the riverbank since the height varies, both of which may

affect the outgoing. Even changing here into a underground sewage pipe by

redirection cannot solve the problem. The main measures can be taken such as the

river is dredged and covered with the cement slabs to prevent littering, and the

special sewage pipe is installed. Therefore, the problem can be solved. If house

demolition is required, we will move together with others but the new location has to

be found and the compensation should be reasonable. Since our Muslims have our

72

own living habit and we have a trade market from which Buying something such as

beef is very convenient. So the convenience problem should also be considered,

such as a market, if we are moved to other place. So my family can continue our

bean curd production. Short distance is welcome and the same community can be

still maintained. If some family cannot afford the repair, the government can come to

help. But we consider it better to build houses by ourselves by money subsidy

because we always feel not so satisfied with the houses compensated by the

government.

② Diversity of time concept: There is no strict time limit for agricultural life. They

work as sun rises and rest as sun sets. The four seasons are alternated and

repeated. After the loss of land, to be punctual and value the time are what the

livelihood requires.

③Diversity of consumption concept: Thrift, simplicity and practicality are

advocated in the traditional rural life and many daily necessities can be self-sufficient.

But they have to pay the daily necessities after the loss of land. For example, in the

FGD of Ping’an community because of the requirement of building water plant in the

urban water supply project, when the villagers know that the water will be charged

after solving the water problem, they remark, “The water should be charged! Water

should be free, and it is better to be lower than other places if needed.” In many

communities, the villagers also take the same opinion, which indicates people’s

inadaptation of consciousness brought by the change of consumption concept as the

living environment changes.

Second, house demolition and resettlement may produce new gap between the

rich and poor and may aggravate the gap between the rich and poor as well. House

demolition and resettlement actually means a transformation process for the affected

groups, from which some affected people may pioneer a new development route by

the compensation; someone may live merely on the compensation of land acquisition

and house demolition; or some others may fall into a decline because of failure. Such

73

kind of situation is also proved in Xu’s statement of case 6-2 and he shows great

concern for this problem.

Besides, as a result of house demolition and resettlement, the problem of mental

acknowledgement may be brought to the affected group. It mainly includes their

acknowledgement for the city and country, the acknowledgement for their future

social identity and role, and the acknowledgement for the government and the

degree of satisfaction for the living condition after house demolition and resettlement.

The stakeholders of urban development and improvement of ecological environment

can enjoy the fruit of the project or economic benefits, but the land-expropriated

farmers and the replaced householders have to suffer the pains of development in

economy, society and psychology. Without appropriate treatment, many phenomena

may appear such as moral loss, social unfairness, imbalance of profits and conflict

between groups.

And there comes the impact on the original social relationship net of the affected

group. The house demolition and resettlement will bring about the disintegration and

transformation of original social relationship net. For the replaced householders who

perform the commercial activity in the demolition place, house demolition means the

loss of original business network, which will directly result in the reduction of their

economic income. In cases of 6-3 and 6-5, many kinds of concerns of the residents

in face of house demolition show the possible existence of such effect.

The problem of temporary land acquisition brings the inconvenience to the daily

production and life of the affected group, such as pavement project of sewage pipe,

which may affect the outgoing of urban residents and the normal operation of shops,

moreover, noise, dust and public security may be caused in the construction. In the

rural area, the temporary land acquisition will affect the harvest of that season and

destroy the infrastructure necessary for the production and life of farmers, and there

may be the problem of second ploughing after the construction.

6.2.2 Poor population

6.2.2.1 Poor population in rural area

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According to the survey of the SA team, the food and clothing of the people in

the affected areas have nearly been solved, and the poverty is mainly reflected in low

income and relative poverty. All the affected areas are at least equipped with some

basic transportation, water and electricity. The village and neighboring area are all

covered with social facilities such as schools and hospitals. The problem reflected by

local residents mainly focus on the deficiency of infrastructure, for example, the

further development of local economy is restricted by the problems such as safe

water drinking, shortage of production water and inconvenience of transportation.

Poor population exists in each community, and the main causes of relative poverty

are illness, education, natural disasters, lack of labor, lack of field and inadequate

quality of labor. In general, a household with auxiliary occupation of transportation,

migrant working or planting economic crops earns more than those families who

merely go for traditional agriculture.

The potential negative impact of the project is: each subproject more or less will

involve with land acquisition or house demolition, and the relatively poor community

and population are always forced into unfavorable position in face of compensation

and resettlement, profits of the project and initiative adjustment and transformation,

which might worsen the relative poverty between districts and inner communities.

The SA team thinks, the existing design and safeguard measures of the project

will guarantee that the operation of project will neither deepen the degree of poverty

nor produce new poverty. Besides, the poor population can equally benefit from it. It

includes as follows:

① Improvement of the rural infrastructure may better the health condition of the

affected areas and the villagers can obtain the clean water and land. Thus the health

level of poor population can be increased and expenditure on illness can be reduced.

②The construction of project may produce non-agriculture jobs for the residents

living nearby, especially for the poverty-stricken householders.

③The project can provide the jobs for the poverty-stricken householders affected

by the project and make them benefit from the development and construction of

project.

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Case 6-6

Sheng XX, male, 29 years old, Han Ethic Group, villager of team 8 in Guanba

Community, married, education level of primary school. There are 5 members in his

family and his parents live with him. He is currently taking the business of traditional

Chinese medicinal materials, and he said, “In the village, the monthly income of a

common villager is only several hundreds of yuan, which will be used easily. About

2,000 yuan may be remained in a year. The situation is better for a businessman,

and I can have 50,000 or 60,000 a year. Farming is nothing to mention since money

cannot be earned. The poor householders are those without other business. There

are still about less than 4 mu of land for the four members. We haven’t farmed it but

rent it. 200 yuan is priced for each mu of land every year. 800 yuan a year is really

small. The drinking water of the village is from the ground water and we dig the well

by ourselves. But the well water is bad for the health and quite a lot of people here

may get the calculus such as biliary calculus and kidney calculus. You have the

project of water supply in your plan and it will be better if it can solve our water

problem. Even if the extra charge is required, I dare say the villagers will agree.

Because many people get sick and people keep doubt for the water. The water may

produce a thick layer of rust and it is a little bitter. The running water smells good and

it can be distinguished. We are eager for the solution. Before, the community took

some measures but failed. For performing the project, we can also offer our labor so

that we can also earn some money. It is really good. If the land is expropriated, the

long-term job can be offered to those poor ones who also do not know other business

such as management of watercourse so that they need not worry about their future

livelihood.”

④ According to the resettlement plan regulated by OP4.12 policy of the World

76

Bank, a series of specified resettlement measures conforming to development need

and culture of poor population will be taken to ensure the cultural continuity and

livelihood development of poor population after land loss.

⑤ The preferential policy of separate charges for the water, electricity and

environmental protection between city and country will reduce the life burden of poor

population. In the process of FGD and door-to-door interview, most of villagers show

their understanding for the charge but they call for separate charge policies in the

affected areas so that their income will not be reduced with the increase of charge.

6.2.2.2 The poor population in urban area

According to the survey of SA team, the increase of life cost probably brought by

the project accounts only a small part in the whole daily expenditure and less

influence is produced. But the influence is greater for those relatively poor urban

residents. These poor population lives in groups with limited income origin. Besides,

the surrounding health environment is relatively awful.

The negative impact of project for the poverty-stricken householders mainly

includes: first, the increase of relevant charge, such as sewage treatment and

rubbish treatment, may worsen the burden of poor urban population; second, in the

project referring to the resettlement of urban residents, the affected poor people may

obtain less income sources (such as house leasing income and business income)

and the original relationship net can be damaged.

The SA team thinks that the corresponding design and plan of project have

already taken the equal benefit of poor urban population into consideration, which

includes as follows:

①The project can change the life environment of poor population, such as

obtaining the clean water, air and living environment, preventing the occurrence and

threat of flood disasters and improving the surrounding public security.

② The improvement of environment can reduce the occurrence of the sickness

of the residents.

③ The construction of project and improvement of urban environment can

77

provide job opportunities in the relevant industry for them.

④According to the resettlement plan regulated by OP4.12 policy of the World

Bank, on one hand, the income of poor population can be recovered after house

demolition; on the other hand, their living condition can be improved.

⑤ The preferential policy of reducing the charge of environmental protection of

the poor can reduce the burden of the poor.

6.3 Impact analysis of the behavior of the affected groups

The environment problem existing in the affected areas has close relationship

with the life style of the affected groups in the affected areas. Meanwhile, the final

smooth implementation of project and continuity of project effect may in turn affect

the concept and behavior of the affected areas. If the affected groups and the

operators of the project have not placed enough emphasis on this problem, the

negative impact will be produced to the realization of final target and effect.

According to the information provided by the relevant government department

and the actual survey results, the main rivers in Zhaoyang district are Sayu River,

Zhaolu River and its branches-Liji River system and Tuwei River system, which can

easily cause flood disaster for the basin area in the history.

According to the record of History Record of Flood and Drought Disasters in

Yunan Province, from Year 20 in Yuanzhi (1285) to Xuantong in Qing dynasty (1911),

in about 600 years, 119 years of flood and drought disasters of Zhaotong Municipality

have been recorded. In the recorded years, the flooding years of Zhaoyang districts

are 58 and the occurrence of disasters accounts for 48.7% of the recorded years and

9.3% of all the years. From the history materials, the flood is frequent in Zhaoyang

District and the caused loss is also great to people’s lives and properties. In Report of

Flood Control Program of Zhaoyang District, the flood will come every 2 years from

1911 to 1949. Since the establishment of new China, our country has been

constructing the water conservancy to reduce the flood disasters. For many reasons,

the standard of flood control is not high. Terrifying floods occurred in 1957, 1965,

1981 and 1999. On July 14, 1999, the flood brought huge damage to the water

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conservancy project, besides, 8 people lost their lives, 538 people were injured,

4,857 houses collapsed, 74 units were flooded, 234,000 mu of land were disastered

and 141,000 mu of land was damaged. The direct economic loss is 528.46 million

yuan and the disaster people had reached 439,000. Among which, the people

suffering the heavy disasters reached 151,000 and 10 thousands of people became

homeless. Table 4-2 shows the detailed parameters of Tuwei River and Liji River.

Table 4-2 River parameters of Tuwei River and Liji River

River Subsection RemarkLength of

river (km)

Gradient

(‰)

Basin area

(km2)

Tuwei

River

(total

length

28.1km)

Xiushui

River

Left branch of

Yaowan River,

secondary

branch of

Tuwei River

From source to intersection

between Xiushui River and

Yaowan River

12.4 7.49 21.8

Yaowan

River

Primary left

branch of

Tuwei River

(total length

14.2km)

Intersection between

Xiushui River and Yaowan

River

13.0 8.79 19.5

From intersection between

Xiushui River and Yaowan

rive to intersection between

Yaowan River and Tuwei

River

1.17 3.42 2.72

Dongmen

River

Primary right

branch of

Tuwei River

From Gengtang Reservoir

to intersection between

Dongmen River and Tuwei

River

2.71 6.64 6.46

Tuwei

River

Main stream

(total length

From source to Jingmen

reservoir7.09 50.41 33.5

From Jingmen reservoir to 12.6 11.45 26.3

79

28.06km)

intersection between

Dongmen River and Tuwei

River

From intersection between

Dongmen River and Tuwei

River intersection between

Tuwei River and Yaowan

River

2.05 0.98 3.72

From intersection between

Tuwei River and Yaowan

River to intersection

between Tuwei River and

Zhaolu River

6.32 0.63 9.57

Liji River (total length

27.1km)

From source to Beiza reservoir 7.86 57.48 31.6

From Beiza Reservoir to intersection

between Liji River and Zhaolu River 19.2 3.07 80.9

With the rapid development of urbanization, the harm for the society caused by

flood disasters becomes more and more serious. Besides, the gradual increases of

living density promote the residents to occupy more pre-reserved riverbank and

narrow the river way. Moreover, a great many of river-across building and water-

retaining building will be built to produce the unsmooth flood discharge in the local

area and worsen the flood control pressure. Meanwhile, the sewage and rubbish

from the residents on both banks and enterprises are directly charged and littered,

which aggravate the river silting. The local river way is narrowed and the flowing

section is reduced. Flowing speed is increased and backwater appears in the local

part and the silting condition is serious, which pollutes the surrounding environment

of life and production and threats the life and property especially in wet seasons.

The pollution condition varies in the whole river and it is rather complicated.

Because sewage system is imperfect, the sewage collection of auxiliary pipe is low,

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some unauthorized buildings are nearby and pollutant-intercepting pipe is imperfect,

which cause the sewage of polluted water into the river and serious pollution of the

urban river way and some river section is forced into sewage ditch. Among which, the

upper section of Liji river (above 3-hole bridge) is of good water quality and less

pollution sources. The farming field and rare residents locate on both banks. The

main urban area follows the 3-hole bridge and the rubbish and pollutant are charged

into the river, which produce a certain effect to the water quality. But there are no

large pollutants on both banks, so the water quality is just a little worse than the

upper section. There are mainly farming land on both banks in the downstream

section and less impact is brought to the water quality. The water condition in each

section of Tuwei River varies, and the upper section is good. But after entering the

section of urban area, it is seriously polluted because some residents have bad life

habit and limited awareness of environmental protection and throw the rubbish into

the river willingly. Moreover, some river way is not dredged in time and narrowed.

In conclusion, the life style of the affected groups in the affected areas is not only

the main cause but also the key to control the pollution. The successful

implementation of project necessarily influences the original concept and behavior.

① For the urban residents, the consciousness of environmental protection and

law will be improved. In the survey of SA team, the interviewed objects support the

overall renovation of watercourse and positively express their own opinions and

ideas. Case 6-7 indicates the trend of environmental protection of residents.

Case 6-7

Interviewee: Wang XX, Male, 60 years old, Han people, Yingfeng Community

Wang is a veteran, lives along the middle and lower reaches of Dongmen River,

whose house is about 3 m or so from the river. At present, he stays at home after the

retirement, and the primary financial income comes from the income of his son and

daughter-in-law by working outside for others. The annual household income is about

20,000 yuan and there is no land in his household. After the SA team expressed the

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reason why they came, he began to talk excitedly.

Referring to Dongmen River, he said that the watercourse used to be 3 to 4

meters wide and is only 1 to 2 meters wide now. When he was a little boy, people

could bathe, wash clothes and even drink from the river. But now it smells all day

long. In addition, many houses are built right along the watercourse to make the

channel much narrower. Moreover, the residents along both sides of the river

basically dump or drain all the life waste and waste water into the river, so that the

volatilized air is really bad-smelling when it is hot. Especially when there is much rain

in the summer, the water in the river will overflow into the houses with lower ground

along the two sides of the river. The waste along with the waste water will directly

flow into the rooms, which may not only affect the residents’ health, but also have a

bad impact on the daily life of the residents.

He hopes that the government can manage the unauthorized constructions taken

the place of the watercourse, and can construct a concentrated community in a

specific spot and regulate the new community uniformly with uniformed resettlement.

But, it is hoped that the government could put forward such requirement and take out

planning map and leave it to the residents themselves, because if the project is done

by the construction team, it will cost more. Moreover, the residents worry about that

the construction team may do shoddy work and use inferior material. During the

construction period, it is hoped that the government could provide accommodation or

accommodation allowance for the residents. Or the life will be a problem without a

house to live.

If the Dongmen River needs rearrangement of the blow-off lines, it is hoped that

the government could do a complete job and the diameter of the pipeline should be

at least 2 meters with sturdy materials, otherwise the pipeline can not play a role a

sewage disposal. Another suggested measure is to clear the river bed and deepen

the watercourse and then cover the river with cement slabs. The river management is

a good thing as well as a thing related to a plurality of generations, which must be

done well. Then the life waste of the residents must be dealt with. Not everyone

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wants to dispose the waste anywhere. Sometimes, the waste truck is hard to come

into the community and there is no uniformed treatment for such stuff in the

community. Therefore, it is hoped that this problem can be solve with consultation

with the city sanitation departments. At last, he said that provided my house needs

demolition, he will manage to persuade his children in spite of their disagreement.

Without temporary source of income, he is willing to demolish his house. On one

hand, he believes that the government will resettle the residents properly; on the

other hand, the watercourse indeed needs management and people can no longer

live under such conditions.

The transformation of concept, in addition to the smooth implementation of the

Project and the government’s propaganda and guide, will greatly improve the daily

activities of the residents, enterprises and pubic units along the both sides of the

river. For example, people may not dump the waste anywhere again, may not directly

drain the waste water and may not take up the watercourse land illegally, etc, thus

guaranteeing the long-lasting environment management effect.

②In terms of the residents in the countryside communities, along with the

implementation of the Project, the local drinking water and production water problem

may be solved and the road conditions may be improved. However, with the

improvement of the living conditions, various kinds of fee collection is coming as well,

which must have impact on the original consuming idea of the countryside residents.

Case 6-8

Interviewee: Zhou XX, Male, 35 years old, Han people, Dengzi Community

He told the SA team that the main problem of the village is the drinking water

problem. Now they drink well water from other villages. They do not know whether

the water quality is good or not. It is ok for them only if the water is clear. It is hoped

that the convenient and affordable tap water can be available. They are not afraid of

the water bills of the tap water, and even the urban residents will pay when they drink

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mineral water. The villages would like to pay for the money used for pipeline

installation and support the watercourse management, as great pollution do no good

to the individuals as well as to the country. After the management, it is clean. The

water for livestock is cleaner and the water for crops is better. After the road is built

up, the transportation is convenient and it is easy to go outside. If the water is much

more than that of nowadays, he would like to open a vehicle cleaning store.

After the watercourse is well managed, it is acceptable to collect the waste

pickup charges. But the charge collection must be regulated and done orderly and

should have regulated units to keep from arbitrary charges. However, it is hoped that

the water bill and the waste pickup charges could be cheaper than the urban area, so

that the farmers can accept. If it is 1 yuan for 1 village, they can accept it. The waste

in the past can be dealt with by the villager themselves because they had their own

land and lots of waste can be used as fertilizer and some can be burnt or buried. The

villagers have different opinion on waste compared with the urban inhabitants. Even

it is out of use, the villagers can deal with it in their own way. If the waste pickup

charge is about 20-30 yuan a year, it is acceptable. The river management is good

for everyone. It is convenient for the farmers to farm and is also good for the city

habitants. But during the management, it is hoped that the drainage and irrigation

channels could not be damaged.

After the Project is implemented, it is expected that the local people will be much

more elaborated in terms of life waste treatment. They can identify separately the

waste that can be used on spot and the one that must be treated by the sanitation

departments, which is beneficial for the protection of the local ecosystem.

③Due to the adjustment and collection of the water bills, some life materials that

can be used free of charge in the past is available only after the payment. Therefore,

the residents of the community will attach more importance to the water resource by

saving water in their daily production activities and life and systematically making use

of various water resources reasonably, such as different use of surface runoff water

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resource, shallow layer water well and drinkable water.

④In terms of those involved in land acquisition and house demolition, if the

Project implementation can bring them corresponding long-term jobs, their livelihood

will be totally different from that of before. The previous agricultural life has no strict

time requirement. They went to bed with the lamb, and rose with the lark, which is

repeated again and again with the alteration of four seasons. But the new livelihood

may require punctuality and shows great importance on the value of time.

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7 Willingness and Ability to Pay

7.1 Progress of payment

7.1.1 Water price situation

7.1.1.1 Policies in Yunnan Province

Yunnan Provincial Development and Reform Commission issued the

Implementation Guidelines on Deepening the Reform of Water Prices, Promoting

Water Conservation and Protecting Water Resources in 2005. It put forward the price

adjustment rates for water conservancy project and urban water supply and drainage

(including sewage charge) between 2005 and 2007: 2.00-3.50yuan/m³ for demand in

households; sewage charge in principle would be collected among cities along

plateau lake basins (including Dianchi Lake and Erhai Lake) at county level prior to

the end of 2006; priority adjustment shall be given to sewage charge while adjusting

water prices in cities involving in charges for sewage treatment; the sewage charge

would not below 0.8 yuan/m³ at the end of 2007 and; sewage charge would be

collected in other counties and cities prior to the end of 2007.

7.1.1.2 Local policies and safeguards

The adjustment scheme for urban water supply and drainage in Zhaoyang

District has been approved by the Reply of Yunnan Provincial Development and

Reform Commission on Adjusting Urban Water Supply and Drainage Prices in

Zhaoyang District, Zhaotong Municipality. To be specific, the overall average price for

urban water supply and drainage in Zhaoyang District would be adjusted to 2.95

yuan/m3 (including 2.13 yuan for water supply and 0.82 yuan for sewage treatment)

since May 1, 2009 and; to 3.46 yuan (including 2. 64 yuan for water supply and 0.82

yuan for sewage treatment) since May 1, 2010. The overall water rates prior to

October 2009 are as follows: 2.00 yuan/m³ for domestic water, 2.50 yuan/m³ for

industrial and commercial water use and 3.60 yuan/m³ for special industries.

Households enjoying the five guarantees (childless and infirm old persons who are

guaranteed food, clothing, medical care, housing and burial expenses) and the

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handicapped (with the certificate of disability above Grade-II) and other vulnerable

groups would be exempted from collecting water supply charge (3 yuan/m³ per

household monthly) (including sewage charge). Taking actual situations into account,

0.05 yuan/picul would be charged for zero water application in water stops. The rates

of water supply and drainage companies would employ following the October 2009

please refer to Table 7-1 as follows:

Table 7-1 Comprehensive Water Rates Issued since October 2009

Unit: Yuan/m³ Latest water rate (Effective date: October 2009)Previous water price

Total price (=A+B)

A. Water supply

B. Sewage treatment

Total price

Weighted average

2.95 2.13 0.82 2.10

Domestic water 2.80 2.00 0.80 1.90 – 2.20

Industrial and commercial

3.40 2.50 0.90 2.40 – 2.60

Special users 4.50 3.60 0.90 3.30

7.1.2 Refuse rates

The current collection rates for urban household refuse forwarding fee in Zhaoyang

District is shown in Table 7-2:

Table 7-2 Collection Rates for Urban Household Refuse Forwarding Fee in

Zhaoyang District

No. Item Unit Rate(Yuan) Remark

1 ResidentsHousehold/year

36.00 yuan 　

2

To run perishable stores with serious pollutions

m2/day

a. 2.00 yuan (≤50 m2);b. 3.00 yuan (>50 m2, additional 1.00 yuan shall be charged for per 50 m2)

Include maintenance site and workshop, etc.

3 Trade market Point/ a. 4.00 yuan for fixed stall Perishable stores with serious

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day pollutions shall be charged according to Rate 2. Those with storefronts shall be charged according to Rate 5.

Point/day

b. 1.00 yuan for scattered stall

4Excrement forwarding ton 24.00 yuan 　

5 Ordinary storesPoint/day

0.50 yuan 　6

Scattered refuses

ton 30.00 yuanBoiler furnace shall be charged at monthly 15 yuan/ton.

7One-stop service in units

Household (room)/month

a. 11.00 yuan per household monthly; b. 5.00 yuan for each office monthly; c. Hotels and guesthouses shall be charged at 5.00 yuan per room monthly (those with dining halls and canteens shall be charged according to visitors flow rate);d. Medical institutions shall be charged at 5.00 yuan per room monthly (those with sickbeds shall be charged at 3.00 yuan per bed monthly).50%-150% shall be increased for the above services with industrial wastes.

Offices including classrooms, dormitories, small garages and duty rooms;Medical institutions are prohibited to mix wastes produced in medical services and operations with domestic refuses, and such wastes shall be handled in a centralized way according to specific stipulations before being sent to environment authorities for treatment;The collection rate for outpatient service please refer to Rate 10;Dining halls and canteens shall be charged at 2.00 yuan/day per 50 person and 3.00 yuan/day for 50-100.

8 Waste bin purchasing service in units

Household (room) /month

a. 8.00 yuan house/month and 5.00 yuan room/month per office (those with dining halls and canteens shall be charged according to visitors flow rate);b. For hoard services, 9.00 yuan household (room)/month for those with loading fee and 6.00 yuan household (room)/month for those without;c. 3.00 yuan household/month for residents transporting refuses to the refuse dump on their own and 2.00 room/month for each office;d. Medical institutions shall be

Offices including classrooms, dormitories, small garages and duty rooms;Public medical waste refers to the waste which is needed to be specially treated by public medical institutions and sanitation services can’t be entered into the state secrecy organ, prisons and specially controlled military areas;Public medical institutions Medical institutions are prohibited to mix wastes produced in medical services and operations with domestic refuses, and such wastes

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charged at 5.00 yuan per room monthly (those with sickbeds shall be charged at 3.00 yuan per bed monthly).50%-150% shall be increased for the above services with industrial wastes.

shall be handled in a centralized way according to specific stipulations before being sent to environment authorities for treatment;The collection rate for outpatient service please refer to Rate 10;Dining halls and canteens shall be charged according to Rate 7.

9 Eating houseTable/month

6.00 yuan 　

10

Large business sites including dancing hall, pub and teahouse, etc.

m2/day

a. 1.00 yuan (≤50 m2/day);b. 2.00 yuan (>50 m2, additional 1.00 yuan shall be charged for per 50 m2)

Include waiting lounge, boarding lounge, bath room, swimming pool, parking lot, supermarket, commercial centre, book store, hair salon and outpatient clinic, etc.

11

Cost on sanitation maintenance of transport vehicles

Vehicle/ month

60.00 yuanAs for collection towards construction organizations, cleaning procedures shall be handled according to building engineering cost: two sets for below 100,000 yuan, five sets for between 100,000-500,000 yuan and additional three sets for an increase of 500,000 yuan for those above 500,000 yuan

Set10.00 yuan (Cost on card and picture frame)

12 Public toiletPerson/time

0.20 yuan for water-flush type and 0.10 yuan for dry latrine

　

7.2 Analysis of willingness and ability to pay

Residents are required to use the infrastructures by raising expenses upon

completing the three subprojects involved in the Project. Projects to be charged in

the future include urban water supply project (charge on daily drinking water,

including charges for disposing pollutants in sewage treatment plants and those

increased for pipe network application) and comprehensive river treatment project

(charge for waste-freight).

According to the survey conducted by the SA team, as most of the areas

involved in these projects are located at the combination area of cities and country

sides which are either challenged by urban environmental problems, or with no

available running water connecting to the community, thus leaving villagers in a virgin

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state for water application, drainage and treatment of domestic and productive

refuses.

For urban residents, esp. those along the river, most of them are applying

running water, and the main problem for river pollution is concerned to difficult refuse

transport caused by limited coverage of blow-off line and impassable roads. These

residents shall be charged mainly for urban refuse-freight.

In order to learn about the willingness to pay of the affected groups, the social

assessment team has conducted surveys on the willingness and ability to pay of the

affected urban groups with varied economic level and professions by means of FGD

and interview. Having held 12 FGDs in four sub-district offices and eight communities

involving almost 110 residents, the SA team has also undertaken in-depth interviews

with nearly 50 households, covering their willingness to pay, family burden,

willingness to support the rising charges and the highest charges and so on.

7.2.1 Willingness to pay

A majority of the interviewees show their willingness to pay the charges on water

supply, sewage treatment and handling of solid wastes, as well as on the high-quality

drinking water and environmental improvement during the FGDs. Six out of the 50

interviewees are unwilling to pay for poverty and three consider it unnecessary for

they believe that they have nothing to do with the environmental pollution.

As shown in the survey of the SA team, urban community residents show the

highest willingness to pay, for they’re enjoying the most guaranteed payment rate;

while urban people in poverty and residents of the combination area of cities and

country sides and rural community residents are relatively unwilling to pay.

Suggestions put forward by the interviewees on the payment are as follows:

①Taking income gap into consideration, corresponding standards for collecting

charges on sewage treatment and water supply shall be worked out based on

different income groups (urban and rural residents).

②It is suggested to collect by allocation, namely, to charge by responsibility,

lager enterprises, for instance, can be collected more for their large quantity of

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wastes. And factories, mines and other enterprises can be collected independently,

and ordinary people should be charged reasonably.

③Work out protective policies for vulnerable groups in collection: For instance,

basic protective and preferential policies on exempting the urban people in poverty,

low-income groups and rural population below the poverty line from charges for water

supply and sewage and refuse treatment.

④Work out preferential policies on charging or exempting certain groups from

charging for those in the affected areas, with their land acquired or replaced.

⑤Solve the road problems first to make it available for refuse collection vehicles

in and out concerning refuse treatment caused by inconvenient traffic.

⑥Reserve adequately the number of wells in rural communities with limited

water resources to guarantee the water for agricultural use in dry days

7.2.2 Ability to pay

According to the article entitled The Feasibility Study of Water Economy of Water

Diversion Project from Biliuhe Reservoir to Dalian Funded by Asian Development

Bank, the Journal of Economics of Water Resources (No.2, 1993), the ratio of 3%-5%

is always considered the workable index for household income in potable water

charge. As it is pointed out in the research report entitled Water Shortage in Urban

and Rural Areas issued by the Ministry of Construction, the impact of water charge

on residents and their ability to bear varies when different ratios are involved in

household income: little impact at 1%; certain impact at 2% with consideration on

water consumption; more attention paid to water conservation at 2.5%; greater

impact at 5% and; tremendous impact at 10% with consideration on reuse of water.

And prices shall also vary in target and form of water use.

According to The Standard of Water Quantity for City’s Residential Use

(GB/T50331-2002) jointly issued by the Ministry of Construction and the General

Administration of Quality Monitoring, Inspection and Quarantine on November 1,

2002, the standard for domestic water consumption of urban residents in Yunnan

Province is set at 100-140L/person/day. As shown in the data provided by water

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supply and drainage companies in Zhaotong Municipality, the average water supply,

sales and collection of self-provided water sources reached 33,781 m³/day, 25,534

m³/day and 8,220 m³ respectively in 2008. As there’re few industrial enterprises in

Zhaotong Central City, and water for production use are all from self-provided

sources, all the above water resources are for domestic use. Nowadays, the

population of urban water supply has reached around 270,000 with the per capita

comprehensive water consumption amounting to about 125L/person/day. Since

urban economy is relatively low and a majority of rural population is included in the

Project, the per capita comprehensive water estimated according to the above data is

rather low to the moderate level around the country.

According to the Statistical Bulletin for 2008 National Economy and Social

Development in Zhaotong Municipality, the urban per capita disposable income was

10,005 yuan. The SA team figured out that the annual per capita potable water

charge of major local residents accounts for 1.3% of the annual disposable income

according to local actual per capita comprehensive water consumption of

125L/person/day based on the new standards following May 1, 2009. And the cost on

refuse treatment occupies an even lower ratio.

For rural communities, their ability to pay is learned mainly by FGD and

interviews conducted by the SA team; it is learned by overall comparison that rural

community residents don’t use running water are capable of paying 1.5-2.0 yuan/m³;

generally considering the installation fee is higher, it is acceptable at around 300

yuan/household. Attached below is the case 7-1 for details.

Case 7-1

Interviewee: Yuan , female, Han people, 52 years old, Dengzi Community

As introduced by Yuan, “The water for drinking and washing in our village is

mainly from the rain and though heavy rain can be ensured among the waterlocks,

we would not require any damming for fear that it might shatter the dams. We begin

to store water only when the weather is dry. We can only collect water on our own

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while sowing seeds; the radishes, suffering from drought, stop growing as well. It

may matter if the water for production is transferred for building water plants. The

water resource is far from enough when residents from surrounded villages pump

water from the river with hydro-exhausters. In the past, there were enough rain water

and clean water from Dalongdong Cave can flow along the river to guarantee the

water supply. However, half of the water resource from Dalongdong Cave has

currently employed by Huaxing Cement Plant, thus causing water shortage for our

field irrigation and water problems for drinking. Though there’re more than one

hundred households in our village, only two are accessible to water supply. As I’m

living along the river, my family drilled a well for next-door neighbors to use water;

others, always go to other places for collecting, which may take them half a mile. Not

long before, the staff from the Station for Water Management announced that the

wells would be destroyed. We’re also prohibited to pile grass and fertilizers along the

river when authorities come to visit our village. Since our fields are located along the

river, the grass and fertilizers are to be applied to the fields in the future. That is to

say, if all of us are accessible to water supply in the following days, it may remain a

concern of water for productive use. The river is out of care at other times; provincial

officials visit the river with the single purpose of salvaging wastes from it. In those

early years, as water was rather limited for dry weather, some went to the

Dalongdong Cave to destroy the large steel pipe for water; as a result, they were

fined. Even so, villagers have to demand for water supply, for it is unreasonable for

preventing them from drinking or using water. Currently, water pipes have been

introduced to solve the water supply of urban residents, while we’re still suffering

from water shortage, for which some may once again destroy the water pipes. As the

population of the urban areas is so large that they may also be concerned for water

supply.

There are seven in our family and only my sons and husband support the family

by doing small jobs with only several dozens yuan gained each day. Even if we have

a small store selling living goods, we may only gain more than 1,000 yuan each year.

93

There’re also those poorer than us, unable to afford even 1 yuan for Buying salt.

Along with the rising price of commodities, wages gained from doing small jobs are

used out for living and consumption, seeing doctors and social relationship, leaving

no surplus money. Rivers in the cities are relatively severely polluted by comparison

with those in our village, so it is better to treat such rivers by management.

Most cost would be involved for installing running water facilities, which may lead

to even heavier pressures among those suffer from problem of food and clothing.

Take our family as an example; the monthly water charge may even higher after

introducing running water for washing and irrigating the fields. This can be solved by

separating the charges on water for domestic and productive uses, which can be a

little lower than that of in cities, for income in rural areas is generally low. This can be

fair. I believe that it is acceptable at 2 yuan/m³, which can be even lower for those

with more difficulties. This because that we could grow vegetables for self-use it the

past which is unavailable nowadays, thus raising our daily costs. So our income is far

from enough. And the cost on installation is acceptable if reduced by half.

As it is only charged at 36 yuan/year for refuse removal, the local residents show

their willingness to pay, with the prerequisite for commitment from sanitation

departments of providing service involved and handling traffic problems first for those

with poorer road conditions. The charges would be collected uniformly by the

community neighborhood committees.

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8. Involuntary Resettlement in the Affected Areas

8.1 Basic information on land utilization and acquisition impacts in the

affected areas

8.1.1 Basic information on land utilization and acquisition impacts in the

affected areas of water supply project

The water supply project construction in Zhaoyang District involves the laying of

water pipelines and water factory construction. The land in water pipelines are mostly

paddy field, with the crops such as corns, vegetables and fruiters etc. Land utilization

in the water sources place—Dalongdong are scenic areas and religion places. Qing

Men Water Factory is located in Pingan Community popedom, Taiping sub-district

office, the type of land acquisition is state-owned reserve land, on which the villagers

is still being planted vegetables at present. Taiping Water Factory is located in Guan

Ba Community popedom, Long Quan sub-district office, the type of land acquisition is

belong to the Contractors, on which also is being planted vegetables at present, near

there are a Dong Fang Glassware Factory and a Mechanical Plant, close to Bang

Han road and Zhao Yi road.

Qing Men Water Factory Pressure Pump Station is located in Shui Ping

Community, Taiping sub-district office, and now the land type is is belong to the

Contractors, land attachments are crops of corns and vegetables.

Water supply land construction and water pipeline laying not involve land

acquisition, mostly use temporary land. Tourists’ sightseeing and the Taoist normal

religious activities might be affected during the construction process of water supply

land and paddy crops may be damaged during the process of laying the pipes, the

waste, which was not well handled when constructing will damage the land and affect

soil quality.

Water factory building and Pressure Pump Station involving land acquisition but

without house demolition, Qing Men Water Factory with land acquisition of 32 mu,

Taiping Water Factory with land acquisition of 100.2 mu, and the Pressure Pump

Station involving land acquisition of 3.3 mu.

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The positive impacts of Land acquisition to local residents mainly include: ① the

local residents obtain a certain number of compensation funds, they can control that

freely in a short term. ② Conduce to get placement opportunities, and access to live

in the area with a more reasonable planning and more complete set life.

The negative impacts mainly include: ① the crops that are planted by local

residents on the land will be destroyed. ② local residents will lose a long-term, have

been accustomed livelihood source and have to adapt to another livelihood for a

longer period. ③ local residents will lose the role of social security comes from the

land.

For the project, the main impacts from land acquisition and temporary land

utilization are: whether the land acquisition will be smoothly and efficiently conducted,

and whether the local residents will accept the compensation rate of the land

acquisition and temporary land utilization and support the project implementation,

which are mainly showed in ①: Compensation rate is too low and compensation

resettlement can not meet the local residents’ requirements. ②Due to the different

location of land, the compensation rates of land acquisition may be different, and the

residents in a lower standard area will have unsatisfied emotions. ③ During the

process of compensation resettlement, either improper management will lead the

residents can not receive compensation on time and with certain quantities or the

land ownership relations are not clear, so the land acquisition also can not be

proceed. ④Because of personal preference, residents do not want their land be

requisitioned. ⑤ After land requisition, the households did not receive proper

resettlement. These types of situation may lead to land acquisition can not be carried

out smoothly and to delay schedule.

8.1.2 Basic information on land utilization and acquisition impacts in the

affected areas of sewage treatment project

The sewage treatment project in Zhaoyang District Central City includes the

Zhaotong central city northern area intercepting sewer project and the construction of

the sewage treatment plant. Intercepting sewer construction mainly located in Taiping

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new area and Qingmen area, Taiping sub-district office,

Sewage Treatment Factory is located in Fenghuang sub-district office.

The land in intercepting sewer project implementation area is mainly farmland,

now some of them have been as farmland acquisition land and belong to state-

owned reserve land, but the land is still planted with crops, mainly as short-term and

dry-land crops, mostly are corns and potatoes. Some areas in Zhaoyang city district

are mainly residential areas, shops, enterprises and institutions and roads.

Intercepting sewer project not involve land acquisition, mainly on temporary land

utilization. The impacts of intercepting sewer project in farmland area including: ①

the destruction of crops on land.② When constructing, due to left turn digging of the

land, stone sand and other disposable materials from construction led to the

destruction of the soil and land may not grow crops for a long-term or soil quality will

be declined. In urban areas, impacts including: ① The road or other public facilities in

the region may be damaged by the construction. ② The normal production and life of

households or enterprises & institutions along the road will be affected.

The land required for the sewage treatment plant has been requisitioned by its

first construction period for its reserved land. Near the plant, there is a residential

area, a road and a river, which belong to Xiuwei River system, the land that the

Sewage Treatment Plant need will have no oversize impact from the land acquisition

during the implementing process of this project.

8.1.3 Basic information on land utilization and acquisition impacts in the

affected areas of river management

Zhaoyang district central city river management project construction content

including Liji River main stream management, Tuwei River main and tributary

management in urban area, including its tributaries: the Dongmen Stream, Yaowuan

River, Xiushui River. The overall management length of River management project is

48.162km.

River management with a wide and large range and more complex land

utilization situation, Liji River system and Tuwei River system are all flow through

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rural areas and urban areas, and both their middle parts flow through the urban

areas, Tuwei River system has a largest flow scope in urban areas.

In the rural areas, there is farmland, residential areas and country road both on

the two sides of Liji River system and Tuwei River system. The more special is that

there are two religion activity places along the Liji River. In urban areas, there are

residential areas, enterprises and institutions, schools, markets, shops, roads, mostly

are residential areas on the two sides of Liji River system and Tuwei River system.

Most of the required land for the main three parts of river management is state-

owned land (beach land), and a small amount of land acquisition house demolition

work. The land acquisition mainly centralized in South Wenquan Community,

Fenghuang Street, Shizha River Community and Shuitangba Community, Taiping

street. As the coastwise watercourses of Xiushui River and Shizha River are terribly

damaged, the phenomenon of occupation of watercourse farmland is more

prominent, and the more important is the occupation of watercourse has been

become the fact, land boundary of farmers’ farmland is clear, in addition to young

crops compensation, to obtain this land, a certain number of land acquisition fee

should be paid. Whether the project can be advanced smoothly is related with how

the government will deal with the land acquisition problems and give appropriate

complement to them. The house demolition that has been caused by river

management mainly centralized in the urban parts of Liji River and Tuwei River. Then

main impacts that brought by the land acquisition and house demolition are same as

the sewage treatment project and water supply project, however, here one key

problem is the treatment of building right on the two sides along the river bank in

urban. For example, the building along the Dongmen Stream and the Zhonggou

River, where the residents have been living for a long time, how the government will

deal with their house demolition and resettlement, give them reasonable

compensation are related with the project’s effectively implementation.

Temporary land utilization is main part of river management land utilization, its

impacts including: 1) when constructing, the occupation of land will affect the regular

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production and life of the local residents and a variety of enterprises and

institutions.2) there are impacts on the security of housing stock near the riverside,

such as the destruction of the foundations of the existing housing stock and so on.3)

in the process of management, the waste, such as silt, sand and various waste

materials are abandoned from construction will give secondary pollution to the land

along the river.

Table 8-1 Table of permanent land acquisition of environmental construction‘s each subproject

ProjectXiang/town (sub-district)

Community (village)

Farmland

Subtotal (mu)Paddy filed (mu)

Dry land (mu)

Zhaotong Central City River Management Project

41.04 13.59 27.45

TaipingShizha River 24.44 0 24.44

Shuitangba 42.14 0 42.14

Zhaotong Central City northern area water supply and pipeline project

Longquan Guanba 100.2 0 100.2

Taiping Shuiping 6.5 0 6.5

** This table excludes the previously required 36 mu now as state-owned land related to Jingmen Waterworks.

Table 8-2 Table of temporary land acquisition of environmental construction‘s each subproject

ProjectXiang/town (sub-district)

Community (village)

Farmland

Subtotal

Paddy field

Dry land

Mu Mu Mu

Zhaotong Central City river management project

Fenghuang Fenghuang 3.65 3.65

Fenghuang Xuezhuang 0.12 0.12

Fenghuang Hei Ni Di 18 18

FenghuangSouth Wenquan

66.39 56.79 9.6

Fenghuang Mulu 19.9 19.9

Fenghuang Taoyuan 10.19 10.19

Taiping Taiping 8.65 8.65

Taiping Taiping 0.7 0.7

Taiping Shizha River 11 11

Taiping Shuitangba 18.69 18.69

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Longquan Jizhong 12.84 12.84

Beizha Dengzi 49.62 49.62

Pingan Qingmen 14.2 7.1 7.1

Jiupu Tucheng 32.82 32.82

Beizha Beizha 3.84 3.84

Other 114.39

Northern area water supply and pipeline project

At present, the expected temporary land utilization of water pipeline in northern area water supply and pipeline project is 600 mu. As the pipeline laying toward is not yet clear, the impact range of the temporary land utilization can not be determined by now.

Total 985 mu

8.2 Survey of land acquisition and house demolition arising from the

Project

The SA team used the ways of informal discussion, door-to-door interview to

understand the opinions for the issues of land acquisition and house demolition from

government officials, employers and masses in the affected areas.

The Project involves the involuntary resettlement areas, including the Longquan

sub-district office, Taiping sub-district office, Fenghuang sub-district office and Beizha

town, the areas that the project involved mostly are rural areas or the areas with

finished land acquisition and waiting to be built, except the urban areas in the middle

area of Liji River system and Tuwei River system, so the project affected areas are

populated by a rural-based, involving part of the urban population.

The livelihood models of rural population are dominated by agriculture; the main

livelihood source is mostly by planting corns, potatoes, vegetables, fruit trees and

flue-cured tobacco. In proximity areas to urban, mostly rural population plant

vegetables as their main livelihood source, in remote rural areas, corns, tobaccos

and apples are their main livelihood source and also some of them choose work as

their main livelihood mode.

Livelihood models of the residents in urban areas are more diversified; there are

government workers, self-employed persons, staff in enterprises and institutions etc.

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The vulnerable groups in the affected areas include ethnic minorities, poor

people. Ethnic minorities are Hui people, Yi people, Bai people, Miao people, Naxi

people, Buyi people, etc. Among them, Hui people and Yi people are the ethnic

minority with a larger population in the affected areas, both of their population are

distributed in rural and urban areas.

Hui people are a minority should be particularly paid more attention to during the

implementation process the project. It has appeared neighborhood area as a unit of

group of residents among Hui people. There are many Hui people live in the

important areas in river management and sewage treatment projects, where on the

two sides of Tuwei River system, some of them live by butchery, which have made

terribly pollution to the watercourses, and some others manage their business along

the river.

It should be paid attention that how to give them reasonable resettlement.

The poor people standard set down by Zhaoyang District is mainly means that

the ones who have a annual capita income less than 693 yuan, including the poor

ones in urban and rural, the formation reasons for urban poor mainly are lose jobs,

business and price increase and for the rural areas mainly are diseases, less labor,

land shortage, more poor labor quality, etc.

Some people in vulnerable groups should be particularly paid attention to, which

is the ones transfer to urban residents from rural after the land acquisition. They lost

their livelihood source after they have lost their land, and gave up habitual livelihood

model, and have to find new models of livelihood source, to get used to the city's

lifestyle. It is an issue that worth to consider in the process of project implementation

that how to help them finish their transitional period.

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Table 8-3 Summary table of involuntary resettlement in the affected areas

Unit: household

Community involved

Type of land acquisition

Community

Fenghuang C

omm

unity

Yingfeng

Com

munity

Heping

Com

munity

Xuezhuang

Com

munity

Heinidi

Com

munity

Nanw

enquan C

omm

unity

Mulu

Com

munity

Shuangyanzi

Com

munity

Hehua

Com

munity

Taoyuan C

omm

unity

Shuiping

Com

munity

Taiping

Ping’an

Shizhahe

Shuitangba

Fuqiang

Jizhong C

omm

unity

Guanba

Com

munity

Dengzi V

illage

Jingmen

Village

Beizha V

illage

Tucheng

Total

Type of land acquisition

LR without HD 0 0 0 0 0 44 0 0 0 0 5 0 9 63 80 0 0 85 0 0 0 0 286

HD without LR 41 6 21 0 4 3 3 5 4 0 0 0 2 0 2 12 0 0 0 0 0 0 103

Both LR and HD

4 0 0 0 0 0 1 0 0 0 3 0 0 0 1 0 2 0 2 0 0 30 43

Temporary LR 16 0 0 0 10 12 8 0 0 44 41 6 0 63 75 0 79 0 251 0 63 206 874

Requisition of woodland only

19 0 0 0 6 6 30 0 5 0 0 40 0 0 0 0 0 0 0 0 0 0 106

Total 80 6 21 0 20 58 42 5 9 44 46 46 11 63 100 12 81 85 253 0 63 2361,281

Note: LR = land acquisition; HD = house demolition

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8.3 Involuntary resettlement arising from the Project

With the urbanization process, since the last century 90s, there have been

continually emerged circumstances of the land acquisition and house demolition and

project resettlement, the larger projects are Zhuhai Area Reconstruction project,

Yudong Reservoir project, Zhaoyi Highway project, Zhaoyang North Area

Reconstruction project, Beizha Reservoir Reconstruction project, etc.

Implementations of these projects have provided treatment experiences for

involuntary resettlement.

1. The handling of involuntary resettlement should be in accordance with national

and local laws and policy basis. Such as "Urban House Demolition Management

Regulations" (State Council Order No. 305), "Urban House Demolition Administrative

Regulations of Yunnan Province" (Provincial Government Order No. 109), " Land

Acquisition Compensation and Resettlement Means (Trial) of Construction Land in

Zhaotong Municipality Urban Planning Area "(Zhao Government Issued ( 2004) No.

39)," Zhaotong Center City House Demolition Compensation and Resettlement

Provisional Measures "and other policies and regulations, etc. are the important basis

in the land acquisition and resettlement process.

2. The handling of involuntary resettlement should have special departments or

leading groups to give coordination and management, and make the powers and

responsibilities of various departments clearly. Composed of leading groups with

chief leaders from required land acquisition areas and each main department, then it

will be facilitate to united management and can coordinate various issues between

the departments.

3. Involuntary resettlement should be handled with careful planning and be

coordinated with the city's overall planning to conduct, so as to avoid a waste in

space and time.

4. Unify the resettlement and compensation rates in the affected areas and to avoid

producing the intra-regional inequities, or then that will lead the resistance of local

residents. At the same time should also pay attention to the coordination of

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compensation rates in the different affected areas and try to be fair and make local

residents satisfied with that.

5. Set different compensation and resettlement standards by different land

utilization and affected objects, such as make a distinction to between state-owned

land and collective land and the compensation and resettlement standards for

different types of houses, etc. to make the land utilization more reasonably.

6. Pay attention to adjust and control the emotions of involuntary resettlement, and

prevent the emergence of some unexpected events.

7. Pay attention to resettlement of the landless residents or the ones have

transferred from rural lifestyle to urban, and properly solve their livelihood problems,

to help them achieve the transformation.

8. A publicity work should be well done before the land acquisition and house

demolition, and let the people know the project situation, make clear the purpose and

plan of compensation and resettlement to avoid the misunderstanding existing

between government and the people.

Combine with related involuntary resettlement policies and experiences of Zhaotong

Municipality and Zhaoyang District, and the SA team considered that through the

establishment of the Resettlement Office to specially charge of the resettlement.

Meanwhile, the resettlement compensation rate and plan should through the

consultation of village representatives, local government of urban streets, employers,

District Project Office and related agencies, and then raised by them together and

after be carried out a wide publicity, by the third-party intermediaries to supervise the

implementation of the plan. Resettlement compensation fee should be financed

separately from the project funds and be allocated to the resettlement office by the

District Finance, by which, distribute to towns and sub-district offices.

8.4 Experience in handling involuntary resettlement from past projects

The SA team organized the FGD, door-to-door interview with local residents, and

found that the expectations of involuntary resettlement are mainly the following

aspects:

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1. They hope the livelihood problems can be solved after lost land, many of them

expected living in a area there can do the business conveniently, so that can solve

their livelihoods easily.

2. General feeling now the prices are rising, which will increase the cost of re-

construction of housing, so they hope that the Government can give the same

compensation fee before the house construction

3. Some residents hope the Government can give them resettlement directly by re-

construction building, so they can avoid the old ages, no time, no energy or other

reasons, which make them can not handle the housing building matters.

4. Some residents want to obtain the land and build their own house by

themselves, on one hand, they can build their house with satisfaction, on the other

hand, they can have another chance for the compensation of land acquisition and

house demolition

5. Residents all hope can move into the buildings with well planning, perfect

facilities and clear environmental and to live there.

6. Residents generally hope that the compensation rates can be improved, and get

more available discretionary funds.

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9. Identification and Control of Social Risks

9.1 Identification of social risks

Surrounding the World Bank, the factors, which have significant impacts on the

fulfillment of the project objectives were identified by the experts in the social

assessment preparatory stage, according to socio-economic background in the

affected areas and its own characteristics of the project, on the basic of the SA

team’s field survey and analysis, and the experts identified the main social risks

related with project design and may affect the fulfillment of the project objectives.

Identify the main social risks to seek and avoid social risks, and it is facilitate to

corresponding agencies to make effective measures of arrangements. The potential

social risks that also prone to occur of the project are mainly in the following areas:

1. Resettlement risks. The three subprojects of the Project were all involved

permanent or temporary land acquisition land house demolition problems. Land

acquisition and house demolition may lead the affected groups lose the living

security and employment conditions, and reduce their income sources and

deteriorate their related social welfare and measures. Land acquisition and house

demolition may also bring about a series of potential, long-term social, cultural

and psychological impacts. If can not be well resettled, especially the

resettlement fee can not be timely paid, will result in direct conflict between

displaced persons and the project construction. Three groups’ resettlement risks

are worth noting: a. poor population: the relative poor communities and

population are always in a disadvantageous position such as in the aspects of

using resettlement compensation, obtaining project benefits, and actively

adapting to transformation, etc. b. the ethnic minorities: the negative impacts of

project to ethnic minorities are mainly caused by land acquisition and house

demolition. c. Land-expropriated farmers: the development of the northern area

will lead a large number of land acquisition and house demolition to the farmers

there, and they will become the land-expropriated farmers. Although this part of

the land-expropriated farmers have centrally resettled by the government and will

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face transformation from rural life to urban in future, for lose of land and lack of

job skills, which will make them become the potential urban poor and further

widen the gap between rich and poor.

2. Low ability to pay risks of the urban poor: Since the urban poor without income

sources or with lower income, the increasing costs have a larger negative impact

on their lives. At present, most affected areas have not promulgated relevant

vulnerable support policies to vulnerable groups, without relief or benefits to the

relevant expenses, may easily lead to the poor unable to pay the relevant

expenses, so can not enjoy the related services.

3. Secondary pollution risks: During field survey, the residents live in project

implementation areas have repeatedly referred to the secondary pollution risks.

Secondary pollution refers to the urban environmental protection project’s

damage and impact on air, water and soil, which caused by its own features of

contamination during the process of dealing with urban sewage, river sludge. The

problems that related with project and may bring “secondary pollution” are: a. the

impact of pollutants leakage to water and soil in the process of sewage treatment;

b. River silt & sludge from Sewage Treatment Plant without effective treatment

and directly filled and covered, which will bring the impacts on soil and water; c.

The impacts on water and soil caused by any flow of sewage when laying

sewage pipes; d. During peak period, the sewage from Sewage Plant without

proper handling, which lead the sewage to flow backward to the surrounding rural

areas; e. Rural waste surrounding watercourse can not be properly collected and

handled, which will bring the secondary pollution to river water; f. Rural living

sewage and feces surrounding the river directly poured into it, which will cause

the secondary pollution.

4. Risks of residents’ lifestyles and achievement & sustainability of project targets:

The SA team investigated and found that residents’ lifestyles have a close

relationship with its surrounding environmental, especially with the pollution of

river’s non-point and point sources. Most of residents haven’t realized that they

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are also one of river pollution sources, and the river purification and control

pollution should start with themselves, and to change some of their daily living

behaviors. Especially the Hui people living Hui people Community near the

Dongmen Stream of city, they slaughter cattle and directly pour into the blood into

the river, which have terribly polluted the water. In addition, it is common that the

residents using pesticides, washing vegetables in the river, littering, and fly-tips of

sewage, etc. inside and outside of the city, which also have caused water

pollution in certain degree.

5. Environmental awareness and protection risks of the residents: The SA team

found that the primary stakeholders are biased to their role in the positioning of

environmental pollution and protection, neither they think that they should

responsible for surrounding environmental pollution, nor think that they are one of

the main bodies for environmental management. Currently, their roles are the

passive recipients of project behavior and policy actions, moreover, not only the

primary stakeholders think that environmental protection is a matter of the

government, but also the project administration agencies and employers take this

view. This situation may result in ill-considered rights and obligations to the

primary stakeholders about the project design, implementation and management.

6. Land acquisition compensation risks: The SA team found that Zhaoyang District

lack of uniform standards and plans for acquisition compensation in recent years,.

The land for Qingmen Water Plant‘s proposed selection site is belong to the

state-owned reserve land, but as still have not carried out the young crops

compensation that existing a potential issue of land compensation dispute. This

situation may result in the discontent of the primary stakeholders and even their

bafflement to project implementation during the process of project

implementation.

7. Subsequent management risks of the project. Urban environmental construction

is not a kind of project that makes economic benefits production as targets and

can see the environmental effects in a short time. Therefore, the subsequent

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management is particularly important after finished project. At present, Zhaoyang

District, Zhaotong Municipality’s urban environmental construction project is still

in its early stage of project preparation, the heart work lies in each unit is the

project’s approbation project administration agencies and employers have not

given any fully considerations to subsequent management of the project.

8. Construction of institutions’ capacity management. During the project of river

comprehensive management, facing with a different situation between the

employers and following managers of the project, which will bring incomplete

docking risks between the targets of project construction and project managers.

At the same time, the existing problems of unclear rights and responsibilities,

multi-management of watercourse environmental and water supply land at this

stage, which may bring a certain risk to effective management after finished the

project. In addition, during the project of river comprehensive management, the

watershed, upstream and downstream surrounding the water system, two sides

along the river are belong to different towns and streets. The horizontal

relationships between the towns and streets are not developed well, couple with

different resources ownership of the upstream and downstream, each sub-

regional development aim is different. The differences of resources determine the

differences of economic level to a certain extent, the problems of resource use,

protection and compensation between areas, as well as cost-sharing issues

between upstream and downstream to the pollution control are all need to give

coordination of the watershed nature.

9. Conflicts between residents and project construction. It will inevitably increase

noise, traffic pressure, meanwhile bring some security hidden danger and

inconvenience to the residents during the project construction process. If these

negative impacts can not be properly circumvented or mitigated during the

construction process, or may cause conflicts between the residents and

implementing agencies, thus affect the construction progress.

10. The risks of water source protection. Among the northern areas water plants, The

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source of Qingmen Water Plant is from the Dalongdong Taoist water outlet, which

was built since Qing Dynasty, Qianlong 30th years (in 1765) has been included in

the Protection Units of Provincial Historical Relic, while the temple (woodland)

surrounding Dalongdong has been listed as Provincial-level Nature Reserves, the

land out of Taoist has been designated to Dalongdong Tourism Development

Companies and managed by them, and existing Multi-management issues.

Surrounding tourism activities could give water pollution to Dalongdong’s water in

a certain extent, at the same time, due to the lack of Taoist’s sewerage systems,

sewage always flows backward the Taoist, which are seriously threatening the

safety of drinking water.

9.2 Control of social risks

In order to help the property population in the affected areas share equitable

social benefits from the project; as much as possible to avoid the negative impacts of

land acquisition and house demolition to ethnic minorities and the poor; reduce

conflicts of environmental awareness and lifestyle between the residents and the

project targets, conflicts between residents living and project construction;

Strengthening institutional capacity building and subsequent management of the

project to facilitate achievement of project targets and sustainable development, the

SA team carried out active investigation in each affected areas and fully understood

all levels of relevant laws, regulations, and policies; fully discussed with relevant

government agencies, the employers, implementing agencies, residents in the

affected areas and other primary stakeholders etc. On this basis, recommended the

following measures and monitoring and evaluation mechanisms to minimize the

social risks that may bring by the project.

9.2.1 Control measures of risks

The SA team has put forward following control measures of risks:

1. Optimize the design. To minimize land acquisition and house demolition size,

which involved in the project during design, use advanced environmental protection

measures to prevent secondary pollution problems may caused by the environmental

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project. At the same time, aim at the problems of polluting enterprises around the

water plant site selection, they can combine the water plant building with pollution

sources management to avoid the surrounding environmental may bring the

secondary pollution problems.

2. Set down participation outline of project beneficiaries (the primary stakeholders).

The participation of project beneficiaries to the project should be run through the

entire project cycle, including preparation, design, and implementation and

monitoring and evaluation stage. In this project, participation outline of the

beneficiaries that designed by the SA team is aimed at reducing the project’s

negative impact on the primary stakeholders; ensure that the project information are

open and with fair benefits; help the primary stakeholders build subject awareness of

the project, and to analyze the association between their own lifestyle and the

environmental protection; take full advantage of the primary stakeholders involved in

the project construction, management and monitoring & evaluation. Participation

outline of project beneficiaries referred to the chapter of "10. Communities

Participation Strategy".

3. Draw up a reasonable displaced person action and resettlement plan. The SA

team recommends that optimize design to minimize the amount of land acquisition

and house demolition. At least, in accordance with the relevant requirements of

policies, the displaced person resettlement plan shall to protect the living standards

of the displaced person from reducing that caused by the project construction. The

process of resettlement operation should be strictly implemented in accordance with

the resettlement report, implementing agencies to carry out the resettlement fee on

time, and in addition, employ the experts to give an external monitoring and

evaluation to resettlement. During the displaced person resettlement action planning

and compilation, pay a special attention to: a. During the displaced person

resettlement action planning and compilation, establish the policies of income

resumption accord with the ethnic minority culture needs. B. carry out training for the

poor about how to use the resettlement compensation and income resumption,

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combine with the local anti-poverty funds, increase the investment of resettlement to

the poor population and communities, and to help property displaced person

communities to solve some infrastructure difficulties.

4. Reduce the associated charges for vulnerable groups. When the project finished,

that will increase the standard of sewage treatment and water supply fees. Although

the extent will not be increased too much, most urban residents can accept, it will

bring a certain burden to the rural and urban poor groups in the affected areas. In

order to alleviate the burden of their lives, to ensure that they can fairly enjoy the

social benefits of the project, it is recommended that the original vulnerable groups

with associated supporting policies of costs will continue to be implemented such

relevant policies in the affected areas. With regard to the sub-project affected areas,

where have no such policies at present, suggested that the relevant Government

Departments to carry out support policies as soon as possible for the vulnerable

groups, and give relief to their water supply, sewage treatment and solid waste

disposal fees.

5. Public environmental and health education training: To ensure that the

achievement and continuance of the project objectives, the SA team thought that the

whole people’s public environmental and health awareness should be improved,

need to educate them with that and suggested that should be organized and carried

out by relevant Government Sectors, who should associate with Publicity

Departments, the Education Bureau, EPA, Radio and TV Bureau, Newspaper,

Streets or Towns and Neighborhood Committees, Villages and others, etc., with their

assistance to face the whole people to launch publicities such as conserve water,

civilized treatment of sewage and waste, prevention of water diseases, waste

recycling, national and local relevant environmental indexes and protection laws and

regulations, etc.. It is advised to give public environmental and health education to

the main pollutants, which refers to the project of comprehensive management of

watershed and river.

6. Offer job opportunities. The SA team recommended that each sub-project

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employer, implementing agencies should cooperate with the local Social Security

Departments, Ethnic Groups Affairs Commission; give priority to the displaced

person, the poor in rural and urban, women, and ethnic minority with non-technical

jobs in the affected areas, and to help them benefit from the project.

7. Maintain security and life convenience during the construction period. If the

construction sites near residents areas, proposed that the construction agency to

install sound-proofing fences, fences (walls) to avoid night construction, and put clear

warning signs somewhere existing potential security risks. When construction affects

the traffic, the construction agency is advised to install fences, placards on the main

road and warning signs on the dangerous places. Install sound-proofing fences near

the place of schools and main enterprises and institutes and lower operating time in

the peak period during the day and use night time. For the construction project in

rural, suggested to try not to carry out operations during the peak time of irrigation,

and inform in advance the damages to local irrigation canals, roads, which may

caused by the construction, so that the local residents can prepare in advance, and

do following work timely and reduce their losses. Finally, suggested to organize the

security patrols with local residents to maintain public security during the construction

period.

8. Institutional capacity building. Proposed make clear the rights & responsibilities,

and benefits & cost assignment of project builders, managers and maintainers during

the kind of sewage and solid waste project. Establish trans-regional institutions of

environmental management, while enhancing the monitoring and evaluation to

environmental and law enforcement capabilities in the comprehensive management

project of rivers and lakes.

9. Project subsequent management system building: The SA team proposed that

involving the residents in the affected areas in the project subsequent management.

Found subsequent management team of project communities on the basis of project

management team during the project construction period. Team members of the

subsequent management team should be elected by villagers, including

113

representatives of women and ethnic minority. The SA team suggested setting the

subsequent management rules and regulations of community project and carrying

out subsequent management of environmental protection’s infrastructure with the

conduct and coordination from employers and Project Offices in the project of river

environmental management. For the sewage treatment project, the SA team

suggested that subsequent management team of community project focus on the

Committee of Community Environmental Monitoring, and coordinate Environmental

Protection Departments to carry out community-related environmental monitoring.

For the water supply project, the SA team suggested establishing the Water Users

Association by the three parts of residents along the water supply lines, water

companies, and local governments to enhance the management of water pipelines

along lines and use situation of well water. Meanwhile, aim at the multi-management

problems of the Dalongdong water source, establishing the Management Bureau of

the Dalongdong Water Source by the leading of Taoist Management Committee of

Dalongdong, including water companies, Urban Forestry Bureau, Dalongdong Travel

Company, local residents, etc to coordinate and enhance the management of

Dalongdong‘s water source, while involving the residents to participate in the project

subsequent management, the SA team suggested the Environmental Agencies to

increase legislation and law enforcement of environmental protection and enhance

the environmental education of residents in the affected areas to achieve sustainable

project effect.

9.2.2 Institutional arrangement and monitoring & evaluation

In order to ensure the smoothly implementation of above measures, the PMO of

Yunnan Province will responsible and organize relevant Agencies to implement that,

and each subproject employers, the implementing agencies and local relevant

government departments should responsible for implementing above measures.

1. Every feasibility study unit will to responsible for selection of project sites,

optimization of routes and techniques, and to ensure the scale of reasonable sewage

114

treatment.

2. Employers and construction agencies: Mainly responsible for resettlement and

carrying out of related funds; provide jobs for vulnerable groups and pay their

salaries timely during the construction and operation of the project; by negotiating

with the residents and to gain their understanding and support to the problems of

residents traffic, living environment, security and other aspects, etc., which will bring

by project construction, and give consideration to the measures that may reduce the

impacts, such as the installation of sound-proofing fences, fences, widening of road,

etc..

3. Health Bureau and Environmental Protection Bureau. Responsible for public

health’s education and the publicity of environmental monitoring information, regularly

issue the environmental bulletin about the quality of groundwater during construction

and operation of the project.

4. Urban Construction Bureau and Water Resources Bureau. Clarify responsibilities

and rights, coordinate management, and enhance environment management

surrounding urban and suburb watercourses, prevent the indiscriminate disposal of

waste and sewage and punish the issues of occupation building along the river road.

5. Labor and Social Security Bureau: Primarily responsible for employment

resettlement, jobs training, etc.

6. Poverty alleviation and development offices: Primarily responsible for identifying

the rural poor, their employment guidance and policy advice.

7. Ethnic Affairs Committees: Primarily responsible for identifying ethnic minority

population, production and life support, policy advice and coordinating with the

management of river roads, assort with Taoist protection of surrounding the river

roads and water source.

8. Civil Affairs Bureau: Responsible for identifying the ones who will be involved in

the minimum living guarantee population, and supervise implementation of costs that

associated with support policies for vulnerable groups.

9. Price Bureau and Finance Bureau: Carry out costs that associated with the

support policies for vulnerable groups and to supervise the implementation of related

115

policies.

10. Tourism Administration, Forestry Bureau and National Religious Affairs Bureau:

Make the multi-management problems in order, and strengthen Dalongdong Taoism

and the surrounding water source and environment protection against water

pollution.

Table 9-1 lists the social risks of three projects, and the advice to reaction measures

to the risks, implementing and supervising agencies.

116

Table 9-1 Schedule of Measures Presented by the SA Team for Subprojects in Kunming to Avoid Social Risks

Project Social risks Actions TimePerson in

chargeAssistant Method Monitoring indicator

Central

City River

Managem

ent

Project

1. Citizen's

lack of

environmenta

l awareness

& risks in the

realization of

the Project

objective

①Strengthening training on state and local environmental indicators and

protection regulations for the whole people

②Giving training on water conservation, civil treatment of waste and sewage,

non-point pollution control, waterborne disease prevention and waste recycling

③Communicating to the public which lifestyles may affect the ambient

environment, so that the affected residents can realize their impacts on the

ambient environment

The

whole

project

cycle

Project

employer

environmen

tal

protection

bureau

Street / towns

and

neighborhood

committee /

villages

Carry out

environmental

management

plan

Arrangement of the

training plan in the

environmental

management plan of

environmental

assessment report

117

Project Social risks Actions TimePerson in

chargeAssistant Method Monitoring indicator

2.

Contradiction

between

citizens' life &

work and

Project

construction

The construction agency shall set sound insulation fence and guard rail (fence)

where the construction site is near the residential area or the noise is beyond

standard. Try to avoid construction at night, and set clear caution sign in the

place where there might be risks.

②When construction has affected the traffic, the construction agency shall set

guard rail and placard on the main road, set caution sign at the dangerous

place and sound insulation fence at the place near schools or major enterprises

and institutions where noise is beyond standard, and try to reduce the

construction at the peak time of pedestrian flow in the day and increase the

construction time at night.

③The construction agency shall organize the patrol to safeguard the security of

society during the construction period.

④Construction in rural areas shall try to avoid the peak time of irrigation. Inform

the locals of the possible impacts on irrigation of agricultural land, ditches or

roads brought forward by the construction for them to make advance

preparations. Get done with the follow-up work and try to reduce losses.

During

the

project

constructi

on phase

Employer

and

constructio

n agency

PMO, street /

towns and

neighborhood

committee /

villages

Carry out the

above stated

actions

1. The number and

contents of denizens'

complaints to the

impacts of project

construction

2. The number of

locals participating in

the Project

construction,

proportion between

man and woman,

proportion of ethnic

minority, proportion

of the poor, wages

118

Project Social risks Actions TimePerson in

chargeAssistant Method Monitoring indicator

⑤The construction agency is suggested to recruit denizens near the

construction site, especially the poor family, ethnic minorities, and women to

participate in the Project construction.

⑥It's suggested to move the slaughterhouse near the river at the East Gate out

of the community, and choose a place near the mosque to establish a new

slaughterhouse.

3. Risks of

settling

displaced

persons

Prepare the plan for settling displaced persons

Preparati

on of the

project

The Project

employer,

PMO

Consulting

unit for

displaced

persons

Carry out

displaced

person

resettlement

program

In accordance with

the monitoring and

assessment index

presented in

displaced person

resettlement

program

119

Project Social risks Actions TimePerson in

chargeAssistant Method Monitoring indicator

4. Follow-up

management

risks of the

Project

Zhaoyang District shall arrange the Water Affairs Bureau, Construction Bureau,

and Environmental Protection Bureau to perform the follow-up management

according to their own function, notify the locals about the environment quality,

and set the environmental protection channel at the construction site and set up

environmental protection hotline. Publish the annual environment monitoring

report, and give out Environment Complaining & Suggestion Table to the

denizens.

Monitor

of the

project

Environmen

tal

Protection

Bureau

Community

follow-up

management

group, Project

employer,

Construction

Bureau,

Water Affairs

Bureau etc.

Community

environmental

monitoring

group and

environmental

protection

department

carry out

regular

monitoring

1. Number and

contents of the

village committee's

Environment

Complaining &

Suggestion Table

2. Complaining

hotline treatment

record

3. Annual

environment

monitoring report

120

Project Social risks Actions TimePerson in

chargeAssistant Method Monitoring indicator

5. Low ability

to pay of the

poor urban

population

Establish the sewage charge standard aiming at the poor population through

public price hearing based on the consultation with the affected population.

At the

completio

n of the

project

Sewage

Plant,

Waste

Disposal

Plant,

Bureau of

Commodity

Price

Labor and

Social

Security

Bureau,

Bureau of

Civil Affairs

Establish

preferential

policy for poor

population

based on the

consultation

with affected

poor

population

Preferential policy

for charges from

poor population

released after the

Project

121

Project Social risks Actions TimePerson in

chargeAssistant Method Monitoring indicator

Central

City

Sewage

Treatment

Intercepti

ng Sewer

Project

1. Citizen's

lack of

environmenta

l awareness

& risks in the

realization of

the Project

objective

①Propagandize the significance and necessity of project implementation, and

ask for their opinions and suggestions

②Strengthening training on state and local environmental indicators and

protection regulations for the whole people

③Carry out training to civilized treatment to sewage.

④Communicating to the public which lifestyles may affect the ambient

environment, so that the affected residents can realize their impacts on the

ambient environment

The

whole

project

cycle

Environmen

tal

Protection

Bureau

Street / towns

and

neighborhood

committee /

villages

Carry out

environmental

management

plan

Arrangement of the

training plan in the

environmental

management plan of

environmental

assessment report

2. Secondary

pollution risks

①The local Environmental Protection Bureau shall monitor the underground

water quality near the construction site, soil environment and other

environmental criteria and issue the environment monitoring report each year.

②Using advanced treatment and precaution technology to avoid the Project's

negative impact on the surrounding environment

The

whole

project

cycle

Environmen

tal

Protection

Bureau

Construction

Bureau, street

/ towns and

neighborhood

committee /

villages

Optimum

design,

environment

monitoring

Annual environment

monitoring report,

Project feasibility

study report

122

Project Social risks Actions TimePerson in

chargeAssistant Method Monitoring indicator

3.

Contradiction

between

citizens' life &

work and

Project

construction

①Set clear caution sign at the place where there might be dangers

②When construction has affected the traffic, the construction agency is

suggested to set guard rail and placard at the main road and caution sign at the

dangerous places.

③The construction agency shall organize the patrol to safeguard the security of

society during the construction period.

④The construction agency is suggested to recruit denizens near the

construction site, especially the poor family, ethnic minorities, and women to

participate in the Project construction.

During

the

project

constructi

on phase

Owner and

constructio

n agency

PMO,

government

of the towns,

village

committees

Carry out the

above stated

actions

1. The number and

contents of denizens'

complaints to the

impacts of project

construction

2. The number of

working villagers in

the village where the

dump locates,

proportion between

man and woman,

proportion of ethnic

minority, proportion

of the poor, wages

123

Project Social risks Actions TimePerson in

chargeAssistant Method Monitoring indicator

4. Risks of

settling

displaced

persons

Prepare the plan for settling displaced persons Preparati

on of the

project

The Project

employer,

PMO

Consulting

unit for

displaced

persons

Carry out

displaced

person

resettlement

program

In accordance with

the monitoring and

assessment index

presented in

displaced person

resettlement

program

124

Project Social risks Actions TimePerson in

chargeAssistant Method Monitoring indicator

5. Low ability

to pay of the

poor urban

population

Set preferential policy for charges for disposing pollutants for the poor

population. At present, poor urban population can be exempted from charges

for 3- cubic-meter water (including charges for sewage disposal) each month.

Following that, hearing of witnesses will be adopted when charges for water

and disposing pollutants are adjusted and charges for disposing pollutants from

well water users are collected in 2010.

At the

completio

n of the

project

Water

Supply &

Drainage

Company,

Bureau of

Commodity

Price,

Developme

nt and

Reform

Commissio

n

Bureau of

Civil Affairs

Establish

preferential

policy for poor

population

based on the

consultation

with affected

poor

population

Preferential policy

for charges from

poor population

released after the

Project

125

Project Social risks Actions TimePerson in

chargeAssistant Method Monitoring indicator

6. Follow-up

management

to the Project

Establish the project's follow-up management group in the village where the

sewage treatment plant locates; assist the Construction Bureau and

Environmental Protection Bureau to carry out the annual village environment

monitoring in which all villagers participate. Set out the hot line for feedback and

complaints of environment monitoring in the village where the sewage treatment

plant locates; Publish the annual environment monitoring report, and give out

the Environment Complaint & Suggestion Table to the denizens.

Publish the annual environment monitoring report, and give out the

Environment Complaint & Suggestion Table to the denizens.

Monitor

of the

project

Environmen

tal

Protection

Bureau,

Constructio

n Bureau,

Water

Supply &

Drainage

Company

Community,

Project follow-

up

management

group, Project

employer

Community

environmental

monitoring

group and

environmental

protection

department

carry out

regular

monitoring

1. Number and

contents of the

village committee's

Environment

Complaint &

Suggestion Table

2. Complaining

hotline treatment

record

3. Annual

environment

monitoring report

126

Project Social risks Actions TimePerson in

chargeAssistant Method Monitoring indicator

Northern

Area

Water

Supply

and

Pipeline

Project

1. Citizen's

lack of

environmenta

l awareness

& risks in the

realization of

the Project

objective

①Propagandize the significance and necessity of project implementation, and

ask for their opinions and suggestions

②Strengthening training on state and local environmental indicators and

protection regulations for the whole people

③Carry out training to civilized water utilization, strengthen the management to

utilization of well water, and gradually ban well water for non-agricultural use.

④Establish the water users association, and strengthen the management to

water conduit

The

whole

project

cycle

Environmen

tal

Protection

Bureau,

Water

Supply &

Drainage

Company

Street / towns

and

neighborhood

committee /

villages

Carry out

environmental

management

plan

Arrangement of the

training plan in the

environmental

management plan of

environmental

assessment report

127

Project Social risks Actions TimePerson in

chargeAssistant Method Monitoring indicator

2. Protection

of water

source

Solve the problem of management to Dalongdong water source by many sides;

the management committee of Dalongdong Taoist Temple, Dalongdong Tour

Company, District Bureau of Forestry and the Water Supply and Drainage

Company shall cooperate to form the Administration Bureau of Dalongdong

Water Source to manage the water source. Meanwhile, the protection to water

source shall be combined with the protection to Taoist Temple, and the religious

restraining force shall be fully displayed to strengthen the water resource

protection.

At the

completio

n of the

project

Water

Supply &

Drainage

Company

Administration

Bureau of

Dalongdong

Taoist

Temple,

District

Bureau of

Forestry,

Dalongdong

Tour

Company

Carry out

water source

management

plan

Urban water supply

source monitoring

indicator presented

by the water supply

and drainage

company

128

Project Social risks Actions TimePerson in

chargeAssistant Method Monitoring indicator

3.

Contradiction

between

citizens' life &

work and

Project

construction

Set clear caution sign at the place where there might be dangers

②When construction has affected the traffic, the construction agency is

suggested to set guard rail and placard at the main road and caution sign at the

dangerous places.

③The construction agency shall organize the patrol to safeguard the security of

society during the construction period.

④The construction agency is suggested to recruit denizens near the

construction site, especially the poor family, ethnic minorities, and women to

participate in the Project construction.

⑤Construction in rural areas shall try to avoid the peak time of irrigation. Inform

the locals of the possible impacts on irrigation of agricultural land, ditches or

roads brought forward by the construction for them to make advance

preparations. Get done with the follow-up work and try to reduce losses.

⑥Strengthen the management to the enterprises around the location of the

water plant, and combine the construction to water plant with the treatment to

the surrounding environment.

During

the

project

constructi

on phase

Owner and

constructio

n agency

PMO,

government

of the towns,

village

committees

Carry out the

above stated

actions

1. The number and

contents of denizens'

complaints to the

impacts of project

construction

2. The number of

working villagers in

the village where the

dump locates,

proportion between

man and woman,

proportion of ethnic

minority, proportion

of the poor, wages

In accordance with

129

Project Social risks Actions TimePerson in

chargeAssistant Method Monitoring indicator

5. Low ability

to pay of the

poor urban

population

Set preferential policy for charges for disposing pollutants for the poor

population. At present, poor urban population can be exempted from charges

for 3- cubic-meter water (including charges for sewage disposal) each month.

Following that, hearing of witnesses will be adopted when charges for water are

adjusted in 2010 and well water for non-agricultural use is banned.

At the

completio

n of the

project

Water

Supply &

Drainage

Company,

Bureau of

Commodity

Price,

Developme

nt and

Reform

Commissio

n

Bureau of

Civil Affairs

Establish

preferential

policy for poor

population

based on the

consultation

with affected

poor

population

Preferential policy

for charges from

poor population

released after the

Project

130

Project Social risks Actions TimePerson in

chargeAssistant Method Monitoring indicator

6. Land

acquisition

compensatio

n risks

Encourage community to join in, and establish detailed and reasonable

permanent and temporary land acquisition compensation rate (including

compensation for young crops) based on extensive consultation.

Preparati

on of the

project

The Project

employer,

PMO

Consulting

Unit for

Displaced

Persons, SA

team

Carry out

uniform land

compensation

rate within the

district

In accordance with

the monitoring and

assessment index

presented in

displaced person

resettlement

program

131

10 Community Participation Strategy

10.1 Principles and framework for participation

In its participation manual, participation is defined by the World Bank as "a

process, through which corresponding stakeholders can affect and control the

development intervention, development decisions and corresponding resources

related to them". This definition can prevent related stakeholders from being simply

treated as passive assistance receiver, interview target or workforce during the

process of development, and it can make clear that the project implemented by the

World Bank is supposed to be the process that can encourage the group influence of

the stakeholders and control the development action. The realization of this process

needs to consider even wider stakeholders in the nation's economic and related

departments. Make sure all the benefit-related population and its relationship can be

recognized and considered in all the stages of the project; make sure the poor can

get the resources, especially the financial resources easily; strengthen the

management capacity of primary stakeholders and its organization. Table 10-1 is the

summary of the principle and framework for primary stakeholders to participate in the

project:

Table 10-1 Principles and Framework of Community Participation Project

No. StepAction of primary stakeholders

Role of the government

Role of experts Effects

1

Issue analysis and establishment of the subject

Analyze the problems in family, society and resources, and find out the causes for the problems

Administrative, political and financial support

Help the primary stakeholders to analyze the problems, and guide them to find out the causes for the problems

Help to find out the real problems precisely

2Content and framework of the project

Put forward their own needs, compare the relationships between the causes of the problems and their own needs to establish the framework

Study whether the government can support the proposal presented by the primary stakeholders

Bring forward technical feasibility suggestions to the government and primary stakeholders based on the issue analysis

Connect the project content with the practical needs of the primary stakeholders

132

No. StepAction of primary stakeholders

Role of the government

Role of experts Effects

for solving the problems

3 Project plan

Determine the project's activity plan and persons in charge according to the social economic characteristics like household workforce, sex, division of labor, season and so on

Examine the relationship between the plan of the primary stakeholders with the national funding

Make the plan with the primary stakeholders together and warn the risks of the plan in advance

Activities shall conform to the primary stakeholders' manufacturing season, allocation of labor and status of funds

4Implementation of the project

Establish the organization system for implementation, elect the persons in charge of the activities to execute the activities

Provide conditions for implementation

Technical supportBeneficiaries are responsible for themselves

5Monitoring and assessment

Executors of the project monitor their own activities and organize regular assessment

Participate in monitoring and assessment

Analyze the result of monitoring and assessment and report to the government and primary stakeholders

Beneficiaries know about the progression of their own activities in time

6Final assessment of the project

Assess the final benefit of self investment and external support investment

Participate in the assessment and investigate the benefits of the government's investment

Participate in the assessment and investigate the benefits of technical investment

The beneficiaries assess whether they can benefit from it

Role and significance Executive Guarantor Supporter Uniformity of roles

10.2 Participation program for primary stakeholders

During the project design, implementation, monitoring and management, in order

to make sure beneficiaries of various projects can get the information related to the

project, and can raise their own opinions and suggestions aiming at corresponding

problems with equal opportunities, and at the same time help the project

implementation unit and supervisory authorities grasp the status of project

implementation to make scientific decisions based on the practical situation, the SA

team believes there is a need to:

①Keep the project information to the public, and project propaganda shall follow

133

out the whole project cycle. Establish the regular disclosure system of project

information, and promulgate regularly the project information that is closely related to

the primary stakeholders in the public areas like the village committee. Besides,

notify the primary stakeholders about the preparation and implementation of the

project through group meetings, representative meetings, slogan, TV, broadcast etc.

②Help the primary stakeholders establish the project subject consciousness.

The SA team is suggested to carry out the following training: a. carry out participation

training to the project primary stakeholders to guide them to consider the problems

concerning community development, environmental pollution and environmental

protection; b. carry out the training concerning environmental protection to guide the

primary stakeholders to think about the impact on the environment brought by their

life style and how to protect the environment based on their own background; c. carry

out the training related to the project technology and eliminate the primary

stakeholders' worry about the project.

③Encourage the primary stakeholders to participate in the project construction,

give priority to employing them to work for the project and allow them to provide

support services for the project construction.

④ Pay attention to the strength of community cadres during the implementation

of the project. The village community cadre' participation is required in the

propaganda of the project, training, mobilization, reflection of the villagers' needs,

resolutions to the problems in the project implementation, coordination of the

problems and follow-up management and so on. Cadre participating in the project

can be granted with certain subsidy during the implementation of the project.

⑤ Encourage the villages to participate in the management of basic environment

facilities and stimulate the public to keep the sustainability of the project effects. The

SA team has separately established the community management method of

countryside public restroom for "village non-point pollution treatment project" as well

as the participation procedures of "river management project in Zhaoyang District"

(see Annex III, IV and V)

In Table 10-2, the SA team compiles the beneficiaries' participation program in

134

river improvement and management, sewage disposal and pipe works, and different

project cycles of the water plant, which has contained the SA team's suggestions

related to participation.

135

Table 10-2 Outline for the participation of primary stakeholders

Subpr

ojectStage

Participatory

activityActivity details Mode of activity Participants

Agency

responsibleRemarks

Central city river m

anagement project

Preparatio

n

Project

publicity

Communicating the importance of and need for the①

Project, and consulting them for comments and

inputs;

②Communicating the starting date and location of

implementation, land acquisition and house

demolition program, compensation and resettlement

program and other information of concern for the

main affected groups timely

Poster, brochure, public

gathering, slogan, leaflet

All community①

members

Relocated stores,②

enterprises and public

institutions

Employer③PMO④

PMO,

employer

With the assistance of

EPB, sub-districts, Xiangs,

towns, neighborhood

committees/villages,

relocated stores,

enterprises and public

institutions

Participatory

analysis of

affected

groups

Identifying all groups affected by the Project and①

their basic situation of subsistence;

Identifying the positive and negative impacts of the②

Project on all groups

Community/village

congress

Congress of stores,

enterprises and public

institutions

Community reps①

(incl. reps of the poor,

ethnic minorities,

women and other

special groups)

Community /village②

committee

Relocated stores,③

enterprises and public

institutions

Employer and PMO④

SA team, with the

assistance of the

environmental protection

bureau (EPB)

Participatory

issue

analysis

Analyzing the present community/village①

environment and issues therein, and to what extent

do these issues affect the development of the

community and themselves

Helping residents analyze which aspects of river②

pollution are related to their lifestyle

Community/village

congress

Congress of stores,

enterprises and public

institutions

SA team, with the

assistance of the EPB

136

Subpr

ojectStage

Participatory

activityActivity details Mode of activity Participants

Agency

responsibleRemarks

Participatory

local

knowledge

assessment

Analyzing local knowledge that can relieve river

pollution

Community/village

congress

Congress of stores,

enterprises and public

institutions

SA team, with the

assistance of the EPB

Participatory

demand

analysis

Identifying the needs of the affected groups, and

analyzing the gap between these needs and the

project design

Community/village

congress

Congress of stores,

enterprises and public

institutions

SA team, with the

assistance of the EPB

Feedback of

issues

Evaluating the project design and scope①Expectations and suggestions of the primary②

stakeholders for the Project

Community/village

congress, Congress of

stores, enterprises and

public institutions

SA team, with the

assistance of the EPB

137

Subpr

ojectStage

Participatory

activityActivity details Mode of activity Participants

Agency

responsibleRemarks

Training

Strengthening training on state and local①

environmental indicators and protection regulations

for the whole people

Giving training on water conservation, civil②

treatment of waste and sewage, non-point pollution

control, waterborne disease prevention and waste

recycling

Communicating to the public which lifestyles may③

affect the ambient environment, so that the affected

residents can realize their impacts on the ambient

environment

Community/village①

general assembly

Congress of stores,②

enterprises and public

institutions

Poster, brochure,③

slogan, leaflet

All community①

members

Relocated stores,②

enterprises and public

institutions

Employer③PMO④EPB⑤Community /village⑥

committee

With the assistance of

EPB, sub-districts, Xiangs,

towns, neighborhood

committees/villages

Implement

ation

Community

project

management

team

Select team members, elect the leader, conduct

organizational training, select and manage the

construction staff, maintain the public security of the

site, coordinating relations of all parties concerned,

and feeding back villagers’ comments

Community/village①

general assembly

Community/village②

congress

Meeting of community③

project management

team (incl. reps of the

poor, displaced persons,

ethnic minorities, women

and other special groups)

All community①

members

Community /village②

committee

Relocated stores,③

enterprises and public

institutions

Employer④PMO⑤Community project⑥

management team

PMO,

employer,

community

/village

committee,

community

project

manageme

nt team

With the assistance of the

EPB

138

Subpr

ojectStage

Participatory

activityActivity details Mode of activity Participants

Agency

responsibleRemarks

Training ①Strengthening training on state and local

environmental indicators and protection regulations

for the whole people

②Giving training on water conservation, civil

treatment of waste and sewage, non-point pollution

control, waterborne disease prevention and waste

recycling

③Communicating to the public which lifestyles may

affect the ambient environment, so that the affected

residents can realize their impacts on the ambient

environment

①Community/village

general assembly

②Poster, brochure, radio

& TV stations, slogan,

leaflet

①All community

members

②Relocated stores,

enterprises and public

institutions

③Employer

④PMO

⑤EPB

⑥Community project

management team

With the assistance of the

publicity department,

education bureau, EPB,

broadcast and television

bureau, newspapers, sub-

districts, Xiangs, towns

and neighborhood

committees/villages

④Occupational skills training for the land-

expropriated group

Workshop for the land-

expropriated group

①Land-expropriated

farmers; Employer;②

③PMO; ④Labor and

social security bureau;

⑤Civil affairs bureau;

⑥Community project

management team

139

Subpr

ojectStage

Participatory

activityActivity details Mode of activity Participants

Agency

responsibleRemarks

Construction

①Determining jobs available during construction

②Determining the criteria for selection of

construction staff, including displaced persons, ethnic

minorities, the poor and women

Determining remuneration for construction④

participants

Technical and safety system training for⑤

construction participants

⑥Participation in project construction

①Community general

assembly

②Community congress

③Participation in project

construction

①Construction

participants, incl.

displaced persons,

ethnic minorities,

women and the poor;

②PMO; ③Employer;

④Construction agency;

⑤Community project

management team

PMO,

employer,

constructio

n agency,

community

project

manageme

nt team

With the assistance of the

EPB

Monitoring

and

feedbackVillage/

community

monitoring

team

①Periodic environmental monitoring

②Monitoring of standard of living restoration of

displaced persons

③Monitoring of restoration of natural environment

after construction

①Community/village

general assembly

②Community/village

congress

③Community monitoring

team (incl. reps of the

poor, displaced persons,

ethnic minorities, women

and other special groups)

①All community

members

②Community /village

committee

③Employer

④PMO

⑤Community

monitoring team

PMO,

employer,

community

monitoring

team

Training Training on monitoring and evaluation skills Workshop of village/

community monitoring

team

①Village/ community

monitoring team;

②PMO; ③Employer

140

Subpr

ojectStage

Participatory

activityActivity details Mode of activity Participants

Agency

responsibleRemarks

AppealEstablishing a comment feedback system for

community members

①Printing the Appeal and

Suggestion Form and

issuing it to every villager

team so that villagers can

give opinions timely

②Setting up a complaint

hotline at the district PMO

The community③

monitoring team collects

opinions and suggestions

from farmers at any time.

①Village/ community

monitoring team; ②All

community members;

③PMO and employer

Village/

community

monitoring

team, PMO

Subseque

nt

manageme

nt

Project

maintenance

Community officials and reps shall form a community

environmental infrastructure management

committee, involving women, displaced persons,

ethnic minorities and poor people at certain

proportions. The committee shall conduct

subsequent management of community

environmental infrastructure, such as domestic

sewage treatment facility, sewer network, sanitary

public toilet and aqua privy, in cooperation with the

employer and the EPB.

①Community/village

general assembly

②Community/village

congress

③Meeting of community

subsequent management

committee (incl. reps of

the poor, displaced

persons, ethnic

minorities, women and

other special groups)

①Village/ community

subsequent

management

committee; ②All

community members;

③PMO and employer

Village/

community

subsequent

manageme

nt

committee,

employer

141

Subpr

ojectStage

Participatory

activityActivity details Mode of activity Participants

Agency

responsibleRemarks

Central city sew

age treatment and intercepting sew

er project

Preparatio

n

Project

publicity

①Communicating the importance of and need for the

Project, and consulting them for comments and

inputs;

Communicating the starting date and location of②

implementation, land acquisition and house

demolition program, compensation and resettlement

program and other information of concern for the

main affected groups timely

③Making publicity on increased charges at the

beginning of the preparation stage to make citizens

know the need for charging

Poster, brochure, radio &

TV stations, public

gathering, slogan, leaflet

①All community

members

Employer②③PMO

PMO,

employerWith the assistance of the

publicity department,

education bureau, EPB,

broadcast and television

bureau, newspapers, sub-

districts, Xiangs, towns

and neighborhood

committees/villages

Participatory

analysis of

affected

groups

①Identifying all groups affected by the Project and

their basic situation of subsistence;

②Identifying the positive and negative impacts of the

Project on all groups

Community/village

congress

①Community reps

(incl. reps of the poor,

ethnic minorities,

women and other

special groups)

②Community /village

committee

③Employer and PMO

With the assistance of the

SA team

Participatory

issue

analysis

①Analyzing the present community/village

environment and issues therein, and to what extent

do these issues affect the development of the

community and themselves

②Helping residents analyze which aspects of river

pollution are related to their lifestyle

Community/village

congress

With the assistance of the

SA team

142

Subpr

ojectStage

Participatory

activityActivity details Mode of activity Participants

Agency

responsibleRemarks

Participatory

demand

analysis

Identifying the needs of the affected groups, and

analyzing the gap between these needs and the

project design

Community/village

congress

With the assistance of the

SA team

Feedback of

issues

①Evaluating the project design and scope

②Expectations and suggestions of the primary

stakeholders for the Project

Community/village

congress

With the assistance of the

SA team

Ability and

willingness to

pay survey

Analyzing the present situation of ① charging and

related issues

②Analyzing the affordable charging limit

Expressing suggestions for ③ charging

Community/village

congress

With the assistance of the

SA team

Training ①Strengthening training on state and local

environmental indicators and protection regulations

for the whole people

②Giving training on water conservation, sewage

treatment and waterborne disease prevention, etc.

Communicating the process and technical③

requirements of the sewage treatment project to the

public, eliminating their worry about such projects

①Community/village

general assembly

②Poster, brochure, radio

& TV stations, slogan,

leaflet

①All community

members

②Employer

③PMO

④EPB

⑤Community /village

committee

With the assistance of the

publicity department,

education bureau, EPB,

broadcast and television

bureau, newspapers, sub-

districts, Xiangs, towns

and neighborhood

committees/villages

143

Subpr

ojectStage

Participatory

activityActivity details Mode of activity Participants

Agency

responsibleRemarks

Implement

ation

Community

project

management

team

Select team members, elect the leader, conduct

organizational training, select and manage the

construction staff, maintain the public security of the

site, coordinating relations of all parties concerned,

and feeding back villagers’ comments

①Community/village

general assembly

②Community/village

congress

③Meeting of community

project management

team (incl. reps of the

poor, displaced persons,

ethnic minorities, women

and other special groups)

①All community

members

②Community /village

committee

③Employer

④PMO

⑤Community project

management team

PMO,

employer,

community

/village

committee,

community

project

manageme

nt team

Training ①Strengthening training on state and local

environmental indicators and protection regulations

for the whole people

②Giving training on water conservation, sewage

treatment and waterborne disease prevention, etc.

Communicating the process and technical③

requirements of the sewage treatment project to the

public, eliminating their worry about such projects

①Community/village

general assembly

②Poster, brochure, radio

& TV stations, slogan,

leaflet

①All community

members

②Employer

③PMO

④EPB

⑤Community project

management team

With the assistance of the

publicity department,

education bureau, EPB,

broadcast and television

bureau, newspapers, sub-

districts, Xiangs, towns

and neighborhood

committees/villages

144

Subpr

ojectStage

Participatory

activityActivity details Mode of activity Participants

Agency

responsibleRemarks

④Occupational skills training for the land-

expropriated group

Workshop for the land-

expropriated group

①Land-expropriated

farmers; ②Employer;

③PMO; ④Labor and

social security bureau;

⑤Civil affairs bureau;

⑥Community project

management team

Water rate

hearing

Holding a hearing with citizen reps to fix the price

adjustment program and standardHearing

①Citizen reps,

including reps of urban

poor population and

ethnic minorities;

②Employer; ③PMO;

④Price bureau

PMO, price

bureau

Construction ①Determining jobs available during construction

②Determining the criteria for selection of

construction staff, including displaced persons, ethnic

minorities, the poor and women

Determining remuneration for construction④

participants

Technical and safety system training for⑤

construction participants

⑥Participation in project construction

①Community general

assembly

②Community congress

③Participation in project

construction

①Construction

participants, incl.

displaced persons,

ethnic minorities,

women and the poor;

②PMO; ③Employer;

④Construction agency;

⑤Community project

management team

PMO,

employer,

constructio

n agency,

community

project

manageme

nt team

145

Subpr

ojectStage

Participatory

activityActivity details Mode of activity Participants

Agency

responsibleRemarks

Monitoring

and

feedback

Village/

community

monitoring

team

①Periodic environmental monitoring

②Monitoring of standard of living restoration of

displaced persons

③Monitoring of restoration of natural environment

after construction

①Community/village

general assembly

②Community/village

congress

③Community monitoring

team (incl. reps of the

poor, displaced persons,

ethnic minorities, women

and other special groups)

①All community

members

②Community /village

committee

③Employer

④PMO

⑤Community

monitoring team

PMO,

employer,

community

monitoring

team

Training Training on monitoring and evaluation skills

Workshop of village/

community monitoring

team

①Village/ community

monitoring team;

②PMO; ③Employer

Appeal

①Printing the Appeal and Suggestion Form and

issuing it to every villager team so that villagers can

give opinions timely

②Setting up a complaint hotline at the district PMO

③The community monitoring team collects opinions

and suggestions from farmers at any time.

Appeal and Suggestion

Form, complaint hotline

①Village/ community

monitoring team; ②All

community members;

③PMO and employer

Village/

community

monitoring

team, PMO

146

Subpr

ojectStage

Participatory

activityActivity details Mode of activity Participants

Agency

responsibleRemarks

Northern area w

ater supply and pipeline project

Preparatio

n

Project

publicity

①Communicating the importance of and need for the

Project, and consulting them for comments and

inputs;

Communicating the starting date and location of②

implementation, land acquisition and house

demolition program, compensation and resettlement

program and other information of concern for the

main affected groups timely;

Making publicity on increased charges ③ at the

beginning of the preparation stage to make citizens

know the need for charging

Poster, brochure, radio &

TV stations, public

gathering, slogan, leaflet

①All community

members

②Employer

③PMO

PMO,

employerWith the assistance of the

publicity department,

education bureau, EPB,

broadcast and television

bureau, newspapers, sub-

districts, Xiangs, towns

and neighborhood

committees/villages

Participatory

analysis of

affected

groups

①Identifying all groups affected by the Project and

their basic situation of subsistence;

②Identifying the positive and negative impacts of the

Project on all groups

Community/village

congress

①Community reps

(incl. reps of the poor,

ethnic minorities,

women and other

special groups)

②Community /village

committee

③Employer and PMO

With the assistance of the

SA team

Participatory

issue

analysis

①①Analyzing the present community/village

environment and issues therein, and to what extent

do these issues affect the development of the

community and themselves.

②Helping residents analyze in which aspects of the

waterworks site and the water source pollution exists

Community/village

congress

With the assistance of the

SA team

147

Subpr

ojectStage

Participatory

activityActivity details Mode of activity Participants

Agency

responsibleRemarks

Participatory

demand

analysis

Identifying the needs of the affected groups, and

analyzing the gap between these needs and the

project design

Community/village

congress

With the assistance of the

SA team

Ability and

willingness to

pay survey

Analyzing the present situation of ① charging and

related issues

②Analyzing the affordable charging limit

Expressing suggestions for ③ charging

Community/village

congress

With the assistance of the

SA team

Feedback of

issues

①Evaluating the project design and scope

②Expectations and suggestions of the primary

stakeholders for the Project

Community/village

congress

With the assistance of the

SA team

Training ①Strengthening training on state and local

environmental indicators and protection regulations

for the whole people

②Giving training on civil use of water

Communicating the need for quitting the use of well③

water to the public

①Community/village

general assembly

②Poster, brochure, radio

& TV stations, slogan,

leaflet

①All community

members

②Employer

③PMO

④EPB

⑤Community /village

committee

With the assistance of the

publicity department,

education bureau, EPB,

broadcast and television

bureau, newspapers, sub-

districts, Xiangs, towns

and neighborhood

committees/villages

148

Subpr

ojectStage

Participatory

activityActivity details Mode of activity Participants

Agency

responsibleRemarks

Implement

ation

Community

project

management

team

Select team members, elect the leader, conduct

organizational training, select and manage the

construction staff, maintain the public security of the

site, coordinating relations of all parties concerned,

and feeding back villagers’ comments

①Community/village

general assembly

②Community/village

congress

③Meeting of community

project management

team (incl. reps of the

poor, displaced persons,

ethnic minorities, women

and other special groups)

①All community

members

②Community /village

committee

③Employer

④PMO

⑤Community project

management team

PMO,

employer,

community

/village

committee,

community

project

manageme

nt team

Training ①Strengthening training on state and local

environmental indicators and protection regulations

for the whole people

②Giving training on civil use of water

Communicating the need for quitting the use of well③

water to the public

①Community/village

general assembly

②Poster, brochure, radio

& TV stations, slogan,

leaflet

①All community

members

②Employer

③PMO

④EPB

⑤Community project

management team

With the assistance of the

publicity department,

education bureau, EPB,

broadcast and television

bureau, newspapers, sub-

districts, Xiangs, towns

and neighborhood

149

Subpr

ojectStage

Participatory

activityActivity details Mode of activity Participants

Agency

responsibleRemarks

committees/villages④Occupational skills training for the land-

expropriated group

Workshop for the land-

expropriated group

①Land-expropriated

farmers; ②Employer;

③PMO; ④Labor and

social security bureau;

⑤Civil affairs bureau;

⑥Community project

management team

Treatment

charge

hearing

Holding a hearing with citizen reps to fix the price

adjustment program and standardHearing

①Citizen reps,

including reps of urban

poor population and

ethnic minorities;

②Employer; ③PMO;

④Price bureau

PMO, price

bureau

Construction ①Determining jobs available during construction

②Determining the criteria for selection of

construction staff, including displaced persons, ethnic

minorities, the poor and women

④Determining remuneration for construction

participants

⑤Technical and safety system training for

construction participants

⑥Participation in project construction

①Community general

assembly

②Community congress

③Participation in project

construction

①Construction

participants, incl.

displaced persons,

ethnic minorities,

women and the poor;

②PMO; ③Employer;

④Construction agency;

⑤Community project

management team

PMO,

employer,

constructio

n agency,

community

project

manageme

nt team

150

Subpr

ojectStage

Participatory

activityActivity details Mode of activity Participants

Agency

responsibleRemarks

Monitoring

and

feedback

Village/

community

monitoring

team

①Periodic environmental monitoring

②Monitoring of standard of living restoration of

displaced persons

③Monitoring of restoration of natural environment

after construction

①Community/village

congress

②Community/village

congress

③Community monitoring

team (incl. reps of the

poor, displaced persons,

ethnic minorities, women

and other special groups)

①All community

members

②Community /village

committee

③Employer

④PMO

⑤Community

monitoring team

PMO,

employer,

community

monitoring

team

Training Training on monitoring and evaluation skills

Workshop of village/

community monitoring

team

①Village/ community

monitoring team;

②PMO; ③Employer

Appeal

①Printing the Appeal and Suggestion Form and

issuing it to every villager team so that villagers can

give opinions timely

②Setting up a complaint hotline at the district PMO

③The community monitoring team collects opinions

and suggestions from farmers at any time.

④Setting up a water users association, and

strengthening the management of tap and well water

Appeal and Suggestion

Form, complaint hotline

①Village/ community

monitoring team; ②All

community members;

③PMO and employer

Village/

community

monitoring

team, PMO

151

11 Conclusion, Suggestions and Actions

11.1 Conclusion

The SA team thinks the social benefits of the Project are embodied mainly in the

following:

1. The Project is an integral part of Zhaotong Municipality’s effort to improve the

environmental quality of key river basins and urban areas, drive the urbanization of

Zhaotong Central City and implement a sustainable development strategy, and a

priority action for the state, Yunnan Province and Zhaotong Municipality to drive

industry restructuring through urban improvement. All subprojects are urgent in the

local socioeconomic development process today. The implementation of these

projects will play an active role in improving basin and regional environmental quality,

urban environment and living conditions, expanding spaces of urban development,

improving urban image and investment environment, and promoting urbanization.

2. The promotional effects of the Project to urban economic development will be

shown over a long term. These effects mainly include: (1) improving urban

environment; (2) improving urban infrastructure; (3) laying a foundation for the

development of Zhaoyang District’s tourism, agriculture, service and other related

industries; (4) providing job opportunities to related industries during and after the

construction period; and (5) providing a guarantee for further urbanization.

3. The Project will also drive the institutional capacity building of the environmental

protection bureau and other related departments in the affected areas. Applying the

advanced project management philosophy and approaches of the World Bank to

establish an advanced office management system can help train a number of

management personnel for environmental and World Bank projects, deepen these

departments’ understanding of the project team and international cooperative

projects, and expand the Project’s social influence and benefits. In addition, the

Project will also foster and enhance the environmental protection awareness of the

affected residents.

152

4. The Project covers both rural and urban poor population, and will improve the

living environment and conditions, and improve the health level of the poor

population. The Project will also provide job opportunities to the poor population and

increase their income.

The potential risks of the Project identified by the SA team include:

1. Resettlement risks: Both the river management project and the northern area

water supply and pipeline project involve land acquisition and house demolition,

which are the main potential social risks of the Project.

2. Risk of low ability to pay of the urban poor population: After the Project is

completed, some environmental charges will be added, which may increase the

financial burden on the urban poor population.

3. Risk of secondary pollution: During the treatment of urban sewage and river silt,

pollutants may pose negative impacts in respect of air, water and soil pollution to the

local residents due to their own characteristics.

4. Risk of fulfillment of project objectives and continuation of residents’ lifestyle:

Some urban and rural residents have not realized that they are also a pollution

source to rivers, nor have they realized that they must behave themselves to purify

rivers and control pollution. This might be adverse to the fulfillment and continuation

of the objectives of the Project.

5. Risk of residents’ environmental awareness and environmental protection: The

primary stakeholders have neither realized the impact of their own behavior on the

ambient environment, nor have they realized that they are one of the subjects of

environmental management. This will be adverse to the involvement of the primary

stakeholders in the Project during the whole project lifecycle.

6. Risk of subsequent project management: Subsequent project management is a

key to the continuation of the effects of the Project after the end of the

implementation period, and also an important indicator of the Project’s sustainability.

7. Risk of institutional capacity building: Ensuring institutional capacity building can

adapt to the continuation of the nature of different projects, and is an objective need

to relieve environmental issues and an important guarantee of successful project

153

implementation.

8. Conflict between residents and construction: The construction process will bring

conveniences to the residents’ life, and may cause local public security issues. If

such negative impacts cannot be avoided or alleviated effectively, there is likely to be

conflict between the residents and the implementing agencies, thereby affecting the

progress of construction.

9. Risk of compensation for land acquisition: The Project involves an extensive

area of land acquisition and a complex mix of land types. The affected areas have

been subject to land acquisition many times. Since the compensation rates for land

acquisition of different Xiangs, towns and sub-districts in the affected areas vary, and

the title to part of the acquired land has been changed repeatedly, there is a certain

risk in solving the problem of compensation for land acquisition in different areas in

the Project.

10. Risk of protection of cultural relics: The Project involves the conservation of

temples near rivers and water sources. In the northern area water supply and

pipeline project, the Dalongdong water source is very close to the Dalongdong Taoist

Temple, and the surrounding area has been planned for an urban park. Ensuring the

conservation of historical and cultural relics after the water source conserve has been

delimited is an important prerequisite to avoiding the risk of cultural relic destruction

arising from the Project.

11.2 Suggestions

Aiming at the above possible social risks, the SA team has proposed the

following suggestions:

1. Optimizing the design: The employer and feasibility study agency of the Project

are advised to minimize the size of land acquisition and house demolition involved in

the Project, and employ advanced environmental protection measures to avoid the

possible secondary pollution issue. For the sources of pollution near the site of the

northern area water supply and pipeline project, it is advised to integrate project

154

planning and construction with the management of the surrounding environment.

2. Conducting participatory activities, and involving the primary stakeholders in the

design, implementation, management and supervision of the Project. The employer,

the project management office (PMO) and the SA team should develop the

participation outline of beneficiaries, and conduct monitoring and evaluation of

participatory activities to ensure that the primary stakeholders are involved during the

whole project lifecycle from preparation, design and implementation to monitoring

and evaluation, and build up a sense of subject for environmental protection. For the

Dalongdong water source, the Dalongdong Water Source Administration led by the

district government and involving the Dalongdong Taoist Temple Management

Committee, the waterworks, the municipal forestry bureau, Dalongdong Travel

Agency and local residents to coordinate and strengthen the management of the

Dalongdong water source.

3. Giving education and training on environmental knowledge and public health: It

is advised that the competent department of the government should give training on

state and local environmental indicators, and environmental protection regulations,

and training on water conservation, civil treatment of sewage and waste, non-point

pollution control, waterborne disease prevention and waste recycling to the whole

public in conjunction with the publicity department, the education bureau, the

environmental protection bureau, the broadcast and television bureau, newspapers,

with the assistance of sub-districts, Xiangs, towns and neighborhood

committees/villages, so that the affected residents can realize which lifestyles may

affect the ambient environment.

4. Developing a rational RAP: The PMO, the resettlement plan preparation team

and the employer are advised to ensure that the standard of living of the displaced

persons is at least not reduced due to the Project in light with the applicable policies

and on the basis of consultation with the affected people, taking into account any

negative impact on the traditional cultures of ethnic minorities due to the impact on

their land and natural resources; further resettlement effort should be paid to minor-

155

ethnic-minority displaced persons and their communities, and relatively poor

displaced persons.

5. Providing job opportunities: The PMO, the employer and the construction agency

are advised to provide job opportunities to the displaced persons, urban and rural

poor people, women and ethnic minorities in conjunction with the civil affairs bureau

and the labor and social security bureau, so that they can be involved in project

construction.

6. Enacting and enforcing preferential charging policies for the poor population: The

PMO, the employer and the price bureau are suggested to enact charging policies

suitable for the local poor population on the basis of public hearing.

7. Formulating rational compensation rates for land acquisition: The PMO, the

employer and the departments concerned are advised to listen extensively to the

requirements of different groups for compensation for land acquisition, and formulate

feasible compensation rates and supplementary implementation procedures for the

whole district with the assistance of SA and involuntary resettlement experts.

8. Maintenance of safety and convenience during construction: The employer and

the construction agency are advised to arrange the construction schedule taking the

objective production and living needs and habits of the local residents into full

consideration during the construction period.

9. Institutional capacity building: It is advised to define the rights and obligations of

the construction, management and maintenance agencies in the central city sewage

treatment and intercepting sewer project, and how proceeds and costs should be

shared; in the river management project, it is advised to set up an environmental

management agency to solve the problem of overlapping river management,

strengthen the monitoring and evaluation of the surrounding areas and environment,

and strengthen law-enforcement capacity.

10. Subsequent project management mechanism: It is advised to involve the

affected residents in subsequent project management, set up a community

subsequent project management team on the basis of the community project

management team during the construction period, such as a “water users

156

association”. Members of such team should be elected by villagers, and must include

women’s representatives of not less than 30% of the headcount and ethnic minority

representatives from the community. Environmental authorities are advised to

strengthen legislation and law enforcement on environmental protection, and the

environmental education for the affected residents in order to realize sustainable

effects of the Project.

11.3 Actions

On the basis of an overall analysis of the social impacts of the Project, the SA

team has proposed specific actions required for each subproject in order to minimize

the negative impacts of the Project and ensure that the primary stakeholders are

equally benefited. Table 11-1 highlights the special social risks facing some

subprojects, and proposes the corresponding actions:

157

Table 11-1 Schedule of key social risks of the Project and suggestions

Subproject Social issue of special concern Suggestion

Central city river management project

The residents at the survey site generally think disorderly① collection and disposal of domestic waste is the main cause of river pollution.

River pollution by slaughterhouses in few Hui communities is② an urgent issue.

Dyke repair and expansion will affect the Taoist temple on the③ dyke.

Overlapping management in river management④

An access road for garbage trucks should be built on the dyke, and the① corresponding garbage station provided;

Slaughterhouses should be relocated to a planned area out of town, and② sewage collected centrally for treatment;

The Taoist temple should be protected during project design and③ construction as much as possible, and it should be ensured that routine religious activities are not affected during construction.

The powers and responsibilities between the water resources bureau, the④ water management station, the urban construction bureau and the environmental protection bureau should be clearly defined, and a river management mechanism featuring definite powers and responsibilities, division of labor and effective monitoring.

158

Subproject Social issue of special concern Suggestion

Northern area water supply and pipeline project

There have been repeated changes of land ownership at the① proposed site of Jingmen Waterworks.

Conservation of the water source for Jingmen Waterworks②Pollution around Taiping Waterworks③Charging and management of well water users in the water④

supply range in the northern area

Land compensation should be honored timely on the basis of adequate① consultation and community participation, and the relevant land acquisition formalities handled.

It is advised to eliminate the overlapping management of the water source,② set up a water source management office involving all stakeholders for management, give full play to the religious restricting force of the Taoist temple, combine water source conservation with cultural relic protection, and make institutional measures and religious restriction complement each other.

Waterworks construction should be integrated with the control of nearby③ pollution-producing enterprises.

Community residents, the village committee/neighborhood committee and④ the water supply company should organize a water users association together in the community to strength well water management.

Central city sewage treatment and intercepting sewer project

The residents at the survey site generally think the sewage① treatment plant will affect nearby water bodies and air. Such worry may cause a conflict with the implementing agency at the implementation stage.

Sewage reflux during the peak period of the sewage② treatment plant will cause secondary pollution to the farmland of the nearby communities, making the local residents doubt the operating and treatment capacities of the plant.

Strengthen the publicity of the sewage treatment process and techniques to① the nearby residents.

Include sewage from the villages around the sewage treatment plant in the② urban sewage treatment system.

Strengthen the management of the sewage treatment plant, and dispose of③ sewage properly.

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Appendix I

Members of the SA team and Division of Labor

Name Sex Role Title Work unit

Zhou

DamingMale

Leader of social assessment

(SA)

Professor,

DoctorCCCC at SYU

Yang

Xiaoliu

Femal

eSA coordinator

Lecturer,

DoctorCCCC at SYU

Wang

Yueping

Femal

e

Formulation and control of

technical standard for SA,

report writing

Lecturer,

DoctorCCCC at SYU

Zhang

JunMale

Member of SA team, report

writing

Lecturer,

Doctor

Yunnan University of

Nationalities

Sheng

YangchiMale

Member of SA team, report

writingMaster

Ethnic Studies Institute,

Yunnan University

Mo LiFemal

e

Member of SA team, report

writingMaster

Ethnic Studies Institute,

Yunnan University

160

Appendix II

Agenda of the SA team

Time Location Activity

September 17Zhaoyang District

PMO

FGD with leaders of the Zhaoyang District

Management Office of Foreign Funded Projects

and project leaders, determination of survey sites

September 18Zhaoyang District

PMO

FGD with persons chiefly responsible for the 4

sub-district offices involved, and project-related

training

September 19,

morning

Longquan Sub-district

Office

Community FGD, village-level FGD, drawing,

door-to-door interview

September 19,

afternoonGuanba Community

Community FGD, village-level FGD, drawing,

door-to-door interview

September 20,

morning

Dengzi Village, Beizha

Town

Community FGD, village-level FGD, drawing,

door-to-door interview

September 20,

afternoonDalongdong Park

Community FGD, FGD with Taoist temple and key

staff, door-to-door interview

September 21,

morning

Taiping Sub-district

Office

Community FGD, village-level FGD, drawing,

door-to-door interview

September 21,

afternoon

Ping’an Community,

Taoyuan Community

Community FGD, village-level FGD, drawing,

door-to-door interview

September 22,

morning

Fenghuang Sub-

district Office, Fuqiang

Community

Community FGD, village-level FGD, drawing,

door-to-door interview

September 22,

afternoon

Fenghuang

Community,

Xuezhuang

Community

Community FGD, village-level FGD, drawing,

door-to-door interview

161

September 23,

morning

Yingfeng Community,

Heping Community

Community FGD, village-level FGD, drawing,

door-to-door interview

September 23,

afternoonDistrict government District government FGD

September 24,

morningDistrict PMO

Collection of written materials related to the

project

November 11,

morning

Shuitangba

Community

Community FGD, village-level FGD, drawing,

door-to-door interview

November 11,

afternoonShizhahe Community

Community FGD, village-level FGD, drawing,

door-to-door interview

November 12,

morningShuiping Community

Community FGD, village-level FGD, drawing,

door-to-door interview

November 12,

afternoon

Nanwenquan

Community

Community FGD, village-level FGD, drawing,

door-to-door interview

November 14 District PMO Data collection and compilation

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Appendix III

Community and resource maps of the Project

Figure 1 Resource map of Guanba Community, Longquan Sub-district

Involving the management of the middle and upper Liji River mainly; Guanba

Community is a rural community

163

Figure 2 Yingfeng Community, Fenghuang Sub-district

Involving the management of the Dongmen Small River mainly; urban

community, with some residents of rural household registration, inhabited by Hui and

Han people

Figure 3 Fenghuang Community, Fenghuang Sub-district

164

Involving the sewage treatment plant mainly; outskirt, being a rural community

165

Annex IV

Regulations of Zhaotong Municipality for Controlling City Appearance and

Environmental Sanitation

Chapter I General Rules

Article 1: This regulation is formulated to strengthen the control of urban

appearance and environmental sanitation, and create a clean and beautiful urban

working and living environment to promote the construction of urban socialist material

civilization and spiritual civilization.

Article 2: This regulation should be observed by any entity and individual in the

cities of the People's Republic of China.

Article 3: In controlling the city appearance and environmental sanitation, the

principle of centralized and unified leadership, level-by-level responsibility and the

combined management by professionals and people in all walks of life shall be

adhered to.

Article 4: The administrative department of construction of the central

government shall be in charge of the management to city appearance and

environmental sanitation across the nation.

The administrative department of urban construction of the Provincial and

Autonomous Region People's Government shall take charge of the control of city

appearance and environmental sanitation across the administrative region.

The administrative department of city appearance and environmental sanitation

shall take charge of the control of city appearance and environmental sanitation

across the urban administrative region.

Article 5: The municipal people's government should bring the control of city

appearance and environmental sanitation under the national economy and social

development plan and take charge of its implementation.

The municipal people's government shall actively reform the employment system

for environmental sanitation and take measures to escalate the working staff's wage

and welfare treatment based on the local practical situation.

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Article 6: The municipal people's government shall strengthen the publicity and

education on city appearance and knowledge about environmental sanitation, and

improve citizens' consciousness of environmental sanitation to acquire favorable

health habit.

All entity and individual shall show respect to the job of the working staff of city

appearance and environmental sanitation work and none of them should hamper or

frustrate the execution of the duties performed by them.

Article 7: The state encourages the science and technology research on city

appearance and environmental sanitation as well as the popularization of advanced

technology and the improvement of city appearance and environmental sanitation.

Article 8: The people's government will offer rewards to any entity and individual

performing well in the control of city appearance and environmental sanitation.

Chapter II Control to City Appearance

Article 9: The urban buildings and facilities shall meet the city appearance

criteria specified by the state. Cities open to the outside world, tourism cities and

other cities with conditions can formulate the city appearance criteria severer than

that specified by the state in accordance with their practical situation; towns with

organizational system can execute the city appearance criteria in reference to that

specified by the state.

Article 10: Any entity or individual is obliged to keep the structures neat and

graceful. No articles damaging the city appearance are allowed to be stacked or

hung outside the balconies and windows of structures along the streets controlled by

the municipal government. Construction or closure of balconies shall meet relevant

regulations stated by the municipal administrative department for city appearance

and environmental sanitation.

Article 11: Outdoor advertisement, placard, gallery and show windows

established in the city shall be of healthy contents, graceful appearance and

maintained, painted or dismantled regularly.

167

Establishment of large outdoor advertisement must be approved by the

municipal administrative department for city appearance and environmental

sanitation and follow all the approval process required.

Article 12: Urban public utilities shall be harmonious with the surrounding

environment, and be maintained and kept intact and neat.

Article 13: Transparent or semi-transparent fences, hedgerows, parterres or

lawns are to be selected alongside the main streets and also for the demarcation in

accordance with the practical requirements.

Trees, hedgerows, parterres or lawns along the roads shall be kept neat and

graceful. Dirt, branches and leaves left by planting, pruning or other jobs shall be

cleared away in good time by the supervisory entity, individual or operators.

Article 14: No entity or individual should stack materials and construct buildings,

structures or other facilities on both sides of the streets or in public areas. Where

construction is specially required, temporary storage of materials along both sides of

the streets and in public areas and construction of non-permanent buildings,

structures or other facilities shall be approved by the municipal administrative

department for city appearance and environmental sanitation and follow the approval

process as required.

Article 15: Vehicles running downtown shall be kept with fine and neat

appearance. Liquid and bulk load transported by goods stock shall be sealed,

tightened, or covered to avoid leakage or scattering.

Article 16: Materials and instruments in the urban construction site shall be

stacked neatly; dirt shall be cleared away in time; construction site along the streets

shall be safeguarded with guardrail or fences; construction site suspending in work

shall be arranged and covered timely; construction site shall be cleared away and

leveled timely after construction.

Article 17: No entity or individual shall paint, write or draw on urban buildings,

facilities or trees.

Entity or individual shall be approved by the municipal administrative

department for city appearance and environmental sanitation or other related

168

departments before hanging or sticking propaganda materials on the urban buildings

or facilities.

Chapter III Control to City Environmental Sanitation

Article 18: The urban environmental sanitation facilities shall meet the city

appearance criteria specified by the state.

Article 19: Development of new city areas or reformation of old areas executed

by the municipal government shall be in accordance with the state regulations; funds

required for cleaning, collecting, transporting and processing construction or

domestic waste shall be brought under the construction project estimation.

Article 20: The municipal administrative department for city appearance and

environmental sanitation shall establish the construction program for public lavatories

in accordance with the density of registered inhabitants, quantity of floating

population and special requirements in the public areas, and construct or reform or

support related organizations to construct or reform the public lavatories as required.

The municipal administrative department for city appearance and environmental

sanitation shall be appointed with professionals or entrust related organizations and

individual to take charge of the cleaning and management of public lavatories.

Certain entity or individual can also undertake the cleaning and management of

public lavatories. Managers of public lavatories can charge appropriately as required

by the provincial, autonomous region and municipality people's government.

Public lavatories not conforming to the standards shall be reformed within

certain limit by related departments as required by the municipal government.

Manure in public lavatories shall be sent to the manure pit or municipal sewage

system.

Article 21: Multi-story and high-rise buildings shall be equipped with close waste

passage or waste storage facilities as well as passage for waste disposal vehicles.

Close type waste container, dustbin or other facilities shall be set on both sides

of the streets, residential districts or densely inhabited areas.

169

Article 22: No entity or individual can dismantle environmental sanitation

facilities on their own; for those must be dismantled required by the construction

project, the construction agency must present the demolition proposal in advance

and report to the municipal administrative department for city appearance and

environmental sanitation for approval.

Article 23: Environmental sanitation of the municipal main streets, square and

public waters established according to the state administrative organizational system

shall be in the charge of specialized agencies for environmental sanitation.

The street offices shall appoint special persons to take charge of the cleaning of

residential districts or streets and lanes.

Article 24: Public areas like airports, railway stations, bus stations, ports,

theatres, museums, exhibitions halls, memorials, gymnasia and parks shall be

cleaned by the individual unit in charge.

Article 25: Organs, groups, armies, enterprises and institutions shall take

charge of the cleaning work in its own liability districts divided by the municipal

administrative department for city appearance and environmental sanitation.

Article 26: Urban fair trade markets shall be cleaned by special persons

appointed by the competent departments.

Stalls and pitches shall be cleaned by the operators.

Article 27: Water surface within the work scope of passenger and goods port of

the harbors shall be cleaned and maintained by the operators obliged by the harbor

operating units.

Waste and manure on the ship operating or parking on the water area

downtown shall be handled by the principals in the ship in accordance with related

provisions.

Article 28: The municipal administrative department for city appearance and

environmental sanitation shall supervise and manage the collection, transportation

and treatment of city life waste.

Any entity or individual shall dump waste and manure in the time at the place

with the mode specified by the municipal administrative department for city

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appearance and environmental sanitation.

Waste and manure shall be cleaned and transported timely and be subject to

innocent treatment and complex utilization.

City life waste shall be collected, transported and handled separately step by

step.

Article 29: Environmental sanitation management shall be subject to

socialization service gradually. In cities with special advantages, environmental

sanitation service companies can be established.

Service charges shall be paid if specialized agencies for environmental

sanitation are entrusted to clean, collect, transport and treat the waste. Detailed

methods shall be established by the provincial, autonomous region, and municipality

people's government.

Article 30: The municipal people's government shall develop city gas, natural

gas, and liquefied gas in a planned way and change the original fuel structure;

encourage and support related departments to transport clean vegetables into the

city, reutilize waste and old materials and decrease municipal waste.

Article 31: Waste generated in hospitals, nursing homes, slaughterhouses and

biological plants shall be treated as required by relevant regulations.

Article 32: Citizens shall cherish the public environment, no spit or foul, no litter,

paper scrap and stumps anywhere.

Article 33: No livestock and fowls like chickens, ducks, geese, rabbits, sheep,

and pigs are allowed to be raised in downtown area of the city established according

to the state administrative organizational system. Those kept for the special purpose

of teaching, scientific research or other requirements shall be approved by the

municipal administrative department for city appearance and environmental

sanitation.

Chapter IV Penalty Schedule

Article 34: Anyone who has committed any of the following acts shall be

ordered by the municipal administrative department for city appearance and

171

environmental sanitation to take clear-away or dismantle actions or other remedies,

and additionally, he may be warned or imposed upon a fine:

(1) Spitting, urinating, or littering fruit peels, paper scraps or cigarette stubs;

(2) Scribbling or engraving on urban buildings, facilities or trees, or posting,

hanging or establishing advertisement without permission;

(3) Piling or hanging articles at street-facing balconies or windows that affects

city appearance;

(4) Failing to dump waste and manure at the specified time, place and mode;

(5) Failing to fulfill the obligation of cleaning in the sanitation responsibility areas

or failing to cleaning and treating wastes and manure as required;

(6) Failing to seal, tighten or cover the liquid and bulk loads transported to the

city and cause leakage and scattering;

(7) Failing to set guardrail or fences for construction site facing the streets;

failing to clean or cover the site timely at work suspension, or failing to clean and

level the site after construction which affects the city appearance and sanitation.

Article 35: Those raise livestock or fowls without permission which has affected

the city appearance and sanitation shall be banned or confiscated within certain limit

or imposed upon a fine by the municipal administrative department for city

appearance and environmental sanitation or its entrusted unit.

Article 36: Any party that has committed any of the following acts shall be

banned by the municipal administrative department for city appearance and

environmental sanitation to take clear-away or dismantle actions or other remedies

and, additionally, he may be imposed upon a fine:

(1) Setting large outdoor advertisement arbitrarily and affecting the city

appearance without the permission from the municipal administrative department for

city appearance and environmental sanitation;

(2) Stacking materials in the public areas or on both sides of the streets and

constructing buildings, structures or other facilities arbitrarily which has affected the

city appearance without the permission from the municipal administrative department

172

for city appearance and environmental sanitation;　(3) Dismantling the environmental sanitation facilities arbitrarily without

permission or failing to dismantling the facilities as required by the demolition

scheme.

Article 37: Buildings or facilities not conforming to the city appearance criteria

and environmental health standards shall be reformed or dismantled by related

departments or individual as required by the municipal administrative department for

city appearance and environmental sanitation and urban administrative departments;

those not being reformed or dismantled in an overdue time shall be torn down forcibly

or imposed upon a fine by the municipal administrative department for city

appearance and environmental sanitation or city planning administrative departments

after being approved by the people's government of county level or above.

Article 38: Those who damage the environmental sanitation facilities and

appurtenant works shall be ordered to recover it or imposed upon a fine by the

municipal administrative department for city appearance and environmental

sanitation or its entrusted units; those steal or damage the environmental sanitation

facilities and the appurtenant works or those deserve the punishment by security

administration shall be punished in accordance with the Regulations of the PRC on

Administrative Penalties for Public Security; those having committed crime shall

assume the criminal responsibility.

Article 39: Those insult or maul the working staff of city appearance and

environmental sanitation or hammer their jobs shall be punished according to the

provisions of the Regulations of the PRC on Administrative Penalties for Public

Security; those having committed crime shall assume the criminal responsibility.

Article 40: If the party is not content with the administrative punishment, he can

reclama to the organ with higher level than the organ making the punishment within

15 days from receiving the punishment notice; those not satisfying with the

reconsideration can appeal to the people's court within 15 days from receiving the

reconsideration agreement. The party may also directly institute legal proceedings in

173

the people's court within 15 days of receiving the notification on the sanction. If a

party, within the time limit neither applies for reconsideration nor files a suit with the

People's Court, or complies with the decision on punishment, the department that

made the decision shall request the People's Court to enforce the decision.

Those not content with the punishment by security administration shall be

handled according to the Regulations of the PRC on Administrative Penalties for

Public Security.

Article 41: Staff of the municipal administrative department for city appearance

and environmental sanitation shall be subject to administrative penalties imposed by

their unit or higher competent authorities due to dereliction of duty, misfeasance or

fraud for selfish interest; those having committed crime shall assume the criminal

responsibility.

Chapter V Appendix

Article 42: Urban type residential areas without the organizational system of the

town can proceed in accordance with this regulation.

Article 43: The provincial, autonomous region and municipality people's

government can set the implementation methods in accordance with this regulation.

Article 44: The central government's administrative department for urban

construction has the right to explain this regulation.

Article 45: This regulation shall come into force on August 1, 1992.

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Annex V

FGD Outline

Villager/Resident FGD Outline

1. Do you know the project? When and how to know? What do you know about the

project? Any else information do you want to know? What’s your concern?

(Especially whether the people understand the house demolition and resettlement

program and their understanding degree, including the address, quality, time and

other detailed information about house resettlement)

2. What’s the impact on people’s future production and life after project

implementation? (Positive and negative impact)

3. What’re your concerns over project? List and sort the problems according to

significance level.

4. Who will benefit the most from project?

5. What’s your suggestion on project? (Sort according to identification degree)

6. What’re the pressing issues in public service facility (such as traffic, irrigation,

medical treatment and education) and housing arrangement? List the possible

solution and the help needed.

7. Do you agree to pay for the project? (What’s the reason for agreement or

disagreement?)

(Record the name, sex, age and address of participant villagers.)

Municipal Official/Employer FGD Outline

1. Employer and participant department officials should introduce the current situation

of various fields, the development planning in future, the existing problems and the

project’s impact on future development in these fields.

2. Employer should introduce the identification and selection process of project as

well as the preparation and status of project at present.

3. Employer and main departments should introduce the possible difficulties during

project implementation.

4. Select the important villages and communities.

175

5. Collect various types of documents and materials.

6. Hold FGD with the project officers at different levels, the principal project leaders,

the project employer and the department officials at state, city and county level.

Discuss and identify the survey sites.

Note: The SA Team should record the name, nationality, position and contact

method of participant officials.

Participant officials should come from the relevant departments including

national religion, environmental protection, tourism, development and reform,

urban planning, urban construction, water supply and drainage, sewage

treatment, etc.

176

Annex VI

Interview Outline

Village/Community Official Interview Outline

I. Drawing:

1. Community map

2. Resource map (Especially mark the main road, hospital, middle and primary

school, market, bridge, historical site, potable water source, irrigation facility and any

other important facilities under the impact of project)

II. Fundamental Condition of Village/Neighborhood Committee in Affected Area

1. Population (Quantity, sex, nationality, religion, job, size and proportion of farm and

non-farm population)

2. Natural resource (including land, forest, mineral, etc) and utilization situation of

village/community

3. Financial revenue, main financial source, proportion and rank in town of

village/community

4. Livelihood structure (farm, non-farm and animal husbandry) and development

status

5. Economic development level of village/community: the per capita income of

village, the poverty status, the economic ranking and the development status of

collective economy

6. Development history and planning of village (community)

7. Problem and current situation of infrastructure in village (community)

8. Ecological environment and its impact on local life

9. Composition and operation of formal and informal organization in village

(community)

10. Experience in implementing similar projects of village (community)

11. Assessment on environmental project of village (community)

III. Ethnic Minority

177

1. Type, population, proportion and resident place of ethnic minority in

village/community

2. Source of ethnic minority

3. Informal social organization of ethnic minority

4. Main natural resource and convention and unwritten law on environmental

protection of ethnic minority

5. Economic status of ethnic minority

6. Religious faith of ethnic minority

7. Production and consumption of ethnic minority

8. Governmental support to ethnic minority

9. Communication among ethnic groups

IV. Involuntary Resettlement

1. Fundamental condition of affected village and community within survey scope:

population, farmland, labor force, industrial structure, etc

2. Material index of affected population, which may be removed or acquired during

project construction, mainly includes:

1) Status of land acquisition

2) Status of house demolition

3) Land fixture such as tree, well, terrace, tomb and barrier wall

4) Infrastructure such as water system, road, power supply, telecommunication,

broadcasting and cable television

V. Opinion on Project

1. What’s the benefit of project implementation to village in your opinion?

2. How will your village cooperate with the government to implement urban

environment construction?

3. What’s the difficulty to cooperate with the government during project

implementation in your opinion?

4. Do you think the project implementation has negative impact on the original

ecological environment of your village?

178

5. Who will benefit the most from project in your opinion?

6. What’re the difficulties during the development of your village in your opinion?

7. Do you agree to pay after project construction?

8. How much and how to pay if you agree?

9. Why not if you disagree?

10. What’s reaction of villagers/residents to payment in your opinion?

(Note: This interview outline is also applicable to the group interview or official

interview at the Xiang/town level. Topics of interview can be added or reduced

according to actual situation, aiming to understand the background

information of social economy and the opinion on project of villagers,

residents and Xiang/town officials in affected area.)

Door-to-door In-depth Interview Outline

I. Interview Questions:

1. Compared with other villages/communities in the county, do you think your

village/community is richer or poorer? In your opinion, what’s the reason if your

village/community is poorer? What measures should be taken by the government

besides personal effort?

2. Do you agree or disagree with the project? Please explain the reason if you

disagree.

3. Do you think this project will push the development of your family or society?

What’re the development opportunities if so? (Direct at the in-depth interviewee)

4. What’re the negative impacts of project in your opinion?

5. Do you know additional payment may be required after project construction?

6. Do you think it is rational to pay? Why?

7. Do you know your farmland and house will be acquired? Do you know the

compensation rate for land acquisition or house demolition? Do you satisfy with the

current house and job?

8. What’s your ideal compensation amount? When to get such compensation

amount? How do you plan to use it?

179

9. What’s the rational compensation method during land acquisition and resettlement

in your opinion?

10. Who will benefit the most from project construction in your opinion?

11. What’s the impact of project construction on existing natural environment of your

village (including exhaust pollution, noise pollution, etc)? What’s the impact on

culture, historical heritage, religion and tourist attraction of your village?

12. What’s the impact of project construction on production and life of women? Do

they have any requirement and suggestion on project? (Inquire women only)

13. What’s the impact of project construction on production method, life style and

local custom of your ethnic group? Do you have any suggestion on project? (Inquire

ethnic group only)

II. Drawing:

1. Draw the daily life chart and seasonal activity chart separately.

2. Draw the daily trip chart and daily intercourse chart separately.

180