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108 Annex A - Resettlement Information Booklet (Disclosed in February 2005) A.1 Objectives of RP Booklet The primary objective of the RP Booklet is to provide a brief about the project, particularly the compensation principles and resettlement benefits, and how and when the compensation and other payments will be paid to the project-affected persons/collectives. This is part of the information dissemination work aimed at disclosure of the project policies and procedures regarding land acquisition, resettlement, compensation, payment, and provision of grievance redress and appeal procedures. The EA will distribute the Information Booklet to the APs prior to the detailed measurements survey. Copies of the Booklet would be available at Land Acquisition and Resettlement (LAR) Offices in each District/County, Township and Village Committees. A.2 Project Description and Impacts The Project will involve the construction of Yalu Expressway, with a total length of the around 244 km and related connection roads. The total estimated budget for the project investment is CNY133,000 million. The proposed Yalu Expressway (including connecting roads) will affect 29 townships and 93 administrative villages in 5 counties, namely, Yucheng District, Yingjing County, Hanyuan and Shimian Counties in Ya’an Municipality, and Mianning County in Liangshan Prefecture. According to the impact survey during feasibility study, about 1,400 ha of land will be acquired, about 56 percent of which is farmland, comprising paddy (21 percent) and dryland (35 percent). The remaining 44 percent is forestland, fruit trees, housing plot and wasteland. Approximately 250 ha of land will be occupied temporarily during the construction phase. Based on per capita farmland in affected villages, the farmland acquisition will affect 20,237 persons (losing all their farmland). Assuming each household has 4 persons, the total affected households would be 5,711. A.3 Compensation Policy and Rates Policies regarding compensation and resettlement for the APs in the project are based on a combination of the PRC laws and regulations and ADB’s policy on involuntary resettlement. The primary objective of the RP is to restore the income and living standards of the APs in post-resettlement period and with as little disruption as possible in their own economic and social environment. Particular attention has been paid to needs of the poorest and vulnerable groups to be resettled. The RP has been prepared with this as the guiding principles. The principles are summarized in Table 1. In this project, compensation rates have not been fixed yet, and once these have been fixed, it will be included in this booklet for distribution.

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Page 1: Annex A - Resettlement Information Booklet (Disclosed in ... · Annex A - Resettlement Information Booklet (Disclosed in February 2005) A.1 Objectives of RP Booklet The primary objective

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Annex A - Resettlement Information Booklet (Disclosed in February 2005) A.1 Objectives of RP Booklet The primary objective of the RP Booklet is to provide a brief about the project, particularly the compensation principles and resettlement benefits, and how and when the compensation and other payments will be paid to the project-affected persons/collectives. This is part of the information dissemination work aimed at disclosure of the project policies and procedures regarding land acquisition, resettlement, compensation, payment, and provision of grievance redress and appeal procedures. The EA will distribute the Information Booklet to the APs prior to the detailed measurements survey. Copies of the Booklet would be available at Land Acquisition and Resettlement (LAR) Offices in each District/County, Township and Village Committees. A.2 Project Description and Impacts The Project will involve the construction of Yalu Expressway, with a total length of the around 244 km and related connection roads. The total estimated budget for the project investment is CNY133,000 million. The proposed Yalu Expressway (including connecting roads) will affect 29 townships and 93 administrative villages in 5 counties, namely, Yucheng District, Yingjing County, Hanyuan and Shimian Counties in Ya’an Municipality, and Mianning County in Liangshan Prefecture. According to the impact survey during feasibility study, about 1,400 ha of land will be acquired, about 56 percent of which is farmland, comprising paddy (21 percent) and dryland (35 percent). The remaining 44 percent is forestland, fruit trees, housing plot and wasteland. Approximately 250 ha of land will be occupied temporarily during the construction phase. Based on per capita farmland in affected villages, the farmland acquisition will affect 20,237 persons (losing all their farmland). Assuming each household has 4 persons, the total affected households would be 5,711. A.3 Compensation Policy and Rates Policies regarding compensation and resettlement for the APs in the project are based on a combination of the PRC laws and regulations and ADB’s policy on involuntary resettlement. The primary objective of the RP is to restore the income and living standards of the APs in post-resettlement period and with as little disruption as possible in their own economic and social environment. Particular attention has been paid to needs of the poorest and vulnerable groups to be resettled. The RP has been prepared with this as the guiding principles. The principles are summarized in Table 1. In this project, compensation rates have not been fixed yet, and once these have been fixed, it will be included in this booklet for distribution.

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Table A.1 Resettlement Principles

Principles 1 That compensation and entitlements provided to APs are adequate to at least maintain their

“without project” standard of living, with prospect of improvement. 2 All APs, titled or non-titled, are taken into account for compensation and resettlement assistance. 3 Land redistribution will ensure per capita minimum holding in post-resettlement period to maintain

livelihood standards. 4 Where land acquisition per capita is not sufficient to maintain livelihood, compensation in cash or

kind for replacement land for other income-generating activities will be provided for. 5 All APs will be adequately informed on eligibility, compensation rates and standards, livelihood and

income restoration plans, project timing, and will be involved in RP implementation. 6 No land acquisition will take place prior to adequate compensation be paid for resettlement of APs.7 The EA and independent/third party will monitor compensation and resettlement operations. 8 Vulnerable groups should receive special assistance or treatment to ensure they are better off. 9 Resettlement affected people should have opportunities to benefit from the project. 10 Resettlement plan should be combined with the overall county/district or township planning.

A.4 Payment of Compensation Compensation for affected land and public infrastructure belongs to farming collectives and will therefore be paid directly to the Villager Committees for the utilization of developing the production, rehabilitating the economic level for affected persons. Where adequate land is not available, cash compensation will be paid to individuals/families affected by loss of cultivable land. Compensation subsidy due to land loss will be paid to the agency that is responsible for resettling the agriculture population while resettlement subsidy will normally be paid to the Villager Committees/Groups that are affected or redistributed. If they do not receive redistributed land and want to resettle by themselves, it will be paid to affected individuals. The compensation for houses, special purpose facilities, auxiliary facilities and crops not matured will be directly paid to the owners. Compensation for affected enterprises will be paid directly to the respective enterprises. The entitlement matrix in Table 2 contains detailed description of the policy and implementation issues. A.5 Transition Allowance In addition to the compensation for houses and land, the affected persons will also receive allowances for relocation and resettlement. All APs affected by house/apartment/shop will receive the following allowances (the temporary housing will be based on the AP’s needs): (i) material transport expenses, CNY500 per household; (ii) transitional cost for temporary housing, CNY500 per household. There will be no allowance for any households provided with temporary housing by the project LAR agency, or for the households whose existing homes shall not be demolished until after completion of construction of their new houses. Proper allowances will be paid for loss of production or business resulting from the demolition of the houses used for businesses. A.6 Participation in RP Planning & Implementation

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The EA already consulted with affected local government at various levels and the representatives of affected persons and enterprises through meeting at the Feasibility Study stage and initial preparation stages. During the survey and design stage, AP will be involved in the following activities: (i) alternative alignment to further minimize impact; (ii) classification and measurement of affected land, houses, enterprises; (iii) survey and inspection of trees, water wells, walled enclosures, graves etc; and (v) survey and reconfirmation of hydrology, electrical supply, communication and other infrastructures. At the implementation stage, APs will be involved in carrying out the following tasks: (i) determine the scope of compensation and compensation rates; (ii) agreements on compensation; (iii) selection of new resettlement sites; (iv) redistribution of land; (v) utilization of compensation funds at village level; (vi) decision of grievance appeals; and (vii) RP monitoring and investigation. A.7 Grievance Procedures During the actual implementation of the land acquisition and the resettlement of displaced population, if the affected population have any problems, grievances and discontent regarding land acquisition, housing demolition, compensation payment and resettlement, they may appeal to either (1) the project owner, (2) the external independent monitoring institution, (3) the township and the county land administration department, (4) the county government or (5) legal action. Normally the procedures for grievance redress are as follows:

Step 1: The affected persons submit oral or written petition/complaint to villagers’ committee or township resettlement team. For oral complaint, villagers’ committee or township resettlement team must make written records properly and give a clear reply within 2 weeks. If the complaint involves significant problems, reply must be obtained from the higher resettlement department within 2 weeks. Step 2: If the complainant is not satisfied with the reply in Step 1, it can appeal to the CRO within 1 month of reception of the reply in Step 1 and the CRO deals with the grievance within 3 weeks. Step 3: If the affected persons are still not satisfied with the reply of CRO, they can appeal to the Municipal Resettlement Office (MRO) within 1 month of reception of the reply in Step 2, and the MRO gives reply within 4 weeks. Step 4: If the affected persons are still not satisfied with the reply of MRO, they can appeal to the Provincial Resettlement Office (PRO) within 1 month of reception of the reply in Step 3, and the PRO gives reply within 4 weeks. Step 5: If the affected persons are still not satisfied with the reply in step 4, they have the right to appeal to the civil court within 15 days of reception of the reply.

The grievance procedures will be operative throughout the entire construction period so that they can be used by villagers to deal with problems relating to infrastructure rehabilitation, such as the reconstruction of irrigation networks, the positioning and design of drainage culverts and pedestrian underpasses, local road access, the use of temporary land, etc. In this way villagers will have an effective procedure to bring these matters to the attention of SPCD and the contractors, as well as a forum, for their timely resolution. As an additional measure, village leaders will be provided with a name and contact point (eg. telephone number), to whom they can raise matters relating to the expressway's construction as and when they arise.

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Attachment: Decree of No.39 issued by Sichuan Provincial Government on land acquisition (photo copy of original document will be attached when the booklet is distributed to APs).

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Table A.2 Entitlement Matrix of Compensation and Resettlement Policy

Type of loss Application Entitled person/ group

No. of entitled persons /groups

Compensation policy Compensation Entitlement Implementation issues

Permanent loss of arable land

a) Land-owning groups b) Farmers who use the land

a) land owning groups in 93 villages b) Households who lose land

• Land compensation and resettlement subsidies respectively*;

• Replacement land and/or cash payments and/or income restoration measures sufficient to ensure maintenance of existing economic and social conditions

• Cash compensation for any trees (based on type, age, and diameter) and standing crops (average production value of last 3 years)

Full compensation for expressway traversed land-owning groups and land loss households, the share between land owning group and households will be determined by villagers’ meeting.

Village meetings to be responsible for deciding on the allocation of funds, the redistribution of land and investment in income generating activities such as improved cultivation techniques/ irrigation/ small business development/ training. Higher level authorities to approve and monitor village level proposals and, if required to facilitate training programs

Temporary loss of arable land

Arable land located in the right-of-way of expressway and inter-connector roads. Land adjacent to ROW for construction purposes

Farmers who use the land

(to be identified during construction)

• Cash compensation based on AAOV for each year land is not available + reinstatement to pre-construction condition

Who lose crops will receive full compensation according to compensation standard.

Village Committee/farm owners must be notified in advance and paid accordingly

Forest land Forest land within ROW

Local forest bureau / Forestry Farm

(To be identified) • Cash compensation to forest bureau according to standards and regulation of Sichuan provincial by-laws

To be taken care by the forest bureau

Loss of residential land/ property

Residential land located in or affected by ROW

a) Collective losses Sub-villages, other units b) Private losses Owner of the building or houses

Households and collectives who lose house plots

• Cash compensation for land if AP requires new plot

• Cash compensation for land (if rebuilding on existing site possible) or replacement plot or same sized apartment in urban area

• Cash compensation at replacement rates for all buildings

• Transition allowances – allowance for transportation and temporary housing CNY1000 per household

Pay compensation for owner of the house/building Affected households + collective losses

Sub-villages and APs to decide on location of new residential plots.

Non-cultivated land loss

Non-cultivated land within ROW

Land-owning groups

(to be identified) • Cash compensation. All affected villagers’ groups Compensation based on Sichuan by-laws

Loss of non- residential establishments (e.g., common property units

Establishments sited in or affected by ROW

a) Legal owner of the establishment b) Employees

(to be identified) • Cash compensation for land or replacement site provided

• Cash compensation for buildings • Transitional allowances for lost income;

Full compensation based on compensation standards

Assistance in finding new site if relocation of establishment is unavoidable. New schools must be ready prior to relocation, if any affected

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Type of loss Application Entitled person/ group

No. of entitled persons /groups

Compensation policy Compensation Entitlement Implementation issues

etc.) c) Residents d) Beneficiaries of the common property units

• Moving allowance for transport of building materials to new families who are relocated (not payable in cash).

• Transitional allowances for lost income for up to 6 months (if owner is not responsible for paying wages during the transitional period).

• Construction of common property units by local government in consultation with beneficiary groups

Business/ salary losses

Affected workers --permanent staff --temporary staff

(To be identified) • Business/salary losses will be compensated through specific allowances to be paid on a monthly basis for up to 6 months after relocation.

• The business losses allowance will be based on the total post-tax profit during the six months prior to relocation as declared in the tax receipts.

Crops losses / Trees

Affected people All owners who loss standing crops and trees

• Crops losses will be compensated at a rate equal to the market value of the harvested crops

• Trees will be compensated based on project standards

Full payment direct pay to the crop and tree owners

Vulnerable groups

Those who live below the poverty line, landless, aged, women, children, minority, long time sickness with heavy burden for children’s education fees, etc.

Individuals • Each community establishes a “vulnerable group assistance team” headed by township and village leaders. The team will collect and feed back the needs of vulnerable groups and provide assistance in a timely manner. For minority people, generally, with the high compensation standards provided by the project, each ethnic group can benefit from this project (no discrimination).

* Arable land reclamation fee is also payable but this does not affect APs. Likewise compensation for public utilities is not shown on this matrix.

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ANNEX B SCOPE OF LAND ACQUISITION BY VILLAGE

Farmland Acquisition (mu)

No.

Township

Village

Subtotal

Paddy

Dryland

Non-farmland Acquisition

(mu)

Total

(mu)

1 Duiyan Kanpo 27 12 15 9 36 2 Duiyan Duiyan 77 34 43 27 104 3 Duiyan Hulu 110 49 62 39 149 4 Babu Fengmu 45 20 25 16 60 5 Babu Zhishi 149 66 83 52 201 6 Babu Shigang 95 42 53 33 129 7 Babu Babu 36 16 20 12 48 8 Guanhua Guanhua 149 66 83 52 201 9 Guanhua Yuajia 83 37 47 29 112 10 Guanhua Zhousha 65 29 37 23 88 11 Guanhua Shangheng 158 70 88 55 213 Yucheng Total 994 439 555 348 1342

12 Qinglong Fuxing 310 137 173 108 418 13 Qinglong Shaheba 104 46 58 36 141 14 Qinglong Guihua 83 37 47 29 112 15 Qinglong Baixiang 71 17 54 32 102 16 Yanzhu Lianhua 55 13 42 25 80 17 Yanzhu Shuanghong 50 12 38 23 73 18 Fucheng Nanchunba 50 12 38 23 73 19 Fucheng Yanxigou 151 37 115 68 219 20 Shizhi Jinghe 151 37 115 68 219 21 Shizhi Wannian 151 37 115 68 219 22 Shizhi Kuaile 151 37 115 68 219 23 Huangyi Yangwan 222 54 168 100 322 24 Huangyi Yuquan 197 48 149 88 285 25 Huangyi Gangshang 177 43 134 79 256 26 Huangyi State Farm 121 29 92 54 175 Yingjing Total 2,046 595 1,451 869 2,915

27 Shuangxi Munan 101 24 76 45 146 28 Shuangxi Tujia 197 48 149 88 285 29 Jiuxiang Hoshan 48 12 36 22 69 30 Jiuxiang Liangshan 45 11 34 20 66 31 Jiuxiang Sanqiang 45 11 34 20 66 32 Jiuxiang Lihua 81 20 61 36 117 33 Jiuxiang Shangnian 28 7 21 12 40 34 Jiuxiang Niangou 91 22 69 41 132 35 Fuchun Fuyuan 66 16 50 29 95 36 Fuchun Gouyun 50 12 38 23 73

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Farmland Acquisition (mu) 37 Fuchun Zuoye 50 12 38 23 73 38 Tangjia Wuli 50 12 38 23 73 39 Tangjia Xinchang 116 28 88 52 168 40 Tangjia Hetong 63 15 48 28 91 41 Tangjia HongsYi 78 19 59 35 113 42 Tangjia Xiaoguan 61 15 46 27 88 43 Hexi Xianglin 76 18 57 34 110 44 Shirong Gonghe 131 32 99 59 190 45 Qingfu Fuxian 212 51 161 95 307 46 Qingfu Qingfu 50 12 38 23 73 47 Qingfu Xinjian 116 28 88 52 168 48 Xiaopu Dingjia 76 18 57 34 110 49 Xiaopu Tuanjie 117 28 89 53 170 50 Xiaopu Wangjia 117 28 89 53 170 51 Xiaopu Tiekou 117 28 89 53 170 52 Xiaopu Jiefang 136 33 103 61 197 Hanyuan Total 2,319 562 1,757 1,041 3,359

53 Yonghe Baima 172 42 130 77 249 54 Yonghe Dalin 66 16 50 29 95 55 Yonghe Dapu 66 16 50 29 95 56 Yonghe Wanglong 66 16 50 29 95 57 Xinmian Dongqu 86 21 65 38 124 58 Xinmian Yanzi 156 38 119 70 227 59 Xinmian Xinjie 22 6 15 50 72 60 Xinmian Laojie 46 14 33 108 154 61 Xinmian Shunhe 157 46 111 367 525 62 Yilong Liangqiao 124 36 88 288 412 63 Caluoyizhu Shangli 80 23 57 187 268 64 Caluoyizhu Fulong 77 23 55 180 257 65 Caluoyizhu Nanya 117 34 83 274 391 66 Liziping Xichong 12 4 9 29 41 67 Liziping Yuangun 266 78 188 620 885 68 Liziping Lizi 386 113 273 901 1,286 69 Liziping Menghuo 489 143 346 1,141 1,631 Shimian Total 2,387 667 1,721 4,419 6,807

70 Tuowu Luba 100 29 71 43 143 71 Tuowu Huangjiaba 104 30 73 44 148 72 Tuowu Tuowu 415 121 294 178 593 73 Yihai Yihai 339 99 240 145 484 74 Yihai Dayanjing 166 48 118 71 237 75 Yihai Lebai 180 53 127 77 257 76 Caogu Chiyang 463 135 328 199 662

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Farmland Acquisition (mu) 77 Caogu Dapuzi 124 36 88 53 178 78 Caogu Damawu 221 65 157 95 316 79 Chengxiang Chayao 194 57 137 83 277 80 Chengxiang Xianchao 214 63 152 92 306 81 Chengxiang Jiaguer 595 174 421 255 850 82 Linli Gaoyao 194 57 137 83 277 83 Houshan Ma'an 173 50 122 74 247 84 Houshan Geli 138 40 98 59 198 85 Houshan Fuqiang 62 18 44 27 89 86 Houshan Daxing 138 40 98 59 198 87 Houshan Qingquan 104 30 73 44 148 88 Houshan Taoyuan 62 18 44 27 89 89 Shilong Heping 85 25 60 36 122 90 Shilong Shilong 85 25 60 36 122 91 Shilong Gaoxian 85 25 60 36 122 92 Lugu Wangjiashi 62 18 44 27 89 93 Lugu Xijie 91 26 64 39 129 94 Lugu Wuyi 90 26 64 39 128 Mianning Total 4,485 1,310 3,175 1,922 6,407 Grand Total 12,913 3,771 9,142 9,078 21,991

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ANNEX C NUMBER OF AFFECTED PEOPLE BY VILLAGE

Total Affected People

People Affected by House Demolition No.

Township

Village

Households

Population

Household

Population

1 Duiyan Kanpo 14 45 0 0 2 Duiyan Duiyan 33 112 0 0 3 Duiyan Hulu 39 132 35 116 4 Babu Fengmu 27 87 35 111 5 Babu Zhishi 83 252 35 105 6 Babu Shigang 43 128 0 0 7 Babu Babu 18 61 0 0 8 Guanhua Guanhua 68 220 35 111 9 Guanhua Yuajia 33 145 0 0

10 Guanhua Zhousha 21 69 0 0 11 Guanhua Shangheng 73 344 0 0 Yucheng Total 453 1,595 138 460

12 Qinglong Fuxing 198 577 35 101 13 Qinglong Shaheba 112 266 35 82 14 Qinglong Guihua 65 154 35 82 15 Qinglong Baixiang 66 166 47 119 16 Yanzhu Lianhua 31 123 47 188 17 Yanzhu Shuanghong 14 43 0 0 18 Fucheng Nanchunba 38 94 0 0 19 Fucheng Yanxigou 107 302 0 0 20 Shizhi Jinghe 27 104 0 0 21 Shizhi Wannian 32 99 47 146 22 Shizhi Kuaile 36 102 0 0 23 Huangyi Yangwan 44 185 47 196 24 Huangyi Yuquan 25 97 0 0 25 Huangyi Gangshang 17 71 0 0 26 Huangyi State Farm 0 0 0 Yingjing Total 811 2,383 291 859

27 Shuangxi Munan 20 81 0 0 28 Shuangxi Tujia 52 188 0 0 29 Jiuxiang Hoshan 19 60 47 148 30 Jiuxiang Liangshan 12 46 0 0 31 Jiuxiang Sanqiang 21 74 0 0 32 Jiuxiang Lihua 39 139 0 0 33 Jiuxiang Shangnian 10 33 0 0 34 Jiuxiang Niangou 13 48 0 0 35 Fuchun Fuyuan 41 142 47 162 36 Fuchun Gouyun 31 116 0 0

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Total Affected People

People Affected by House Demolition No.

Township

Village

Households

Population

Household

Population

37 Fuchun Zuoye 12 48 0 0 38 Tangjia Wuli 26 85 0 0 39 Tangjia Xinchang 54 202 47 177 40 Tangjia Hetong 32 108 0 0 41 Tangjia HongsYi 37 122 0 0 42 Tangjia Xiaoguan 34 125 0 0 43 Hexi Xianglin 38 166 0 0 44 Shirong Gonghe 30 113 47 174 45 Qingfu Fuxian 78 237 0 0 46 Qingfu Qingfu 18 54 0 0 47 Qingfu Xinjian 40 126 0 0 48 Xiaopu Dingjia 34 135 0 0 49 Xiaopu Tuanjie 59 198 0 0 50 Xiaopu Wangjia 70 234 0 0 51 Xiaopu Tiekou 78 273 0 0 52 Xiaopu Jiefang 91 318 0 0 Hanyuan Total 987 3,470 188 665

53 Yonghe Baima 35 133 0 0 54 Yonghe Dalin 17 63 0 0 55 Yonghe Dapu 46 161 0 0 56 Yonghe Wanglong 38 125 0 0 57 Xinmian Dongqu 432 1,193 0 0 58 Xinmian Yanzi 276 966 0 0 59 Xinmian Xinjie 47 164 0 0 60 Xinmian Laojie 50 199 6 24 61 Xinmian Shunhe 99 360 0 0 62 Yilong Liangqiao 110 417 0 0 63 Caluoyizhu Shangli 62 224 0 0 64 Caluoyizhu Fulong 80 253 0 0 65 Caluoyizhu Nanya 153 533 0 0 66 Liziping Xichong 5 26 0 0 67 Liziping Yuangun 404 1,527 0 0 68 Liziping Lizi 326 1,221 6 23 69 Liziping Menghuo 76 335 6 27 Shimian Total 2254 7,899 18 66

70 Tuowu Luba 13 53 0 0 71 Tuowu Huangjiaba 14 45 0 0 72 Tuowu Tuowu 67 282 15 65 73 Yihai Yihai 58 242 0 0 74 Yihai Dayanjing 32 134 15 64

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Total Affected People

People Affected by House Demolition No.

Township

Village

Households

Population

Household

Population

75 Yihai Lebai 29 135 0 0 76 Caogu Chiyang 140 650 0 0 77 Caogu Dapuzi 42 197 15 72 78 Caogu Damawu 61 250 0 0 79 Chengxiang Chayao 63 199 0 0 80 Chengxiang Xianchao 49 192 0 0 81 Chengxiang Jiaguer 188 795 0 0 82 Linli Gaoyao 29 135 0 0 83 Houshan Ma'an 26 110 15 66 84 Houshan Geli 28 135 0 0 85 Houshan Fuqiang 18 77 0 0 86 Houshan Daxing 41 181 15 68 87 Houshan Qingquan 28 120 0 0 88 Houshan Taoyuan 18 85 15 72 89 Shilong Heping 26 117 0 0 90 Shilong Shilong 42 132 0 0 91 Shilong Gaoxian 45 107 15 37 92 Lugu Wangjiashi 47 124 15 41 93 Lugu Xijie 38 226 15 93 94 Lugu Wuyi 64 167 15 40 Mianning Total 1,206 4,890 154 617 Grand Total 5,711 20,237 790 2,667

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ANNEX D SCOPE OF HOUSE DEMOLITION & RELOCATION BY VILLAGE

Amount of House Demolition (m2)

People Affected by House Demolition No.

Township

Village

Sub-total

Concrete Brick

Brick Wood

Earth Wood

Household

Population

1 Duiyan Kanpo 0 0 0 0 0 0 2 Duiyan Duiyan 0 0 0 0 0 0 3 Duiyan Hulu 4,143 936 1,194 977 35 116 4 Babu Fengmu 4,143 936 1,194 977 35 111 5 Babu Zhishi 4,143 936 1,194 977 35 105 6 Babu Shigang 0 0 0 0 0 0 7 Babu Babu 0 0 0 0 0 0 8 Guanhua Guanhua 4,143 936 1,194 977 35 111 9 Guanhua Yuajia 0 0 0 0 0 0 10 Guanhua Zhousha 0 0 0 0 0 0 11 Guanhua Shangheng 0 0 0 0 0 0 Yucheng Total 16,571 3,744 4,777 3,908 138 460 12 Qinglong Fuxing 4,143 1,248 1,592 1,303 35 101 13 Qinglong Shaheba 4,143 1,248 1,592 1,303 35 82 14 Qinglong Guihua 4,143 1,248 1,592 1,303 35 82 15 Qinglong Baixiang 5,638 1,698 2,167 1,773 47 119 16 Yanzhu Lianhua 5,638 1,698 2,167 1,773 47 188 17 Yanzhu Shuanghong 0 0 0 0 0 0 18 Fucheng Nanchunba 0 0 0 0 0 0 19 Fucheng Yanxigou 0 0 0 0 0 0 20 Shizhi Jinghe 0 0 0 0 0 0 21 Shizhi Wannian 5,638 1,698 2,167 1,773 47 146 22 Shizhi Kuaile 0 0 0 0 0 0 23 Huangyi Yangwan 5,638 1,698 2,167 1,773 47 196 24 Huangyi Yuquan 0 0 0 0 0 0 25 Huangyi Gangshang 0 0 0 0 0 0 26 Huangyi State Farm 0 0 0 0 0 0 Yingjing Total 34,979 10,536 13,444 10,999 291 859 27 Shuangxi Munan 0 0 0 0 0 0 28 Shuangxi Tujia 0 0 0 0 0 0 29 Jiuxiang Hoshan 5,638 1,698 2,167 1,773 47 148 30 Jiuxiang Liangshan 0 0 0 0 0 0 31 Jiuxiang Sanqiang 0 0 0 0 0 0 32 Jiuxiang Lihua 0 0 0 0 0 0 33 Jiuxiang Shangnian 0 0 0 0 0 0 34 Jiuxiang Niangou 0 0 0 0 0 0 35 Fuchun Fuyuan 5,638 1,698 2,167 1,773 47 162

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Amount of House Demolition (m2)

People Affected by House Demolition No.

Township

Village

Sub-total

Concrete Brick

Brick Wood

Earth Wood

Household

Population

36 Fuchun Gouyun 0 0 0 0 0 0 37 Fuchun Zuoye 0 0 0 0 0 0 38 Tangjia Wuli 0 0 0 0 0 0 39 Tangjia Xinchang 5,638 1,698 2,167 1,773 47 177 40 Tangjia Hetong 0 0 0 0 0 0 41 Tangjia HongsYi 0 0 0 0 0 0 42 Tangjia Xiaoguan 0 0 0 0 0 0 43 Hexi Xianglin 0 0 0 0 0 0 44 Shirong Gonghe 5,638 1,698 2,167 1,773 47 174 45 Qingfu Fuxian 0 0 0 0 0 0 46 Qingfu Qingfu 0 0 0 0 0 0 47 Qingfu Xinjian 0 0 0 0 0 0 48 Xiaopu Dingjia 0 0 0 0 0 0 49 Xiaopu Tuanjie 0 0 0 0 0 0 50 Xiaopu Wangjia 0 0 0 0 0 0 51 Xiaopu Tiekou 0 0 0 0 0 0 52 Xiaopu Jiefang 0 0 0 0 0 0 Hanyuan Total 22,550 6,792 8,667 7,091 188 665 53 Yonghe Baima 0 0 0 0 0 0 54 Yonghe Dalin 0 0 0 0 0 0 55 Yonghe Dapu 0 0 0 0 0 0 56 Yonghe Wanglong 0 0 0 0 0 0 57 Xinmian Dongqu 0 0 0 0 0 0 58 Xinmian Yanzi 0 0 0 0 0 0 59 Xinmian Xinjie 0 0 0 0 0 0 60 Xinmian Laojie 733 221 282 231 6 24 61 Xinmian Shunhe 0 0 0 0 0 0 62 Yilong Liangqiao 0 0 0 0 0 0 63 Caluoyizhu Shangli 0 0 0 0 0 0 64 Caluoyizhu Fulong 0 0 0 0 0 0 65 Caluoyizhu Nanya 0 0 0 0 0 0 66 Liziping Xichong 0 0 0 0 0 0 67 Liziping Yuangun 0 0 0 0 0 0 68 Liziping Lizi 733 221 282 231 6 23 69 Liziping Menghuo 733 221 282 231 6 27 Shimian Total 2,200 663 846 692 18 66 70 Tuowu Luba 0 0 0 0 0 0 71 Tuowu Huangjiaba 0 0 0 0 0 0 72 Tuowu Tuowu 1,850 557 711 582 15 65 73 Yihai Yihai 0 0 0 0 0 0

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Amount of House Demolition (m2)

People Affected by House Demolition No.

Township

Village

Sub-total

Concrete Brick

Brick Wood

Earth Wood

Household

Population

74 Yihai Dayanjing 1,850 557 711 582 15 64 75 Yihai Lebai 0 0 0 0 0 0 76 Caogu Chiyang 0 0 0 0 0 0 77 Caogu Dapuzi 1,850 557 711 582 15 72 78 Caogu Damawu 0 0 0 0 0 0 79 Chengxiang Chayao 0 0 0 0 0 0 80 Chengxiang Xianchao 0 0 0 0 0 0 81 Chengxiang Jiaguer 0 0 0 0 0 0 82 Linli Gaoyao 0 0 0 0 0 0 83 Houshan Ma'an 1,850 557 711 582 15 66 84 Houshan Geli 0 0 0 0 0 0 85 Houshan Fuqiang 0 0 0 0 0 0 86 Houshan Daxing 1,850 557 711 582 15 68 87 Houshan Qingquan 0 0 0 0 0 0 88 Houshan Taoyuan 1,850 557 711 582 15 72 89 Shilong Heping 0 0 0 0 0 0 90 Shilong Shilong 0 0 0 0 0 0 91 Shilong Gaoxian 1,850 557 711 582 15 37 92 Lugu Wangjiashi 1,850 557 711 582 15 41 93 Lugu Xijie 1,850 557 711 582 15 93 94 Lugu Wuyi 1,850 557 711 582 15 40 Mianning Total 18,500 5,572 7,110 5,817 154 617 Grand Total 94,800 28,554 36,435 29,811 790 2,667

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ANNEX E RESETTLEMENT SURVEY METHODOLOGY AND QUESTIONNAIRES

Field Survey Plan for Resettlement Specialist I. Brief Introduction During the Feasibility Study phase, no formal draft resettlement plan (RAP) had been prepared by the EA and no social-economic survey conducted. Based on the limited information in the draft RAP provided by EA (six pages), the total affected people (AP) are estimated at 27,565 persons11, of which, 25,000 would be affected by land acquisition, 2,460 persons would be affected by house relocation and 105 persons would be affected by non-residential house/building relocation. II. Household Survey Sampling Based on ADB requirement, the survey sample should be no less than 10% of total APs, and no less than 20% of the seriously affected households. To achieve the goal, the total sampled number of households will need to be 600. The total number of project-affected households is derived from the total affected persons estimated by SPDI -27,565 persons- (including overlap of those people who will be affected from both land acquisition and household demolition) and given that there are an estimated 6 persons12 in each household then the total households to be affected would be 4,594 households, however the Xichang-Panzhihua survey in 2001 showed 4.6 persons in each household so, based on this, the total households to be affected would be 5,992. Using this figure and assuming half of the APs who lose land will also be affected by land loss, then the total number of households to be affected would be 5,725. Therefore, 600 sampled households will be considered sufficient for the RAP preparation. In the EIA preliminary documents sensitive points where listed that indicated that 750 households would be targeted for protection. Although not all the 750 households will be affected by land acquisition and resettlement, it is most likely the people in these sensitive points will formulate the majority of seriously affected. Thus 200 households will be selected from these areas in order to select no less than 20% of seriously affected. In addition, large land acquisition and/or resettlement will occur in the areas where interchanges are proposed in the project feasibility study, thus sufficient sample households will be selected in the interchange areas.

11 This estimate was made by SPDI based on a completed Liangping-Wanxian Expressway project, which is similar to this project in terms of topographic and alignment location features. 12 According to SPDI estimation based on their field survey experience, the average members in each household in the project area are 6 persons (it will be verified during the social-economic survey).

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HOUSEHOLD QUESTIONNAIRE Resettlement Socio-Economic Survey-----Ya’an – Lugu Expressway

Interviewer:_______, Date:_______ ;

Type of surveyed households: Land loss only ( ), House loss only ( ); Both losses ( ) Economic situation of surveyed households: wealthy ( ); average ( ); poor ( ) Note: The information you provide us will be treated with strict confidentiality. The only information to be published will be the aggregation of individual questionnaires. ___________County, ___________Township, __________Village, _________Village Group Name of respondent: sex How many people living in your household? ____________. BASIC HOUSEHOLD INFORMATION:

Relationship with head of household

Sex

Nationality

Age

Work Ability

Education

Occupation

Second occupation

Current Residential Location

Head of h.h. 1. Landholding and Farming Currently, cultivated land allocated to your family under the household responsibility system is _______ Mu, Of which, irrigated land ______Mu; Dry land ______Mu; Orchard ______Mu, Other land (eg slope) ______ Mu. Your current household responsibility system contract over land commenced in what year? ________. How many of the household members do not have land.________. How many years is the contract for? _________ Please provide the grain and cash crop yield of your family during the most recent 12 month farming cycle. Type of Land Type of

Crop Output (Jin)

Sold by Household (Jin or roughly %)

Unit price (Y/Jin) Remark

Paddy land

Dry land

Orchard/

Fruit tree

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How many non-fruit trees are there on land that you control? __________ 2. Please provide details about your house and outhouse structures. Assets and Fixtures Types Structure Current Price House Pig Sty or Animal Shed Enclosure Walls

a. Concrete and brick b. Brick and wood c. Mud and wood d. Wood e. Simple structu

Sunning Ground Graves

f. Concrete, g. Stone h. Earth

Type of Water Supply i. Tap in house Tap in yard Well in yard Outside

Type of Toilets Lavatory Latrin Others/Pigsty

Electricity (line) Yes No Cable TV services Yes No 3. Please list equipment and facilities which you own and which you use for your farm production/off-farm income generation. Items used for Farming Item Numbers Item Numbers Agricultural trucks Hand-drawn carts Large & medium tractors Irrigation pipes/hoses (m) Small size tractors Water pumps Threshers Draft animals Animal-drawn carts Weaving Loom Mechanical Grain Grinder Other (please state) 4. Please indicate the number of durable consumer goods owned by your household Items Numbers Items Numbers Motor Tricycle Black and White TV Motorcycle Color TV Vehicle VHS/VCD/DVD Player Electric Fan Sofa Washing Machine Solar Energy water heater Refrigerator Others 5. During last Springing Festival, (1) How much money did your household spend? _____(Y). And (2) during which how many animals did your household slaughtered? _______(Pigs, sheep, cattle, etc)

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EXPRESSWAY RELATED QUESTIONS: 6. Do you know if land acquisition for the Expressway will affect the land you farm and/or your house? Yes/No 7. When and how did your household first learn of the proposed Expressway? Year __________ How? ______________________________ What do you know?____________________________________________. 8. If the answer to the previous question is “Yes”, have you been asked by officials for your opinions regarding the Expressway (for example, where the passageways should be put, whether the alignment should change for local geophysical or cultural reasons, etc.) Yes No 9. Only when the Expressway’s Detailed Design is completed and the white lines are marked on the ground, will it be clear which land will be acquired and which houses will have to be demolished. Compensation will be paid according to regulations under the new Land Administration Law. However, if one quarter or more of your contracted land under the household responsibility system is acquired for the expressway would you want: (i) Your land-owing co-operative to buy insurance for you, OR (ii) Used for public welfare purposes, OR (iii) Compensation paid to the co-operative to be used to support you in mastering new income-earning opportunities which will restore the loss in household income due to Expressway land acquisition. (iv) All the land compensation fees are paid directly to the land losers and their village groups based on the proportion of VILLAGE GROUP:INDIVIDUAL=8:2; 3:7; 4:6; 5:5; 4:6; 3:7. 10. If you prefer 9 (iii) above, which replacement income-earning opportunities would you like to pursue? _________________ New technology to obtain higher yields from less land. _________________ Other (Please specify) 11. If you lose land to the Expressway and get paid directly the compensation, what will your household do with the money? _____________________________________________________________________ 12. (Household with house loss only skip this question) Would you wish the co-operative to use part of the land acquisition fees it would receive to reclaim land for cultivation to make up for the land your household may lose? Yes No 13. (Household with land loss only skip this question) If your house falls within the white line, and you have to move to a new house, where would you like your new house to be sited? ____________ Very close to your old house by moving back a little. ____________ To another suitable site within the area owned by the co-operative. ____________ To a suitable site outside my co-operative, but within the administrative village. ____________ To a suitable site within the “xiang” but outside the village. ____________ To an urban site.

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14. What information would you most like to know about land acquisition and house demolition before the land acquisition process starts? (choose most important 3, ranked 1,2, 3)

(i)______________Compensation Rates

(ii) ______________ Timing of acquisition (iii) ______________ Process of acquisition (iv) ______________ Timing of compensation payments (v) ______________ Assistance with house relocation (vi) ______________ Assistance with income restitution (vii) ______________ Plans to avoid disruption to farming irrigation system. (viii) ______________ Requirement for temporary occupation of land (ix) ______________ Other, (Please specify) ____________________ 15. What advantages/issues do you anticipate for your household with the construction and operation of the Expressway? Advantages:_______________________________________________________ issues:____________________________________________________________ Information on household cash income/cash expenditure 16. Please indicate your current household’s Total Cash Income.

Item Cash income (¥) TOTAL cash income during July 2003—June 2004:______Yuan Cash Income from farming

Of which, Cropping: Livestock: Dairy production:

Fishery production:

Item Yes / No Amount (¥) Agro-processing (eg grinding grain) Salary from local mines or enterprises Other salary income (e.g., teachers) Migrant Labour Earnings from craftsman Retail Store Income from transportation services

non-farm business

Other 17. Please indicate your household’ approximate (annual) cash expenditure in during July 2003—June 2004 Item Amount (¥) Item Amount (¥) Annual total expenditures: 1. Expenditure for food 8. Chemical fertilizer 2. Expenditure for clothing 9. Seeds 3. Expenditure on House (repairs, extensions, furniture)

10. Other production costs

4. Education 11. Levies and taxes 5. Healthcare 12. Cost for animal/ feed 6. Bus fare 13. Buying machinery 7. Cultural Activities (including weddings, funerals) and recreation

14. Others (e.g., fuel spare parts, etc.

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If the expenditure in item 17 is greater than the cash income in item 16, then ask whether they have:

Money borrowed (from friend or relatives): Yuan Loan borrowed Yuan

Thank you for your time!

Village Checklist for Resettlement Social-Economic Survey Of Ya’an—Lugu Expressway (Part of National highway 108) Project

We are working with SPCD for the Ya’an-Lugu Expressway project, we are pleased that you can provide relevant information. Be sure we will keep your information confidential and all the data used in the report will be integrated data. County: Township: Village Committee: Village group: Interviewer Interviewed village leader Date: Note to interviewers: The purpose of these questions is to obtain a general impression of the main social and economic dynamics of the village. In many cases, numeric information is not required or will not be available; in these cases, approximate answers indicating the main trend, or characteristics should be obtained. A conversational approach should be adopted throughout. There is no need to follow the order of the checklist if the conversation goes in different directions. A. BASIC INFORMATION A1. ACCESS Topographic feature

Distance from township

Distance from main road

Distance from county town

Distance from nearest market

Road Surface

Road condition

Valley/gully/ hill/mountain

Earth/ Gravel/ paved

Good/ average/ poor

A2: SOCIAL AND PHYSICAL INFRASTRUCTURE Electricity Access: Yes( ); No( ) Water supply/nearest distance: Kindergarten/Primary school/distance: ( )/( ) / ( km)

Middle school/distance to nearest one:

Clinic: Telephone (home/mobile) Feul type: firewood( ), coal( ),biogas( ) Distance to obtain fuel: A3: HOUSING New houses in recent 2 years >2 storey building: ;brick structure: ;wood structure: mud adobe:: ;Others: Area approved for housing site: square meters A4: OWNERSHIP OF VEHICLES Cars: Minibus: Motor tricycles:

Agricultural trucks: Tractors: Motorcycles

B ECONOMIC ACTIVITY B1 AGRICULTURE Cultivated land Paddy land mu Dry land mu

Food subsistence households: ; Food shortage households: ;(shortage for months) Food surplus households:

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Rotation land mu Reserved land (if any) mu

(Either no. of households or use percentage)

Beside cereal crops, what cash crops grow in your village 。 How many households(%) can get income from animal husbandry (for sale)? 。 What are the changes in agriculture in recent years?What causes the changes?(e.g. new varieties introduced, planting area change, yield change, price change, etc). Types of marketing produce? Where and how marketing? Prices for major agricultural produces paddy corn potato 2004 2003 Prices for Local major agricultural production inputs carbamide (NH4)2CO3 2004 2003 B2: NON-AGRICULTURAL ACTIVITY Approximately what proportion of households have at least one member working outside the village for months at a time? Approximately what proportion of these workers are female? What is the trend for migrant labor working outside (number of persons increase or decrease)? And reasons. SECONDARY INDUSTRY: quantity and scale How many migrant labor working in this village (migrant-in from outside)? What are their main jobs? TERTIARY INDUSTRY: please specify the type of business and scale. B3: INCOME Note: The objective of this question is to get some idea of the variation in incomes within the village. This information is difficult to obtain and may require more detailed questioning. The respondents are likely to find it difficult to answer so discretion is required. Please rank in order of importance the following sources of farmers’ income? (insert 1,2,3,4 in appropriate boxes) Grain production

Cash crops Livestock Migrant labor

Local non-farming activity

Other(specify)

What was the per capita net annual income in the village last year? Yuan Income distribution (result of ranking and discussions) Income (Yuan/capita/yr.)

<675 675-900 901-1500 1500-2000 2000-2500 >2500

proportion(%)of all households

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No. of poor HHs? No. of 5-guarented HHs? What are the characteristics of those low income households (eg. aged, infirmity, lack of land)? C SOCIAL SECURITY Except the 5-guarentee system, which social security measures can the farmers benefit from? 1.Rest house for aged 2.Healthcare services 3.Provide subsidy to or exemption of student fee 4.Buying endowment insurances or accident insurance for each villager 5.Physical examination of villagers yearly 6.Others (please specify) D ROLE OF WOMEN What are the main differences between the work carried out by men and that carried out by women? Approximately what is the proportion of women’s income contribution to their total household income? E ACTIVITIES CONDUCTED IN YOUR VILLAGE CURRENTLY Poverty alleviation( )、Micro-credit( )、Conversion from slope land to forest ( )、other (please specify) What are mostly needed? F IMPACT OF EXISTING AND PROPOSED ROADS What information about the expressway has reached the village, and when? What are the impacts of the existing roads on your village? Positive: Negative: Possible impacts of the proposed road? G VILLAGERS RESPONSES TO LAND ACQUISITION 1、Most accept land redistribution within village groups( ) 2、Anyway is okay( ) 3、Most oppose land redistribution( ) If land is acquired from the village or from the cooperative for the expressway, how will the village/cooperative handle the reduced farming area of the affected households? H GENERAL QUESTION In general have social and economic conditions in the village improved, deteriorated or stayed the same in recent years? What are the main reasons? I VILLAGE DEVELOPMENT NEEDS Ask respondents on their perception of the most important needs Do you have any question to ask us? Thank you for your time.