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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
47
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
50
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
53
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.
55
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
162
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.
166
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
170
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