China - Fourth Inland Waterways Project : resettlement action plan (Vol. 2 of 8) : Naji Shipping Pivot Project for Youjiang River Shipping Construction in Guangxi - social appraisal report

RP174 V. 2 October 2002 World Bank Financed Naji Shipping Pivot Project For Youjiang River Shipping Construction in Guangxi Social Appraisal Report (Draft) China Cross-cultural Consulting Center, Zhongshan University Guangzhou, China 7 H Oct. 2002 LK 3 L ' !:  World Bank Financed Naji Shipping Pivot Project For Youjiang River Shipping Construction in Guangxi Social Appraisal Report (Draft) China Cross-cultural Consulting Center, Zhongshan University Guangzhou, China Oct. 2002  FOREWORD Entrusted by Guangxi Xijiang River Shipping Construction & Development Ltd, CCCC at ZSU has made a social appraisal for the "Naji Shipping Pivot Project for Youjiang River Shipping Construction in Guangxi" ("NSPP" hereinafter). In this social appraisal, Nabi Administrative Village (AV) and Natuo AV under Napo Town in Tianyang County, Baifeng AV and Nayin AV under Baifeng Township; Fulu AV under Nabi Township, Guiming AV under Sitang Town and Donghe AV under Baise Town in Baise City as points of investigation (POI). The 10 experts of the Social Appraisal (SA) Team conducted a 14-day social investigation at the 7 POIs out of 2 counties (cities) and 5 townships (towns) from Sep.17-Sep.30, 2002. The social influence appraisal under the Naji Shipping Pivot Project aims at: a) Identify all minority groups affected by this Project; b) Determine whether they are the aboriginal residents referred to in the World Bank's OP4.20 Policy on "Aboriginal Residents"; c) Learn their current social, economic and cultural situations, to determine whether it is necessary to work out a special minority development plan therefor; d) Learn social and economic aspects of the Affected Areas (areas affected by the Project) and the Project's influences on the locality, also pay concern to the public's attitudes and expectations, to ensure the Project scheme and target can obtain their recognition; e) Seek the possibility to avoid or reduce this Project's potential negative influences and minimize its social costs; f) Give publicity to information related to the Project within the Affected Areas; g) Pay concern to differences in expectations, attitudes and viewpoints resulting possibly from gender role; h) Be aware of advantages and problems in the social/economic development within the Affected Areas. For the purpose of the social appraisal, a method combining PRA, anthropologic fieldwork and questionnaire survey was employed by the SA Team to collect data about ecological environment, geography, infrastructure, society and economy, minorities, women problem, disparity in wealth, land resources, industrial structure, education, medince and sanitation, national cultures, the public's awareness and expectations of this Project at the Affected Areas and POls. This social appraisal received great support and cooperation from Guangxi Xijiang River Shipping Construction & Development Ltd, all levels of government within the Affected Areas, as well as warm help from villagers at POIs. During the whole investigation, leaders and teachers at the Guangxi National College offerred us meticulous care in life and work. All these parties are hereby sincerely acknowledged!   CONTENTS Chapter 1 Background of Project and Social Appraisal 1.1 Project Overview 1.2 Work Flow of Social Appraisal 1.2.1Significance and Purpose of Social Appraisal 1.2.2 Methodology of Social Appraisal 1.2.3 How Was Social Appraisal Operated? 1.2.4 Agenda of Appraisal Operated Chapter 2 Overview of the Affected Areas 2.1 Tianyang County 2.1.1 Napo Town 2.1.2 Baifeng Township 2.2 Baise City 2.2.1 Nabi Township 2.2.2 Sitang Town 2.2.3 Baise Town Chapter 3 General Survey of Points of Investigation 3.1 Selection of POIs 3.2 Economic Survey and Industrial Structure Analysis of POIs 3.2.1 Nabi Administrative Village 3.2.2 Natuo Administrative Village 3.2.3 Baifeng Township 3.2.4 Nayin Administrative Village 3.2.5 Fulu Administrative Village 3.2.6 Guiming Administrative Village 3.2.7 Donghe Administrative Village 3.3 Social Analysis of POIs 3.3.1 Population and Nationalities at POIs  3.3.2 Grassroots Political Power Establishment and Functionality at POIs 3.3.3 Folk Organizations at POIs 3.3.4 Medicine and Sanitation at POIs 3.3.5 Education at POIs 3.3.6 Women at POIs Chapter 4 Nationalities within Affected Areas 4.1 Composition of Nationalities within Affected Areas 4.1.1 Composition of Nationalities at Tianyang County 4.1.2 Composition of Nationalities at Baise City 4.2 Han and Chuang Villages within Affected Areas 4.3 History of Nationality Migration within Affected Areas 4.4 Ethnolinguistics within Affected Areas Chapter 5 Chuang Nationality within Affected Areas 5.1 Chuang Nationality's Self-identification within Affected Areas 5.1.1 Identification of Chuang Nationality after Foundation of PRC 5.1.2 Chuang Nationality's Cultures and Customs within Affected Areas 5.1.3 Marriage and Family 5.1.4 Clan 5.1.5 Miscellaneous 5.2 Chuang Nationality's Economic Life within Affected Areas Chapter 6 Chuang and Han Nationalities Share Equal Development Opportunities within Affected Areas 6.1 Opportunities of Economic Development 6.1.1 Economic Life of Chuang and Han Nationalities within Affected Areas 6.1.2 Chuang and Han Nationalities' Title to Means of Production (Land Mainly) within Affected Areas 6.1.3 Family Income and Expenses of Chuang and Han Nationalities within Affected Areas 6.1.4 Agrotechnical Training and Marketing of Farn Products 6.2 Opportunities of Political Participation  6.2.1 Ethnic Policies and Regulations 6.2.2 Formal and Informal Organizations 6.2.3 Villager Election 6.3 Han-Chuang Cultural Fusion and Opportunity of Education Receiving 6.4 Chuang-Han Relationship within Affected Areas 6.5 Chuang Villagers' Attitudes towards Project 6.6 Conclusion Chapter 7 Key Existing Problems at POIs 7.1 Traffic 7.1.1 Land-focused Traffic 7.1.2 About Road Condition 7.1.3 About Flood and Highway 7.1.4 About Improvement of Land Traffic 7.2 Water Conservancy and Drinking Water 7.2.1 About Water Conservancy and Irigation 7.2.2 About Drinking Water 7.3 About Power Utilization 7.4 Culture and Education 7.4.1 Educational Expenses Too High 7.4.2 Educational Attainment 7.5 About Coalpits 7.6 About Land 7.6.1 Local villagers are strongly dependent on land 7.6.2 Flood land is a vital source of income for POIs villagers 7.7 Productive Investment 7.7.1 Insuficient Productive Investment 7.7.2 Source of Productive Investment 7.8 Market 7.9 Flood Disaster 7.10 Medical Service and Sanitation 7.10.1 Relatively Lagging Medical Equipment  7.10.2 Inconvenient to Take Medical Treatments 7.10.3 Peasants' sense of medical care needs reinforcement, daily sanitary knowledge needs further popularization Chapter 8 Land Requisition and Migration within Project's Reservoir Region 8.1 Existing Plan for Land Requisition and Migration within Project's Reservoir Region 8.1.1 Overview of Land Requisition 8.1.2 Planning for Resettlement of Reservoir Region Migrants and Land Requisition 8.2 Evaluation of the Plan 8.2.1 Villagers' Attitudes towards the Plan 8.2.2 SA Team's Evaluation of the Plan Chapter 9 Predicted Influences of Project on Affected Areas 9.1 Planners' Prediction of Project Influences 9.1.1 Planners' Prediction of Positive Project Influences 9.1.2 Planners' Prediction of Negative Project Influences 9.2 Prediction of Project Influences by Villagers (Including Village Cadres) at POIs 9.2.1 Awareness of Project by Villagers (Including Village Cadres) at POIs and SA Team's Publicity for Project 9.2.2 Prediction of Project Influences by Villagers (by POIs) 9.3 SA Team's Analysis Chapter 10 Sequencing of Project-related Issues 10.1 Significance and Operating Method of Issue Sequencing 10.2 Wealth-related Sequencing 10.2.1 Sequencing of Causes for Richness 10.2.1 Sequencing of Causes for Poverty 10.3 Sequencing of Project's Influences 10.3.1 Sequencing of Project's Positive Influences 10.3.2 Sequencing of Project's Negative Influences  10.4 Sequencing of Labor Productivity Chapter 11 Conclusions 11.1 Improving the Youjiang River's shipping conditions, power generation and irrigation will be the Project's 3 major functions 11.2 Support from local villagers and village cadres will be key to the Project's success 11.3 Villagers are indirect beneficiaries 11.4 Women will also be benefited 11.5 Local Chuang and Han nationalities share equal development opportunities 11.6 Land compensation will be an important source of production investment for villagers 11.7 The Project will drive the local infrastructure construction 11.8 The Project will optimize the local industrial structure 11.9The Project will be a chance of economic lift-off for affected counties and cities Chapter 12 Suggestions 12.1 Villagers' Suggestions 12.1.1 Project vs. Traffic 12.1.2 Land Requisition and Migration 12.1.3 Compensation and Resettlement 12.1.4 Offering of Settlement Allowance 12.1.5 Irrigation Facilities 12.1.6 Power Utilization 12.1.7 Public Security 12.1.8 Small Coalpits 12.1.9 Date of Project Commencement 12.2 SA Team's Suggestions 12.2.1 More Publicity for the Project 12.2.2 Exerting Project's Secondary Effects for More Benefits to the Public Affected 12.2.3 Tailoring Resettlement Measures 12.2.4 Contributing Local Human and Material Resources to the Project  12.2.5 Rational, Public, Transparent Resettlement and Compensation 12.2.6 Giving Special Concern to Compensation and Resettlement for Flood Lands 12.2.7 Ensuring Smooth Project Execution by Giving Play to Village Cadres 12.2.8 Coordinating Project's Damage to Existing Facilities at Affected Areas 12.2.9 Providing Intellectual Support to Affected Villagers, Reducing Their Future Risks in Life 12.2.10 Suggestions on Minority Problem Annexes 1. Computation Sheet of Submersed Land and Population of Productive Resettlement in Naji Pivot's Reservoir Region at 115m Normal Baffling Level 2. Social Appraisal Survey Questionnaire of NSPP 3. Outline for Interview with Village Cadres 4. Outline of Personal Interview 5. Partial Graphic Data Collected in Field  Chapter 1 Background of Project and Social Appraisal 1.1 Project Overview The Naji Shipping Pivot is the 4h stage in the staged arrangement under the Yujiang River Integrated Utilization Planning and a multi-purpose project designed for shipping, power generation and other benefits. The key objective of this Project is to reduce shipping costs from West Guangxi and adjacent provinces to East Guangxi and neighboring Guangdong and Hong Kong by improving the shipping conditions in the Baise-Nanning reach (approx. 360km long) of the Youjiang River. The Naji Shipping Pivot is located at upper reaches of the Yujiang River-the Youjiang River Reach. After its completion, the Pivot will deliver the water-holding capacity that ensures a channel depth sufficient for 500t lighters to pass through the Nanning-Baise Reach all the year round. This Project covers a 2m high dam (at Naji NV, 22.5km upstream Tianyang County under Baise District), a ship lock sufficient to accommodate 3 fleets of 500t lighters, a 25OGWh hydraulic power station, the outgoing highway from both banks of the Youjiang River and a river bridge near the site of the dam. After its completion, this Pivot will be placed under joint operation with the Bicheng River Reservoir and Baise Reservoir to relieve the extreme shortage of power at Baise District, increase the operating stability of the local power network and promote the industrial and agricultural development of old revolutionary areas. In shipping, this will canalize 54.7km navigation channel and raise the Youjiang River's navigable capacity from 120t to 500t in conjunction with certain dredging works. 1.2 Work Flow of Social Appraisal 1.2.1 Significance and Purpose of Social Appraisal Significance of social appraisal: Social appraisal is a form of feasibility study and a basic condition for project design and execution, as well as a supplement to the economic, fiscal, technical and environmental analysis. Nothing can replace social appraisal. Target of social appraisal: ensure the social benefit on investment, including social, cultural influences and potential issues within the investment coverage; eliminate or at least reduce negative social influences; help define the project target, show concern to the poor people within the Affected Areas, support disadvantaged groups, especially minorities and women; help establish an organization and system that provide participation opportunities, enhance the Project investor's exchange, mutual understanding with those interested for information sharing; help establish a foundation of social supervision and appraisal. The social influence appraisal under NSPP aims at: a) Identify all minority groups affected by this Project; b) Identify whether they are the aboriginal residents referred to in World Bank's OP4.20  Policy about "Aboriginal Residents"; c) Understand their social, economic and cultural situations to determine whether or not necessary to prepare a special minority development plan therefor; d) Understand the Affected Areas' social, economic aspects and the Project's influences on the locality, also be concerned about peasants' expectations and attitudes to ensure the Project plan and objectives can get their recognition; e) Seek the possibility to avoid or lessen this Project's possible negative influences and minimize its social costs; f) Popularize information on this Project within the Affected Areas; g) Be concerned about possible differences in expectation, attitude and viewpoint due to gender role; h) Get certain awareness of advantages and problems of social/economic development in the Affected Areas. 1.2.2 Methodology of Social Appraisal A SA Team consisting of experts from CCCC at ZSU applied the methods of participative rural appraisal (PRA), fieldwork in anthropology and questionnaire survey to the social appraisal for the World Bank Financed Guangxi Naji Shipping Pivot Project. PRA is a method in which residents at rural communities within the affected areas participate and the data concerning and serving them is collected. This is also a community development method that relies completely on local knowledge, leadership, organizations and resources to promote the rural development. Members of the panel may suggest or request local residents to provide community maps, social maps, resource transition maps, seasonal charts, as well as data related to the local historical evolution or current social, economic situations, etc. Fieldwork is a basic research method in anthropology, in which researchers shall visit the community concerned, live along with natives for a period and directly participate in and observe the local life, production and ceremonies, etc. It is a method combining emic/etic study organically that is good to understanding the practical living conditions and real ideas of study objects. Meanwhile, the method of questionnaire survey was also employed in this social appraisal. The SA Team designed the "Survey Questionnaire for Social Appraisal under World Bank Financed Guangxi Naji Shipping Pivot Project" aforehand. The questionnaire analysis may help supplement the data collected using PRA and fieldwork. 1.2.3 How Was Social Appraisal Operated? CCCC first designed the "Outline for Interview with Township (Village) Cadres for Social Appraisal under NSPP", the "Outline of Personal Interview for Social Appraisal under NSPP", the "Survey Questionnaire for Social Appraisal under NSPP" and the operating procedure of social appraisal according to the World Bank's requirements and the Project's actual situations. Before investigation, there was already a detailed mastery of literatures in relation to the POIs selected.  The SA Team conducted the appraisal in strict accordance with the flow of forum with township/village cadres4drawing maps (community map, traffic map, seasonal activity chart, daily life and production chart in busy and slack seasons, resource distribution map, resource transition map, outgoing frequency chart, etc.)-)forum with male/female villagers -sequencing (including sequencing of NSPP's positive influences and negative influences on the locality, sequencing of factors affecting the local economic development, wealth-related sequencing, labor productivity sequencing, etc.)4filling in questionnaire-)in-depth interview. Work Flow of Social Appraisa r Fixing POls, designing Qr, interview outline, Planning, data outline County government \ preparation office, statistical bureau, national & religion bureau, poverty-relief of fice County-level Basic information forum collection government office agricultural office, Township-level Basic information overty-relief office Torum collection Village background, community maps, Village-level resource maps, ( Village cadres 9 Village-level peasant classification forum Wealth sequencing, Project's influences sequencing, sequencing Villager of advantages/ representatives, Villager forum disadvantages of representatives, Villager forum economic development, v7 ~~~~~~~~issues of concern Cultural Door-to-door Investigation of investigation into interview, village natural village questionnaire features communities  Finding problems, Summary of experiences and investigation lessons, arranging teams next day's work This investigation was made with close focus on 2 principles when applying PRA, one is to integrate the investigation at the 4 levels of county/city, township/town administrative village (AV) and natural village (NV) organically with a view to obtain the most and full information within the shortest period; the other is to regulate the guideline and questions of investigation based on the locals' lifestyle and centering on their immediate interests. In the villages investigated, some plant cabbage, sugarcane and fruits, some make a living by loading and transporting coal. They are concerned about different matters, some are afraid of flood and some of water shortage, some hate small coalpits and some depend thereupon, some hope the State to construct a reservoir but worry that they couldn't get compensated reasonably for land submergence and relocation, etc. All these have been investigated and analyzed in depth. During investigation, all levels of government within the Affected Areas and the public at the POIs offered great support and help, facilitating the its smooth completion on schedule. In this investigation, altogether 130 peasants have been interviewed, 88 cases of in-depth interview, 124 effective questionnaires and 45 maps/charts (7 community maps, 6 resource distribution maps, 4 traffic maps, 14 seasonal activity charts, 14 daily activity charts) were collected and 56 items of sequencing (21 items on the Project's influences, 14 items on wealth, 7 items on factors affecting the local economic development and 14 items on labor productivity). 1.2.3.1 Questionnaire Survey As an important integral part of social appraisal, the semi-structured questionnaire survey aims to learn the local public's evaluation of and attitudes towards the Project's influences on the local social development and make in-depth sociological, anthropological analysis thereof by means of a large-scale questionnaire survey. This is to ensure the World Bank's investment project may help support low-income groups, disadvantaged groups, guarantee the equal opportunity of social participation between men and women, also to establish a social supervision and appraisal mechanism for the above purposes. The SA Team designed the "Survey Questionnaire for Social Appraisal under NSPP" in advance, which covers 6 parts-peasants' background, economic and social overview, the public's participation, migration, minority and poverty-support. This serves as a reference to learn the general situations of the POIs with a questionnaire for both structural and semi-structural interview. Research objects were selected through sectional sampling in this investigation, 7 villages were selected as the POIs from the 2 counties (cities) and 5 townships (towns) affected by the NSPP Reservoir Region, each assigned with 30 questionnaires (Baise Town was given less copies since it is less affected). These villages are Nabi AV and Natuo AV under Napo Town, Baifeng AV and Nayin AV under Baifeng Township in Tianyang County; Fulu AV  under Nabi Township, Guiming AV under Sitang Town, Donghe AV under Baise Town in Baise City. In investigation, the SA Team investigated 124 sample units (family) under the principle of diversity, covering different degrees of wealth, ages, nationalities, sexes. This appraisal involves 7 villagers' committees under 5 townships/towns out of 2 counties (cities) within the Affected Areas and collected 124 effective questionnaires therefrom, of which 116 copies were identified, including 86 male respondents (74%) and 30 female ones (26%), 77 people of the Chuang nationality (66%) and 39 ones of the Han nationality (34%). After investigation, the team members made an analysis of the questionnaires using the SPSS software, the results from which will be described, quoted and demonstrated hereinafter. 1.2.3.2 Forum Forum is an extremely effective way to realize PRA by gathering the most extensive public comments within the shortest period. It is also a good opportunity to popularize the Project and learn local information. In the social appraisal under this Project, the SA Team held forums attended by villagers and cadres at the county (city), township (town) and village levels in strict conformity with the World Bank's requirements. During the whole course of appraisal, 2 county-level cadre forums, 5 township (town) level cadre forums, 7 village-level cadre forums and 14 villager forums were held in total. A. Considering differences in attitude, expectation and worry due to gender role and nationality, the SA Team held villager forums of minority village, forums of male and female villagers separately to listen to the voice of the affected from different groups. B. When holding a villager forum, the Team had a team member preside the meeting not attended by any village cadre, so that villagers can talk freely. C. Any villager forum was attended by at least 10 persons, involving men and women, people of the Chuang and Han nationalities, the poor and the rich, the married and the unmarried, the elderly and the young. D. When holding a villager forum, the team members would prepare snacks for villagers to make the forum a relaxing tea party. E. At forums of different levels, the Team employed different workflows. On a county (city) or township (town) level cadre forum, the key business is to introduce the Naji Shipping Pivot, the Team's specific objective, learn the background of that county (city) or township (town), collect relevant written materials and make sequencing on "the Project's local influences" and "factors affecting the local economic development (advantages and disadvantages). On a village-level cadre forum, the key matters are to brief the Naji Shipping Pivot, explain the Team's specific objective, learn the village's background, collect relevant written materials, make sequencing about "the Project's influences on the village" and "factors affecting the village's economic development (advantages/disadvantages) and draw maps (community, resource distribution, traffic). On a villager forum, the Team would brief the Naji Shipping Pivot, explain its specific purpose, have villagers make sequencing on "the Project's influences on the village  and oneself', "causes for richness and poverty" and "labor productivity", draw maps (seasonal activity chart, daily life chart). F. While holding a villager forum, the SA Team also found some representative families and villagers of that village as a reference for in-depth interview. G. The Team found out that women at the 7 POIs were more active for forums and more willing to express their own ideas than men did. H. Data collected and problems found out from all levels of forums will be described, quoted, analyzed and evaluated herein. 1.2.3.3 In-depth Interview Personal in-depth interview is an interaction between the interviewer and respondent. An trained interviewer is able to select a typical interviewee and also find out his/her special experiences, background, special requirements, ideas and viewpoints to be either expressed or concealed. These are likely to be neglected by the questionnaire survey and group forum. In-depth interview is also the intensive embodiment of the fieldwork method's application in social appraisal. In this social appraisal, the SA Team designed the outlines for interview with villagers and village cadres respectively. The outline for interview with village cadres covers an affected village's basic information, land requisition and migration vs. Project execution, minority vs. Project execution. The personal interview outline covers a villager and his/her family's background, the Project's personal influences, his/her attitudes towards and suggestions for the Project, minority villagers, etc. The team members selected typical local people as the object of door-to-door interview, in which village cadres evaded. Cases collected by this means will also be described herein. 1.2.3.4 Data source This report uses the following 6 types of data: A. Official statistics: such as "Chinese Statistical Yearbook", "Rural Statistical Yearbook of China", statistical statements of investigated counties, towns and villages. B. Relevant policies and plans formulated by the local government, e.g., governmental work reports, annual work summary of each department, etc. C. Local annals: such as "Tianyang County Annals", "Annals of Baise City". D. Fieldwork data: In this investigation, altogether 130 peasants have been interviewed, 88 cases of in-depth interview, 124 effective questionnaires and 45 maps/charts (7 community maps, 6 resource distribution maps, 4 traffic maps, 14 seasonal activity charts, 14 daily activity charts) were collected and 56 items of sequencing (21 items on the Project's influences, 14 items on wealth, 7 items on factors affecting the local economic development and 14 items on labor productivity). E. Relevant papers and books: The Project's influences on the minorities in the Affected Areas are a focus of this social appraisal. For this purpose, the SA Team consulted the relevant ethnic policies, laws and regulations of the State, Autonomous Region and  Baise District, papers on the Chuang nationality's identification, society, cultures and ethnographies. F. Plans and reports already in place at the initial stage of the Project: "Feasibility Study Report for Naji Shipping Pivot Project for Youjiang River Shipping Construction" and "Special Report on Compensation for Reservoir Inundation and Migrant Resettlement Planning (Feasibility Study Report for Naji Shipping Pivot Project for Youjiang River Shipping Construction)". When applying the above references, the SA Team followed 3 principles strictly: 1) try to use the latest statistics; 2) where village-level statistics data is involved, try to use firsthand data from fieldwork, which would be more objective and accurate; and 3) incorporate the ideas and opinions of peasants and all levels of local organizations into the discussion and analysis of any issue to avoid any fallacy of composition. 1.2.4 Agenda of Social Appraisal Sep.16-17 SATeam arrived in Nanning from Guangzhou Sep.17 SATeam arrived at Tianyang from Nanning Sep. 18-20 SA Team investigated at Nabi AV under Napo Town Sep.21 SA Team investigated at Natuo AV, Napo Town Sep.22 SA Team investigated at Baifeng AV, Baifeng Township Sep.23 SA Team investigated at Nayin AV under Baifeng Township Sep.24-26 SA Team arrived at Baise City, investigated at Fulu AV under Nabi Township Sep.27-28 SA Team investigated at Guiming AV under Sitang Town Sep.29 SA Team investigated at Donghe AV under Baise Town Sep.30 SA Team finished investigation and returned to Nanning City  Chapter 2 General Survey of Affected Areas Baise District is located in West Guangxi, East Longitude 104