Social Monitoring Report – RP Implementation Project Number: 40626-013 Semi-Annual Report August 2016 PRC: Yunnan Integrated Road Network Development Project Prepared by Beijing Zhongkehongce Consulting Company for the People’s Republic of China and the Asian Development Bank. This social monitoring report is a document of the borrower. The views expressed herein do not necessarily represent those of ADB's Board of Directors, Management, or staff, and may be preliminary in nature. In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area. Asian Development Bank
Transcript
Social Monitoring Report – RP Implementation Project Number: 40626-013 Semi-Annual Report August 2016
PRC: Yunnan Integrated Road Network Development Project Prepared by Beijing Zhongkehongce Consulting Company for the People’s Republic of China and the Asian Development Bank. This social monitoring report is a document of the borrower. The views expressed herein do not necessarily represent those of ADB's Board of Directors, Management, or staff, and may be preliminary in nature. In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.
Asian Development Bank
External Monitoring Report - RP Implementation
Final (#8) Monitoring Report August 2016
2709-PRC: Yunnan Integrated Road Network
Development Project (Longrui Expressway)
Prepared by Beijing Zhongkehongce Consulting Company.
I. INTRODUCTION .............................................................................................................................................. 2
A. PROJECT BRIEF AND COMPLETION STATUS ....................................................................................................................... 2 B. THIS REPORT.............................................................................................................................................................. 2
II. LAR COMPLETION STATUS .............................................................................................................................. 3
A. PERMANENT LAND ACQUISITION ................................................................................................................................... 3 B. HOUSE DEMOLITION AND RESETTLEMENT........................................................................................................................ 3 D. AFFECTED HHS AND PERSONS ....................................................................................................................................... 4 D. EXPENSES AND FUNDING .............................................................................................................................................. 4 E. DELIVERY OF ENTITLEMENTS AND COMPENSATION STANDARDS ............................................................................................ 4 F. IMPLEMENTATION SCHEDULE ......................................................................................................................................... 5
III. INCOME RESTORATION .................................................................................................................................. 6
A. AFFECTED VILLAGES .................................................................................................................................................... 6 B. SEVERELY AFFECTED VILLAGES ....................................................................................................................................... 7 C. AFFECTED HHS ........................................................................................................................................................... 7
a. Endline Survey ............................................................................................................................................... 7 b. Income Restoration Status ............................................................................................................................ 8
IV. OTHER FINDINGS ........................................................................................................................................... 9
A. RELOCATION HOUSES .................................................................................................................................................. 9 B. ATTITUDE TOWARDS LAR ............................................................................................................................................. 9
V. CONCLUSION ............................................................................................................................................... 10
VI. APPENDIXES ................................................................................................................................................. 11
Figure 1: Longrui Expressway and Aligned Counties and Townships .................................... ii Figure 2: Longrui Expressway ............................................................................................. iii
Table 1: Permanent Land Acquisition.................................................................................... 3 Table 2: Relocation Households ........................................................................................... 3 Table 3: House Demolition .................................................................................................... 3 Table 4: Affected Persons ..................................................................................................... 4 Table 5: Total Compensations Expenses .............................................................................. 4 Table 6: Delivery of Entitlements .......................................................................................... 4 Table 7: Income Restoration in Severely Affected Villages.................................................... 7 Table 8: Endline & Baseline Income of Sample HHs ............................................................. 8 Table 9: Demolished and New Houses ................................................................................. 9 Table 10: Attitude towards LAR............................................................................................. 9
ii
Figure 1: Longrui Expressway and Aligned Counties and Townships
The construction of Longrui Expressway was completed on 31 Dec. 2015 when it was officially opened for operation (Figure 2).
B. Permanent Land Acquisition
Land acquisition was completed by July 2014. Overall the project had acquired 13,863.1mu of land, which is 120.8% of the RP estimate. The increase of 20.8% was mainly resulted from converting access roads in Longling County to permanent land acquisition and new acquisition of land for service areas that were not included in the final design. The increases did not have significant impacts as additionally acquisitioned lands are either existing roads or forestlands.
C. Relocation of Affected HHs
Relocation of affected HHs was fully completed by Dec 2013. A total of 297 HHs were relocated, which is 133 HHs more than the RP estimate of 164 HHs, and 2 HHs more than the revised estimate of 295 HHs in a DDR that was prepared by LREC to clarify increased relocation HHs.
D. Delivery of Entitlements
Delivery of entitlements followed the RP, including (i) compensation for land, houses, and standing crops with rates specified in the RP; (ii) assistance to vulnerable HHs as specified in the RP; (iii) timely payment of compensation to all APs; and (iv) implementation of income restoration measures as planned in the RP. In addition, there are some positive exceptions: (i) wasteland and some forestland were counted as farmland in practice that enabled APs to benefit more; (ii) Zone I land compensations rates (i.e., higher rates) were adopted for Zone II in the case of Mangshi City; and (iii) additional transitional allowance of CNY 3,600 for each relocation household (CNY300/month for one year).
E. Total Expenses and Funding
Total compensations made and formally reported to LREC by the county coordination offices were CNY980.78 million by June 2016. The actual expense is 121.8% of RP budget. Of the total compensations made, LREC and local governments contributed CNY633.62 million (64.6%) and CNY347.16 million (35.4%) respectively.
F．Income Restoration
The endline survey, targeting 245 HHs, concluded that all affected HHs had restored their income by 2015.
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I. Introduction
A. Project Brief and Completion Status
1. The proposed Longrui expressway component includes a 128.96 km expressway, 6.0 km of link roads to 7 interchanges and a 34.44 km Class II road. The expressway starts at the end of the Baoshan-Longling Expressway in Longling County, passes Mangshi (Mangshi City) and ends at Mengmao Township of Ruili City. A new Class II road will continue from the end of the expressway to Nongdao Border Port (China–Myanmar border). The expressway and Class II road traverse 4 state farms and 42 villages/communities of 14 townships/subdistricts in Longling County, Mangshi City and Ruili City. Figure 1 shows the Longrui Expressway and the aligned counties and townships.
2. The whole expressway opened for operation since 31 December 2015 (Figure 2): (i) the Mangshi-Wanding section opened for operation on 30 May 2015; (ii) the Wanding-Ruili section, including the link road, opened for service on 30 September 2015; and (iii) the Longling-Mangshi section opened for traffic on 31 December 2015.
B. This Report
3. This is the final monitoring report and it focuses on income restoration of affected people. To evaluate the income restoration status of affected households (AHs), an endline survey, by using the baseline survey questionnaire and also targeting the baseline households, was carried out during July 2016.
4. This final report also summarizes the completion status of land acquisition and resettlement.
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II. LAR Completion Status
A. Permanent Land Acquisition
5. All Land acquisition was completed by July 2014 and there was no additional land acquisition thereafter that. Overall, 13,863.2mu of land had been permanently acquisitioned by July 2014, which is 120.8% of the planned area in the RP (see Table 1).1 Details of land acquisition by type and by county were presented in the sixth external monitoring report.
Table 1: Permanent Land Acquisition
County/city RP (mu) Actual
Qty (mu) % of RP
Longling 1,346.5 2,483.4 184.4
Mangshi 6,809.6 7,710.4 113.4
Ruili 3,323.1 3,668.4 110.4
Total 11,479.2 13,862.2 120.8 Source: LREC
B. House Demolition and Resettlement
6. House demolition and resettlement works completed by Dec 2013. Table 2 presents the progress on resettlement of house demolishment affected households; while Table 3 lists the final house demolition data. Again, details of house demolition by county and by type are available in the sixth external monitoring report.
Table 2: Relocation Households
County/city Plan Actual
Original RP (HHs)
DDR revised plan2
(HHs) Qty
(HHs) % of revised plan
Longling 16 36 36 100.0
Mangshi 85 190 192 101.1
Ruili 63 69 69 100.0
Total 164 295 297 100.7
Source: LREC
Table 3: House Demolition
County/city Plan Actual
Original RP (m²)
DDR Revised (m²)
Qty (m²)
% of revised plan
Longling 6,712.6 10,844.4 10,844.4 100.0
Mangshi 13,504.9 30,259.8 32,476.0 105.1
Ruili 18,424.3 18,045.9 20,704.3 114.7
Total 38,641.8 59,150.1 64,024.7 108.2
Source: LREC
1
Increases in land acquisition in the three project counties were explained and assessed in the sixth monitoring report. 2 LREC submitted the revised due diligence report (DDR) in March 2014.
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D. Affected HHs and Persons
7. The land acquisition and resettlement (LAR) affected persons (APs) eventually increased by 20.5% if compared with the RP estimate. The increase of APs is in line with the land acquisition increase (20.8%).
Table 4: Affected Persons
County/city RP Actual
Qty % of RP
Longling Affected HHs 674 968 143.6
APs 2,793 4,021 144.0
Mangshi Affected HHs 3,615 4,053 112.1
APs 16,356 18,318 112.0
Ruili Affected HHs 1,538 2,056 133.7
APs 5,623 7,520 133.7
Total Affected HHs 5,827 7,077 121.5
APs 24,772 29,859 120.5
Source: LREC
D. Expenses and Funding
8. The final LAR expense of CNY980.78 million is 121.8% of RP budget (see Table 5 for details), and the increased is in line with increased land acquisition (20.8%). Of the total compensations made, LREC and local government contributed CNY633.62 million (64.6%) and CNY347.16 million (35.4%) respectively.
Table 5: Total Compensations Expenses
Compensations made (CNY million, by 30 June 2016)
Total (CNY
million)
Land, standing crops and attachments
Relocation of tombs
Relocation of temple
House plots, houses, transitional allowance
Drinking Water facilities
Public facilities
Longling 106.51 1.05
15.75 0 13.75 137.06
Mangshi 437.81 7.78 0.14 44.60 1.89 71.44 563.66
Ruili 235.48 4.72
23.81 0 16.05 280.06
Total
Qty 779.8 13.55 0.14 84.16 1.89 101.24 980.78
As % of actual total
79.5 1.4 0.0 8.6 0.32 10.3 100.0
As % of RP
121.8
Source: LREC.
E. Delivery of Entitlements and Compensation Standards
9. As indicated in Table 6, the delivery of entitlements followed the RP. Similarly, the compensation standards followed the RP (see Appendix 1); yet there are the following positive exceptions:
(i) Wasteland and some forestland were counted as farmland in practice.
(ii) Zone I land compensations rates (i.e., higher rates) were adopted for Zone II in the case of Mangshi city.
(iii) Additional transitional allowance of CNY3,600 for each relocation household (CNY300/month for one year).
Table 6: Delivery of Entitlements
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Type of impact Eligibility (actual) Compensation and resettlement policy in RP Completion Status
Permanent land acquisition
26,110 APs
(6,165 HHs)
i) Land belongs to collective/state farms: compensation to collective and state farms;
ii) Land contracted to farmers: cash compensation to farmers totally with the rates specified and announced during DMS;
iii) Standing crops compensation: to owners directly with the rates specified and announced during DMS
iv) state land used by business entity, government agencies/institutes: direct payment to users or management bodies
i) Implemented as planned;;
ii) As planned, and higher rates were adopted for Zone II in Mangshi. Wasteland and some forestland were counted as farmland t
iii) As plan
iv) As plan
Temporary land occupation
i) Temporary land occupation fee: to land users yearly. The duration cannot be over two years. Once exceeded, the land use permission needs re-approval;
ii) Land reclamation fee: to land owners directly;
iii) Standing crops: compensation for the first year to land users with agreed rates between AH and users;
iv) The land will be restored by the owner to the original condition
i) As plan.
ii) Government charge
iii) As plan
iv) All restored by 2015
House demolition
64,024.7m2 of
297 relocation
HHs
i) Demolition compensation: to owners directly at replacement costs;
ii) Each relocation HH will receive a lump sum relocation allowance of CNY50,000, to cover moving subsidy and transitional allowance.
iii) Establishment of access road, water and power supply systems by local government in case of collective relocation, if any. vi) Transitional allowance of CNY 3,600 for a year for each relocation HH (CNY300/month for 12 months)
i) As plan ii) As plan iii) As planned in the case of Longling’s Baita community. vi) not in plan
Ground facilities Compensations: to owners at replacement costs As plan
Special facilities Compensations: to property owners at replacement
costs, based on negotiation. As plan
Scattered trees Compensations: to property owners As plan
A village temple 77.4m2 Relocation following religious procedures Not in RP
Vulnerable groups
Wubao, Disabled, and female-headed HHs (Han and Dai): 511 persons of 145 HHs
i) Village and township government help to rebuild houses in case of relocation;
ii) vulnerable subsidy CNY500 each HH
i) As plan
ii) As plan
Ethnic minority of less people: 854 persons, 221 HHs
i) Vulnerable subsidy of CNY500 per HH；
ii) Priority for technical training and unskilled jobs of the project.
i) As plan
ii) As plan
Dibao: 816 Dai & Han APs, 241 HHs
i) Vulnerable subsidy CNY500 of per HH;
ii) Priority for technical training and unskilled jobs of the project for two labors (one is woman) of each household at least.
i) As plan
ii) As plan
Severely affected HHs by land acquisition
975 APs of 227 HHs from non-peri-urban villages/communities
i) Priority for technical training and unskilled jobs
ii) Obtain land use right by land transfer
iii) Endowment insurance on a voluntary basis in case APs lose basic living due to land acquisition.
i) As plan
ii) APs own actions
iii) No one eligible in the non-peri-urban villages
3
Source: county coordination offices.
F. Implementation Schedule
10. The actual implementation schedule of the various LAR activities well followed the RP schedule (details in Appendix 2). The exceptions include the delayed completion date for relocation households from May 2013 to Dec 2013, and two more external monitoring reports submitted.
3 APs are eligible if per capita farmland area is less than 0.3mu after land acquisition.
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III. Income Restoration
A. Affected Villages
11. A thorough assessment of the income restoration status of affected village was made in Sept 2015 during the field survey period for the seventh external monitoring. The assessment, through consultation of township officials and village leaders, concluded that people from all LAR affected villages had restored their income by 2015. This section re-summarizes the general assessment results while details can be found in the previous external monitoring report.
12. Affected villages in Longling County. The expressway affected 5 villages/communities4 of Longxin and Longshan townships. Of the 5 villages/communities affected:5
(i) APs in the 4 village/communities in Longshan Township had increased their income by 2015 due to cultivation of purple dendrobe, a unique medical herb that can only be produced in Longling and its nearby area. This herb, with high input and return, only makes return 1.5 years after cultivation. The high land compensations enabled AHs to afford for purple dendrobe cultivation. More details about the cost and return will be explained later. About 70% of the affected households were engaged in purple dendrobe cultivation since 2012, while majority of them could not afford for that before the project.6
(ii) APs in Huangcaoba Village of Longxin Township restored their income by 2015 through migration and cultivation of horseradish and other crops. Yet the village was insignificantly affected. The village is not suitable for cultivation of dendrobe as it is at a higher elevation with cooler climate.
13. Affected villages in Mangshi City. The project expressway affected 17 villages of 5 townships in Mangshi City. Similarly, AHs in all affected villages/communities had restored their income by 2015: 7
(i) Affected villages in Mangshi Township. The project affected two mountainous (main ethnic group of Han) and two plain villages (ethnic minority Dai) respectively. AHs in the two mountains villages restored their income through improved tea production, processing and marketing. AHs from two Dai villages located at Mangshi Plain restored their income from production and good marketing of lemon, pomelo, sweet corn and oriental tobacco.
(ii) Affected villages in Fengping Township. The project affected 4 Dai villages, all located at the flat Mangshi Plain. AHs had restored their income through beef cattle raising, cultivation of sweet corn, coffee, pitaya, banana, water melon, macadamia nut, oriental tobacco, etc.. The Manghong natural village of Mangshai village is specialized in beef cattle business. In Manghong, 90% of HHs are engaed in beef cattle business since 2012. In Manghong, villagers buy cattle from nearby counties and from Burma for fattening and selling in Mangshi market.8
(iii) Affected villages in Santaishan De’ang Township. The project insignificantly affected three mountainous villages of De’ang & Jingpo ethnic groups. All villages have rich farmland resource and AHs have restored their income through shifting sugarcane to banana, pitaya, pineapple and coffee.
4 Urbanized or semi-urbanized villages in peri-urban area are officially named as communities in China.
5 Annex 1 of the previous external monitoring report (No.7) gives details.
6 Of the 36 sample HHs from Longshan Township targeted by endline survey, the dendrobe cultivation HHs increased to 26
(72.2%) by 2015 from the only 4 (11.1%) in 2012. 7 Annex 2 of the previous external monitoring report (No.7) gives details.
8 Manghong people dominate the Mangshi beef market.
7
(iv) Affected villages in Jiangdong Township. Only 4 HHs were slightly affected.
(v) Affected villages in Zhefang Township. The project affected 5 Dai villages on the Zhefang Plain. AHs had restored their income through shifting sugarcane to cash crops of coffee, pitaya and banana.
14. Affected villages in Ruili City. The project expressway and the class II link road affected 16 villages of 6 townships in Ruili. Again, AHs in all affected villages had restored their income: 9
(i) Affected villages in Wanding Township. The expressly has minor impacts on two villages. Income was restored through transport business and development of banana and coffee.
(ii) Affected villages in Mengmao Township. The project affected 5 Jingpo and Dai villages in Mengmao Township. Income was restored through shifting sugarcane to cash crops of banana, lemon, pitaya and pomelo. Improved rubber production also contributed to income restoration.
(iii) Affected villages in other townships. The class II road insignificantly affected 9 Jingpo & Dai villages in 4 townships. Income restoration status is very similar to that in Mengmao Township
B. Severely Affected Villages
15. Income restoration was also thoroughly assessed in Sept 2015 for 2 severely affected communities and 5 severely affected natural villages. Again, income of affected people was restored by 2015 (Table 7). The results Table 7 are supported by household questionnaire survey results (endline survey) which will be analyzed in next subsection.
Table 7: Income Restoration in Severely Affected Villages
Restoration measures Income restoration
status by 2015
Bata Community
All eligible HHs are covered by gov’t endowment insurance All affected HHs either planting dendrobe, or doing business, big or small,
and/or renting houses
Increased by 50%.
Nanchang Community
Not planned in RP All eligible HHs are covered by gov’t endowment insurance All affected HHs either planting dendrobe, or doing business, big or small,
and/or renting houses
Increased by 50%
Waimangguai 3 construction teams formed with more than 30 affected people joined The other affected people do part-time wage work Cropping pattern change from grains to cash crops
`
Manghong Over 90% of affected HHs are involved in beef cattle fattening and marketing.10 30% affected HHs also rent land outside for cultivation of watermelons,
especially during winter seasons
Increased by 20%
Batuo 80% of AHs improved cropping patterns by planting sweet corn, water melon.
50% of AHs started converting sugarcane to coffee and macadamia.
Increased by 15%
Zhexiang All affected HHs either rent land outside for winter season melon production Shifting sugarcane to high-value cash crops or keep cattle;
Increased by 20%
Manman 20% affected HHs cultivated winter season watermelons The other affected HHs were engaged in wage work, short time or long time
Increased by 20%
Source: 2015 monitoring surveys
C. Affected HHs
a. Endline Survey
9 Annex 3 of the previous external monitoring report (No.7) gives details.
10 There were only 5 HHs during resettlement planning. HHs buy cattle from nearby counties and from Burma for fattening and
selling. Mangshi market is dominated by the village.
8
16. To evaluate the income restoration status of affected people in a more systematic way at project completion stage, the monitor had conducted an endline survey in July 2016 by using the baseline survey questionnaire except questions about expenditure. 11 The questionnaire was annexed in the monitor’s first monitoring report that was submitted to ADB in July 2012.
17. The endline targeted the baseline samples. Due to unavailability of affected persons during the survey, only 245 out of the 321 baseline sample HHs were targeted. For the sake of monitoring project impacts on ethnic minority people, more Jingpo, Lisu and De’ang HHs were purposively targeted at baseline survey.
18. Appendix 3 presents the Endline Survey Report that gives: (i) details about the sample HHs; (ii) socioeconomic profiles of project counties, affected villages and sample natural villages; and (iii) survey results with analysis.
b. Income Restoration Status
19. All sample HHs, with details in Appendix 3, had restored their income by 2015 and the average per capita income increased over 50% from 2011 to 2105. Table 8 further summarizes the income growth status of sample HHs by project county/city. Interesting is that the income levels and growth status of sample HHs are quite similar to the official statistics.12
20. Longling County. Average per capita income of sample HHs in Longling County increased to CNY9,422 in 2015 from the CNY6,058 in 2011. Owing to high income from dendrobe,13 an herb crop cultivated by 29 sample HHs in 2015 from the only 7 in 2011, income contribution from agriculture increased to 59.7% in 2015 from the 38.5% in 2011.
21. Mangshi City. Average per capita income of sample HHs in Mangshi City increased to CNY8,223 in 2015 from the CNY4,352 in 2011. Although the income structure (proportion of income by source) is quite stable, the level of income had been significantly increased owing to cropping structure adjustment (i.e. from grains to cash crops pr from sugarcane to fruits).
22. Ruili City. Similarly, sample HHs from Ruili experienced a significant increase (78% of increase) owing to better income from cash crops and diversified non-farm income sources. Due to higher income from cash crops/fruits, income contribution from agriculture slightly increased to 55.5% in 2015 from the 51.8% in 2011.
Table 8: Endline & Baseline Income of Sample HHs
Income & Source 2011 2015 Increase
Qty %
Per capita income of sample HHs (CNY) Longling County (64 HHs) 6,058 9,422 3,364 56%
Mangshi City (112 HHs) 4,352 8,223 3,871 89%
Ruili City (61 HHs) 4,662 8,279 3,617 78%
Official per capita income Longling County 4,044 7,947 3,903 97%
Mangshi City 4,197 8,498 4,301 102%
Ruili City 4,722 8,242 3,520 75%
Income by source of sample HHs (%)
Longling Farm 38.5% 59.7%
Non-farm 57.8% 38.5%
Others 3.7% 1.8%
Mangshi Farm 71.8% 72.1%
Non-farm 27.0% 27.7%
Others 1.1% 0.2%
Ruili Farm 51.8% 55.5%
Non-farm 46.9% 41.8%
Others 1.3% 0.8%
Source: endline survey report (Appendix 3)
11
Expenditures were not surveyed. 12
Income levels of sample HHs are much higher than the officially reported village incomes (see Annex 1 of the Appendix 3). 13 The net income is over CNY 50,000 per mu in 2015, which is equivalent to 30 times of grains. Dendrobe starts to have income 1.5 years after harvest, and the harvest period is 3-5 years.
9
IV. Other Findings
A. Relocation Houses
23. The endline survey targeted 20 relocation houses and Table 9 summarizes their housing areas and structures at both baseline and endline stages; while details for individual HHs are given in Appendix 3. All relocation HHs had significantly improved their houses:
(i) On average, floor area of main house increased to 151m2 from 111m2;
(ii) Brick-wood and earth-wood houses are fully replaced by brick-concrete and/or brick-tile houses.
Table 9: Demolished and New Houses
Demolished (main) house New (main) house
Area (m2) % Area (m
2) %
Steel-concrete 139 6.3% 250 8.1%
Brick-concrete 167 7.5% 2,000 64.5%
Brick-tile 89 4.0% 850 27.4%
Brick-wood 1,103 49.8% - -
Earth-Wood 400 18.1% - -
Others 319 14.4% - -
Total 2,216 100% 3,100 100%
Average 111 155 Source: baseline and endline surveys.
B. Attitude towards LAR
24. Table 10 presents the survey results regarding sample HHs’ attitude towards land acquisition and resettlement. During the baseline survey, 32.4% of the respondents expressed their worries for fearing resultant income loss or insufficient compensations or delayed compensation payment, yet 30.5% of them felt uncertain (no idea).
25. Only 1 HH Longling County (0.4%) felt unsatisfactory during endline survey, and this HH considered the land compensation rates were too low. Majority (92.2%) of the sample HHs are happy with the LAR, indicating that RP implementation is successful.
Table 10: Attitude towards LAR
2012 Baseline 2016 Endline
Trust the project Worry LAR No idea Satisfied Not satisfied No idea
*:Mostly peri-urban HHs in Longling and Mangshi, commercial rates are therefore adopted.
B. Standing Crops
No. Land type RP and actual compensation standards (CNY/mu)
1 Paddy/vegetable land 15,000
2 Dry land 5,000
C. Temporary Land Occupation
Land Type Unit RP and actual standards (CNY/year)
Farmland mu 2,000-2,500
Other land Mu 1,500
D. Houses
No. House type Unit RP and actual standards
(replacement cost) Note
1 Brick-concrete CNY/m2 900-1,300 An additional transitional allowance of
CNY 3,600 was granted to each relocation HH (CNY300/month* 12 months)
2 Brick-tiles CNY/m2 500-800
3 Earth-tiles CNY/m2 400-750
4 Wood-tiles CNY/m2 230
5 Simple CNY/m2 80
6 Brick-asbestos tiles CNY/m2 450
7 Hollow brick-asbestos tiles CNY/m2 500
8 Earth wall-asbestos tiles CNY/m2 550
9 Relocation allowance* HH 50,000
* Project’s incentive policy
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Appendix 2: Actual and Planned Implementation Schedule
No. Resettlement Tasks Planned deadline Completion status
1. Consultation and disclosure
1.1 Draft RP circulation and endorsement May 2010 As plan
1.2 RIB distribution (final) Feb 2012 As plan
1.3 DMS, consultations for updating RP Feb-Jun 2012 As plan
2. RP & Budget
2.1 Approval of feasibility study report May 2010 As plan
2.2 Final design completion Oct 2011 As plan
2.3 Updating RP based on detailed design Nov 2011 As plan
2.4 DMS Feb-May 2012 As plan
2.5 Finalizing RP based on DMS Jun 2012 As plan
2.6 Review and approval of final RP & budget 15 Jul 2012 As plan
3. Capacity Building
3.1 Establishment of resettlement offices at various levels
Dec 2011 As plan
3.2 COs capacity building Dec 2011-Jun 2012 As plan
3.3 Designate village authorities Dec. 2011 As plan
4. Resettlement Implementation
4.1 Commence land acquisition procedures 1 Jul 2012 onwards As plan
4.2 Agreements with villages and APs 1 Jul 2012 onwards As plan
4.3 Payment of compensation to APs 15 Jul 2012 onwards As plan
4.4 Completion of land acquisition 31 Dec 2014 As plan
4.5 Preparation of housing plots for relocation HHs Jul-Sep 2012 July 2012-Jan 2013
4.6 House demolition Oct 2012 onwards As plan
4.7 Construction of relocation houses Sep 2012- 30 Apr 2013 Dec 2013
4.8 Move into new houses May 2013 Dec 2013
5. Monitoring & Evaluation
5.1 Internal monitoring reports Attach to Quarterly Progress Reports
8 quarterly reports
5.2 Contracting external monitor ay 2012 As plan
5.3 Baseline survey Jul-Aug 2012 As plan
5.4 External monitoring report 4 semi-annual report followed by 2 annual evaluation reports
8 reports
5.5 Resettlement completion report 31 Mar 2015 July 2016
13
Appendix 3: Endline Survey Report
I. Introduction
The Longrui expressway opened for operation since 31 December 2015. The expressway includes a 128.96 km expressway, 6.0 km of link roads to 7 interchanges and a 34.44 km Class II road. The expressway starts at the end of the Baoshan-Longling Expressway in Longling County, passes Mangshi (Mangshi City) and ends at Mengmao Township of Ruili City. A new Class II road will continue from the end of the expressway to Nongdao Border Port (China–Myanmar border). The expressway and Class II road traverse 4 state farms and 42 villages/communities of 14 townships/subdistricts in Longling County, Mangshi City and Ruili City.
The project had resulted in acquisition of 13,863.1mu of land, which is 120.8% of the RP estimate. It also resulted in the relocation of 297 HHs, which is 133 HHs more than the RP estimate of 164 HHs. Land acquisition and resettlement works were fully completed by July 2014. Per ADB’s policy requirement, a resettlement plan (RP) was prepared to guide the LAR of the project.
Parallel to the implementation of RP, an ethnic minority development plan (EMDP) is also under implementation as per ADB’s safeguard policy requirement.
Also per ADB requirement, RP and EMDP implementation must be monitored and evaluated by an independent agency. LREC had appointed, upon the approval of ADB, Beijing Zhongkehongce Consulting Company (BZCC) to carry out the independent monitoring and evaluation (M&E) for both RP and EMDP implementations since June 2012. Furthermore, ADB had suggested the combining of M&E for RP and EMDP implementations.
Methodologically, the M&E includes a baseline survey for establishing pre-project benchmark values for well selected socioeconomic indicators for follow up tracing and assessments. By comparing the pre-project benchmark values with the post-project values (tracing monitoring results), livelihood restoration and improvement situations of resettlement affected people and beneficiary ethnic minority people of EMDP could be evaluated. BZCC had conducted the baseline survey during July-September, 2012. The baseline survey report was submitted to ADB also in 2012.
To evaluate the income restoration status of affected people in a more systematic way at project completion stage, BZCC had conducted an endline survey in July 2016 by using the baseline survey questionnaire except questions about expenditure. The questionnaire was annexed in the monitor’s first monitoring report that was submitted to ADB in July 2012. The endline also targeted the baseline survey sample households. This report presents the survey results, as well as general socioeconomic data of affected county/cities and affected villages.
II. Methodology
The survey team, led by Ms. Cao Ling, consists of two BZCC professionals and a number of local surveyors, mostly college students. The survey methods include secondary data collection, key informant interviews and household questionnaire surveys. Databases, using excel spreadsheets, were established. The baseline survey questionnaire was used, but the questions regarding HH expenditure were skipped during endline survey.
The endline targeted the baseline samples. However, due to unavailability of affected persons during the survey, only 245 out of the 321 baseline sample HHs were targeted (see Table A3-1). For the sake of monitoring project impacts on ethnic minority people, more Jingpo, Lisu and De’ang HHs were purposively targeted. Sample households by type and by ethnic group are given in Table A3-2.
Table A3-1: Sample HHs
County/ City
# of township # of village Sample HHs
Affected Sample Affected Sample Baseline Endline
Longling 2 2 5 5 85 64 (75.3%)
Mangshi 6 4 20 8 144 112 (77.8%)
Ruili 6 4 17 6 92 69 (75.0%)
Total 14 10 42 19 321 245 (76.3%)
Table A3-2: Types of Sample Households
Type Sampled HHs Total
Longling Mangshi Ruili
LAR impact Land loss* 64 112 69 245
Relocation** 3 1 16 20
Total 64 112 69 245
Ethnic group Han 54 24 2 80
Dai - 51 25 76
Jingpo - 19 23 42
De’ang - 18 19 37
Lisu 10 - - 10
Total 64 112 69 245
*: Majority lost over 15% of farmland, purposively targeted during baseline survey; ** relocation HHs also lost land.
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III. Socioeconomic Profiles
1. Project Counties
The general socioeconomic data of the three project county/cities, for the baseline and endline years (2011 vs. 2015), are given in Table A3-3. The table highlights that the 3 project county/cities experienced similar economic growth over the period of 2011-2015, in the case of rural per capita income growth:
(i) It increased to CNY7,974 in 2015 from CNY4,044 in 2011 in Longling County, the average annual growth is 18.4%;
(ii) It increased to CNY8,498 in 2015 from CNY4,197 in 2011 in Mangshi City, the average annual growth is 19.3%;
(iii) Similarly, it increase to CNY8,706 from CNY4,722 in Ruili City, and the annual growth rate is 14.9%.
Table A3-3: Basic Socioeconomic Data of Affected Counties
No. Indicator Unit
Longling Mangshi Ruili Yunnan
2011 2015 2011 2015 2011 2015 2011 2015
1 Total popu. ‘0000 person 28.9 29.8 39.1 40.6 18.4 18.9 4,631 4,742
Sources: Yunnan and local statistical yearbooks and websites.
2. Affected Villages
Annex 1 presents official social and economic data of all affected villages for 2011 and 2014. The general socioeconomic status of the affected villages are as follows:
(i) Due to land acquisition and this and various other projects, the villages along the Longrui Expressway lost about 8.6% of their farmland from 2011 to 2014. As a consequence, the average per capita farmland area reduced to 1.91mu in 2014 from the 2.09mu in 2011.
(ii) All villages had reported per capita income growth from 2011 to 2014, ranging from 12-149%.14
The average annual growth rates are 3.9~35.5%. It has to be noted that official income figures are often underestimated. In fact, per capita incomes of sample households, obtained from endline survey, are mostly higher than the official income of their villages.
(iii) There are also significant improvements in access road and housing conditions, as well as significant increase in ownership of vehicles. This will be explained by data of 29 natural villages of the following subsection.
3. Natural Villages
Annex 2 presents access roads and ownership of vehicles for 29 natural villages in 2011 and 2014 respectively. The 29 natural villages include LAR severely affected ones and specially selected ethnic minority ones.
For access roads, the improvements are:
(i) all 5 natural villages (17.2%) with earth roads had been upgraded to asphalt or gravel or cobble roads;
(ii) gravel roads of 4 natural villages (13.8%) had been upgraded to asphalt or cobble stone roads; and
(iii) access roads of 20 natural villages (69.0%) remain unchanged as gravel or cobble stone or asphalt roads.
Along with road and economic improvements, there were significant increases of vehicular ownerships: (i) number of trucks increased from 135 to 168 (24.4% increase); (ii) tractors increased to 1,334 from 959 (39.1% increase); and (iii) motorcycles increased to 4,131 from 2,223 (85.8% increase).
Annex 2 also presents housing conditions for 11 natural villages. Owning to project’s contribution, as well as overall economic growth, there were significant improvements in housing conditions: (i) number of brick-concrete houses
14
The per capita income ranged from CNY2,828 to CNY 5,992 in 2011 and CNY3,172 to CNY10,394 in 2014.
15
increased to 105 in 2014 from the 20 in 2011, an overall increase of 425%); (ii) number of brick-wood houses increased to 581 from 326 (78% increase); (iii) number of earth-wood houses consequently decreased to 826 from 1,070 (23% decrease); and (iv) overall, 21.8% of the households in these 11 natural villages had improved their houses from 2011 to 2014.
4. Ethnic Minority Natural Villages
There are 18 ethnic minority natural villages among the 29 natural villages in Annex 2, including 10 Dai, 5 Jingpo, 2 De’ang, 1 Lisu and 1 Dai and Jingpo mixed ones. Improvements of access roads and vehicular ownership are as follows:
(i) access roads had been upgraded in 4 natural villages (22.2%), including 1 from earth to asphalt, 2 from gravel to asphalt and 1 from gravel to cobble stone;
(ii) ownership of trucks increased from 63 to 143 (127% increase), tractors increased from 842 to
1,416 (44% increase, and motorcycles increased from 1,798 to 2,134 (19% increase)；and
(iii) 2 Dai natural villages became specialized in cargo transport business.15
Annex 2 also includes data of housing conditions for 9 ethnic minority natural villages: (i) number of brick-concrete houses increased to 95 in 2014 from the 20 in 2011 (375% increase); (ii) number of brick-wood houses increased to 567 from 317 (79% increase); (iii) number of earth-wood houses decreased to 782 from 1,013 (23% decrease); and (iv) overall 325 ethnic minority HHs (22.0%) had improved their houses from 2011 to 2014.
IV. Household Survey Results
1. Land Loss
In order to assess income restoration status during follow-up tracing and endline survey, the baseline survey purposively targeted HHs that lost more farmland. The arable land loss rate of sample HHs averages at 23.1% (Table A3-4), while the overall farmland loss of for each HH averages at about 8.5%. In a word, the income restoration status of sample HHs is highly representative.
Ethnic groups Han & Lisu De’ang, Jingpo, Dai & Han
Jingpo & Dai
Source: baseline survey report
2. Income
Annex 3 presents both baseline and endline income of sample HHs. As shown, all sample HHs had experienced income growth from 2011 to 2015, and the growths are 56%, 89% and 78% in Longling, Mangshi and Ruili respectively.
The income and income by source of sample HHs in Longling County, in comparison with baseline results, are summarized in Table A3-5. Owing to good income from dendrobe16, an herb crop cultivated by 7 HHs in 2011 and 29 HHs in 2015, the overall income growth reached 56%, yet contribution to income from agriculture increased to 59.7% by 2015 from the 38.5% in 2011. It is obviously that the Han HHs doing better than the ethnic minority Lisu HHs.
Table A3-5: Endline & Baseline Income of Sample HHs in Longling
Income & Source 2011 2015 Increase
Per capita income (CNY)
Han (54 HHs) 6,503 10,325 59%
Lisu (10 HHs) 3,621 4,475 24%
Overall (64 HHs) 6,058 9,422 56%
Income by source (%)
Han HHs Farm 38.1% 61.5%
Non-farm 58.0% 36.6%
Others 3.9% 1.9%
Lisu HHs Farm 43.1% 37.7%
Non-farm 55.8% 61.5%
15
Layuan natural village of Mangsai village in Mangshi had 23 trucks by 2014 (2 in 2011), Huihuan of Mangbang in Ruili had 37 trucks by 2014 (2 in 2011), and Manman of Hunban in Ruili had 48 trucks in 2014 (8 in 2011). 16
The net income is over CNY 50,000 per mu in 2015, which is equivalent to 30 times of grains. Dendrobe start to have income 1.5 years after harvest, and the harvest period is 3-5 years.
16
Others 1.2% 0.8%
Overall Farm 38.5% 59.7%
Non-farm 57.8% 38.5%
Others 3.7% 1.8%
Source: baseline and endline surveys
Table A3-6 presents the baseline and endline income status of sample HHs by ethnic group in Mangshi City:
(i) The Dai HHs, who live in the Mangshi and Zhefang plains, are doing very well in terms of income growth due mainly to cash cropping, such as shifting winter season wheat/barley to sweet corn, converting sugarcane to coffee, pitatya and other fruits/nuts.
(ii) The Jingpo and De’ang HHs, who live in Santaishan Mountain, are doing well by shifting sugarcane to banana, pitaya, coffee and macadamia nut.
(iii) The Han HHs, unfortunately, are not doing well if simply judged by the survey results. However, it is believed that the Han HHs are actually earning much more from non-farm employments
Table A3-6: Endline & Baseline Income of Sample HHs in Mangshi
Income & Source 2011 2015 Increase
Per capita income (CNY)
Han (24 HHs) 3,454* 4,803* 39%
Dai (51 HHs) 5,014 10,574 111%
Jingpo (19 HHs) 3,461 6,549 89%
De’ang (18 HHs) 4,356 6,948 60%
Overall (112 HHs) 4,352 8,223 89%
Income by source (%)
Han HHs Farm 40.1% 27.4%
Non-farm 59.0% 72.3%
Others 0.8% 0.3%
Dai HHs Farm 78.5% 82.2%
Non-farm 20.5% 17.5%
Others 1.0% 0.3%
Jingpo HHs Farm 97.8% 73.7%
Non-farm 0.7% 26.3%
Others 1.5% 0%
De’ang HHs Farm 60.3% 62.5%
Non-farm 38.3% 37.5%
Others 1.4% 0%
Overall Farm 71.8% 72.1%
Non-farm 27.0% 27.7%
Others 1.1% 0.2%
Source: baseline and endline surveys; *: migration income underestimated.
Table A3-7 presents the general income status of sample HHs by ethnic group in Ruili, and the income growth situations of Dai, Jingpo and De’ang HHs are very similar to that in Mangshi.
Table A3-7: Endline & Baseline Income of Sample HHs in Ruili
Income & Source 2011 2015 Increase
Per capita income (CNY)
Dai (18 HHs) 5,816 11,239 93%
Jingpo (23 HHs) 4,675 8,477 81%
De’ang (18HHs) 4,155 6,401 54%
Overall (61 HHs, including 2 Han HHs) 4,662 8,279 78%
Income by source (%)
Dai HHs Farm 78.5% 82.2%
Non-farm 20.5% 17.5%
Others 1.0% 0.3%
Jingpo HHs Farm 31.5% 47.3%
Non-farm 66.8% 51.5%
Others 1.7% 1.2%
De’ang HHs Farm 66.1% 50.7%
Non-farm 32.3% 48.0%
Others 1.6% 1.3%
Overall Farm 51.8% 55.5%
Non-farm 46.9% 41.8%
Others 1.3% 0.8%
Source: baseline and endline surveys.
3. Relocation Houses
Data about the demolished and newly built houses of the 20 sample HHs are summarized in Table A3-8; while details for each individual HH are given in Annex 3. As indicated in the table and in the annex, all relocation HHs had improved their houses. Of the 20 sample HHs:
(i) Floor area of main house increased to 155m2 from 111m
2 on average;
(ii) Brick-wood and earth-wood houses are replaced by brick-concrete and/or brick-tile house.
Table A3-8: Demolished and New Houses
Demolished (main) house New (main) house
Area (m2) % Area (m
2) %
Steel-concrete 139 6.3% 250 8.1%
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Brick-concrete 167 7.5% 2,000 64.5%
Brick-tile 89 4.0% 850 27.4%
Brick-wood 1,103 49.8% - -
Earth-Wood 400 18.1% - -
Others 319 14.4% - -
Total 2,216 100% 3,100 100%
Average 111 155
Source: baseline and endline surveys.
4. Attitude towards LAR
Table A3-9 presents the survey results regarding sample HHs’ attitude towards land acquisition and resettlement. During the baseline survey, 32.4% of the respondents expressed their worries for fearing resultant income loss or insufficient compensations to build new houses, yet 30.5% of them felt uncertain.
Only 1 HH from Huangcaoba village in Longling County (0.4%) felt unsatisfactory during endline survey, and this HH considered the land compensation rates were too low. Majority (92.2%) of them are happy with the LAR.
Table A3-9: Attitude towards LAR
2012 Baseline 2016 Endline
Trust the project Worry LAR No idea Satisfied Not satisfied No idea
No. of respondents 119 104 98 226 1 18
% 37.1% 32.4% 30.5% 92.2% 0.4% 7.3%
V. Conclusion
By comparing the endline and baseline results, it can be concluded that the project’s LAR is highly successful because LAR affected HHs are mostly (92.2% among endline survey respondents) satisfactory with LAR, yet all affected HHs had restored/increased their income by 2015.
Source: http://www.ynszxc.gov.cn/S1/Default.shtml and monitor’s interviews (Note: housing data for many natural villages are missing from the official source)
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