China - Guangdong Pearl River Delta Urban Environment Project : resettlement action plan (Vol. 3 of 22) : Involuntary resettlement plan

RP202 Volume 3 Chapter 1 Foreword ..................................................7 1.1 Objective of the Involuntary Resettlement Plan .................................................. 7 1.2 Basis of the preparation of the Involuntary Resettlement Plan .............................7 1.3 Method of the preparation of the Involuntary Resettlement Plan .8 1.4 Institutions and their responsibility of the preparation of the Involuntary Resettlement Plan ..9 1.5 Explanation of the preparation of the Involuntary Resettlement Plan ........... ............ 10 1.6 Document structure and relevant explanation of the Involuntary Resettlement Plan lO 1.7 The arrangement and explanation of the chapters of the Resettlement Plan .............. 11 1.7.1 Comparison between the Annex A of OP4.12 and this Resettlement Plan on chapter arrangement ............................................................ 12 1.7.2 Explanation of the addition and deletion of the chapters in this Resettlement Plan against the requirement of the Annex A of OP4.12 .................... 13 1.8 Definition of the PAP's (eligibility of the PAP's) .................................................... 15 1.9 Definition of relevant terms ............................................................ 16 1.9.1 Definition and entitlement of indirect PAP's .............................................. 17 1.9.1.2 Entitlement of indirect PAP's ........................... ................................. 17 1.9.1.3 Explanation ............................................................ 17 1.9.2.1 Interpretation of the World Bank for resettlement, compensation and rehabilitation 17 1.9.2.2 Explanation ............................................................ 18 1.9.2.3 Definition of resettlement, compensation and rehabilitation . . 18 1.10 Classification of the degree of the impacted areas of the project ......................... 21 Chapter 2 Introduction .................................................. 24 2.1 Project background .................................................. 35 2.1.1 Brief introduction of Guangzhou ............................................................... 35 2.1.2 Environmental pollution status in Guangzhou .......................................... 38 2.1.3 Necessity and significance of the environment control in Guangzhou ..... 40 2.2 Brief introduction of Guangzhou Urban Environment Project ............ ............... 41 2.2.1 Background of the project .................................. ............................ 41 2.2.2 Composition of the project ............................................................... 42 2.2.3 Implementation scheduled of the project ................................................... 44 2.3 Analyses of the social environment of the resettlement in Guangzhou .. 44 2.3.3 Current situation of the involuntary resettlement in Guangzhou ............ 49 2.3.4 Summarization of the social environment of the resettlement in Guangzhou ............................................................... 49 2.4 Summarization of the project resettlement ............................................................ 50 2.4.2 Explanation of the sources of the current resettlement data of the project 50 2.4.2 Update of the project resettlement data ...................................................... 53 2.4.4 Characteristics of the project resettlement ................................................. 57 2.4.5 Estimation of the project resettlement cost ................................................ 60 2.4.6 Measures to be taken to minimize the quantity of resettlement are as follows: 62 Chapter 3 Target, Principle, Measures and .64 3.1 Resettlement Target .64 3.2 .44 3.3 Applicable Scope of Resettlement Target and Principle ................. .................... 66 3.4 Measures to Reach Resettlement Target .............................................................. 66 3.4.1 To Work out Scientific Compensation Standard Makes Compensation more Reasonable ..............................................................66 3.4.2 To Work out Various Measures to Reduce Resettlement as Less As Possible 66 3.4.3 Implementation of Standardized Operation and Personnel Training ...... 67 3.4.4 Establishment of Monitoring System .............................................................. 67 Linn 3.4.5 Utilization of Scale Benefit .............................................................. 68 3.4.6 Play of Coordination Benefit .............................................................. 68  3.4.7 Establishment of Open and Grievances/Appeal System ........................... 68 3.4.8 Monitoring and Appraisal ......................................................... 68 3.5 Organization and Management Modes to Reach Resettlement Target .............. 68 3.5.1 Organization Mode ......................................................... 69 3.5.2 Scientific and Efficient Management Mode - the URRP .......................... 69 3.6 Description of This Chapter ..70 Chapter 4 Project Affected Type and Degree and ..71 Resettlement Classification . . .71 4.1 Classification and Description of the Affected Properties . .................................. 71 4.1.1 General Classification of the Affected Properties ...................................... 71 4.1.2 Affected Land Classification ...................................... 71 4.1.3 Classification of Affected Buildings ...................................... 73 4.1.4 Structures ...................................... 77 4.1.5 Associated Things ...................................... 78 4.1.6 Associated Facilities to the House ........... ........................... 78 4.1.7 Infrastructures ...................................... 78 4.1.8 Analysis on Classification of Affected Property ...................................... 78 4.2 Classification of Project Affected Degree ................................... 79 4.2.1 Affected Amount .................................... 79 4.2.2 Affected Time ................................... 80 4.2.3 Types of Affected Degrees ................................... 80 4.3 Classification and Description of the PAPs ................ .................... 80 4.3.1 Classification of the PAPs . . .80 4.3.2 Description of the Classification of the PAPs .81 4.3.3 Vulnerable group .83 4.3.4 Types of PAPs .83 4.4 Comprehensive Classification and Description of PAPs . .................................... 83 4.4.1 Analysis table of PAPs' classification .................................................. 83 4.4.2 Interpretation of Analysis Sheet on PAP Classification ............................. 84 Chapter 5 Resettlement policy for the Project ..86 5.1 Legal framework for project affected people . ................................................ 86 5.1.1 Chinese land requisition and resettlement statutes are divided into three levels: ................................................. 86 5.1.2 Main current national, provincial and municipal laws and regulations for resettlement ................................................. 86 5.2 Current resettlement policy of Guangzhou City ................................................. 86 5.3 Ways of legal relief the project affected people may adopt ................................ 99 5.4 Comparison between the resettlement policies of Guangzhou and the World Bank 100 5.4.1 Main principles of the resettlement policies of Guangzhou and the World Bank are consistent .100 5.4.2 Inconsistency between resettlement policies of Guangzhou and the World Bank .102 5.5 The reason of inconsistency between resettlement policies of Guangzhou and the World Bank and regulation of the policy for the Project .103 5.6 Shortage of the current resettlement policy of Guangzhou ................................. 111 5.7 Resettlement policy for the Project ................................................... 111 5.7.1 Resettlement is resettlement policy for property owner ........................... 112 5.7.2 Compensation policy for the User of market lease ................................. 115 5.7.3 Compensation policy for the User whose house is temporarily requisitioned ................................................... 116 5.7.4 Compensation policy for the User whose building is partially and permanently requisitioned ................................................... 116 5.7.5 Resettlement policy for family whose residence is permanently requisitioned ................................................... 116 5.7.6 Resettlement Policy for Permanent and Complete Requisition of commercial building ................................................... 118  5.7.7 Settlement Policy for Industrial Enterprises in Permanent Requisition 121 5.7.8 Resettlement Policy for Welfare Entity of Permanent Requisition ......... 122 5.7.9 Resettlement Policy for Affected Institutions ..................... ........................ 122 5.7.10 Resettlement Policy for the Aaffected Rural Areas .................................. 123 5.7.11 Pacific Rehabilitant Measures for Fragile Congregation ........................ 127 5.8 Scope of Compensation Standard for Resettlement ............................................ 129 5.8.1 Basic Principle for Price Estimation and Measurement ......................... 130 5.8.2 Scope for Compensation Standard of Residence with Property Right.. 132 5.8.3 Scope of Compensation Standard for Commercially Used House with Property Right .............................................................. 132 5.8.4 Scope of Compensation Standard for Office Used House with Property Right ............................................................... 133 5.8.5 Scope of Compensation Standard for Factory Storage with Property Right 133 5.8.6 Scope of Compensation Standard for Houses at house site ..................... 133 5.8.7 Scope of Compensation Standard for Historically Used House ............ 134 5.8.8 Compensation Standard for Temporary Undue Construction ............. 134 5.8.9 Compensation Standard for Other Expenses ......................................... 134 5.8.10 Demolition Standard .................................................. 139 5.8.11 Standard for Compensation on Price of Structures ................................. 134 5.8.12. Scope of Compensation Standard for Land ......................................... 135 1.8.13 Ccompensation for Retracted land and Surplus Land ............................ 138 1.8.14 Expenses for Reconstruction of Pipeline .................................................. 139 Chapter 6 Management Organization and Relevant Entity of Resettlement . . 141 6.1 Engineering Management Office of Guangzhou Wastewater Treatment Project, Guangzhou Tunnel Development Company, Guangzhou Solid Waste Safe-treatment Center .141 6.2 Guangzhou City Planning Bureau ..................................................... 143 6.3 Guangzhou National Land and House Management Bureau ............................. 144 6.4 Management Office for Demolition of City Houses in Guangzhou .................. 144 6.5 Guangzhou People's Court ..................................................... 144 6.6 Guangzhou Labor Bureau ..................................................... 144 6.7 Independent Monitor Entity ..................................................... 145 6.8 General Investigation Entity ..................................................... 146 6.9 Production Team (Village) and Neighborhood Committee ............................. 146 6.10 Resettlement Supervision Entity - Guangzhou Road Engineering and Expansion Office (Short Form: GREEO) .146 6.11 Sectional Construction Bureau .147 6.12 Building up Resettlement Organization and Its Ability .148 Chapter 7 Experience, Lessons and Improvement .149 for Guangzhou Resettlement ..149 7.1 Guangzhou Resettlement Experience ............................. 149 7.1.1 Compiling Particular and Rolling Resettlement Program to Be Operated. 149 7.1.2 Resettlement Responsibility Contracting System ........................................ 149 7.1.3 Employment of Joint Working Meeting ...................................................... 151 7.1.4 Open Information ...................................................... 151 7.1.5 Pay attention to Vulnerable Group's Need ............................................... 151 7.2 Lessons and Improvement by Guangzhou Resettlement Organization ............. 152 7.2.1 Lessons from Centralized Resettlement of Project affected people ....... 152 7.2.2 Improvement on Resettlement .................................................... 154 7.2.3 Ineffective management for resettlement ................................................. 155 7.2.4 Improvement for resettlement management ............................................ 159 7.2.5 Research and development of Urban Relocation Resource Plan (URRP) 161 7.3 Note ................................ 161 Chapter 8 Urban resettlement data specification .162 8.1 The object and basis of data specification ................................ 162  8.1.1 The object of data specification ............................................................. 162 8.1.2 The basis of data specification ............................................................ 162 8.1.3 The relevant explanation for data specification ....................................... 162 8.2 The investigation data form, information and operation specifications .......... 162 8.2.1 Investigation for country, government and social institutions .................. 163 8.2.2 The investigation of resident and enterprise ............................................ 164 8.2.3 Foundation establishment investigation ................................... 166 8.2.4 The difficulty of execution in normalized investigation and URRP . 167 8.3 (Estimate) Budget information, table and specification in resettlement Project 167 8.3.1 Physical objects accounting ................................ .......................... 168 8.3.2 The Project (estimate) budget .......................................................... 169 8.3.3 The difficulty of execution in normalized (estimate) budget and URRP 170 8.4 The information, table and specification of contract, budget and audit ............ 170 8.4.1 The requirement for information on contract of land requisition for the country community owned land .......................................................... 170 8.4.2 The requirement for information on contract of land requisition for (entity) state-owned land .......................................................... 170 8.4.3 Document requirement of contract for resettlement ............................... 171 8.4.4 The permanent removal project of pipeline ............................................. 174 8.5 The normalization of documents and tables for payment . ....................... 178 8.5.1 The payment in cash (check) .......................................................... 178 8.5.2 The receive of resettlement house .......................................................... 179 8.5.3 The cost scope for engineering in resettlement .................... .................... 179 8.6 The documents and tables for the progress Statistic and operation specifications ..180 8.6.1 Tables .180 8.6.2 Filling requirement .180 8.6.3 The requirement for Censusing and Reporting .180 8.6.4 Other explanations .180 8.7 The documents and tables for the overall balance in the project of resettlement and the operation speciications .180 8.7.1 Tables .181 8.7.2 The document requirement .183 8.8 Arrangement and filing up for resettlement Data . .............................. 185 8.8.1 Requirement on filing-up ............................................. 185 8.8.2 Requirement on filling-in catalogue in volume, catalogue of roll, cover of roll and reference table ............................................. 185 8.8.3 File inspection, acceptance and handover ............................................. 187 8.9 Notes .............................................. 187 Chapter 9 URRP For Urban Resettlement of the Project . .238 9.1 Main Contents ............................................. 238 9.1.1 Project control ............................................. 238 9.1.2 Successful project management ............................................. 238 9.1.3 Definition of Resettlement project management ...................................... 238 9.1.4 Character of resettlement management ............................................. 238 9.2 Work Flow of Resettlement ............................................. 238 9.2.1 Prophase work of resettlement ............................................... 238 9.2.2 Implementation of resettlement ............................................... 239 9.2.3 Resettlement implementation and subsequent work thereof .................. 240 9.2.4 Work related to resettlement ............................................... 240 9.2.5 Specification: ............................................... 241 9.3 Main matter on resettlement project management ....................................... 241 9.3.1 Relationship Chart of main matter on resettlement project management.... 241 9.3.2 Explanation ....................................... 243 9.4 The specific difficulties and the resolving modes of URRP when implementing the resettlement data specification .244  9.4.1 Investigation of the difficulties when implementing the specification and URRP 244 9.4.2 The difficulties when implementing the statistical specifications and URRP 244 9.4.3 URRP normalizing the resettlement data ............................... 246 9.5 Bottle neck of the efficiency and URRP resolving mode ................ ..................... 246 9.5.1 Bottle neck of the efficiency of statistics and URRP resolving mode ..... 246 9.5.2 Collection of the information of the resolving of complicated individual cases with URRP ............................................................. 246 9.5.3 Resolving the influence of too many working links of the resettlement on the efficiency with URRP ............................................................. 246 9.5.4 Influence of existing mode of the resolving of house resettlement on the efficiency ............................................................. 247 9.5.5 Resolving the influence of the big depth of resettlement management on the efficiency ............................................................. 248 9.5.6 Other modes to improve the efficiency ..................................................... 248 9.5.7 Support to the payment center ............................................................. 249 9.6 Cost control modes of URRP ............................................... 249 9.6.1 Controlling the number of project affected people and preventing waste 249 9.6.2 Controlling of the resettlement data and compensation standard to prevent fraudulent practice ............................................................. 249 9.6.3 Reducing the resettlement cost really ....................................................... 251 9.7 Modes of URRP to improve the satisfaction degree ............................................ 253 9.7.1 Modes to improve the satisfaction degree ................................................. 253 9.7.2 Modes to improve the satisfaction of government and society ............... 254 9.7.3 Modes to improve the satisfaction degree of the project ......................... 254 10.1 Objectives of Information Disclosure Plan . . .255 10.1.1 High quality .255 10.1.2 High efficiency .255 10.1.3 Establishment of image .255 10.2 Contents of Information Disclosure Plan . . .255 10.2.1 Resettlement documents approved by World Bank ................................ 255 10.2.2 Resettlement Information and Data Manual ....................................... 256 10.2.3 Detailed information of resettlement house: ....................................... 256 10.2.4 Information about related organs ........................................ 257 10.2.5 Other significant matters ....................................... 257 10.3 Pattern of Information Disclosure Plan . . .257 10.4 Arrangements for Information Disclosure Plan . . .257 11.1 A brief introduction to public participation and consultation ... 260 11.1.1 Objectives .260 11.1.2 Essentials and assumptions with regard to public participation and consultation ..260 11.1.3 Implementation matrix of public participation and consultation: . 262 As to the above different compositions of diverse essentials, the implementation matrix of public participation and consultation in the course of resettlement work under this project is described as follows: . . .262 11.2 Socioeconomic investigation of the PAP's . . .262 11.2.1 Purposes ........................ 263 11.2.2 Contents of investigation work: ........................ 263 11.2.3 Modes of investigation ........................ 265 11.2.4 Methods of investigation ........................ 265 11.2.5 Investigation organ ........................ 266 11.3 Fundamental investigation and tracing investigation: . . .266 11.3.1 Purposes .267 11.3.2 Contents of investigation .267 11.3.3 Modes and methods of investigation ............................ 267  11.3.4 Investigation process and organ: ................................................ 268 11.4 News media ................................................ 268 11.5 Public participation meeting ................................................ 269 11.5.1 Official public participation meeting jointly organized by the World Bank Waste Water Treatment Project Company and THE GREEO ...................................... 269 11.5.2 Public participation meeting and visit organized by an independent monitoring organ ............................................ 269 11.6 Signing of "Agreement upon Compensation for Resettlement Reason" ...271 11.7 The PAP's satisfaction investigation .272 12.1 Functions of appellate body . . .273 12.2 Appellate body . . .273 12.3 Appeal procedures . . .274 12.4 Appeal response mechanism . . .274 12.4.1 Standardized records .275 12.4.2 Automated tracing: .275 12.4.3 Regular reporting system .276 13.1 Internal monitoring .................... 277 13.1.1 Implementation organs and their working procedures .277 13.1.2 Purpose and usefulness .277 13.1.3 Course of internal monitoring: .278 13.1.4 Usefulness of the URRP in internal monitoring .281 13.1.5 Internal monitoring criteria .282 13.1.6 Submission of internal monitoring report .286 13.2 Independent monitoring and evaluation .................................... 286 13.2.1 Responsibilities of independent monitoring organ .286 13.2.2 Fundamental investigation and tracing investigation: .287 13.2.3 Informal visit: .287 13.2.4 Public consultation meeting: .287 13.2.5 Complaint matters .288 13.2.6 Monitoring indicators: .288 13.2.7 Personnel in charge of implementation of independent monitoring . 289 13.2.8 Submission of independent monitoring and evaluation report . 289 13.2.9 Follow-up activities after reporting .289 Chapter 14 Project estimate and fund planning .................................... 305 14.1 Overall cost of the resettlement . . .305 14.2 The resettlement cost for each component . . .305 14.3 The sharing of the total cost of the resettlement . . .305 14.4 The sharing of the resettlement cost for each component ... 305 14.5 Fund planning . . .360 14.5.1 Explanation of fund planning .360 14.5.2 Fund planning of the resettlement .361  Chapter 1 Foreword The second edition of this Involuntary Resettlement Plan was prepared based on the first edition submitted to the World Bank in November 2003, the latest survey data obtained and the comments from both the World Bank and the relevant domestic government departments. 1.1 Objective of the Involuntary Resettlement Plan The implementation of Guangdong Pearl River Delta Guangzhou Urban Environment Project will inevitably involve the involuntary resettlement. In order to reduce the impact of the project on involuntary resettlement, and prevent serious economic, social and environmental risks the Guangzhou Urban Environment Project Involuntary Resettlement Plan (shorted as the Involuntary Resettlement Plan) has been worked out. This Involuntary Resettlement Plan is designed to achieve the following objectives: (1) To reduce the resettlement amount as much as possible; (2) To assist the project affected people (PAP's) to rehabilitate their livelihood and living standard to the level before their movement or even to a higher level; (3) To realize the maximization of the cost-benefit of the resettlement, that is to achieve a higher resettlement objective with relatively low resettlement cost. 1.2 Basis of the preparation of the Involuntary Resettlement Plan 1.2.1 Relevant laws and regulations of the resettlement (1) Law of Land Management of People's Republic of China (2) Administrative Directions of Urban Housing Relocation (3) Law of City Planning of People's Republic of China (4) The World Bank Guidelines on the Involuntary Resettlement OP4. 12 (5) The guidelines on resettlement monitoring and evaluation of the World Bank loan projects in China (6) Implementation Method of the Law of Land Management of the P.R.C. in Guangdong province (7) Regulations of Overseas Chinese Owned Urban Housing Demolition Affected in Land Acquisition for State Project in Guangdong Province (8) Temporary Measures of Land Acquisition for Traffic Infrastructure Construction in Guangdong Province (9) Ordinances of Urban Housing Resettlement Management in Guangzhou 1.2.2 Other relevant laws and regulations (1) Civil law of the People's Republic of China (2) Law of Civil Litigation of People's Republic of China (3) Law of Arbitration of People's Republic of China 7  (4) Law of Administrational Litigation of People's Republic of China (5) Law of Contract of People's Republic of China (6) Law of Hypothecation of People's Republic of China (7) Law of Cultural Relic Protection of People's Republic of China (8) The World Bank Guidelines on the Culture Relics OP4.11 (9) The World Bank Guidelines on the indigenous people OP4.12 1.2.3 Relevant regulations of the compensation standard (1) Ordinance of Real Estate Evaluation in Guangdong (2) Compensation Standards of Agriculture Land Acquisition in Guangzhou (3) Regulations of Urban Housing Resettlement Management and Compensations (4) Compensation Standards of Temporary Land-use and Residential Plot for Public Utility Facility Construction Projects in Guangzhou 1.2.4 Relevant project documents (1) Proposal of Guangzhou Dashadi Waster Water Treatment System Project; (2) Proposal of Guangzhou Liede Waster Water Treatment System (Phase III) Project; (3) Proposal of the Reconstruction of Four Sewage Network Systems in Guangzhou; (4) Proposal of Guangzhou Solid Waster Treatment Center Project (5) Zoning plan of Dashadi Waste Water Treatment System Project (6) Zoning plan of Guangzhou Liede Waster Water Treatment System (Phase III) Project; 1.3 Method of the preparation of the Involuntary Resettlement Plan (1) Taking the resettlement policies of the state, province and municipality as the basis and referring to the World Bank guidelines on the Involuntary Resettlement OP/BP4.12. (2) Strictly identifying the types of the project impacts and defining rational compensation standards; working out the objective and principle of the resettlement, proceeding reciprocal resettlement and rehabilitation and establishing the classification scheme of relevant entitlements accordingly with the purpose to improve the standard of living of the PAP's or at least maintaining it to the previous level. (3) Imbibing the experience of the preparation of Guangzhou City Center Transport Project Involuntary Resettlement Action Plan (1997) and Guangfo Radial Road Involuntary Resettlement Action Plan (2002), incorporating the recommendations of the World Bank involuntary resettlement specialists and the discussions and agreements between the World Bank and Guangzhou Municipality. And at the same time incorporating the comments of the policy-making departments, the project owner, the implementing agencies and the PAP's. (4) Drawing lessons and experience of the GREEPO on project management of the resettlement work carried out in over the years. Q  (5) Establishing institution mechanism and plan for relevant units to participate into the resettlement planning, management, monitoring and evaluation according to the requirement of the World Bank and the project management and working out the procedure of the public participation, consultation and grievance handling. (6) Designing the census forms according to the requirement of the project management and the World Bank's requirements on and protection of the PAP's interests, carrying out surveys on households, shops, institutions and enterprises, public houses and public facilities (survey in rural areas will be carried out in the way of participative rural appraisal (PRA) and the field investigation method to obtain the relevant data), and selecting the resettlement sites according to the Resettlement Policy. (7) Adopting the Urban Resettlement Resource Plan to analyze and process the data. (8) The Involuntary Resettlement Plan will be improved continuously along with the improvement of the engineering design schemes and during the implementation of the resettlement. 1.4 Institutions and their responsibility of the preparation of the Involuntary Resettlement Plan 1. Guangzhou Waste Water Treatment Project Office, Guangzhou Tunnel Development Company, Guangzhou Solid Waster Treatment Center * Responsible for the coordination of all the participating agencies; * Responsible for the overall arrangement and providing guidance on the preparation of the Action Plan; * Organizing experts to review the Involuntary Resettlement Plan 2. Guangzhou Road Expansion and Engineering Office (GREEO) * Preparing Guangzhou Urban Environment Project Resettlement Policy according to the resettlement regulations of the state, province and municipality, referring to the World Bank guideline OP/BP4.12 and incorporating the comments from all directions; * Organizing and conducting socioeconomic surveys and evaluation; * Organizing the physical quantity survey; * Collecting opinions from the district governments and neighborhood committees involved and the PAP's on the resettlement work; * Collecting comments from the project consultants; * Preparing the Involuntary Resettlement Plan (including a document of policy and 4 documents of the implementation plans, see Section 1.6 for the details) 3. Public evaluation institution entrusted * Responsible for the conduction of the census on the households, shops, institutions and enterprises affected by the project. The census will cover all the units and individuals affected by the project; * Digesting the information about the scope of the resettlement and the impacts on the PAP's, providing basis for the preparation of the resettlement plan, and providing comparative information for social monitoring and evaluation of the resettlement. 4. Independent monitor institution entrusted * Providing comments on the preparation of the Involuntary Resettlement  Plan; * Organizing public participation and consultation of the PAP's and collecting the opinions from the PAP's; * Evaluating the implementation of the resettlement; * Supervising the implementation of the resettlement policy and resettlement action plan; 5. District government departments and neighborhood committees concerned and the PAP's * Cooperating with the socioeconomic survey of the resettlement; * Cooperating with the public participation and consultation activities and collecting the opinions from the PAP's on the resettlement work. 1.5 Explanation of the preparation of the Involuntary Resettlement Plan (1) This Involuntary Resettlement Plan has drawn the experience gained by the GREEO during the implementation of Guangzhou City Center Transport Project resettlement work and the experience of the project management on urban resettlement accumulated since 1998. It will specify the resettlement work and resettlement behaviors, protect the interests of the involuntarily resettled PAP's, and so as to achieve objective of the resettlement. It will prevent any excess of the compensation rate and benefit that is beyond the scope stipulated for the project and prevent the swarm-in of any no PAP's. It will also prevent the black-box operation of the resettlement staff and potential malversation. Efforts have been made to make this Involuntary Resettlement Plan not only a document with policies and principles but also a document that is concrete and practicable and the guidance for the resettlement work. (2) The objective "to achieve a higher resettlement objective with relatively low resettlement cost" in the Involuntary Resettlement Plan means a good resettlement project management mode and management tool (including the use of Urban Resettlement Resource Plan). Measures such as the reduction of the cost of the resettlement housing by avoiding the overstock of the resettlement housings, reduction of the repeating relocation of pipelines, reduction of the cost of capital, improvement of the work efficiency, and mobilizing the resources of the whole city to serve the resettlement etc. will be taken to reduce the cost of the resettlement and benefit the PAP's. 1.6 Document structure and relevant explanation of the Involuntary Resettlement Plan There are totally 4 components of Guangdong Pearl River Delta Guangzhou Urban Environment Project currently. They are Dashadi Waste Water Treatment Project, Guangzhou Liede Waste Water Treatment Project (Phase III), Reconstruction of the Sewage Network Project in Guangzhou, and Guangzhou Solid Waster Treatment Center  Project. Since the project covers a big area, the World Bank requires the preparation of the Resettlement plan for each component. However, sine this Guangzhou project is located within the administrative area of Guangzhou Municipality there are many commonness. In order to avoid the repetition, this Involuntary Resettlement Plan will comprise 5 documents. They are Guangzhou Urban Environment Project Involuntary Resettlement Policy (shorted as the Resettlement Policy), Guangzhou Urban Environment Project Involuntary Resettlement Plan - Dashadi Waste Water Treatment Component Resettlement Implementation Plan (shorted as Dashadi Resettlement Implementation Plan), Guangzhou Urban Environment Project Involuntary Resettlement Plan - Liede Waste Water Treatment System (Phase III) Component Resettlement Implementation Plan (shorted as Liede Phase III Resettlement Implementation Plan), Guangzhou Urban Environment Project Involuntary Resettlement Plan - Reconstruction of Sewage Network Systems Component Resettlement Implementation Plan (shorted as Sewage Network Systems Resettlement Implementation Plan) and Guangzhou Urban Environment Project Involuntary Resettlement Plan - Solid Waster Treatment Center Component Resettlement Implementation Plan (shorted as Solid Waster Center Resettlement Implementation Plan). The Resettlement Policy includes all common principles such as the institution, policy, specification and methodology. It will be implemented throughout the whole process of the resettlement of Guangzhou Urban Environment Project. All the Resettlement Implementation Plans of the components will follow this Resettlement Policy, including any new components to be added to the project in the future, such as the public toilet project etc. The Implementation Plan of each component will be prepared based on the Resettlement Policy. Which will be the concrete standards and implementing schemes. Whenever there is a change of the price indices during the implementation, the compensation standard stipulated in the Implementation Plan will be readjusted according to the price indices of the affected property by category. Resettlement involved for the sewage networkincludes the PAPs of this project and relevant projects and the resettlement will be carried out according to this Involuntary Resettlement Plan. Note: the definition of the word "Project" in the following documents includes this project and the relevant projects. The meaning of this definition is to have an overall description covering this project and all relevant projects. 1.7 The arrangement and explanation of the chapters of the Involuntary Resettlement Plan I1I  As mentioned before that in order to avoid repetition, this Involuntary Resettlement Plan is divided into an overall resettlement policy and individual implementation plans for each component. Therefore, the arrangement of chapters of this document differs somewhat from that required in Annex A of the World Bank OP4.12. Furthermore, this Involuntary Resettlement Plan has added or deleted some of the contents required in the Annex A of the World Bank document OP4.12 according to the characteristics of the project. According to the requirement of the second paragraph of Annex A of OP4.12 that "when any element is not relevant to project circumstances, it should be noted in the Resettlement Plan" and in order to facilitate the review and reading of the World Bank specialists the differences are noted hereby. 1.7.1 Comparison between the Annex A of OP4.12 and this Resettlement Plan on chapter arrangement Chapter arrangement in Chapter arrangement of the Resettlement Plan Annex A of OP4. 1 Project resettlement policy Project Resettlement Implementation Plan Chapter 1 Foreword (including the identification of the PAPs' entitlement, see note 1) Project description Chapter 2 project Chapter 1 Introduction introduction (component) Potential impacts Objectives Chapter 3 Resettlement objectives, principles, measures and institutional management methodology Chapter 4 Type of the project impacts, PAP's and the category of the PAP's (see note 2) Socioeconomic survey (in the Resettlement Date analysis based on Implementation Plan) impact category, concrete resettlement measures and description of the resettlement sites (see _______________________ _ _________________ note 7) Law framework Chapter 5 Project resettlement policy (and the Resettlement Measures, the Principle of the Selection of the Resettlement Sites, the Principle of Assessment and Compensation derived) (see note 3) Institutional framework Chapter 6 Resettlement Only describes the  Chapter arrangement in Chapter arrangement of the Resettlement Plan Annex A of OP4. 1 Project resettlement policy Project Resettlement Implementation Plan Management Mechanism and implementing agencies Responsibility of Relevant Institutions (see note 4) Eligibility (In the Chapter 1 Foreword) Assessment and The principle is in Chapter 5 Detailed compensation compensation of the loss of the Resettlement Policy standard the PAP's of the project Resettlement measures Chapter 7 Resettlement experience, lessons and improvement in Guangzhou, Chapter 8 Urban resettlement data specification and Chapter 9 Urban resettlement project management (see note 5) Selection and preparation of The principle is in Chapter 5 Included in the the resettlement sites and the Resettlement Policy of description of the relocation of the PAP's the project resettlement sites Housing building, Not related (see note 6) Not related infrastructure and social service institutions Environmental protection Not related Not related and management Community participation Chapter 10 Information Information disclosure disclosure plan plan (aiming at the Chapter 11 public components) participation and consultation Integration with the host Not related (described in the Not related populations project introduction) Grievance procedure Chapter 12 grievance and appeal Responsibility of the In Chapter 6 (in the institution institutions framework) Implementation schedule In the cost estimate and fund In the cost estimate and plan of the project fund plan of the ._______________________ _ com ponents Cost and budget Chapter 14 Cost estimate and Cost estimate and fund fund plan of the project plan of the components Monitor and evaluation Chapter 13 monitor and Monitor and evaluation I________ evaluation aiming at the components 1.7.2 Explanation of the addition and deletion of the chapters in this Involuntary Resettlement Plan against the requirement of the Annex A of OP4.12  Note 1: This Involuntary Resettlement Plan is an involuntary resettlement plan. It starts immediately with the clarification and definition relating to the resettlement. Since the content about the eligibility is not much it is therefore included into Chapter 1. Note 2: The reason to add Chapter 4 "the type and extent of the project impacts and the classification of the PAP's" is that if we want to guarantee rational compensation to the PAP's we shall first define the type and extent of the impacts to the PAP's. We will then be able to work out rational compensation policy and compensation standard. Furthermore, detailed classification and analyses is also the foundation for socioeconomic survey. Therefore, this additional chapter is included in the Involuntary Resettlement Plan. Note 3: When we discuss about the difference between the "Resettlement law framework" of Guangzhou and the World Bank's "Resettlement policy", we need to discuss about the mechanism that may reduce this difference. This will certainly involve the concrete "resettlement measures", "the resettlement sites", "the evaluation and compensation principle". Therefore, we combine these 4 parts, which are indivisible, into one chapter as the "Resettlement Policy of the Project" (Chapter 5). Note 4: The structure of the resettlement implementation agencies is also included in the institution framework. Therefore, we combine the "institutional framework" and the "responsibility of the institutions" into "Resettlement administration and relevant agencies (chapter 6). Note 5: The purpose of the Involuntary Resettlement Plan is to insure the realization of the resettlement objective. Therefore, besides the establishment of policies and standards it is also important to establish the standardized project manage system so as to guarantee that the policies and standards set for the project will be followed out. Experience of the resettlement management in Guangzhou shows the difficulty of the project management of resettlement. The management specification and methodology raised in this Involuntary Resettlement Plan is a summarization of the experience of the resettlement work in Guangzhou. Therefore, the experience and lessons of the resettlement work in Guangzhou and the proposed improvements are included in this Involuntary Resettlement Plan (Chapter 7). This chapter carries out the theoretical analysis of the problems existing in the resettlement management in Guangzhou, proposes improvement measures and then suggests the urban resettlement data specifications (Chapter 8) and measures to monitor the execution of the specifications "Resettlement project management" (Chapter 9). These 3 chapters shall certainly be combined into one chapter in general.  However, since the content is too big they are then divided into 3 individual chapters. Note 6: "Housing, infrastructure and social service", "Environmental protection and management", "Integration with host populations" are three chapters that do not relate to this project since there isn't any housing construction involved. The reason why Guangzhou has changed the mode of "building the housing and resettling the PAP's collectively" into "purchasing the housing and resettling the PAP's dispersedly" is also described in Chapter 7 Experience and lessons of the Resettlement Work in Guangzhou and Proposed Improvement. Note 7: In this Implementation Plan, descriptions about the socioeconomic survey and specific resettlement measures and resettlement sites are edited according to the classification of the PAP's. Considering that different type of PAP's will have different type and quantity of loss, and will be dealt with different resettlement measures and be resettled in different spites, the text is therefore edited according to the type of the PAP's. 1.8 Definition of the PAP's (eligibility of the PAP's) 1.8.1 World Bank's definition of the PAP's According to the World Bank's policy (OP4.12) Item 3 the PAP's means that: (a) the involuntary taking of land results in: (i) relocation or loss of shelter; (ii) lost of assets or access to assets; (iii) loss of income sources or means of livelihood, whether or not the affected persons must move to another location; (b) the involuntary restriction of access to legally designated parks and protected areas resulting in adverse impacts on the livelihood of the displaced persons. 1.8.2 Definition of the PAP's in this Involuntary Resettlement Plan PAP's means those whose property, income and life are adversely affected by the implementation of the project, which includes: * Those (with whatever the status of residence) whose permanently or temporarily owned or used real asset (land, house, structures, appurtenance and facility) are acquested or demolished due to the implementation of the project. * Those whose land is temporarily borrowed due to the project implementation; * Those whose business at certain location is affected due to the project implementation; * Those whose employment environment and living environment are affected  due to the relocation caused by the project implementation 1.8.3 Cut-off date of the PAP's eligibility As specified in the World Bank policy OP4.12 Annex A, the criteria for determining PAP's eligibility for compensation and other resettlement assistance shall include relevant cut-off date to prevent the swarm-in of non PAP's. According to the national stipulation, the cut-off date for the determination of PAP's eligibility is the date when the move notice is issued. After this date, PAP's are not allowed to build, expand or reconstruct any houses, they are not allowed to change the use of the houses or land, or rent out the land or rent out and sell the houses. Anyone swarmed in after this date will not have the eligibility as a PAP. 1.8.4 Explanation of the eligibility of the PAP's in this Involuntary Resettlement Plan * It is obvious that the definition of the PAP's in the third paragraph of the World Bank OP4.12 doesn't include those who are partially or temporarily affected. However, partially or temporarily impacted persons are mentioned in some other paragraphs of the OP4.12 and other relevant documents so it is also supplemented hereby. * The definition of PAP's in this Involuntary Resettlement Plan tallies with the relevant laws of Chine on land requisition, resettlement and utility relocation and the normal practice. It refers to persons who need resettlement and compensation. * The eligibility of the PAP's of the project is determined jointly by both the definition of the PAP's of the project and by the cut-off date set for the project. 1.8.5 Entitlement of the PAP's The PAP's will be provided with at least the reciprocal resettlement, compensation and rehabilitation. The project will try efforts to improve the livelihood and standard of living of the PAP's or at least to restore them, in real terms, to the pre-displacement level or to levels prevailing prior to the beginning of the project implementation. 1.9 Definition of relevant terms Because of the cultural difference and language translation some misinterpretation or misconstrue may happen while reading the World Bank's policy documents OP4.12, OD4.20 and BP4.12 and while discussing with the World Bank resettlement specialists. For instance, the Note 8 of the World Bank OP4.12 gives the precise definition of land as "'Land' includes anything growing on or permanently affixed to land, such as buildings and crops". Concepts of building, structure and property are sometimes mixed up in the World Bank documents and aide-memories. This to Chinese people is  very easy to be confused: If land includes the building, then it will not be comparable when pricing the land with or without buildings. And if property can be compensated with replacement price, there will be questions like whether television shall be compensated with replacement price since the scope of property is so wide. Therefore, to avoid ambiguous meanings and to facilitate the understanding of the relevant domestic departments, this Involuntary Resettlement Plan gives the definition of some common terms as follows: 1.9.1 Definition and entitlement of indirect PAP's 1.9.1.1 Definition of indirect PAP's PAP's (generalized) mentioned in the World Bank resettlement policy not only includes the displaced persons but also those who do not need to be displaced but whose living environment is adversely affected (such as water quality, air and noise pollutions) due to the project implementation. In order to avoid any confusion (such confusion was caused during the implementation of Guangzhou City Center Transport Project Resettlement Action Plan) between displaced persons and these indirect PAP's, tjey are then defined as follows: Indirect PAP's refers to those who do not need to be displaced and whose property and income are not affected by the project implementation. However, whose ambient working or living environment is adversely affected. 1.9.1.2 Entitlement of indirect PAP's The project will take necessary engineering measures to minimize the adverse impacts on their living environment, and to meet the requirement of the project environment evaluation. 1.9.1.3 Explanation In fact, " indirect PAP's" is a concept relating to the environment evaluation. As this Involuntary Resettlement Plan is a Involuntary Resettlement Plan relating to direct PAP's the entitlement of indirect PAP's will not be discussed anymore. Whenever the engineering measures cannot rehabilitate the living environment of indirect PAP's according to the requirement of the environment evaluation the indirect PAP's can then be taken as the PAP's who need the relocation. 1.9.2 Definition of resettlement, compensation and rehabilitation 1.9.2.1 Interpretation of the World Bank for resettlement, compensation and rehabilitation ' '7  There isn't any precise definition for resettlement, compensation and rehabilitation in the World Bank resettlement policy. The following is the interpretation for resettlement, compensation and rehabilitation derived from the documents and correspondences between the projects and the World Bank specialists. * Interpretation of resettlement Resettlement refers to restoration and displacement of the residential structure and living condition, the business locations (shops and markets etc.), employment posts and roads, transportation and infrastructures within the living environment of the PAP's. * Interpretation of compensation Compensation refers to the compensation for the loss of property and income of the PAP's based on non-depreciable replacement price in cash or in kinds. * Interpretation of rehabilitation Rehabilitation refers to the restoration of the ability and resources of the PAP's to enable them to carry on production or to restore the standard of living of the PAP's after the resettlement or increase it to a higher level. It includes the training for new employment posts, the credit and comfort provided to the elders and the compensation provided for transport and relocation. 1.9.2.2 Explanation It can be seen that the above interpretation of resettlement, compensation and rehabilitation overlaps somewhat in their content. In order to avoid misapprehension while reading this Involuntary Resettlement Plan, the resettlement, compensation and rehabilitation in this Involuntary Resettlement Plan are therefore redefined. 1.9.2.3 Definition of resettlement, compensation and rehabilitation * Definition of resettlement It refers to the restoration or replacement of the housings, business locations (shops and markets etc.) and employment posts. This is a physical exchange and the property owner, the user or the beneficiary is definite.