世界银行贷款云南城市环境项目
World Bank Financed
Yunnan Urban Environmental Project
Social Assessment
(Summary Report)
[pic]
China Cross-cultural Consulting Center,
Sun Yat-sen University
Dec, 2007
Abstract
Entrusted by the Provincial Project Office, Kunming/Dali/Lijiang/Wenshan Prefecture/Municipal Project Offices of the World Bank Financed Yunnan Urban Environmental Construction Project (the “Project”), the social assessment experts of the China Cross-cultural Consulting Center, Sun Yat-sen University (CCCC) conducted a field survey of social assessment of the 29 subprojects under the Project in the 4 affected prefectures/cities during December 1-20, 2006, and completed the general social assessment report for Kunming, Dali, Lijiang and Wenshan Prefectures/Cities on January 5, 2007 as scheduled. The general social assessment report consists of two parts: The assessment report of the Project’s overall social impacts and the assessment report of the Project’s impacts on the Indigenous Peoples (IPs) involved. This report is the first part of the general social assessment report.
The Yunnan Urban Environmental Construction Project is composed of 28 subprojects, falling into the four categories of basin and river course management, wastewater treatment and sewer network, solid waste disposal and other, involving drainage (sewage treatment), water supply, domestic waste treatment, river course management, runoff pollution control, environmental monitoring and management, and cultural heritage protection in Kunming, Dali, Lijiang and Wenshan Prefectures/Cities.
The Yunnan Urban Environmental Construction Project covers 77Xiangs/towns/sub-districts in 17counties/districts in Kunming, Dali, Lijiang and Wenshan Prefectures/Cities, Yunnan Province, with a total benefited population of 1.9811 million, including an urban population of 1.1025 million (55.65%) and a rural population of 878,600 (44.35%). The benefited population is 754,000 in Kunming (urban population 77.14%, rural population 22.86%), 608,800 in Dali (urban population 32%, rural population 68%), 180,100 in Lijiang (urban population 57.87%, rural population 42.13%) and 438,200 in Wenshan (urban population 50.62%, rural population 49.38%). The affected regions include 10 key counties for state poverty relief and3 national autonomous counties.
At the preparatory stage for social assessment, the World Bank’s SA experts identified the key social factors affecting the fulfillment of the project objectives: (1) For the basin and river course management projects, the key social influencing factors include the behavior pattern of the affected peoples, social participation, organizational arrangement, poverty problem, willingness and ability to pay, etc; (2) For the wastewater treatment and sewer network, solid waste disposal and other environmental infrastructure construction projects, the key social influencing factors include land requisition and relocation, lifestyle of the affected peoples, poverty problem, willingness and ability to pay, etc; (3) IPs: The key social factors include the policies applicable to the IPs; population, social and cultural features of the IPs; learning the IPs’ specific requirements through consultation; obtaining the IPs communities’ support to the Project through consultation; and the proposal of measures that suit the IPs cultures, avoid or reduce negative impacts on the IPs communities.
On the basis of the fieldwork data of social assessment and the social assessment sub-reports of Kunming, Dali, Lijiang and Wenshan Prefectures/Cities, this report is concerned mainly about the following:
1. The IPs in the affected regions and the Project’s impacts on the IPs, and the need for a separate Indigenous Peoples Plan (IPP) for the IPs in the affected regions: The SA Group has analyzed the cultural features of the IPs in the affected regions, the Project’s impacts on the IPs and the equal benefits of the IPs with reference to OP4.10. The analytical results are embodied in the “General Social Assessment Report: Indigenous Peoples” section, and is not detailed herein.
2. The poor population in the affected regions and the Project’s impacts on the poor population. The Project will benefit a rural and urban poor population of 70,300, accounting for 3.6% of the Project’s total benefited population, including a rural poor population of 42,700 and an urban poor population of 27,700. A rural poor population of 1,700 and an urban poor population of 9,400 will be benefited in Kunming, accounting for 1.5% of Kunming’s total benefited population; a rural poor population of 12,200 and an urban poor population of 14,000 will be benefited in Dali, accounting for 4.3% of Dali’s total benefited population; a rural poor population of 3,000 and an urban poor population of 3,000 will be benefited in Lijiang, accounting for 3.3 % of Lijiang’s total benefited population; a rural poor population of 10,900 and an urban poor population of 16,300 will be benefited in Wenshan, accounting for 6.2% of Wenshan’s total benefited population.
Most projects involve land requisition or relocation. Relative poor communities and peoples are often disadvantaged in utilizing compensation for resettlement, benefiting from the Project and active adaptation. In some projects involving relocation of urban residents, the affected poor peoples might have reduced income (such as rental income) and lose their existing relation network. In addition, after the Project is completed, sewage and waste treatment charges and other like charges might increase the burden of poor urban households.
The project design covers the rural and urban poor populations. From the following aspects, the present project design will not marginalize the poor population or lead to additional poverty, because: 1) The Project can improve the living environment and conditions of the poor population, improve health level; 2) The Project can provide job opportunities to the poor population and increase income; 3) The preferential policies for the poor population after the Project’s completion will relieve their burden effectively; 4) The resettlement action plan built around the poor population’s cultural and development needs can help them restore their livelihood and provide opportunities of development.
3. Involuntary migration resulting from the Project: Land requisition and relocation will change the means of living and reduce the income of the involuntary migrants, and might also trigger a further series of potential, chronic social, cultural and psychological impacts.
4. Present situation of payment, willingness and ability to pay: A small number of affected regions have preferential policies in place for payment of the poor population. The SA Group has calculated the ratio of annual per capita water expenditure to annual disposable income of the urban residents in the affected districts/counties. The ratio ranges from 0.8% to 1.8%. The SA Group has calculated the poor population’s ratio of monthly water expenditure to income based on the allowance for low-income urban residents. This ratio may be up to 3.9%; the urban poor people in Gucheng District and Yulong County, Lijiang have a free water volume of 4 m3 per month. At the water consumption rate of 110 liters/person/day, the poor people entitled to the allowance for low-income urban residents do not have to pay for water. In reality, the income of the urban poor population is often lower than the above allowance and a family even has a member without income, in which case the ratio of monthly water expenditure will be higher. The ratio of waste treatment expenditure to income is low for both ordinary residents and the poor population.
5. Behavior pattern of affected residents and environmental protection: This report pays special attention to the sense of environmental protection of the affected peoples and the suitability of their lifestyle for the project objectives. It is thought that the environmental issues in the affected regions are closely associated with the affected peoples’ lifestyle.
6. Participation of the primary stakeholders in the Project: In the fieldwork, the SA Group has conducted free prior informed participation of the primary stakeholders by means of forum, interview, drawing and ranking, analyzed development, project needs, project impacts and suggestions together. The SA Group has prepared the Participation Outline of the Primary Stakeholders on this basis.
The SA Group thinks the social benefits of the Yunnan Urban Environmental Construction Project include:
1. The implementation of the Project will play an active role in improving the local environmental quality, improving the urban and living environment, expanding urban spaces, improving the city image and investment environment, and driving urbanization.
2. This Project’s promotion of urban economic development will be a long-lasting process. These effects of promotion include: 1) improvement of urban environment; 2) perfection of urban infrastructure; 3) development of tourism, agriculture, service and other industries; 4) generation of job opportunities during and after the construction period; and 5) laying a foundation for the deepening of urbanization.
3. The Project will also drive the organizational capacity building for environmental protection in the affected regions, introduce advanced approaches of project management, establish an advanced office management system and help foster a number of managerial personnel of environmental projects. The Project will also build up and enhance the sense of environmental protection of the affected residents.
4. The IPs are the main benefited population of the Project. The Project can improve the IPs’ local environment, giving them the access to nonagricultural development and increased income.
5. The Project covers the rural and urban poor populations, can improve the living environment and conditions of the poor population, improve health level. The Project can provide job opportunities to the poor population and increase income.
The SA Group thinks the Project’s potential social risks include:
1. Risk of resettlement: 19 subprojects involve land requisition and relocation, which is a key potential social risk of the Project.
2. Risk of low ability to pay of urban poor population: After the Project is completed, some environmental charges may increase, aggravating the economic pressure of the urban poor population.
3. Risk of secondary pollution: In treating urban sewage, refuse and river course silt, the Project might bring air, water and soil pollutions to the construction sites due to the pollutants’ characteristics.
4. Risk of residents’ lifestyle to the fulfillment and continuation of project objectives: Most affected residents have not realized that they are also one of the pollution sources of the rivers/lakes, nor have they realized that the purification and pollution control of the rivers/lakes is their responsibility. This might be adverse to the fulfillment and continuation of the project objectives.
5. Risk of residents’ sense of environmental protection: The primary stakeholders have not realized their behavior’s impacts on the surrounding environment, and that they are one of the subjects of environmental control, which is adverse to their participation in the Project throughout the construction period.
6. Risk of subsequent project management: Subsequent project management is a key to maintain the sustainable effects of the Project and is a key indicator of the Project’s sustainability.
7. Organizational capacity building: It is a key to the successful implementation of the Project to assure that organizational capacity building is suited to projects of different natures and the objective need to relieve environmental issues.
8. Conflict between residents and project construction: The construction of the Project might cause inconveniences to the residents’ living and bring security problems. If these negative impacts cannot be avoided or relieved properly, there is likely to be a conflict between the residents and the executive body, thereby affecting the construction progress.
For the above possible social risks, the SA Group’s suggestions include:
1. Optimize the design. The Employer and the feasibility study organization of the Project are advised to minimize the scale of land requisition and relocation in the design, and take advanced environmental protection measures to avoid any possible secondary pollution resulting from the Project.
2. Carry out participatory activities. The Employer, Project Office and SA Group shall prepare a beneficiary participation outline jointly and conduct monitoring and evaluation of participatory activities to ensure that the primary stakeholders participate in the Project throughout the preparation, design, implementation, monitoring and evaluation stages of the Project and build up the sense of subject of environmental protection.
3. Give education and training on environment and public health. Training shall be given on the applicable national, local environmental indicators and regulations; water conservation, civil treatment of sewage and refuse, runoff pollution control, waterborne disease prevention, waste recycling; which lifestyles might have impact on the surrounding environment under the leadership of the relative government departments, with the assistance of the propaganda department, education bureau, EPA, radio and television bureau, newspapers, sub-district/town/Xiang and neighborhood committee/village.
4. Prepare a rational resettlement action plan. The Project Office, Resettlement Plan Preparation Team and Employer are advised to ensure that the standard of living of the migrants will not reduce as a result of the Project on the basis of consultation with the affected peoples in accordance with the applicable policies, give consideration to the negative impacts on the IPs’ traditional cultures resulting from the impacts on their land and natural resources, and give priority to the resettlement of IPs migrants and their communities, relatively poor migrants and their communities.
5. Provide job opportunities. The Project Office, Employer and constructors are advised to provide job opportunities in project construction to the migrants, urban and rural poor populations, women and IPs together with the civil administration bureau and social security bureau.
6. Formulate and implement preferential charging policies for the poor peoples. The Project Office, Employer and price bureau are advised to formulate a charging policy suited to the local poor population on the basis of public hearing.
7. Maintain safety and convenience during construction. The Employer and constructors are advised to schedule construction in full consideration of the local residents’ objective needs and habits for production and living.
8. Organizational capacity building: In the wastewater treatment and solid waste disposal projects, it is advised to define the rights and obligations of the constructor, manager and maintainer, and the sharing of incomes and costs; in the basin and river course management projects, a cross-regional environmental control body should be set up, environmental monitoring and evaluation and the law enforcement capacity should be strengthened.
9. Subsequent project management mechanism building. The SA team suggests that the local residents should participate to the subsequent project management through the community subsequent project management group. The group should include the representatives of women and minorities. And the environmental institutions need to reinforce to legislate and execute environmental laws and policies, and keep the environmental education.
Based on an overall analysis of the Project’s social impacts, the SA Group has proposed actions to minimize the Project’s negative impacts and assure the primary stakeholders’ equal benefits for each subproject and each type of subprojects.
The SA Group thinks that all the four categories shall take actions in the following aspects: (1) carrying out community participatory activities to learn the primary stakeholders’ needs and suggestions; (2) preparing a resettlement action plan for the subprojects involving land requisition and relocation to help the migrants restore their production and living; and (3) scheduling construction rationally, and providing job opportunities to the affected peoples, especially the disadvantaged peoples.
In addition, in the basin and river course management projects, propaganda with the goal of building up the primary stakeholders’ sense of subject of environmental protection shall be given, so that they can understand their lifestyle’s impacts on the environment. A participatory management system shall also be built for the environmental infrastructure based on the existing village organizations.
The propaganda of the wastewater treatment and sewer network and solid waste disposal projects shall be focused on the Project’s techniques to help the primary stakeholders understand and support the Project. Secondly, the project design shall be optimized to avoid secondary pollution, and regular environmental monitoring shall be carried out involving the primary stakeholders, with monitoring results published regularly. Finally, preferential charging policies shall be made for the disadvantaged peoples to relieve their burden.
Among the “Other” projects, a resettlement action plan that suits the Naxi culture shall be prepared for the Lijiang Lion Mountain Environment Renovation Project, and opportunities and preferential policies provided to the affected IPs (especially women and poor IPs population) to participate in the tourist development of the Lion Mountain. Meanwhile, opportunities shall also be provided to the affected villages or sub-districts to develop collective economy. In the Capacity Building in Environment Monitoring and Supervision System of Wenshan Prefecture, the needs and problems of the prefecture’s environmental monitoring and supervision system shall be learned with the participatory method and the project design shall be optimized to fit the practical situation.
Foreword
During December 1-20, 2006, the CCCC social assessment experts went to Kunming, Dali, Lijiang and Wenshan Prefectures/Cities, Yunnan to conduct a field survey of social assessment of the 28 subprojects under the Project.
The key objectives of this social assessment are: (1) To learn the social and economic background of the affected regions, analyze the key social factors affecting the fulfillment of the project objectives; (2) To identify the primary stakeholders, carry out activities that involve the primary stakeholders, analyze their needs and impacts; (3) To evaluate the Project’s potential positive and negative impacts, and analyze the Project’s possible social risks; (4) To bring the social factors relating to the fulfillment of the project objectives into the project design, and propose measures to avoid or reduce negative impacts; (5) To determine whether an IPP is to be prepared for the IPs in the affected regions as per the World Bank’s OP4.10.
In the 20-day fieldwork, the SA Group collected all information required for social assessment by means of selection of key points of survey (POSs) in the affected regions, forum with the primary stakeholders, questionnaire survey, in-depth interview and participatory rural assessment (PRA). During December 20-25, 2006, we analyzed and compiled the information collected, and completed the social assessment sub-reports and general report for Kunming, Dali, Lijiang and Wenshan by January 5, 2007. From March to August 2007, the SA Group made some supplements and amendments to the General Report of Social Assessment and the prefecture/municipal sub-reports based on the inputs from the World Bank officials, experts of the international consulting company and the provincial, prefecture/municipal project offices.
This social assessment was accomplished with the great support of Mr. Zhou Bo, Mr. Li Jiangping, Ms Guo Ping and other officials of the Project Office, prefecture/ county/municipal project offices and employers, as well as the villagers/residents at the POSs and the governments of the prefectures/cities, counties/cities, Xiangs/towns/neighborhoods within the affected regions. In the implementation and reporting of social assessment, World Bank expert Mr. Wang Chaogang and Ms Chen Shaojun at Hohai University offered valuable inputs and suggestions. We’d like to express our heartfelt thanks to the leaders and coworkers who have devoted their hard work to this Project!
CONTENTS
Abstract I
1. Background 3
1.1 Need to implement the Project 3
1.2 Development objectives the Project 8
1.3 Expected social benefits of the Project 8
1.3.1 Basin and river course management projects 8
1.3.2 Wastewater treatment and sewer network projects 8
1.3.3 Solid waste disposal projects 8
1.3.4 Other: 9
1.4 Objectives of social assessment 9
1.5 Key social factors affecting the fulfillment of project objectives 9
1.6 Methods of social assessment 9
1.6.1 Social survey 9
1.6.2 Choice of POSs 10
1.6.3 Date sources 13
1.7 Report structure 14
2. Social and economic overview of project locations 15
2.1 Definition of affected regions 15
2.2 Social and economic situation of affected counties/districts 19
2.3 Poverty of affected regions 22
3. Analysis of stakeholders 24
3.1 Identification of stakeholders 24
3.2 Stakeholders’ participation in the Project 25
3.2.1 Forum of officials 25
3.2.2 Forum of employers 25
3.2.3 Free prior informed participation of primary stakeholders 25
3.3 Demand analysis of stakeholders 27
4. Project impact analysis 30
4.1 Migration 34
4.2 Poor population 35
4.2.1 Rural poverty 35
4.2.2 Urban poverty 36
4.3 Impact analysis on behavior pattern of affected peoples 36
4.3.1 Erhai Lake Basin 36
4.3.2 Puzhehei Lake Basin 38
5. Analysis of willingness and ability to pay 41
5.1 Present situation of payment 41
5.1.1 Water charge collection 41
5.1.2 Waste charge collection 42
5.2 Analysis of willingness and ability to pay 42
5.2.1 Willingness to pay 42
5.2.2 Ability to pay 43
5.2.3 Ability to pay of poor population 44
6. Identification and control of social risks 45
6.1 Identification of social risks 45
6.2 Control of social risks 46
6.2.1 Risk control measures 46
6.2.2 Institutional arrangement and monitoring assessment 48
7. Community participation strategy 73
7.1 Principles and framework of participation 73
7.2 Outline of participation of primary stakeholders 74
8. Conclusions, suggestions and actions 89
8.1 Conclusions 89
8.2 Suggestions 90
8.3 Actions 91
Appendix I 98
Appendix II 99
Appendix III 100
Appendix IV 102
Appendix V 104
Appendix VI 108
Appendix VII 111
Appendix VIII 114
1. Background
1.1 Need to implement the Project
Yunnan Province is located in the southwest frontier of China, bordering on Guizhou Province, Guangxi Zhuang Autonomous Region, Sichuan Province, Tibet Autonomous Region, Burma, Laos and Vietnam. The province has a territory of 394,000 km2, including an upland area of 94%. At the end of 2005, the province’s urbanization rate will attain 29.5%. During the Eleventh Five-year Program, the province plans to reach an urbanization rate of 35%, a gross GDP of 522.5 billion yuan, a per capita GDP of 11,360 yuan and an annual GDP growth of 8.5% by 2010.
However, the rapid development of urbanization and tourism has gone beyond the bearing capacity of the existing urban infrastructure, bringing great challenges to the overall urban living conditions. Deterioration of urban environment, such as water degradation in the Dianchi and Erhai Lakes, and a general lack of urban infrastructure that supports the urbanization process have emerged, which is especially true in small towns. Although great effort is being paid to pollution prevention and control these years, pollution remains serious in the surface water and main lakes near the cities in the province.
The above problem of development has been taken as the priority in urbanization and the precondition to the sustainable social, economic development in the Eleventh Five-year Plan. Based on the experience from Phase 1 of the Project, further cooperation was sought for with the World Bank and the World Bank Financed Yunnan Urban Environmental Construction Project (the “Project”) was proposed. This Project was approved by the State Council in September 2005, and listed in the State Planning of Candidate Projects Utilizing World Bank Loan in the fiscal years of 2006-2008.
The Yunnan Urban Environmental Construction Project is composed of 28 subprojects, falling into the four categories of basin and river course management, wastewater treatment and sewer network, solid waste disposal and other, involving drainage (sewage treatment), water supply, domestic waste treatment, river course management, runoff pollution control, environmental monitoring and management, and cultural heritage protection in Kunming, Dali, Lijiang and Wenshan Prefectures/Cities. See Table 1-1:
Table 1-1 List of Projects
|Type |No. |Subproject |Scope |Employer |
|Basin and|1K |Total Water Pollutant Monitoring, |① River monitoring system: 3 automatic monitoring stations for lake-going rivers, 14 river flow monitoring stations, 2 floating |Kunming Environmental |
|river | |Management and Support System in |monitoring stations, 2 floating sampling cars, 1 set of water quality lab equipment; |Monitoring Center / |
|course | |Dianchi Catchment Area |② Total water pollutant monitoring and management support information system and monitoring center |Kunming Environmental |
|managemen| | | |Information Center |
|t | | | | |
|projects | | | | |
| |2D |Integrated Water Environment |Including the environmental management of the Yong’an River, Luoshi River, Mizu River, Boluo River, Shibaxi River in Cangshan |Dali Municipal Water |
| | |Management of Major River Courses |Mountain, including river pollution source control, river course silt clearing, ecological river course construction, ecological|Conservancy/Dali |
| | |into Erhai Lake |restoration and protection, etc. |Municipal EPA, Eryuan |
| | | | |County EPA |
| |3D |Rural Runoff Pollution Control in |Construction of domestic wastewater treatment facilities and supporting sewer network of 28 key villages in Erhai Lake Basin; |Dali Municipal EPA, |
| | |Lake Erhai Basin |construction of 51 rural sanitary toilets, 2,545 sanitary dry toilets |Eryuan County EPA |
| |4W |Integrated Environment Management in |Construction of 18.4km of dry masonry revetment, 11.9km of watercourse, silt clearing of 6,000m3, construction of a landscape |Funing County Hongxing |
| | |Putting River Basin of Funing County |belt of 80690m2, construction of 4 bridges |State Assets Operations |
| | | | |Co., Ltd. |
| |5W |Integrated Water Environment |Pollution control and living environment improvement for the villages in the basin, construction of 14 sewage treatment systems |Qiubei County Puzhehei |
| | |Management in Puzhehei River Basin of|at 8 key waterfront villages, with a total treatment capacity of 3500m3/d |Tourist Development Co.,|
| | |Qiubei County |Construction of 105 ecological dry toilets, 7 biological purification public toilets, 110 distributed double-chamber compost |Ltd. |
| | | |systems, 230 refuse collection tanks, with a total solid waste treatment capacity of 120t/d | |
| | | |Management of 4 lake-going watercourses: setup of trash racks, regulating locks and outlet weirs at the lake estuaries of the | |
| | | |four rivers – Yuezheda, Xinzhai Dagou, Laojiugou and Bailong Lake Digou | |
| |6W |Integrated Environment Management |Watercourse management: river bank protection, reinforcement, ecological dyke construction, for a total length of 12.39km, |Wenshan County |
| | |Project of Panlonghe River in Wenshan|including 9.83km from Huituqiao to Panshui River, 2.56km from Chengnan Park to Niutouzhai |Development Investment |
| | |County |Upstream soil loss control: transformation of slope to terrace for 1,726.93 hectares in 17 small basins in the three |Co., Ltd. |
| | | |Xiangs/towns of Dehou, Hongdian and Binlie upstream Panlonghe River, plantation of soil protecting forest and economic fruit | |
| | | |forest of 3,438 hectares, grass planting, soil retention cultivation, blockage of 4,466 hectares, with a control area of | |
| | | |122.9775km2 | |
|Wastewate|7D |Dali City Urban Integrated Drainage |Sewer network and rainwater network for Fengyi Town, Gucheng area, resort and Xizhou Town |Dali Water Supply & |
|r | |Pipe Network Project | |Sewerage Co., Ltd. |
|treatment| | | | |
|and sewer| | | | |
|network | | | | |
|projects | | | | |
| |8D |Wastewater Treatment Plant and |Construction of a sewage treatment plant in Dengchuan, 1200T/d in the near future, 1600T/d in the long term, complete with a |Eryuan County Water |
| | |Associated Sewer Network in Dengchuan|sewer network |Supply & Sewerage Co., |
| | |County | |Ltd. |
| |9L |Sewage Treatment Plant and Associated|① Intercepting sewer network D=400-900mm, total pipeline length 42.56km |Huaping County Water |
| | |Sewers in Huaping County Town |② Wastewater treatment plant, design capacity 12,000m3/d, 6,000m3/d in the near future, 6,000m3/d in the long term |Supply & Sewerage Co., |
| | | | |Ltd. |
| |10L |Second Municipal Wastewater Treatment|① Construction of a second wastewater treatment plant, total design capacity 70,000m3/d, 20,000m3/d in the near future, |Lijiang Water Supply & |
| | |Plant and Associated Sewer Network in|50,000m3/d in the long term, including sewage treatment facilities and auxiliary facilities |Sewerage Co., Ltd. |
| | |Lijiang City |② Supporting sewer network: downtown Lijiang, Xintuan area and main sewer network of Yulong County Town (d400-d1800mm), with a | |
| | | |total area of 23125m | |
| | | |③ Factory entry/exit sewer network 2913m | |
| |11L |Urban Drainage Pipe System in Yulong |Construction of rainwater collecting system: 52km |Yulong County |
| | |County | |Construction Bureau |
| |12W |Municipal Wastewater Treatment Plant |Phase 1 construction of a sewage treatment plant in the southeast of the county town (total design capacity 17,000m3/day, Phase |Funing County Water |
| | |and Associated Sewer Network Funing |1 8,500 m3/day); construction of an interception pipeline (DN400-800) 7.54km, serving an area of 4km2 and a population of 41,000|Supply & Sewerage Co., |
| | |County |in the near future (2010) |Ltd. |
| |13W |Municipal Wastewater Treatment Plant |① Sewage treatment plant: 8,000t/d (near future 2010), 16000t/d (long term 2020); |Guangnan County Water |
| | |and Associated Sewers in Guangnan |② Associated sewer network 14.892km, pipe diameter D=300-900mm |Supply & Sewerage Co. |
| | |County | | |
| |14W |Municipal Wastewater Treatment Plant |① Interior works of a sewage treatment plant with a capacity of 5,000m3/d; |Malipo County Water |
| | |and Associated Sewer Network of |② Construction of an interception pipeline of 13.193km along Chouyang River |Supply & Sewerage Co. |
| | |Malipo County | | |
| |15W |Municipal Solid Waste Collection and |① Construction of a sewage treatment plant with a capacity of 6,000m3/d; |Qiubei County Water |
| | |Disposal Project in Luquan County |② Construction of a 22.827km sewer network in the about 6.76km2 urban area of Qiubei county town |Supply & Sewerage Co. |
| |16w |Municipal Wastewater Treatment Plant |① Construction of a waterworks with a capacity of 6,000m3/d in the near future and 16,000m3/d in the long term (temporarily |Qiubei County Water |
| | |and Associated Sewer Network in |named as Third Waterworks of QIubei County); technical innovation of Second Waterworks of Qiubei County, addition of a set of |Supply & Sewerage Co. |
| | |Qiubei County |active carbon absorbing and filtering equipment | |
| | | |② A DN600 gravity flow water delivery pipeline 2.2km; a DN400 pressure flow water delivery pipeline 1.5km; county town water | |
| | | |distributing trunk system DN100~ DN300 water supply pipe 19.902km; | |
| | | |③ Structures and buildings for the water supply system, including water head, lift pump stations, manholes, etc; | |
| | | |④ Water source protection: conservation of the water source – Longtan old town, including heightening the dyke, grouted rubble | |
| | | |revetment, Longtan Lake clearing and fencing; | |
| | | |⑤ Raw water lift pump station: construction of a pump station with a capacity of 9,000m3/d in the near future and 19,000m3/d in | |
| | | |the long term on the reserved plot of the existing raw water lift pump station | |
| |17W |Municipal Wastewater Collection |1) Reconstruction of combined pipeline in the old town: DN400-DN1000, hollow corrugated PE, 12km; |Wenshan Water Supply & |
| | |Network in Wenshan County |2) Construction of sewer branch pipeline in the old town: DN400-DN700, hollow corrugated PE, 20km; |Sewerage Co. |
| | | |3) Construction of rainwater pipeline in the old town: DN400-DN1500, reinforced concrete pipe, 26km; | |
| | | |4) Construction of interception pipeline on both banks of the planned new area of Panlong River: DN400-DN900, hollow corrugated | |
| | | |PE pipe, 17km; | |
| | | |5) Construction of interception pipeline on both banks of the old town of Panlong River: DN500-DN1200; hollow corrugated PE | |
| | | |pipe, 11.9km (including 9.8km pipe pushing construction); serving an area of 19km2 | |
| |18W |Municipal Wastewater Collection |Construction of a rain sewer pipe of 10.77km (D300~ D1200) and an open drainage channel of 1.1km in the planning area of Yanshan|Yanshan County Water |
| | |Network of Yanshan County |county |Supply & Sewerage Co., |
| | | | |Ltd. |
|Solid |19K |Municipal Solid Waste Collection and |Domestic waste disposal plant and auxiliary facilities and county town waste collection system; with a treatment capacity of |Luquan County Waste |
|waste | |Disposal Project in Luquan County |90t/d, a total storage capacity of 895,000m3 |Treatment Co. |
|disposal | | | | |
|projects | | | | |
| |20K |Municipal Solid Waste Collection and |Waste landfill, auxiliary facilities, waste collection system, closing of existing dump, etc; with an average treatment capacity|Songming Waste Treatment|
| | |Disposal Project in Songming County |of 85t/d, a total storage capacity of 427200m3 |Center |
| |21K |Municipal Solid Waste Collection and |Waste landfill, waste transfer stations, other public facilities, closing of existing dump, etc; with an average treatment |Waste Collection & |
| | |Disposal Project in Xundian County |capacity of 70t/d, a total storage capacity of 550,000m3 |Disposal Center of |
| | | | |Xundian Hui-Yi |
| | | | |Autonomous County |
| |22D |Municipal Solid Waste Collection and |Domestic waste landfill and spillage pipeline |Eryuan County |
| | |Disposal Project in Eryuan County | |Environmental Health |
| | | | |Station |
| |23L |Municipal Solid Waste Collection and |Construction of a waste disposal plant, with an average treatment capacity of 为270 t/d, a required storage capacity of 2 |Gucheng District Waste |
| | |Disposal Project in Lijiang City |million m3; |Treatment Plant |
| | | |Construction of office site of management body; | |
| | | |Waste transfer station, renewal, purchase of waste collection equipment, street waste collecting container | |
| |24W |Municipal Solid Waste Collection and |Construction of a new landfill 4.5km northwest of Funing County, with a design capacity of 70t/d, a total storage capacity of |Funing County Hongxing |
| | |Disposal Project in Funing County |670,000m3, including living management area, waste land-filling area, production management area, site road, working road, flood|State Assets Operations |
| | | |ditch, lighting, water supply, drainage, landscaping, environment quality monitoring system, etc, with a total building area of |Co., Ltd. |
| | | |about 900m2 | |
| |25W |Municipal Solid Waste Collection and |Construction of waste landfill, waste transfer station, other public facilities, closing of existing dump, etc; the landfill has|Maguan County Waste |
| | |Disposal Project in Maguan County |two zones, Zone 1 has a landfill area of 25,000m2, a storage capacity of 170,000m3; Zone 2 has a landfill area of 37,000m2, a |Collection & Disposal |
| | | |storage capacity of 585,000m3 |Co., Ltd. |
| |26W |Municipal Solid Waste Collection and |Waste landfill, other public facilities, closing of existing dump, etc; with an average treatment capacity of 44t/d, a storage |Malipo County Urban |
| | |Disposal Project in Malipo County |capacity of 400,000m3 |Waste Disposal Center |
|Other |27L |ijiang Lion Mountain Environment |Including demolition of existing buildings, construction of municipal infrastructure and tourist facilities |Lijaing Gucheng |
| | |Renovation Project | |Management Co., Ltd. |
| |28W |Capacity Building in Environment |Capability building in environment monitoring and supervision system of Wenshan Prefecture (procurement of urgent monitoring |Wenshan Prefecture EPA |
| | |Monitoring and Supervision System of |instruments, equipment and office equipment, etc) | |
| | |Wenshan Prefecture | | |
Date source: Subproject feasibility study reports of Yunnan Urban Environmental Construction Project
1.2 Development objectives the Project
The overall objectives of the Project are: (1) To abate the pollution load in lake (Dianchi, Erhai) basins, and retard environmental deterioration; and (2) to expedite urban infrastructure construction in the affected towns, improve urban environment and further facilitate urbanization and economic growth.
The objectives of the affected prefectures/cities are:
(1) Kunming and Dali: a) to support water quality improvement in the basins of the Dianchi and Erhai Lakes, improve the management capability using the integrated basin management approach; b) to facilitate urban environmental infrastructure construction and improve urban environment in the basins;
(2) Lijiang: to facilitate environmental infrastructure construction of Lijiang and surrounding towns, further promote urbanization and tourism development;
(3) Wenshan: to facilitate urban environmental infrastructure construction in Wenshan Prefecture, lay a foundation for urbanization and economic growth.
1.3 Expected social benefits of the Project
1.3.1 Basin and river course management projects
① To improve overall basin and river environment, facilitate and guarantee regional economic health and sustainability;
② To promote technical improvement in environmental monitoring, research and management;
③ To improve the government’s effectiveness in regulating pollution sources and environmental management;
④ To improve the living environment in the affected regions, and the public sense of environmental protection in the basin
1.3.2 Wastewater treatment and sewer network projects
① To improve urban drainage to meet the need of economic development and living standard improvement for drainage facilities;
② As an integral part of infrastructure, wastewater treatment plant is a key indicator of a town’s degree of urbanization, has a significant role in building up investor confidence and attracting investment, and may also enable some projects restricted by environmental issues to be implemented;
③ To accelerate economic development and urbanization, provide more job opportunities, create a favorable environment for reemployment and business restructuring;
④ To protect environment, maintain ecological balance and promote sustainable economic development;
⑤ To improve living conditions, promoting people’s physical health, making everyone realize that a high financial cost must be paid to conserve water resources by giving propaganda and imposing sewage charges, thereby improving the residents’ sense of environmental protection.
1.3.3 Solid waste disposal projects
① To create a good urban outlook, improve urban investment environment and strengthen the sustainability of urban development;
② A good urban outlook will promote the growth of the tourist market, and drive the coordinated development of transport, arts and culture, catering service, agriculture and sideline production, processing, increase local finance and taxation, boosting the development of overall economy and people’s living standard greatly;
③ After the Project is completed, more job opportunities will be available to relieve the employment problem;
④ After the Project is completed, the whole society will realize the importance of waste treatment to all people and society, so that the sense of environmental protection goes deep into everyone’s heart.
1.3.4 Other:
① Lijiang Lion Mountain Environment Renovation Project:
It will improve the city’s ecological, social, investment environment, and urban functions, promote the development of all industries, increasing the overall economic level of this region. A large sum of investment will be used to introduce advanced technology and equipment, and a certain amount of raw materials and goods will be consumed, driving the development of the relevant industries, offering job opportunities, giving technical training to the local people and improving the degree of civilization of the whole society.
② Capacity Building in Environment Monitoring and Supervision System of Wenshan Prefecture
The monitoring and supervisory bodies can address the public right to know about environment and improve the public sense of environmental protection by publishing environmental information. When the environmental monitoring station has better means of testing, it may meet the increasing demand for third-party testing in nuisance-free and organic farm products, enterprise pollution control, indoor air, minerals and metallurgy, in order to serve Wenshan’s economic construction.
1.4 Objectives of social assessment
The key objectives of this social assessment are: (1) To learn the social and economic background of the affected regions, analyze the key social factors affecting the fulfillment of the project objectives; (2) To identify the primary stakeholders, carry out activities that involve the primary stakeholders, analyze their needs and impacts; (3) To evaluate the Project’s potential positive and negative impacts, and analyze the Project’s possible social risks; (4) To bring the social factors relating to the fulfillment of the project objectives into the project design, and propose measures to avoid or reduce negative impacts; and (5) To determine whether an IPP is to be prepared for the IPs in the affected regions as per the World Bank’s OP4.10.
1.5 Key social factors affecting the fulfillment of project objectives
At the preparatory stage for social assessment, the World Bank’s SA experts identified the key social factors affecting the fulfillment of the project objectives:
① For the basin and river course management projects, the key social influencing factors include the behavior pattern of the affected peoples, social participation, organizational arrangement, poverty problem, willingness and ability to pay, etc;
② For the wastewater treatment and sewer network, solid waste disposal and other environmental infrastructure construction projects, the key social influencing factors include land requisition and relocation, lifestyle of the affected peoples, poverty problem, willingness and ability to pay, etc;
③ IPs: The key social factors include the policies applicable to the IPs; population, social and cultural features of the IPs; learning the IPs’ specific requirements through consultation; obtaining the IPs communities’ support to the Project through consultation; and the proposal of measures that suit the IPs cultures, avoid or reduce negative impacts on the IPs communities.
1.6 Methods of social assessment
1.6.1 Social survey
In this social assessment, the survey was conducted using a combination of secondhand literature analysis and fieldwork. In the fieldwork, the SA Group conducted:
① Forum: a) At the province level and each affected prefecture/city and each affected county, the SA Group held forums with officials of different levels of project offices, employers and relevant government agencies; b) It held forums with the primary stakeholders of each key community surveyed, including village/community cadre and the public, especially representatives of the poor, minorities and women; cadres of selected villages/communities. 48 forums of this type have been held, 11 in Kunming, 10 in Dali, 9 in Lijiang and 18 in Wenshan.
② Ranking: On the forums of officials and the primary stakeholders, the SA Group made rankings in respect of project needs, attitude toward the Project, expectations and suggestions. 145 rankings were done in total, 34 in Kunming, 36 in Dali, 32 in Lijiang and 43 in Wenshan.
③ Questionnaire survey: In the key communities and affected regions, the SA Group carried out a questionnaire survey of the primary stakeholders, and the sample covered different stakeholders, especially women, IPs and the poor. 980 valid copies of questionnaire were collected, 196 from Kunming, 162 from Dali, 280 from Lijiang and 342 from Wenshan. The affected entities and stores were also interviewed. 595 males and 380 females were interviewed (1.57:1). The respondents are mostly aged 26-55 years, accounting for 76.6% of the sample. The age group of 26-35 is the largest, accounting for 33%.The respondents come from 10 IPs (Han, Miao, Yi, Bai, Hui, Tibetan, Naxi, Dai, Yao, Zhuang, etc), mostly of the Han nationality (37.2%), the other major nationalities include Yi (14.7%), Naxi (15.5%), Zhuang (11.4%) and Bai (9.9%), etc.
④ In-depth interview: In the key communities and affected regions, the SA Group also conducted in-depth interview, involving a certain proportion of women, IPs and the poor. 269 interview cases were collected in total, 69 in Kunming, 65 in Dali, 57 in Lijiang and 78 in Wenshan.
⑤ Charting: The SA Group drew resources distribution maps and community maps at every key community surveyed. In the door-to-door interview, we produced daily living charts, seasonal charts, labor productivity ranking, etc. 104 charts were collected, 24 from Kunming, 26 from Dali, 22 from Lijiang and 32 from Wenshan.
Table 1-2 Fieldwork Data of SA Group
| |Total |Kunming |Dali |Lijiang |Wenshan |
|Ranking |145 |34 |36 |32 |43 |
|Questionnaire |980 |196 |162 |280 |342 |
|In-depth interview |269 |69 |65 |57 |78 |
|Charting |104 |24 |26 |22 |32 |
1.6.2 Choice of POSs
The criteria for selection of POSs in this assessment include: (1) covering benefited and negatively impacted populations, including poor population, women and other disadvantaged peoples; (2) covering core areas negatively impacted by the Project, especially those affected by land requisition and relocation; (3) covering the main IPs in the affected regions; and (4) covering POSs of different levels of economic development.
According to the above criteria, 61 Xiangs/towns or communities/villages were surveyed in this assessment, of which 49 communities/villages were key POSs.
Table 1-3 POSs and Reasons for Selection
|Type |No. |Subproject |POS |Reason for selection |
| |2D |Integrated Water |Songqu Village, Eryuan County |Old\new Yong’an River basins, Bai |
| | |Environmental Management of | |village, moderately rich |
| | |Major River Courses into | | |
| | |Erhai Lake | | |
| | | |Weijunguo, Eryuan County |Luoshi River Basin, Bai, financially |
| | | | |disadvantaged |
| | | |Fengzhu Village, Dali City |Boluo River Basin, Bai, moderately rich |
| | | |Lijiaying Village, Eryuan |Miju River Basin, Bai, fairly rich |
| | | |County | |
| | | |Yuexi Village, Dali City |Baihe Stream Basin, Bai, fairly rich |
| | | |Xiadui Village, Dali City |Taoxi\Meixi Stream Basin, Hui, |
| | | | |moderately rich |
| |3D |Rural Runoff Pollution |Haikou Village (Eryuan County)|Financially poor, Bai village, far away |
| | |Control in Erhai Lake Basin | |from Erhai Lake |
| | | |Lijiaying Village (Eryuan |Wealthy, Bai village, moderately distant|
| | | |County) |from Erhai Lake |
| | | |Fengxiang Village (Eryuan |Middle in economy, Bai village, far away|
| | | |County) |from Erhai Lake |
| | | |Xiadui Village (Dali City) |Middle in economy, Hui village, close to|
| | | | |Erhai Lake |
| | | |Baitawai Village (Dali City) |Financially poor, Yi village, far away |
| | | | |from Erhai Lake |
| | | |Yuexi Village (Dali City) |Rich, Bai village, close to Erhai Lake |
| | | |Jianggan Village (Eryuan |Rich, Bai village, far away from Erhai |
| | | |County) |Lake |
| | | |Shacun Village (Dali City) |Rich, Bai village, close to Erhai Lake |
| | | |Xiaocen Village (Dali City) |Middle in economy, Bai village, close to|
| | | | |Erhai Lake |
| |4W |Integrated Environmental |Longmen Village, Guichao Town |Yao village, poor |
| | |Management in Putting River | | |
| | |Basin of Funing County | | |
| | | |Baimin Village, Zhesang Xiang |Zhuang village, poor |
| |5W |Integrated Water |Xianrendong Village, Puzhehei |Close to Puzhehei River, one of the 8 |
| | |Environmental Management |Village Committee |waterfront villages, Zhuang village, |
| | |Project in Puzhehei Lake of | |dealing with tourism and developed |
| | |Qiubei County | | |
| | | |Caihuaqing Village, Damoshan |Far away from the lake, Miao village, |
| | | |Village Committee, Yuezhe Town|not dealing with tourism, poor |
| |6W |Integrated Environment |Huitu and Niutou Hamlets, |The former hamlet is located in the |
| | |Management Project of |Kaihua Town |upper reaches and the latter lower |
| | |Panlonghe River in Wenshan | |reaches of Panlonghe River |
| | |County | | |
|Wastewater |7D |Dali City Urban Integrated |Fengzhu Village, Fengyi Town |Temporary land requisition, Bai village |
|treatment and | |Drainage Pipe Network Project| | |
|sewer network | | | | |
| | | |Shacun Village, Xizhou Town |Site of permanent land requisition, Bai |
| | | | |village |
| | | |Wuhua Community, Gucheng Town |Commercial center of Gucheng, core |
| | | | |affected area of charging |
| | | |Dali College, Gucheng Campus |Unit area with the highest population |
| | | | |density along the sewer network of the |
| | | | |resort area |
| |8D |Wastewater Treatment Plant |Lianhe Natural Village, |Site of wastewater plant, involving |
| | |and Associated Sewer Network |Zhonghe Village Committee, |permanent land requisition, Han-Bai |
| | |in Dengchuan County |Dengchuan Town |village |
| | | |Yousuo Village, Yousuo Town, |Seat of Yousuo Town Government, Eryuan |
| | | |Eryuan County |County, one of the key affected areas of|
| | | | |the wastewater treatment plant, core |
| | | | |affected area of charging |
| |9L |Sewage Treatment Plant and |Team 14, Rongjiang Village, |Site of sewage treatment plant, |
| | |Associated Sewers in Huaping |Rongjiang Town |involving permanent land requisition, |
| | |County Town | |mostly Han people, a small number of Yi,|
| | | | |Dai and Zhuang peoples |
| | | |Hedong Community, Zhongxin |Urban area, involving temporary land |
| | | |Town |requisition, core affected area of |
| | | | |charging |
| |10L |Second Municipal Wastewater |Minru Village, Yangxi |Site of wastewater plant, involving |
| | |Treatment Plant and |Committee; Dewei Village, |permanent and temporary land |
| | |Associated Sewer Network in |Dongyuan Committee, Jinshan |requisition, Naxi village |
| | |Lijiang City |Xiang, Gucheng District | |
| | | |Jinjia Village, Yizheng |Busy downtown area, core affected area |
| | | |Community, Xi’an Sub-district |of charging |
| | | |Office, Gucheng District | |
| |11L |Urban Drainage Pipe System in|Shangji Team, Wutai Village, |Town center of Yulong District, run |
| | |Yulong County |Huangshan Town |through by the sewer network, core |
| | | | |affected area of charge collection, Naxi|
| | | | |village |
| |12W |Municipal Wastewater |Weishe Villager Team, Wenhua |Site of wastewater plant, involving |
| | |Treatment Plant and |Community, Xinhua Town |permanent land requisition, Zhuang |
| | |Associated Sewer Network | |village |
| | |Funing County | | |
| | | |Posang Village |Funing County Town, core affected area |
| | | | |of charging |
| |13W |Municipal Wastewater |Lengshuigou Village, Duanfeng |Site of wastewater plant, exemplary |
| | |Treatment Plant and |Committee, Liancheng Town |village of well-being |
| | |Associated Sewers in Guangnan| | |
| | |County | | |
| | | |Chengguan New Town |Guangnan County Town, core affected area|
| | | | |of charging |
| |14W |Municipal Wastewater |Datangzi Villager Team, |Site of wastewater plant, involving |
| | |Treatment Plant and |Laodifang Office, Masu Town |permanent land requisition, Han village |
| | |Associated Sewer Network of | | |
| | |Malipo County | | |
| | | |Random sampling survey of |Malipo County Town, core affected area |
| | | |residents along Chouyang |of charging |
| | | |River, Chengguan | |
| |15W |Municipal Wastewater |Team 8, Donghu Lake Zone, |Site of wastewater plant, involving |
| | |Treatment Plant and |Jinping Town |permanent land requisition, Qiubei |
| | |Associated Sewer Network in | |County Town, core affected area of |
| | |Qiubei County | |charging |
| |16W |Water Supply System of Qiubei|Team 7, Donghu Lake Zone, |Qiubei County Town, involving temporary |
| | |County |Jinping Town |land requisition, core affected area of |
| | | | |charging |
| |17W |Municipal Wastewater |Xinglong Committee, Xinglong |Involving temporary land requisition, |
| | |Collection Network in Wenshan|Street, Xinglong Community |Wenshan County Town, core affected area |
| | |County | |of charging |
| |18W |Municipal Wastewater |Party School Section, Yanshan |Yanshan County Town, involving temporary|
| | |Collection Network of Yanshan|County |land requisition, core affected area of |
| | |County | |charging |
|Solid waste |19K |Municipal Solid Waste |Pingshan Town |Luquan County Town, affected area of |
|disposal projects| |Collection and Disposal | |charging |
| | |Project in Luquan County | | |
| | | |Qinglongtan Village |Site of waste treatment plant, Miao |
| | | | |village |
| | | |Shangshi Village |Han village, near refuse dump |
| |20K |Municipal Solid Waste |Songyang Town, Yanglin Town, |Affected area of charging |
| | |Collection and Disposal |Xiaojie Town, Yangqiao Xiang | |
| | |Project in Songming County | | |
| | | |Huihui Village |Hui village |
| | | |Sijiao Village |Involving permanent land requisition |
| |21K |Municipal Solid Waste |Rende Town, Jinsuo Xiang, |County town, the affected regions, site |
| | |Collection and Disposal |Beiguan Village, Caohaizi |of waste treatment plant, indigenous |
| | |Project in Xundian County |Village, Zetie Village, Zhugou|(Yi) village |
| | | |Village | |
| |22D |Municipal Solid Waste |Dasongdian Natural Village, |Site of waste treatment plant, involving|
| | |Collection and Disposal |Songhe Village, Cibihu Town |permanent land requisition, Yi village |
| | |Project in Eryuan County | | |
| | | |Jiutai Community, Eryuan |Eryuan County Town, core affected area |
| | | |County Town |of charging |
| |23L |Municipal Solid Waste |Laozhuigu and Yonghong Teams, |Site of waste treatment plant, involving|
| | |Collection and Disposal |Wenhua Village, Jinshan Xiang,|permanent land requisition, 70% of |
| | |Project in Lijiang City |Gucheng District |population being Naxi people, the |
| | | | |remaining Han people |
| | | |Jinjia Village, Yizheng |Busy downtown area, core affected area |
| | | |Community, Xi’an Sub-district |of charging |
| | | |Office, Gucheng District | |
| |24W |Municipal Solid Waste |Zheban Village, Wenhua |Site of waste treatment plant, involving|
| | |Collection and Disposal |Community |permanent land requisition, Zhuang |
| | |Project in Funing County | |village |
| | | |Xinhua Old Town |Funing County Town, core affected area |
| | | | |of charging |
| |25W |Municipal Solid Waste |Xiaofangshan Natural Village, |Site of waste treatment plant, involving|
| | |Collection and Disposal |Fangshan Village, Mabai Town |permanent land requisition, Yi village |
| | |Project in Maguan County | | |
| |26W |Municipal Solid Waste |Datangzi Villager Team, |Site of waste treatment plant, involving|
| | |Collection and Disposal |Laodifang Office, Masu Town |permanent land requisition, Han village |
| | |Project in Malipo County | | |
| | | |Random sampling survey of |Malipo County Town, core affected area |
| | | |residents along Chouyang |of charging |
| | | |River, Chengguan | |
|Other |27L |Lijiang Lion Mountain |Stores and units to be |Involved in land requisition and |
| | |Environment Renovation |relocated to the east of |resettlement, prosperous section in |
| | |Project |Minzhu Road, Jinjia Village, |urban area, Naxi village |
| | | |Yizheng Community, Xi’an | |
| | | |Sub-district Office, Gucheng | |
| | | |District | |
1.6.3 Date sources
The data collected in this assessment include:
(1) Firsthand fieldwork data, e.g., interview data, forum data, community resources maps, and video data, etc;
(2) Background materials and executive summaries, e.g., project proposals, feasibility study reports, urban planning, etc;
(3) Official statistics, e.g., government statistical yearbooks, directive documents, etc;
(4) Local annals, e.g., Annals of Ninglang City, Annals of Eryuan County, etc.
The SA Group follows 3 principles in using the above information: Firstly, use as latest statistical data as possible; secondly, where village/community-level statistical data is involved, try to use firsthand information from the fieldwork for objectiveness and accuracy; and thirdly, the relevant issues shall be analyzed and discussed with reference to the views and inputs of the major interested peoples, regulatory bodies and owner for comprehensiveness and objectiveness.
1.7 Report structure
The main part of this report consists of eight chapters. Chapter 1 “Background” outlines the overall situation of urban environmental construction in Yunnan, and the objectives, methods and operating process of social assessment.
Chapter 3 “Social and economic overview of project locations” reveals the macroscopic social and economic situation of the sites of the 28 subprojects.
Chapter 3 “Analysis of stakeholders” describes the process by which the SA Group identifies the stakeholders, carries out free prior informed participation of the primary stakeholders and analyzes the needs of each stakeholder.
In Chapter 4 “Project impact analysis”, the SA Group analyzes the Project’s positive and negative impacts on the primary stakeholders, especially to special stakeholders, such as migrants and the poor.
In Chapter 5 “Analysis of willingness and ability to pay”, the SA Group reviews and summarizes the present situation of payment of the relevant charges in the affected regions, and analyzes the affected peoples’ willingness and ability to pay.
In Chapter 6 “Identification and control of social risks”, the SA Group identifies the eight potential risks of the Project, proposes risk control measures and the organizational arrangement and monitoring evaluation to implement such measures.
In Chapter 7 “Community participation strategy”, the SA Group prepares the Community Participation Framework and the Participation Outline for the primary stakeholders to participate in the whole period of the Project.
In Chapter 8 “Conclusions, suggestions and actions” sums up the Project’s social benefits and risks, and the corresponding suggestions, actions to avoid such risks.
2. Social and economic overview of project locations
2.1 Definition of affected regions
The Project covers 77Xiangs/towns/sub-districts in 17counties/districts in Kunming, Dali, Lijiang and Wenshan Prefectures/Cities, Yunnan Province, with a total benefited population of 1.9811 million, including an urban population of 1.1025 million (55.65%) and a rural population of 878,600 (44.35%). The benefited population is 754,000 in Kunming (urban population 77.14%, rural population 22.86%), 608,800 in Dali (urban population 32%, rural population 68%), 180,100 in Lijiang (urban population 57.87%, rural population 42.13%) and 438,200 in Wenshan (urban population 50.62%, rural population 49.38%). The affected regions include 10 key counties for state poverty relief and3 national autonomous counties. See Table 2-1:
Table 2-1 Schedule of Affected Regions (2005)
|Prefecture |Subproject |County/ district |Whether state-level poor county |
|/city | | | |
| |Total of projects |8 |8 |0 |14 | |
| |in Wenshan | | | | | |
| |Prefecture | | | | | |
| |Chenggong County |15.96 |12.74 |79.82 |0.62 |3.88 |
| |Luquan County |45.01 |42.39 |94.18 |13.75 |30.55 |
| |Songming County |34.83 |31.24 |89.70 |2.4 |6.9 |
| |Xundian County |50.53 |47.23 |93.47 |10.99 |21.75 |
| |Yiliang County |40.94 |36.56 |89.29 |3.41 |8.32 |
| |Panlong District |38.89 |3.85 |9.91 |2.56 |7.4 |
| |Xishan District |42.08 |9.68 |23.01 |8.53 |14.14 |
| |Guandu District |50.00 |16.55 |33.11 |12.42 |8.88 |
| |Wuhua District |68.36 |5.15 |7.54 |4.58 |11.07 |
| |Subtotal |409.96 |226.18 |55.17 |67.34 |16.43 |
|Dali |Eryuan County |27.50 |25.50 |92.71 |18.65 |67.8 |
|Prefecture | | | | | | |
| |Dali City |59.6 |38.65 |64.85 |43.37 |72.8 |
| |Subtotal |87.1 |64.15 |73.65 |62.02 |71.21 |
|Lijiang City|Gucheng District |14.62 |8.15 |55.74 |11.46 |78.37 |
| |Huaping County |15.04 |12.20 |81.11 |4.64 |30.8 |
| |Ninglang County |24.44 |22.28 |91.18 |19.69 |81.57 |
| |Yulong County |20.93 |19.84 |95.1 |17.76 |84.86 |
| |Subtotal |75.03 |62.47 |83.26 |53.55 |71.37 |
|Wenshan |Funing County |39.22 |36.61 |93.4 |29.96 |76.4 |
|Prefecture | | | | | | |
| |Qiubei County |45.56 |42.47 |93.2 |28.40 |62.3 |
| |Guangnan County |75.75 |71.65 |94.6 |46.98 |62.0 |
| |Malipo County |27.31 |25.11 |95.9 |10.93 |40.0 |
| |Yanshan County |44.80 |41.11 |91.8 |28.79 |64.3 |
| |Wenshan County |43.90 |33.61 |76.6 |23.47 |53.9 |
| |Xichou County |24.98 |22.61 |90.5 |4.64 |18.6 |
| |Maguan County |35.71 |32.21 |90.2 |17.52 |49.1 |
| |Subtotal |337.23 |305.43 |90.6 |191.08 |56.7 |
|Total |909.32 |658.23 |72.39 |373.99 |41.13 |
Date source: statistical yearbooks of the counties/districts
In 2005, Kunming City’s GDP was 106.23 billion yuan, per capita GDP 17,600 yuan, local fiscal revenue 11.05 billion yuan and annual per capita disposable income of town residents 9,600 yuan; Dali Prefecture had a GDP of 23 billion yuan, a per capita GDP of 6,700 yuan, fiscal revenue of 3.336 billion yuan and local fiscal general budget revenue of 1.57 billion yuan and per capita farmer net income of 2,300 yuan; Lijiang City had a GDP of 159.5 billion yuan, per capita disposable income of town residents of 9,100 yuan and per capita farmer net income of 2,100 yuan; Wenshan Prefecture had a GDP of 14.8 billion yuan, local fiscal general budget revenue of 709 million yuan, per capita disposable income of town residents of 8,700 yuan and per capita farmer net income of 1,400 yuan. See Table 2-3:
Table 2-3 National Economic Indicators of Affected Counties/Districts in Four Prefectures/Cities (2005)
|Prefecture |County/district |Year-end |GDP (10,000 yuan) |Economic growth|Per capita GDP |Per capita |Per capita net|
|/city | |population | |(%) |(yuan) |disposable |income of |
| | |(10,000) | | | |income of |farmers (yuan)|
| | | | | | |urban | |
| | | | | | |residents | |
| | | | | | |(yuan) | |
| |Songming |183 |723 | |680 |9 |2.6 |
| |Xundian |169 |2607 | |981 |1 |6.9 |
| |Urban area |210 |6000 | |0 |0 |1 |
| |Subtotal | |9426 | |1661 |10 |1.5 |
|Dali |Eryuan |158 |4328 |924 |7688 |13 |4.6 |
|Prefecture | | | | | | | |
|[3] | | | | | | | |
| |Dali City |192 |9655 |1000 |4508 |20 |5.1 |
| |Subtotal | |13983 | |12196 |33 |4.3 |
|Lijiang City|Gucheng |178 |1500 |983 |2028 |32 |2.6 |
| |Huaping |178 |1230 | |938 |3 |5.5 |
| |Yulong |178 |278 | |0 |0 |5.6 |
| |Subtotal | |3008 | |2966 |35 |3.3 |
|Wenshan |Funing |152 |620 |820 |1200 |9 |5.2 |
|Prefecture | | | | | | | |
| |Qiubei County |130 |1454 | |3060 |0 |7.9 |
| |Guangnan |152 |2626 | |1262 |0 |8.1 |
| |Malipo |152 |1442 | |579 |0 |9.4 |
| |Yanshan |152 |2527 | |961 |0 |7.5 |
| |Wenshan |140 |6033 | |1922 |0 |4.3 |
| |Maguan |152 |1555 | |1872 |0 |7.6 |
| |Subtotal | |16257 | |10856 |9 |6.2 |
|Total | | |42674 | |27679 |87 |
3. Analysis of stakeholders
3.1 Identification of stakeholders
The World Bank proposes the concept of “stakeholder” in its aid policies and has divided stakeholders. Stakeholder refers to “those people affecting the World Bank’s actions and policies and affected by the World Bank” (World Bank 1994:1). Based on the understanding that poverty relief is a goal of the World Bank, the stakeholders involved in a development project are divided into: 1) Primary stakeholders: referring to the target peoples of the development project, especially those poor and marginal peoples that lack information and power, and are excluded from the course of development; 2) Borrowing stakeholders: referring to a borrowing country’s government; 3) Secondary stakeholders: mainly including NGOs, commercial institutions and experts with some kind of expertise and facing the primary stakeholders directly. Based on the above definitions, the SA Group has identified the stakeholders and primary stakeholders of the four categories of subprojects under the Yunnan Urban Environmental Construction Project, as shown in Table 3-1:
Table 3-1 Stakeholders of the Project
|Type |No. |Subproject |Stakeholders and primary stakeholders [4] |
|Basin and river |1K |Total Water Pollutant Monitoring, Management and |①Affected residents |
|course management| |Support System in Dianchi Catchment Area |②Migrants |
| | | |③The poor |
| | | |④IPs |
| | | |⑤Owners |
| | | |⑥Executive bodies |
| | | |⑦EPAs |
| | | |⑧Other relevant government agencies |
| |2D |Integrated Water Environmental Management of Major | |
| | |River Courses into Erhai Lake | |
| |3D |Rural Runoff Pollution Control in Erhai Lake Basin | |
| |4W |Integrated Environmental Management in Putting River | |
| | |Basin of Funing County | |
| |5W |Integrated Water Environmental Management Project in | |
| | |Puzhehei Lake of Qiubei County | |
| |6W |Integrated Environment Management Project of Panlonghe| |
| | |River in Wenshan County | |
|Wastewater | | |①Affected residents |
|treatment and | | |②Migrants |
|sewer network | | |③The poor |
| | | |④IPs |
| | | |⑤Local villages and villagers |
| | | |⑥Residents along sewer network |
| | | |⑦Owners |
| | | |⑧Executive bodies |
| | | |⑨EPAs |
| | | |⑩Other relevant government agencies |
| |7D |Dali City Urban Integrated Drainage Pipe Network | |
| | |Project | |
| |8D |Wastewater Treatment Plant and Associated Sewer | |
| | |Network in Dengchuan County | |
| |9L |Sewage Treatment Plant and Associated Sewers in | |
| | |Huaping County Town | |
| |10L |Second Municipal Wastewater Treatment Plant and | |
| | |Associated Sewer Network in Lijiang City | |
| |11L |Urban Drainage Pipe System in Yulong County | |
| |12W |Municipal Wastewater Treatment Plant and Associated | |
| | |Sewer Network Funing County | |
| |13W |Municipal Wastewater Treatment Plant and Associated | |
| | |Sewers in Guangnan County | |
| |14W |Municipal Wastewater Treatment Plant and Associated | |
| | |Sewer Network of Malipo County | |
| |15W |Municipal Wastewater Treatment Plant and Associated | |
| | |Sewer Network in Qiubei County | |
| |16W |Municipal Wastewater Collection Network in Wenshan | |
| | |County | |
| |17W |Water Supply System of Qiubei County | |
| |18W |Municipal Wastewater Collection Network of Yanshan | |
| | |County | |
|Solid waste |19K |Municipal Solid Waste Collection and Disposal Project |Affected residents |
|disposal | |in Luquan County |②Migrants |
| | | |③The poor |
| | | |④IPs |
| | | |Nearby residents (villagers) |
| | | |Owners |
| | | |Executive bodies |
| | | |EPAs |
| | | |⑨Other relevant government agencies |
| |20K |Municipal Solid Waste Collection and Disposal Project | |
| | |in Songming County | |
| |21K |Municipal Solid Waste Collection and Disposal Project | |
| | |in Xundian County | |
| |22D |Municipal Solid Waste Collection and Disposal Project | |
| | |in Eryuan County | |
| |23L |Municipal Solid Waste Collection and Disposal Project | |
| | |in Lijiang City | |
| |24W |Municipal Solid Waste Collection and Disposal Project | |
| | |in Funing County | |
| |25W |Municipal Solid Waste Collection and Disposal Project | |
| | |in Maguan County | |
| |26W |Municipal Solid Waste Collection and Disposal Project | |
| | |in Malipo County | |
|Other |27L |Lijiang Lion Mountain Environment Renovation Project |①Affected residents |
| | | |②Migrants |
| | | |③The poor |
| | | |④IPs |
| | | |⑤Institutions and enterprises |
| | | |⑥Owners |
| | | |⑦Executive bodies |
| | | |⑧EPAs |
| | | |⑨Other relevant government agencies |
| |28W |Capacity Building in Environment Monitoring and | |
| | |Supervision System of Wenshan Prefecture | |
Date source: Fieldwork of the SA Group
3.2 Stakeholders’ participation in the Project
The SA Group has conducted a series of activities in the affected regions to propagandize the Project and mobilize the primary stakeholders. Such participatory activities are carried out on three levels:
3.2.1 Forum of officials
The SA Group held forums with officials of different levels of project offices and relevant government agencies to learn about and collect: (1) present situation and evaluation of the local projects; (2) risk analysis, and countermeasures to reduce risks; (3) suggestions on improving project results; (4) problems in such projects; (5) predicted impacts of project implementation; (6) collecting all relevant literatures and statistical annual statements from the province, county and Xiang levels.
3.2.2 Forum of employers
The SA Group held forums with all employers. The topics included: (1) background and process of project initiation; present situation and evaluation of the Project; (2) project design process; (3) existing problems in the Project; (4) suggestions to improve project results and avoid risks; (5) collecting archive data from the employers; and (6) selection of POSs.
3.2.3 Free prior informed participation of primary stakeholders
The SA Group carried out free prior informed participation among the primary stakeholders of the Project. On the site of each subproject, the SA Group selected two POSs to cover primary stakeholders affected differently by the subproject.
3.2.3.1 Operational procedure of free prior informed participation:
① Train surveyors. Before the beginning of the survey, PRA training is given to the surveyors, enabling them to master the PRA approach and understand the objectives and requirements of the survey.
② Collect the information of the affected villages and communities. Before entering a survey area, the surveyors would collect the information on the area’s minority population, distribution, national history and culture, economic and social development.
③ Hold a village forum. When the survey team enters a village, it would gather villagers to a village forum to learn about their picture of production and life.
④ Charting. The surveyors assist villagers in drawing resources distribution and traffic maps, seasonal production and life schedules.
⑤ Door-to-door survey. When the basic information of a minority village is collected, the surveyors would carry out door-to-door questionnaire survey or in-depth interview.
⑥ Summarization. The surveyors would analyze and summarize the information collected and form a first draft of the survey report.
⑦ Feedback. The survey team submits the findings to the project decision-making body, propose measures to address potential issues, and feed such body’s opinions back to the village concerned.
3.2.3.2 Main operational methods of free prior informed participation:
① Forum and ranking
In selected villages/communities visited, the SA Group gathers villagers/residents of different nationalities, sexes, ages, income levels and locations to a meeting to inform of the key information of the Project. After the villagers/residents have got an all-around understanding of the Project, the surveyors collect relevant materials (including issue ranking, resources distribution plan, seasonal life and farming calendars by sex, etc), check these materials, analyze and summarize the problems and find solutions with the villagers/residents.
② Charting
The surveyors assists villagers/residents in drawing their village’ resources distribution plan to learn about the local economic, social and environmental aspects. Afterwards, the SA Group discusses the existing problems in the local economic, social and environmental development with villagers/residents, to learn their true ideas about project construction.
The surveyors assist male and female villagers/residents in filling out the seasonal production/life schedules to learn their farming activities and life patterns in different seasons, the roles of different sexes in family production and life, and women’s concern about and willingness to participate in project activities.
③ Questionnaire survey and in-depth interview
The SA Group has prepared the Social Assessment Questionnaire for World Bank Financed Yunnan Urban Environmental Construction Project collect as much information as possible.
For some villagers/residents of insight into the Project, we learn about their ideas by in-depth interview, which has helped us collect much valuable information about the issues and potential issues relating to the Project, assuring the depth of participation of villagers/residents in project decision-making. Table 3-2 reveals how the primary stakeholders participate in the Project:
Table 3-2 Free prior informed participation of the primary stakeholders
|Type |Participants |Participatory |Objectives |
| | |activities | |
|Basin and river |Local residents (including the |Forum |①Project information sharing |
|course management |poor, IPs, women and migrants) |Questionnaire |②Project need analysis |
| | |Interview |③Evaluation of project design and practice |
| | |Ranking |④Project impact analysis |
| | |Charting |⑤Analysis of existing problems |
| | | |⑥Proposing expectations and suggestions |
|Wastewater |Nearby residents (including the |Forum |①Project information sharing |
|treatment and sewer|poor, IPs, women and migrants) |Questionnaire |②Project need analysis |
|network | |Interview |③Evaluation of project design and practice |
| | |Ranking |④Project impact analysis |
| | |Charting |⑤Analysis of existing problems |
| | | |⑥Proposing expectations and suggestions |
| |Urban residents (including the |Forum |①Project information sharing |
| |poor, IPs, women and nearby |Interview |②Project need analysis |
| |residents) |Ranking |③Evaluation of project design and practice |
| | | |④Project impact analysis |
| | | |⑤Analysis of existing problems |
| | | |⑥Proposing expectations and suggestions |
| | | |⑦Expressing willingness and ability to pay |
|Solid waste |Nearby residents (including the |Forum |①Project information sharing |
|disposal |poor, IPs, women and migrants) |Questionnaire |②Project need analysis |
| | |Interview |③Evaluation of project design and practice |
| | |Ranking |④Project impact analysis |
| | |Charting |⑤Analysis of existing problems |
| | | |⑥Proposing expectations and suggestions |
| |Urban residents (including the |Forum |①Project information sharing |
| |poor, IPs, women) |Interview |②Project need analysis |
| | |Ranking |③Evaluation of project design and practice |
| | | |④Project impact analysis |
| | | |⑤Analysis of existing problems |
| | | |⑥Proposing expectations and suggestions |
| | | |⑦Expressing willingness and ability to pay |
|Other |Local residents (including the |Forum |①Project information sharing |
| |poor, IPs, women and migrants) |Questionnaire |②Project need analysis |
| | |Interview |③Evaluation of project design and practice |
| | |Ranking |④Project impact analysis |
| | |Charting |⑤Analysis of existing problems |
| | | |⑥Proposing expectations and suggestions |
Date source: Fieldwork of the SA Group
3.3 Demand analysis of stakeholders
Different stakeholders have different needs for the Project. Analyzing the needs of the primary stakeholders will help identify the Project’s main social impacts, avoid the Project’s potential social risks, and facilitate the Project’s successful implementation. The SA team of each subproject has communicated with the stakeholders in the affected regions and learned their different needs by questionnaire survey, interview, forum and observation. Table 3-3 is a summary of the primary stakeholders’ needs:
Table 3-3 Demand Analysis of the Primary Stakeholders
|Type |Primary |Common needs |Special needs |Remarks |
| |stakeholders | | | |
|Wastewat|Residents near |①Develop village economy |①The poor: Work for the project | |
|er |wastewater |②Controlling external wastewater |②Migrants: Minimize land | |
|treatmen|treatment plant |③Providing clean production and domestic |requisition, provide rational | |
|t and |(including the |water to villages |resettlement and job | |
|sewer |poor, IPs, |④Dispose of wastewater safely and |arrangement, offer minimal | |
|network |migrants, women) |scientifically, protect village’s water |subsistence guarantee and | |
| | |resources from pollution |favorable conditions for | |
| | |⑤Restoring temporarily requisitioned land |development | |
| | |⑥Improve village infrastructure | | |
| | |⑦Participate in project construction | | |
| | |⑧Assuring community security during | | |
| | |construction | | |
| | |⑨Assuring agricultural production during | | |
| | |construction | | |
| |Urban residents |①Protecting urban environment |①The poor: preferential water | |
| |(including the |②Regulating key producers of water |charges | |
| |poor, IPs, women, |pollution |②Nearby residents: guarantee of | |
| |nearby residents) |③Adjusting water charges rationally |travel and public security | |
| | | |during construction | |
|Solid |Residents near |①Protect village from destruction |①The poor: Offer poverty | |
|waste |waste treatment |②Dispose of waste scientifically and |reduction project | |
|disposal|plant (including |safely | | |
| |the poor, IPs, |③Develop village economy, offer | | |
| |migrants, women) |preferential conditions | | |
| | |④Improve village infrastructure | | |
| | |⑤Keep the villagers’ production and | | |
| | |livelihood unaffected | | |
| | |⑥Publishing environmental monitoring data | | |
| | |of the plant | | |
| |Urban residents |①Treat waste, maintain urban environmental| | |
| |(including the |sanitation | | |
| |poor, IPs, women, |②Give education on environmental | | |
| |nearby residents) |protection, reduce waste | | |
| | |③Collect waste treatment charges according| | |
| | |to the amount of waste produced | | |
|Other |Local residents |①Develop and expand community collective |①The poor: Participate in |Lijiang Lion Mountain |
| |(including the |economy |project construction, provide a |Environment Renovation|
| |poor, IPs, |②Obtain regular bonus from collective |regular source of income |Project |
| |migrants, women) |economy |②Public institutions: have a | |
| | |③Make rational resettlement that covers |convenient office, enough office| |
| | |rental losses |space and good office conditions| |
| | |④Avoid new polarization |③Enterprises: Resettlement | |
| | | |compensation shall cover rental | |
| | | |losses, and assure the workers’ | |
| | | |livelihood | |
| | | |④Stores: Notify relocation time | |
| | | |in advance, compensate for | |
| | | |relocation | |
| |Wenshan Prefecture|①In urgent need for hardware and software | |Capacity Building in |
| |environmental |support from the Project | |Environment Monitoring|
| |protection system | | |and Supervision System|
| | | | |of Wenshan Prefecture |
Date source: Fieldwork of the SA Group
The needs of other stakeholders are as follows:
(1) Employer and executive body: The employer and executive body of each subproject expects the Project to be started as soon as possible, to reduce construction and operating costs, and maximize operating profits.
(2) EPA and relevant government agencies: The relevant government agencies, such as reform and development committee, construction bureau, EPA, health office, expect that the negative social impacts of the Project can be minimized, and that the Project can be implemented successfully to improve urban environment and people’s living standard, promote the development of enterprises and public institutions in the affected regions and improve the government’s image.
4. Project impact analysis
The Project will bring different impacts to different stakeholders and organizations, either positive or negative. By analyzing such impacts, we can identify, control and avoid the Project’s social risks effectively. The SA Group has analyzed the Project’s impacts on the primary stakeholders through the free prior informed participation of the primary stakeholders and based on the fieldwork data, as shown in Table 4-1:
Table 4-1 The Project’s impacts on the primary stakeholders
|Sub- |No. |Name |Positively impacted |Positive impacts |Negatively impacted |Negativeimpacts |
|project | | |population | |population | |
| |2D |Integrated Water Environmental Management of |450000 | |419 | |
| | |Major River Courses into Erhai Lake | | | | |
| |3D |Rural Runoff Pollution Control in Erhai Lake Basi|27100 | |21 | |
| |4W |Integrated Environmental Management in Putting |35000 | |26 | |
| | |River Basin of Funing County | | | | |
| |5W |Integrated Water Environmental Management Project|57140 | |0 | |
| | |in Puzhehei Lake of Qiubei County | | | | |
| |6W |Integrated Environment Management Project of |185000 | |0 | |
| | |Panlonghe River in Wenshan County | | | | |
|Wastewater|7D |Dali City Urban Integrated Drainage Pipe Network |75520 |Rural areas: |688 |Rural areas: |
|treatment | |Project | |①Regulating urban sewers around rural areas, | |①Involving temporary and permanent land |
|and sewer | | | |improving overall rural environment | |requisition |
|network | | | |②Providing nonagricultural job opportunities | |②Construction might affect agricultural |
|projects | | | |during construction | |production |
| | | | |③Providing the possibility of urbanization of | |Urban areas: |
| | | | |farmers | |①Involving temporary land requisition, |
| | | | |④Providing clean water sources | |affecting residents’ living |
| | | | |Urban areas: | |②Increasing water charges |
| | | | |①Improving urban environment, reducing | | |
| | | | |wastewater discharge | | |
| | | | |②Perfecting urban infrastructure | | |
| | | | |③Driving the development of tourism, | | |
| | | | |agriculture, service and other industries | | |
| | | | |④Creating job opportunities during and after the| | |
| | | | |construction period | | |
| | | | |⑤Laying a foundation for the deepening of | | |
| | | | |urbanization | | |
| |8D |Wastewater Treatment Plant and Associated Sewer |7279 | |70 | |
| | |Network in Dengchuan County | | | | |
| |9L |Sewage Treatment Plant and Associated Sewers in |39445 | |91 | |
| | |Huaping County Town | | | | |
| |10L |Second Municipal Wastewater Treatment Plant and |135700 | |342 | |
| | |Associated Sewer Network in Lijiang City | | | | |
| |11L |Urban Drainage Pipe System in Yulong County |5000 | |0 | |
| |12W |Municipal Wastewater Treatment Plant and |35000 | |0 | |
| | |Associated Sewer Network Funing County | | | | |
| |13W |Municipal Wastewater Treatment Plant and |48000 | |8 | |
| | |Associated Sewers in Guangnan County | | | | |
| |14W |Municipal Wastewater Treatment Plant and |21500 | |128 | |
| | |Associated Sewer Network of Malipo County | | | | |
| |15W |Municipal Wastewater Treatment Plant and |57140 | |92 | |
| | |Associated Sewer Network in Qiubei County | | | | |
| |16w |Water Supply System of Qiubei County |57140 | |240 | |
| |17w |Municipal Wastewater Collection Network in |185000 | |0 | |
| | |Wenshan County | | | | |
| |18W |Municipal Wastewater Collection Network of |46500 | |0 | |
| | |Yanshan County | | | | |
|Solid |19K |Municipal Solid Waste Collection and Disposal |48000 |Rural areas |138 |Rural areas: |
|waste | |Project in Luquan County | |①Providing nonagricultural job opportunities | |①Involving permanent land requisition |
|disposal | | | |during construction | |②Destroying village environment, |
|projects | | | |②Providing the possibility of urbanization of | |including water, air, soil |
| | | | |farmers | |③Affecting farmers’ daily production and|
| | | | |Urban areas | |living |
| | | | |①Improving urban environment, maintaining urban | |Urban areas: |
| | | | |sanitation | |①Increasing waste treatment charges |
| | | | |②Perfecting urban infrastructure | | |
| | | | |③Driving the development of tourism, | | |
| | | | |agriculture, service and other industries | | |
| | | | |④Creating job opportunities during and after the| | |
| | | | |construction period | | |
| | | | |⑤Laying a foundation for the deepening of | | |
| | | | |urbanization | | |
| |20K |Municipal Solid Waste Collection and Disposal |53960 | |193 | |
| | |Project in Songming County | | | | |
| |21K |Municipal Solid Waste Collection and Disposal |52000 | |5 | |
| | |Project in Xundian County | | | | |
| |22D |Municipal Solid Waste Collection and Disposal |48906 | |83 | |
| | |Project in Eryuan County | | | | |
| |23L |Municipal Solid Waste Collection and Disposal |135700 | |86 | |
| | |Project in Lijiang City | | | | |
| |24W |Municipal Solid Waste Collection and Disposal |35000 | |87 | |
| | |Project in Funing County | | | | |
| |25W |Municipal Solid Waste Collection and Disposal |45090 | |0 | |
| | |Project in Maguan County | | | | |
| |26W |Municipal Solid Waste Collection and Disposal |21500 | |142 | |
| | |Project in Malipo County | | | | |
|Other |27L |Lijiang Lion Mountain Environment Renovation |135700 |Urban areas |3121 |Rural areas: |
| | |Project | |①Improving urban environment | |①Involving relocation of businesses, |
| | | | |②Perfecting urban infrastructure | |stores, residents |
| | | | |③Driving the development of tourism, service and| |②Complicated work of land requisition |
| | | | |other industries | |and relocation |
| | | | |④Creating job opportunities during and after the| |Urban areas: |
| | | | |construction period | |①Involving permanent land requisition |
| | | | |⑤Laying a foundation for the deepening of | |②Construction might affect agricultural |
| | | | |urbanization | |production and residents’ living |
| | | | |Rural areas | | |
| | | | |①Perfecting urban infrastructure | | |
| | | | |②Driving the development of tourism, service and| | |
| | | | |other industries | | |
| | | | |③Creating job opportunities during and after the| | |
| | | | |construction period | | |
| | | | |④Laying a foundation for the deepening of | | |
| | | | |urbanization | | |
| | | | |⑤Improving and conserving Lugu Lake Scenic | | |
| | | | |Zone’s environment | | |
|Total |1981140 | |7574 | |
Date source: Fieldwork of the SA Group and data analysis
4.1 Migration
19 subprojects in the Yunnan Urban Environmental Construction Project involve land requisition or relocation more or less. The SA Group thinks permanent land requisition and relocation is a major possible negative impact of this Project.
When people are forced to migrate permanently and deprived of their land, their former production system will be destroyed, forcing them to change their means of living:
Firstly, the affected peoples lose their subsistence guarantee. Although land is not the sole and most important source of farmers’ income, it is the basic guarantee.
Secondly, the affected peoples lose the eligibility for employment. For most affected farmers, their household economy usually consists of agricultural and nonagricultural industries, in which land is one of their key objects of labor, and their value of labor is realized by land; these affected farmers have a limited pool of other production skills.
Secondly, the affected peoples lose the eligibility for employment. For most affected farmers, their household economy usually consists of agricultural and nonagricultural industries, in which land is one of their key objects of labor, and their value of labor is realized by land; these affected farmers have a limited pool of other production skills. Land requisition might exclude them from both the agricultural and nonagricultural labor markets, and force them out from the agricultural sector. However, their chance of reemployment in the nonagricultural sector is very small.
Thirdly, land requisition under the project might lead to the loss of many other profit-making means of production (e.g., houses and stores for rent), reducing their income. Even if a compensation and resettlement money is available, they are not clear how to use this money for sustained living.
At last, without land, the endowment insurance, educational and medical security and other welfare facilities and services available to the affected population might deteriorate.
The change of means of living and the reduction in income are just immediate negative impacts of permanent land requisition and relocation. Worldwide experience in involuntary migrant resettlement shows, the change in means of living might trigger a further series of potential, chronic social, cultural and psychological impacts.
Firstly, land requisition and relocation might be the end of a lifestyle to a part of the affected population. The loss of land brings substantial changes to farmers’ activity pattern, ideology and practice. For example: (1) They have to deal with strangers other than highly homogeneous “familiarities” before; the interpersonal tie will be turned from a kindred and geographic one to an occupational one, and their pattern of daily intercourse will become scattered and asymmetric; (2) Difference in schedule: There is no strict schedule in rural life; but time is of the essence in the means of living after the loss of land; (3) Difference in consumption: The traditional rural lifestyle advocates frugality, simplicity and practicality, and necessities of life can be self-sufficient; after the loss of land, everything has to be paid.
Secondly, land requisition and relocation might lead to a new disparity in wealth or intensify the existing disparities. This is actually a transformation process to the affected population and its result is often some affected people develop a new way of living by taking this opportunity while some affected people might live merely on the compensation money or become a loser forever.
Thirdly, land requisition and relocation might also cause the problem of psychological identification in the affected population, including their identification of urban and rural areas, future occupation, government, and satisfaction with livelihood. The beneficiaries of urban development and environmental improvement will enjoy the results or economic benefits brought by the Project, but the affected farmers and households relocated have to bear economic, social and mental sufferings. If this is not properly handle, there might be conflict between different peoples.
Still come the impacts on the affected population’s existing social relation network. The households relocated describe the great impact of relocation on themselves as “One move, one desquamation.”[5]. For households that deal with local business activities, relocation means the loss of the existing business network and the reduction of their business revenue.
Temporary land requisition will mainly cause inconvenience in daily production and life of the affected population. For example, pipe network works might affect the traffic of urban residents and the proper operation of stores, and might bring noise, dust and security problems. In rural areas, temporary land requisition would affect the farming yield of the season, and destroy the infrastructure essential to farmers’ living and production.
4.2 Poor population
4.2.1 Rural poverty
The rural residents in the affected regions already have basic means of living; and these places have a certain level of infrastructure, but just some infrastructure needs improvement; education, medical and other public facilities can be found at the villages and surrounding areas; most project construction sites have never been covered by any special poverty-relief project. The development problems reflected by the local residents are focused on incomplete infrastructure, lack of investment and unavailability of development project, etc. There is a poor population at every specific village community, the main reasons for poverty include sickness, education, natural disaster, lack of labor, shortage of farmland, low quality of labor, etc. Households that deal with labor service, transport, tourism or any other sideline in addition to farming are generally richer than those dealing with farming or breeding only.
The potentially negative impact that might impede poverty relief is that most projects involve land requisition or relocation. Relative poor communities and peoples are often disadvantaged in utilizing compensation for resettlement, benefiting from the Project and active adaptation.
The SA Group thinks the present design and guarantee measures of the Project will not increase the level of poverty of the poor villages or lead to new poverty, and will benefit the poor population equally. This is shown in: The improvement of rural infrastructure might improve the environmental sanitary level in the affected regions, and provide the villagers with clean land and water, so as to improve the health level of the poor population and cut down medical expenditures.
Case 4-1
|Dongyuan Village, Jinshan Bai Xiang, Gucheng District, Lijiang derives irrigation and drinking water from Yanggong River, |
|which is a sewage receiving river of Gucheng District. Since all local wells are about 2 meters deep, the well water there is |
|surface water that is polluted by the Yanggong River and becomes unusable. Except that 300 households at Zhugan Natural |
|Village have a deep-water well that supplies clean drinking water, 250 households cannot get clean well water, because there |
|are blood flukes in their wells. |
The construction of the Project might create nonagricultural job opportunities for the residents near the construction site, especially those involved in land requisition and relocation;
The Project might also benefit the affected rural poor population by providing them with job opportunities. With the formulation of a resettlement action plan under World Bank OP4.12, a series of resettlement measures suited to the rural poor population’s development needs and cultural features will be taken to assure the poor population’s cultural inheritance and living after they lose their land.
4.2.2 Urban poverty
The SA Group has found that unemployed persons constitute a great portion of the urban poor population. Due to low income, these poor people live together to some extent in a very harsh environment.
The Project’s negative impacts on poor urban households include: After the Project is completed, sewage and waste treatment charges and other like charges might increase the burden of poor urban households; in some projects involving relocation of urban residents, the affected poor peoples might have reduced income (such as rental income) and lose their existing relation network.
The SA Group thinks the project design and planning has given consideration to the equal benefits of the urban poor population from the Project. This is shown in: (1) The Project will change the poor population’s living environment, providing clean water and air; (2) With the improvement of the environment, diseases can be reduced; (3) With the improvement of the urban environment, they will obtain job opportunities from the relevant industries; (4) The resettlement action plan formulated pursuant to World Bank OP4.12 will help the poor population recover their income after relocation and also improve their living conditions; and (5) The preferential policies on the relief of environmental charges for the poor population will reduce their burden.
4.3 Impact analysis on behavior pattern of affected peoples
The environmental problems in the affected prefectures/cities are closely related to the lifestyle of the affected peoples in the affected regions. The construction of the Project, the embodiment and continuation of its results involve a certain change in the lifestyle of the affected peoples. The affected peoples have not realized their lifestyle’s stress on the environment, this will affect the fulfillment of the project objectives.
In the overall control projects of the basins of the Erhai and Puzhehei Lakes, the lifestyle of the affected peoples is a key cause of pollution, and the key to pollution control.
4.3.1 Erhai Lake Basin
Erhai Lake Basin is densely populated, in which the rural population is by far greater than the urban population, so rural runoff pollution has become the main constituent of Erhai Lake Basin’s water pollution. According to the investigation data of Dali Prefecture EPA and Environmental Monitoring Station, the contributions of different pollutants are as follows:
Table 4-2 Schedule of Contributions to Erhai Lake Pollution in 2002
| |Domestic sewage |Rural runoff |Industry |Tourism |Soil loss |Rainfall |total |
|TN |62.1 |1178.9 | |107 |279.1 |345.5 |2239.6 |
|COD |387.9 |7370.1 |5211 |670 | | |13639 |
Notes: ① Nitrogen and phosphorus losses caused by soil loss can be calculated in the soluble form.
② Rural runoff includes village runoff and farmland runoff.
Rural runoff pollution load accounts for 52% of TP and 60% of TP in Erhai Lake Basin’s total runoff pollution load. Village runoff pollution load accounts for 30% of TP and 22% of TP in Erhai Lake Basin’s total runoff pollution load.
According to Erhai Lake Basin’s water pollution control planning and trend forecast, water pollutant emissions into Erhai Lake Basin will rise greatly in the future under the present control capabilities, in which rural runoff pollution will still be the main source of pollution. See the following table for details:
Table 4-3 Forecast of Water Pollutants (unit: t/y)
| |Domestic sewage |Rural runoff |Industry |
|Point source |Domestic and tourist |326.08 |85.31 |11.6 |
| |pollution from lakefront| | | |
| |villages | | | |
|Runoff |Rural domestic sewage |669.7 |107.2 |13.4 |
| |Rural stockbreeding |140.4 |50.8 |7.4 |
| |Surface runoff |1171.1 |350.34 |90.43 |
| |Fishpond pollution |1346 |66.6 |4 |
|Total | |3653.28 |660.25 |126.83 |
[pic]
Figure 4-3 Proportion Chart of Main Pollutants into Puzhehei Lake—CODcr
[pic]
Figure 4-4 Proportion Chart of Main Pollutants into Puzhehei Lake—TN
[pic]
Figure 4-5 Proportion Chart of Main Pollutants into Puzhehei Lake—TP
Case 4-2
|Mr. Fan, Xianrendong Village, Yuezhe Xiang, Qiubei County, male, 46 years, Yi nationality, married, lives in a family of 7 |
|members and 3 generations. The family has 40 mu of land, including 5 mu of dry land, 5 mu of paddy field and a 30-mu fishpond.|
|All these resources are leased to others. Last year, the family had an annual income of about 50,000 yuan, which was just |
|enough to cover the spending. The main source of income is the operating revenue of the village farm, and the main |
|expenditures include store decoration and paying the workers. He thought his family’s living standard was medium at the |
|village. Mr. Fan commented, “There is no industrial pollution in the village yet, and there is just some domestic pollution, |
|which is mainly animal waste. It is very urgent to treat local sewage and domestic refuse, especially in the high season of |
|travel. If the village’s domestic pollution cannot be controlled, he will buy a waste treatment machine to clean up waste.” He|
|is willing to pay for sewage and domestic waste treatment to the government. He just expects that the charges do not exceed |
|their acceptable limit, and that a uniform charging standard shall apply. |
5. Analysis of willingness and ability to pay
5.1 Present situation of payment
5.1.1 Water charge collection
5.1.1.1 Policies of Yunnan Province
In response to the state’s call for the urban water price reform, the Yunnan Provincial Government has set out the guidelines for the price adjustment of water conservancy works and urban water supply and sewerage (including sewage charges) during 2005–2007. The charging standard of domestic water is 2.00-3.50 yuan/m3. The county-level cities in the basins of the 9 plateau lakes (including Dianchi and Erhai Lakes) should have levied sewage treatment charges by the end of 2006. The cities that have already levied sewage treatment charges shall first adjust the charging standard of sewage treatment in adjusting water supply prices, and the minimum sewage treatment charge shall not be lower than 0.8 yuan/m3 by the end of 2007. The other counties and cities shall begin to levy sewage treatment charges by the end of 2007. Sewage treatment charges shall be a prerequisite to the approval of feasibility studies of water discharge projects.
5.1.1.2 Local policies and protective measures
The SA Group has collected the water pricing polices and protective measures of the affected counties/districts in Dali, Lijiang and Wenshan as follows:
Table 5-1 Water Rates in Dali (yuan/m3)
| |Tap water |Sewage |Preferential policy for the poor |
|Dali City |2.10 |0.56 |None |
|Eryuan County |1.76 |0.6 | |
Table 5-2 Water Rates in Lijiang (yuan/m3)
| | |Resident |Public institution |Industry |Service industry |
|Funing County |1.65 |1.8 |2.1 |2.4 |None |
|Guangnan County |1.8 |1.8 |1.9 |2.00 |None |
|Malipo County |1.5 | | | |None |
|Qiubei |1.5 | | | |None |
|Yanshan |1.80 |1.90 |2.10 |1.80 |None |
5.1.2 Waste charge collection
The waste charges and preferential policies in the four prefectures/cities are as follows:
Table 5-4 Waste charges in the affected regions
|Prefecture |County/district |Waste charge for |Preference for the poor |Basis |
|/city | |residents | | |
| | |(yuan/person/ | | |
| | |month) | | |
|Kunming |Xundian County |5 |Exemption for laid-off workers, poor peoples |Kun Jia Fei [1997] |
| | | | |No.11 |
| |Songming County |3 |None |Kun Jia Fei (91) |
| | | | |No.295; Song Jia Fei|
| | | | |(96) No.73; Song Jia|
| | | | |Fa (2000) No.14 |
| |Luquan |Not collected |Half exemption for laid-off workers opening a |None |
| | |(except for stores |store, full exemption for the poor population | |
| | |and entities) |with a certificate of disability | |
|Dali |Eryuan County |3 |None |None |
|Lijiang |Gucheng District | |50% discount for the poor below the minimum |None |
| | | |living allowance | |
|Wenshan |Funing County |1 |None |None |
| |Xichou County |1 |None |None |
| |Malipo |6 yuan/year/ person|Reduction and exemption for the poor |None |
| |Maguan County |1 |None |None |
5.2 Analysis of willingness and ability to pay
After the completion of the Project, the villagers will have to pay extra charges to use the infrastructure. The projects that might involve environmental protection charges are sewage treatment, pipe network, dump treatment, and overall basin control projects. The SA Group’s survey shows the residents at such project construction sites have no idea about such charges, mainly because such sites are mostly in suburban rural areas, where there are no intensive urban environmental problems, or rarely any paid environmental protection facilities, such as tap water and refuse disposal system. The main people affected by payment are urban residents whose environment is to be improved.
To learn the affected people’s willingness to pay, the SA Group surveyed the willingness and ability to pay of urban residents of different income levels and occupations affected by wastewater treatment and sewer network, and solid waste treatment projects in the form of forum and interview. The SA Group held 19 forums at 20 urban communities/villages, involving nearly 150 residents. The SA Group also interviewed 53 of them. The key points include whether willing to pay the relevant charges, whether such charges become a family burden, whether support the increase of such charges and the maximum limit of increase, etc.
5.2.1 Willingness to pay
On the forums, most respondents expressed their willingness to pay for water supply, sewage treatment, solid waste treatment, high-quality drinking water and environmental improvement. Seven out of 53 respondents said they were poor and unable to pay; four respondents thought they had not had any impact on the environment and did not need to pay.
The survey shows residents working at a public institution have the highest willingness to pay and are best guaranteed to pay such charges; willingness to pay is low among the urban poor population and urban villagers.
The respondents’ suggestions for payment include: (1) A hierarchical apportionment system of charges shall be practiced, so that whoever makes pollution shall pay and the more pollution made, the more money paid. For example, large enterprises that produce more industrial waste should pay more, industrial and mining enterprises should pay separately. The charging standard should not be too high for the general public. (2) Charges shall be reasonable, because this should be a public welfare project by nature and purely commercial operations might be infeasible. Many respondents suggest that it be made into a public welfare project, at least acceptable to the public. (3) A policy shall be enacted to protect the disadvantaged peoples. Some basic protection measures have been proposed for the low-income population affected heavily by marketization in this field, and limits of exemption from water, drainage and refuse charges shall be defined. (3) Rural charges shall be collected by the village committee other than by the government from each household. For example, the village collective turns over refuse disposal charges, and then the village committee imposes charges on the villagers as the case may be. This will be easier to operate.
5.2.2 Ability to pay
According to Water Economy Issue in Feasibility Study of Asian Development Bank Financed Water Diversion Project from Biliu River to Dalian City, Issue 2, 1993, Journal of Economics of Water Resources, a ratio of water charge spending to household income of 3%-5% is often regarded as a practical and feasible figure. It is pointed out in the report of the MOC task “Study of Urban and Rural Water Shortage” that, the mental impact on residents or their affordability changes with the above ratio as follows: If the ratio is 1%, there is little mental impact; if the ratio is 2%, there is some impact and residents begin to be concerned about water consumption; if the ratio is 2.5%, residents pay attention and begin to save water; if the ratio is 5%, there is great mental impact and residents begin to save water seriously; and if the ratio is 10%, there is greater impact and residents begin to consider recycling water. In this regard, different pricing portfolios should be applied to different users and water uses.
It is stipulated in the Standard for domestic water consumption of urban residents (GB/T50331-2002), promulgated by the Ministry of Construction and the General Administration of Quality Supervision, Inspection and Quarantine, effective from November 1, 2002, that the water consumption standard of urban residents of Yunnan Province is 100-140 liters/person/day. The SA Group has calculated the poor population’s ratio of annual per capita water expenditure to annual disposable income based on the maximum figure of 140 liters/person/day. It turns out that the annual water charge spending of the residents affected by the water supply and sewerage projects is less than 3% of their household income. The ratio ranges from 0.8% to 1.8%, as shown in Table 5-5. The ratio of waste charges is even lower.
Table 5-5 Water charges paid by urban residents in 2005
|No. |Subproject |Annual disposable income of |Percent of |
| | |urban residents in affected |water charges|
| | |regions |% |
|1D |Dali City Urban Integrated Drainage Pipe Network Project |8974 |1.5 |
|2D |Wastewater Treatment Plant and Associated Sewer Network in Dengchuan |6853.2 |1.8 |
| |County | | |
|3L |Sewage Treatment Plant and Associated Sewers in Huaping County Town |7096 |1.8 |
|4L |Second Municipal Wastewater Treatment Plant and Associated Sewer Network|9290 |1.0 |
| |in Lijiang City | | |
|5L |Urban Drainage Pipe System in Yulong County |8054 |1.0 |
|6W |Municipal Wastewater Treatment Plant and Associated Sewer Network Funing|7864 |1.1 |
| |County | | |
|7W |Municipal Wastewater Treatment Plant and Associated Sewers in Guangnan |7985 |1.2 |
| |County | | |
|8W |Municipal Wastewater Treatment Plant and Associated Sewer Network of |7278 |1.1 |
| |Malipo County | | |
|9W |Municipal Wastewater Collection Network in Wenshan County |9357 |0.8 |
|10W |Municipal Wastewater Collection Network of Yanshan County |7264 |1.3 |
Note: based on per capita daily water consumption of 140 liters
5.2.3 Ability to pay of poor population
It is stipulated in the Standard for domestic water consumption of urban residents (GB/T50331-2002), promulgated by the Ministry of Construction and the General Administration of Quality Supervision, Inspection and Quarantine, effective from November 1, 2002, that the water consumption standard of urban residents of Yunnan Province is 100-140 liters/person/day. The SA Group has calculated the poor population’s ratio of monthly water expenditure to income based on the allowance for low-income urban residents. This ratio may be up to 3.9%; the urban poor people in Gucheng District and Yulong County, Lijiang have a free water volume of 4 m3 per month. At the water consumption rate of 110 liters/person/day, the poor people entitled to the allowance for low-income urban residents do not have to pay for water. In reality, the income of the urban poor population is often lower than the above allowance and a family even has a member without income, in which case the ratio of monthly water expenditure will be higher.
Table 5-6 Monthly water charges paid by urban poor population in 2005
|No. |Subproject |Urban minimum living |Percent of monthly |
| | |allowance |water charges |
|1D |Dali City Urban Integrated Drainage Pipe Network Project |192 |4.6 |
|2L |Wastewater Treatment Plant and Associated Sewer Network in Dengchuan|158 |3.8 |
| |County | | |
|3L |Sewage Treatment Plant and Associated Sewers in Huaping County Town |178 |4.6 |
|4L |Second Municipal Wastewater Treatment Plant and Associated Sewer |178 |0 |
| |Network in Lijiang City | | |
|5W |Urban Drainage Pipe System in Yulong County |178 |0 |
|6W |Municipal Wastewater Treatment Plant and Associated Sewer Network |152 |3.6 |
| |Funing County | | |
|7W |Municipal Wastewater Treatment Plant and Associated Sewers in |152 |3.9 |
| |Guangnan County | | |
|8W |Municipal Wastewater Treatment Plant and Associated Sewer Network of|152 |3.3 |
| |Malipo County | | |
|9W |Municipal Wastewater Collection Network in Wenshan County |140 |3.4 |
|10W |Municipal Wastewater Collection Network of Yanshan County |152 |3.9 |
Note: based on per capita daily water consumption of 110 liters
6. Identification and control of social risks
6.1 Identification of social risks
Based on the social factors of great impacts on the project objectives identified by the World Bank experts at the preparation stage of social assessment, the Project’s social, economic background and characteristics, the SA Group has identified the key social risks that relate to the project design and might prevent the realization of the project objectives. This will help seek for measures to avoid such risks and to make organizational arrangements accordingly. The potential social risks of the Project include:
① Resettlement risk:19 subprojects will involve land requisition and relocation, which might make the affected peoples lose their living guarantee and employment conditions, reduce their income and social welfare. Land requisition and relocation might trigger a further series of potential, chronic social, cultural and psychological impacts. If these peoples cannot be resettled properly, especially if the compensation for resettlement cannot be granted timely, a direct conflict between migration and project construction will result. The resettlement risk of two major peoples is noteworthy: a) Poor population: The relatively poor communities and populations might be disadvantaged in taking advantage of compensation and resettlement, acquiring benefits from the Project and forward adaptation; thus, the relative poverty across regions and inside communities might be aggravated; b) IPs: The Project’s negative impacts on the IPs are mostly from land requisition and relocation.
② Risk of low ability to pay of urban poor population: Since the urban poor population has no income or a low income, the increase of charges may have seriously negative impact on their living. In most of the affected regions, no preferential policy on charge reduction or exemption has been made for the disadvantaged peoples, which might render the poor peoples unable to obtain the corresponding services due to the inability to pay.
③ Risk of secondary pollution: In the fieldwork, the local residents mentioned this risk repeatedly. Secondary pollution refers to damage to and impact on the air, water and soil due to the nature of pollutants during urban sewage, refuse and river silt treatment in an urban environmental protection project. The factors that might generate “secondary pollution” are: a) Refuse landfill might cause groundwater pollution due to poor seepage prevention; b) Air pollution caused by refuse pile-up and burning; c) Potential impacts on human health due to refuse pile-up and mosquito proliferation; d) Impacts of pollutant leak in sewage treatment on water and soil; e) Impacts of untreated river silt and waste residue on water and soil; f) Impacts of overflowing sewage on water and soil in the laying of sewer pipes.
④ Risk of residents’ lifestyle to the fulfillment and continuation of project objectives: The SA Group has found that the residents’ daily lifestyle is closely related to the surrounding environment, especially runoff pollution of rivers and lakes. Most residents have not realized that they are also a pollution source or they should change their own habits, such as using pesticide, throwing about refuse and sewage. The other is the environmental protection infrastructure at the affected villages/communities is to be improved, such as public toilets, dumps, drainage systems, etc.
⑤ Risk of residents’ sense of environmental protection: The SA Group finds that the primary stakeholders have not properly positioned their role in environmental protection. They think they are neither liable for the surrounding environmental pollution nor one of the subjects of environmental control. Their present role is just the passive acceptor of project and policy actions. Not only the primary stakeholders think environmental protection is an obligation of the government, the project regulatory bodies and employers also hold this viewpoint. This might lead to inconsideration of the primary stakeholders’ rights and obligations in project design, implementation and management.
⑥ Risk of subsequent project management: Urban environmental construction is not a class of projects that generate economic benefits quickly, so subsequent management is particularly important. Presently, the Project is still at the preliminary stage, and the project regulatory bodies and employers have not discussed the Project’s subsequent management sufficiently.
⑦ Organizational capacity building: In the solid waste disposal, wastewater treatment and sewer network projects, there is the challenge of establishing an organization featuring clearly defined rights, obligations and efficient management. In the basin and river course management projects, a basin and its surrounding water system belong to different administrative divisions. Different divisions have different development objectives, economic and resource possession levels, and might have conflict of interest. In this respect, basin-wide coordination will be required.
⑧ Conflict between residents and project construction: The Project’s construction will inevitably produce noise, traffic pressure and potential hazards, and cause inconvenience to the residents’ living. If these negative impacts cannot be avoided or relieved effectively, a conflict might arise between the residents and the executive body, thereby hindering the construction progress.
6.2 Control of social risks
To help the poor peoples in the affected regions share the social benefits from the Project equally, minimize the negative impacts of land requisition and relocation on the IPs and poor population, reduce the contradiction between the residents’ sense of environmental protection, lifestyle and the project objectives, the conflict between the residents’ living and project construction, strengthen organizational capacity building and subsequent project management, promote the fulfillment and continuation of the project objectives, the SA Group has conducted surveys in all the affected regions to learn all applicable regulations, policies; initiated public participations, and held adequate discussions with the government agencies concerned, employers, executive bodies, affected residents and other primary stakeholders. On this basis, the following measures and monitoring, evaluation mechanism are proposed to minimize the Project’s potential social risks.
6.2.1 Risk control measures
The risk control measures proposed by the SA Group include:
① Optimize the design. The scale of land requisition and relocation should be minimized in the design, and advanced environmental protection measures taken to avoid any possible secondary pollution resulting from the Project.
② Prepare a participation outline of beneficiaries (primary stakeholders). The beneficiaries shall participate in the Project throughout the preparation, design, implementation, monitoring and evaluation stages of the Project. In the Project, the beneficiary participation outline designed by the SA Group aims to reduce the Project’s negative impacts on the primary stakeholders, assure the publicity of project information and equal benefits, help the primary stakeholders build up the sense of subject of the Project, analyze the correlation of their own lifestyle with environmental protection; involve the primary stakeholders in project construction, management, monitoring and evaluation. See Chapter 7 “Community participation strategy” for details.
③ Prepare a rational resettlement action plan. The SA Group advises that the design should be optimized to minimize the amount of land requisition and relocation. The resettlement plan shall ensure that the migrants’ living standard is at least not reduced by project construction. During migrant resettlement, the resettlement report should be strictly followed, and the executive body shall secure the funds for resettlement on schedule, and retain experts for external monitoring and evaluation of the resettlement effort. In the resettlement action plan, special attention shall be given to: a) the resettlement action plan includes an income recovery policy that takes land exchange as a resettlement measure, so that the Yi villagers can still raise pigs after losing their land; b) Give training to the poor people on how to use the resettlement compensation and restore income. Increase the investment in the resettlement of poor communities and people in combination with the local poverty relief fund to build some infrastructure.
④ Reduce and exempt charges for the disadvantaged peoples. After the Project is completed, the charging standards for sewage treatment, water supply and solid waste treatment will be increased. Thought the increase is not too much and will be affordable for most urban residents, it will impose a certain burden on the rural and urban poor populations in the affected regions. To relieve their burden and assure their equal benefits from the Project, in the regions with preferential charging policies for the disadvantaged peoples in place, the existing policies shall be enforced; where there is no such policy, the government agencies concerned shall enact a policy to reduce and exempt the charges for water supply, sewage treatment and solid waste treatment.
⑤ Give education and training on environment and public health. To assure the fulfillment and continuation of the project objectives, the SA Group thinks it necessary to improve the sense of public environmental health of all people by giving them relevant education. It is advised that the propaganda department, education bureau, EPA, radio and television bureau, newspapers, sub-district and neighborhood committee of the local government shall give propaganda on water conservation, civil treatment of sewage and refuse, waterborne disease prevention, waste recycling, national and local environmental indicators, environmental protection regulations by means of poster, brochure, ratio station, TV station and public assembly. Give education on public environmental health to producers of pollutants in the basin and river course management projects.
Training shall be given on the applicable national, local environmental indicators and regulations; water conservation, civil treatment of sewage and refuse, runoff pollution control, waterborne disease prevention, waste recycling; which lifestyles might have impact on the surrounding environment under the leadership of the Project Office and the Employer, with the assistance of the propaganda department, education bureau, EPA, radio and television bureau, newspapers, sub-district/town/Xiang and neighborhood committee/village.
⑥ Provide job opportunities. The employer, executive body of each subproject is advised to provide such non-technical job opportunities to the migrants, rural and urban poor population, women and IPs in the affected region first in cooperation with the local social security department and committee of ethnic and religious affairs to help them benefit from the Project.
⑦ Maintain safety and convenience during construction. Where the construction site is close to a residential area, the constructor is advised to set sound insulating rails or an enclosure, avoid overnight construction, and provide visible warning signs where there is any potential risk. When construction might affect traffic, the constructor is advised to provide guardrails, signboards or warning signs on the main roads, and provide sound insulating rails close to a school or major enterprise, reduce the working time during daytime peak hours and conduct overnight construction. For projects constructed in rural areas, construction during the peak irrigation period should be minimized, and the potential damages to irrigation canals and roads shall be notified in advance, so that the local residents make preparations or subsequent treatment to reduce losses. It is advised that Organize a patrol together with the local residents to maintain public security during construction.
⑧ Organizational capacity building: In the wastewater treatment and solid waste disposal projects, it is advised to define the rights and obligations of the constructor, manager and maintainer, and the sharing of incomes and costs; in the basin and river course management projects, a cross-regional environmental control body should be set up, environmental monitoring and evaluation and the law enforcement capacity should be strengthened.
9. Subsequent project management mechanism building. The SA team suggests that the local residents should participate to the subsequent project management through the community subsequent project management group. The group should include the representatives of women and minorities. And the environmental institutions need to reinforce to legislate and execute environmental laws and policies, and keep the environmental education.
6.2.2 Institutional arrangement and monitoring assessment
To assure the successful implementation of the above measures, the Yunnan Provincial Project Office shall have the employers, executive bodies of the subprojects and the local governments execute the above measures.
① Feasibility study body: optimizing project site, route and techniques, determining a rational scale of pollutant treatment;
② Employer and constructor: securing resettlement and relevant funds; providing job opportunities to the disadvantaged peoples during project construction and operation, paying wages timely; consulting with the residents about the impacts on their traffic, living environment and safety to obtain their understanding and support, and thinking of measures that could relieve such impacts, such as sound insulating rails, guardrails, road broadening, etc;
③ Health office and EPA: giving education on public health, publishing information on environmental monitoring, releasing environmental bulletins on the quality of groundwater regularly during project construction and operation;
④ Labor and social security bureau: responsible for labor employment, resettlement, on-the-job training, etc;
⑤ Poverty relief development office: responsible for the identification, job guidance and policy consultation of the rural poor population;
⑥ Committee of ethnic and religious affairs: responsible for the identification, production/living support and policy consultation of the IPs population;
⑦ Civil administration bureau: identifying the affected population brought into the minimum living allowance, supervising the implementation of supporting policies for the disadvantaged peoples;
⑧ Price bureau, financial bureau: implementing the above supporting policies, and supervising the enforcement of the relevant policies.
Tables 6-1 to 6-4 detail the SA Group’s analysis of project risks, measures to avoid risks and the inputs from the executive and supervisory bodies by city/prefecture.
Table 6-1 Measures to avoid social risks for Kunming City
|Type|Subproject |Social risk |Action |Duration |Responsible |
|2 |Project scope and |Propose own needs, compare |Study if government can |Propose feasible inputs |Connect project with |
| |framework |reasons of issues with own |support the plan |to government and the |the primary |
| | |needs, establish the |proposed by the primary |primary stakeholders |stakeholders’ actual |
| | |framework of solution |stakeholders |based on issue analysis |needs |
|3 |Project plan |Establish project action |Review the relationship |Prepare a plan together |Do the planned |
| | |plan, determine the person |between the primary |with the primary |activities suit the |
| | |in charge based on family |stakeholders’ plan and |stakeholders to warn |primary stakeholders’ |
| | |labor, division of labor by|government appropriation|risks in advance |production season, |
| | |sex and season | | |labor allocation and |
| | | | | |financial condition? |
|4 |Implementation |Establish organizational |Provide conditions of |Technical support |The beneficiaries are |
| | |system for implementation, |implementation | |responsible for |
| | |elect the person | | |themselves |
| | |responsible for each | | | |
| | |activity | | | |
|5 |Monitoring and |Project executer monitors |Participate in |Analyze monitoring and |The beneficiaries learn|
| |evaluation |its own activities and |monitoring and |evaluation results, |the progress of their |
| | |conducts regular progress |evaluation |report to government and|activities timely |
| | |evaluations | |the primary stakeholders| |
|6 |Final evaluation |Evaluate the final effects |Participate in |Participate in the |The beneficiaries |
| | |of own and external |evaluation, review the |review of benefits from |evaluate whether they |
| | |investments |effectiveness of |technical investment |are benefited |
| | | |government investment | |themselves |
|Role |Decision executer |Guarantor |Supporter |Role unification |
7.2 Outline of participation of primary stakeholders
During project design, implementation, monitoring and management, to ensure that different stakeholders obtain information on the Project timely and have equal opportunities to give their suggestions and inputs, and for the convenience of the executive bodies and monitoring, management bodies to learn the Project’s dynamics for the purpose of scientific decision-making, the SA Group thinks it necessary to:
① Keep project information public. The propaganda effort shall run through the whole duration of the Project. Establish a regular publication system of project information, and poster the information closely associated with the primary stakeholders at public spaces in the community regularly. In addition, means such as collective meeting, congress, slogan, TV and broadcast can also be used to communicate the information on project preparation and implementation to the primary stakeholders.
② Help the primary stakeholders build up the sense of subject of the Project. The SA Group suggests the following types of training: (a) Give participatory training to the primary stakeholders, guide them to think about community development, environmental pollution and environmental protection; (b) Give training on environmental knowledge, guide the primary stakeholders to think about impacts of their lifestyle and mode of production on the environment, and how to carry out environmental protection from themselves; and (c) Give technical training on the Project to eliminate the primary stakeholders’ worry about the Project.
③ Involve the primary stakeholders in the Project’s construction, give priority to them in providing compensated labor service and allow them to provide logistic services to construction.
④ Pay attention to the role of village and community cadres in project implementation. Such cadres play a key role in project propaganda, training, mobilization, feedback of villagers’ needs, discovering problems, coordinating conflicts and subsequent management. A certain subsidy may be given to the key cadres involved in project implementation.
⑤ Conduct village-level participatory management of village environmental infrastructure, mobilize the public to maintain the sustainability of the Project. Through consultation with the employers and community residents, the SA Group has formulated the procedures for the management of rural public toilets for the Rural Runoff Pollution Control in Erhai Lake Basin and the Integrated Water Environmental Management Project in Puzhehei Lake of Qiubei County, and Community Participation Procedure for “Forest Blockage of Upper Reaches of Panlong River” in Integrated Environment Management Project of Panlonghe River in Wenshan County (see Appendixes III, IV and V).
In Table 7-2, the SA Group prepares an outline for participatory activities at different stages of the basin and river course management, wastewater treatment and sewer network, solid waste disposal and other projects, including the SA Group’s advice on participation.
Table 7-2 Outline of participation of primary stakeholders
|Type |Stage |Participatory |Details |Form of activity |Participants |Responsible body |Remarks |
| | |activity | | | | | |
| | |Participatory |①Identify the affected peoples and their basic |Community/village congress |①community reps | |With the assistance of the |
| | |analysis of |living conditions | |(including reps of the | |SA Group and EPA |
| | |affected peoples |②Identify the Project’s negative and positive | |poor, IPs and women) | | |
| | | |impacts on these peoples | |②Community /village | | |
| | | | | |committee | | |
| | | | | |③Employer and project | | |
| | | | | |office | | |
| | |Participatory |①Analyze the environmental conditions and problems|Community/village congress | | |With the assistance of the |
| | |issue analysis |of the community/village, and to which extent | | | |SA Group and EPA |
| | | |these problems hinder the development of the | | | | |
| | | |community and residents | | | | |
| | | |②Help residents analyze in which ways river /lake | | | | |
| | | |pollution is correlated to their lifestyle | | | | |
| | |Participatory local knowledge assessment |Analyze things in local knowledge that help relieve river and lake |Community/village congress |
| | | |pollution | |
|Kunming |1 |Total Water Pollutant Monitoring, Management |No special social risk except those general risks stated in the SA |None |
| | |and Support System in Dianchi Catchment Area |Report | |
| |2 |Municipal Solid Waste Collection and Disposal |The local residents generally think the sewage treatment plant is too |Demonstrate the sewage treatment plant’s impact on local drinking |
| | |Project in Luquan County |close to the existing water supply pipeline and might affect drinking |water in the environmental assessment report. If there is no or little|
| | | |water quality, which might lead to a conflict with the executive body |impact, the conclusion shall be communicated to the villagers for |
| | | |during construction. |their recognition; if there is significant impact, a secondary |
| | | | |treatment plan shall be designed, and the relevant costs included in |
| | | | |the project budget. Such plan and its expected results shall be |
| | | | |communicated to the affected villagers. |
| |3 |Municipal Solid Waste Collection and Disposal |No special social risk except those general risks stated in the SA |None |
| | |Project in Songming County |Report | |
| |4 |Municipal Solid Waste Collection and Disposal |No special social risk except those general risks stated in the SA |None |
| | |Project in Xundian County |Report | |
|Dali |5 |Integrated Water Environmental Management of |The survey shows the river course assistant managers are villagers |It is advised to give training river course assistant managers on |
| | |Major River Courses into Erhai Lake |employed temporarily by the town government from the villages along |river course ecological knowledge and to the affected residents on |
| | | |the river. They can only do some simple jobs, such as silt and float |environmental knowledge with their assistance. |
| | | |cleanup, are not good enough to propagandize environmental knowledge | |
| | | |to the surrounding villagers. | |
| |6 |Rural Runoff Pollution Control in Erhai Lake |1. Build 51 public toilets at the affected village, because the |1. The owner is advised to prepare feasible management regulations of |
| | |Basin |toilets there are not properly managed and functioning. If no |public toilets in consultation with the local residents and bring it |
| | | |management procedures are formulated, the project objectives cannot be|into the social assessment report and include subsequent management |
| | | |realized. |expenses of public toilets in gross project expenses. |
| | | |2. The survey shows the villagers’ habits are closely associated with |2. It is advised to demonstrate the sources of basin pollution in the |
| | | |Erhai Basin pollution. The main pollution sources are domestic |feasibility study report, and analyze if non-engineering measures, |
| | | |wastewater, feces and domestic refuse. However, the villagers think |such as improving the local residents’ lifestyle, whether the present |
| | | |environmental destruction is caused by other factors, and neglect |design would be affected. |
| | | |their role in environmental protection. |3. It is advised to give environmental knowledge training to the local|
| | | | |residents under the environmental management plan to enhance their |
| | | | |sense as the subject of environmental protection. |
| |7 |Dali City Urban |Zizhou Area |The streets of Xizhou Town are narrow; the pipe network construction |The feasibility study body is advised to prepare a rational |
| | |Integrated | |might affect the operations of the surrounding stores |construction organization plan in consultation with the preparer of |
| | |Drainage Pipe | | |the migrant resettlement plan to avoid impact on the surrounding |
| | |Network Project | | |stores; if such impact is unavoidable, compensation for the operating |
| | | | | |losses of the stores shall be reflected in the resettlement plan. |
| | | |Gucheng Area |1. The survey shows owners of 90% of the stores have not installed an |1. It is advised to determine the installation scheme of indoor |
| | | | |indoor drainpipe, and sewage is discharged directly into street sewers|drainpipes (by specialized construction teams) in consultation with |
| | | | |and even drain ditches. After the project is implemented, they are |the store lessees and owners, and include it in the social assessment |
| | | | |unwilling to install an indoor sewer pipe at the cost of above 1,000 |report; the poor people unable to afford the installation expenses |
| | | | |yuan, let alone the non-local lessees of the stores; this might |shall be relieved or exempt from these expenses. These expenses shall |
| | | | |prevent the project objectives from being fulfilled. |be included in gross project expenses. |
| | | | |2. The survey shows the existing sewer pipes of the ancient town are |2. The project design staff shall avoid any irrational design of the |
| | | | |not rationally designed, and are higher than the drainage level of |sewer pipe on the basis of field investigation, and correct the |
| | | | |nearby residences somewhere; this is not only adverse to drainage and |existing pipes with irrational design. |
| | | | |might lead to backflow in rainy days. | |
| | | |Scenic Zone |The terrain of the resort is high, flying ash and noise carried by |It is advised to design dust-proofing and noise-proofing measures |
| | | | |strong wind would affect the numerous residences and educational |during construction and include the relevant expenses in the |
| | | | |institutions nearby. |environmental management plan . |
| | | |Fengyi Area |No special social risk except those general risks stated in the SA |None |
| | | | |Report | |
| |8 |Wastewater Treatment Plant and Associated |No special social risk except those general risks stated in the SA |None |
| | |Sewer Network in Dengchuan County |Report | |
| |9 |Municipal Solid Waste Collection and Disposal |The present charging standard of refuse is 3 yuan/person-month, and |The owner is advised to organize a refuse price hearing before the |
| | |Project in Eryuan County |there is no preferential policy for the poor population. |project is operational, and formulate a preferential policy for the |
| | | | |poor people. |
| |10 |Sewage Treatment Plant and Associated Sewers |No special social risk except those general risks stated in the SA |None |
| | |in Huaping County Town |Report | |
| |11 |Second Municipal Wastewater Treatment Plant |The village of the construction site is beside the Yanggong River—a |It is advised to include the action of well water quality monitoring |
| | |and Associated Sewer Network in Lijiang City |municipal sewerage river. All villagers drink well water. Since the |by the environmental protection agency in the environmental management|
| | | |wells are shallow (about 2m), the well water has been seriously |plan to assure the safety of drinking water. |
| | | |polluted, resulting in widespread attack of snail fever. The physical | |
| | | |health of the villagers has been greatly threatened. Although the | |
| | | |treatment plant might relieve the pollution of the river, the | |
| | | |villagers are still worried about the safety of drinking water. | |
| |12 |Urban Drainage Pipe System in Yulong County |No special social risk except those general risks stated in the SA |None |
| | | |Report | |
| |13 |Municipal Solid Waste Collection and Disposal |The same as above |None |
| | |Project in Lijiang City | | |
| |14 |Lijiang Lion Mountain Environment Renovation |63 households are to be relocated in this project. Since they live in |1. It is advised to avoid the relocation of 48 households in the |
| | |Project |the scenic area and derive their income from house rent. Relocation |scenic area while the environmental planning of the Lion Mountain is |
| | | |will bring great losses to their income, so they are unwilling to |not breached; the houses should be renovated and reconstructed on |
| | | |move. |site. This will save relocation costs and make the project more |
| | | | |economical and feasible. |
| | | | |2. It is advised to resettle the unavoidably relocated households in |
| | | | |the resettlement plan to protect their income from loss. |
|Wenshan |15 |Integrated Environmental Management in Putting|None | |
| | |River Basin of Funing County | | |
| |16 |Integrated Water Environmental Management |64 wastewater treatment stations will be built in the affected |The owner is advised to formulate feasible management regulations of |
| | |Project in Puzhehei Lake of Qiubei County |villages; but it is unknown who will manage these stations and where |village wastewater treatment stations and public toilets in |
| | | |are management funds from. This would make the project unsustainable. |consultation with the local residents, and to establish a regulatory |
| | | |38 public toilets will be built in the affected villages; but it is |body at the village that involves the villagers and is funded by |
| | | |unknown who will manage these toilets and where are management funds |government finance. |
| | | |from. This would make the project unsustainable. | |
| |17 |Integrated Environment Management Project of |None |None |
| | |Panlonghe River in Wenshan County | | |
| |18 |Municipal Wastewater Treatment Plant and |None |None |
| | |Associated Sewer Network Funing County | | |
| |19 |Municipal Wastewater Treatment Plant and |None |None |
| | |Associated Sewers in Guangnan County | | |
| |20 |Municipal Wastewater Treatment Plant and |None |None |
| | |Associated Sewer Network of Malipo County | | |
| |21 |Municipal Wastewater Treatment Plant and |None |None |
| | |Associated Sewer Network in Qiubei County | | |
| |22 |Water Supply System of Qiubei County |None |None |
| |23 |Municipal Wastewater Collection Network in |Sewage treatment charges are collected along with water charges. The |1. It is advised to give consideration to the villagers’ critical |
| | |Wenshan County |survey shows 6% of the local residents use well water, 50% of the |willingness to pay in fixing the water price; |
| | | |residents use well water and tap water simultaneously. In the review, |2. It is advised to formulate a sewage treatment charging procedure |
| | | |the residents reflected that if water charges beyond 2 yuan (presently|for the residents using well water. |
| | | |1.45 yuan/m3) after the project is completed would be too much for | |
| | | |them, and they would turn to well water in place of tap water. Thus, | |
| | | |sewage emissions will exceed tap water usage. Sewage treatment charges| |
| | | |cannot be collected in full and the project objectives can hardly be | |
| | | |fulfilled. | |
| |24 |Municipal Wastewater Collection Network of |The same as above |The same as above |
| | |Yanshan County | | |
| |25 |Municipal Solid Waste Collection and Disposal |The local residents worry waste liquid from the waste treatment plant |Demonstrate the sewage treatment plant’s impact on local drinking |
| | |Project in Funing County |might pollute surface water and groundwater. |water in the environmental assessment report. If there is no or little|
| | | | |impact, the conclusion shall be communicated to the villagers for |
| | | | |their recognition; if there is significant impact, a secondary |
| | | | |treatment plan shall be designed, and the relevant costs included in |
| | | | |the project budget. Such plan and its expected results shall be |
| | | | |communicated to the affected villagers. |
| |26 |Municipal Solid Waste Collection and Disposal | | |
| | |Project in Maguan County | | |
| |27 |Municipal Solid Waste Collection and Disposal | | |
| | |Project in Malipo County | | |
Appendix I
Members of SA Group of the Project and Their Duties
|Name |Sex |Duty |Title |Employer |
|Zhou Daming |M |Chief Director of Social Assessment |Professor, Doctor |CCCC |
|Liu Zhiyang |M |Formulation and control of technical standard for |Associate Professor, Doctor |CCCC |
| | |social assessment | | |
|Qin Hongzeng |M |Kunming SA Team director, Kunming report writing |Professor, Doctor |CCCC |
|Jin Zhiwei |M |Dali SA Team director |Lecturer, Doctor |CCCC |
|Yang Xiaoliu |F |Lijiang SA Team director, general report writing |Lecturer, Doctor |CCCC |
|Liu Zhaohui |M |Wenshan SA Team director, Wenshan report writing |Lecturer, Doctor |Xiamen University |
|Lin Xiang |F |Kunming SA Team member |Assistant Research Fellow, |CCCC |
| | | |Doctor | |
|Zou Qiong |F |Dali SA Team member, Dali report writing |Lecturer, Doctor |CCCC |
|Xing Qishun |M |Lijiang SA Team member, Lijiang report writing |Assistant Research Fellow |Guizhou Academy of |
| | | | |Social Sciences |
|Wang Yueping |F |Wenshan SA Team member, Wenshan report writing |Assistant Research Fellow, |CCCC |
| | | |Doctor | |
Appendix II
Agenda of SA Teams of the Project
|Time |Location |Activity |
|Dec 1-3 |Kunming |The SA Group arrived in Kunming, discussed with the Provincial Project |
| | |Office; surveyor training |
|Dec 3 |Wenshan |The SA Teams arrived in the 4 affected prefectures/cities for a field survey |
| |Kunming |of all the subprojects under the Project |
| |Dali | |
| |Lijiang | |
|Dec 14 |Lijiang |The Lijiang SA Team finished the fieldwork, and gave feedback to the Lijiang |
| | |Project Office; two social assessment experts went to Wenshan |
|Dec 17 |Dali |The Dali SA Team finished the fieldwork, and gave feedback to the Dali |
| | |Project Office; the Dali Team returned to Kunming |
|Dec 18 |Wenshan |Wenshan SA Team finished the fieldwork, and gave feedback to the Wenshan |
| | |Project Office; the Wenshan Team returned to Kunming |
|Dec 18, afternoon |Kunming |The Wenshan, Dali, Lijiang Teams gave feedback to the Provincial Project |
| | |Office |
|Dec 19 |Kunming |Kunming SA Team finished the fieldwork, and gave feedback to the Kunming and |
| | |Provincial Project Offices |
|Dec 20-25 |Guangzhou |The SA Group compiled the data and discussed the framework of the assessment |
| | |report |
|Dec 26-Jan 5, 2007 |Guangzhou |Composition of the Lijiang, Wenshan, Dali, Kunming social assessment |
| | |sub-reports |
|Jan 6-15, 2007 |Guangzhou |The prefectures/cities gave revision feedback on the social assessment |
| | |sub-reports; the SA Group revised the sub-reports and wrote the general |
| | |report. |
|Feburary-DEC., 2007 |Guangzhou |Revision of the social assessment report |
Appendix III
Procedures for the Management of Rural Public Toilets for the Rural Runoff Pollution Control in Erhai Lake Basin Project
(Draft)
Article 1 These Procedures have been formulated with reference to the Law of the People’s Republic of China on Prevention of Environmental Pollution Caused by Solid Waste and the Regulations for the Management of Erhai Lake of Dali Bai Autonomous Prefecture in order to strengthen the management of rural public toilets, reduce rural runoff pollution in Erhai Lake Basin effectively, further protect Erhai Lake from direct emissions of rural human and animal feces.
Article 2 “Rural public toilet” herein refers to any toilet open to the rural public.
Article 3 These Procedures apply to the management of rural public toilets in the areas affected by the Rural Runoff Pollution Control in Erhai Lake Basin.
Article 4 Improving the sanitary level of rural public toilets is a key indicator of building a new socialist countryside. Our city’s rural public toilets shall be constructed and managed on the principle of “human focus, rational layout, health, convenience, environmental protection and energy saving” in a scientific and standard manner.
Article 5 The environmental protection agencies of Dali City and Eryuan County (hereinafter referred to as the “Competent Authorities”) are the administrative authorities responsible for the management of the rural public toilets to be constructed under the project, and shall be responsible for the enforcement of these Procedures. The town environmental sanitation authorities shall be responsible for the routine maintenance, management and supervision of the rural public toilets in their respective jurisdictions.
Article 6 Each village shall manage its rural public toilets based on its practical situation with reference to the following practices:
(1) The town government, village committee and natural village employ a person for the cleaning and management of public toilets by appropriating a certain sum of money. Management approach: The public toilets are freely open to the public; the village committee shall sign a responsibility document with the manager and formulate the examination procedure, which shall be followed strictly; the public toilets shall be put under the management of a specially assigned person, who shall clean and take care of the public toilets, and the relevant costs shall be borne by the town, village and cooperative levels; the water and electric charges of public toilets shall be borne by each villager team respectively; the supporting refuse dump of a public toilet is covered by the responsibility of waste collection.
(2) A rural public toilet is used on a compensated basis and managed by a specially assigned person. The charges collected shall belong to that person, who must be responsible for the routine management of the public toilet. Management approach: Compensated management is practiced for the public toilets of each village, but the charging limit shall not exceed 0.2 yuan/man-time; the village committee shall sign a responsibility document with the manager and formulate the examination procedure, which shall be followed strictly; the collector shall clean and take care of the public toilets; the water and electric charges of public toilets shall be borne by the collector; the supporting refuse dump of a public toilet is covered by the responsibility of waste collection.
(3) As the case may be, rural public toilets are built at some special locations, such as the association of the elderly, schools, and are managed by these organizations. Rural public toilets shall serve all villagers and be managed by the organizations concerned. Management approach: The public toilets of each village are open to the public; the village committee shall sign a responsibility document with the manager and formulate the examination procedure, which shall be followed strictly; the organization concerned shall clean and take care of the public toilets at its own expense; the water and electric charges of public toilets shall be borne by the organization concerned; the supporting refuse dump of a public toilet is covered by the responsibility of waste collection.
Article 7 No organization or individual shall demolish, close down any rural public toilet or change its purpose without authorization. If such toilet has to be demolished or closed down due to any village project or house demolition, a reconstruction plan shall be submitted to the town environmental administration 15 days in advance, and the toilet shall be reconstructed according to the above plan or a compensation granted at the replacement price.
Article 8 The main building and internal facilities of a rural public toilet shall be maintained and repaired by the village committee, which shall also observe the following provisions:
(1) The village committee shall establish a repair reporting system; when the main building or any facility of the toilet is damaged, the maintenance staff shall repair or replace it timely;
(2) The water supply, power supply, drainage and ventilation equipment shall be in good condition and serviceable; any problem must be repaired within 12 hours;
(3) If any wall, floor, partition, basin, window, door, switch, handle or lock is damaged, it must be repaired or replaced within 3 days;
(4) If any sign in the toilet is damaged, it must be repaired or replaced within 12 hours.
Article 9 A rural public toilet (including its septic tank) must be cleaned up as follows:
(1) It must be cleaned up at any time, so that feces do not overflow;
(2) There shall be no spillage or leakage;
(3) The waste collected shall be discharged by the organization responsible or its authorized organization to the specified location in the specified manner.
Article 10 A rural public toilet must be cleaned as follows:
(1) The walls, doors, windows and partitions are clean, tidy, free of scrawl;
(2) The internal facilities and tools are put in order and clean;
(3) The outer walls, roof and sanitary responsibility area are tidy, free of sundries;
(4) Waste is dumped at the specified time, location and in the specified manner.
Article 11 No scrawl is allowed on the walls and floor of a rural public toilet; random spitting is forbidden; unorganized waste dumping is forbidden; pouring sewage and waste into the urinals and fecal wells is forbidden; urinating outside the urinals is forbidden; destruction of any facility in the toilet is forbidden. Any organization or individual shall have the right to prevent and report any destruction.
Article 12 Anyone breaching these Procedures shall be published by the Competent Authorities or their authorized organization depending on the gravity of the circumstances:
(1) Anyone who demolishes, closes down the toilet or changes its purpose shall be ordered to restore or reconstruct the toilet, and may be fined 1,000~3,000 yuan;
(2) If the toilet does not meet the specified sanitary standard, the person liable shall be ordered to make corrections and may be fined 50~500 yuan.
(3) If feces overflow occurs due to untimely cleanup, the person liable shall be fined 100~500 yuan and ordered to clean it up within 24 hours.
(4) Anyone who pours sewage, waste or scrawl in the toilet shall be fined 50~500 yuan.
(5) Anyone who destroys any facility of the toilet shall be ordered to restore it to the original condition or compensate for the losses, and be fined 500~3,000 yuan.
Article 13 These Procedures shall be construed by the Competent Authorities.
Article 14 These Procedures shall come into effect from the date the public toilets proposed under the project are completed.
Appendix IV
Procedures for the Management of Public Toilets in Waterfront Villages of Puzhehei Lake, Qiubei County
Article 1 These Procedures have been formulated with reference to the Law of the People’s Republic of China on Prevention of Environmental Pollution Caused by Solid Waste and the Regulations for the Protection of Puzhehei Scenic Zone, Wenshan Zhuang-Miao Autonomous Prefecture, Yunnan Province and with reference to the Procedures for the Management of Urban Public Toilets in order to strengthen the management of public toilets in the waterfront villages of Puzhehei Lake, reduce rural runoff pollution in Puzhehei Lake Basin effectively, further protect Puzhehei Lake from direct emissions of rural human and animal feces.
Article 2 “Rural public toilet” herein refers to any toilet open to the rural public.
Article 3 These Procedures apply to the management of rural public toilets in the eight key waterfront lakes around Puzhehei Lake.
Article 4 Improving the sanitary level of rural public toilets is a key indicator of building a new socialist countryside. Rural public toilets in the waterfront villages of Puzhehei Lake shall be constructed and managed on the principle of “human focus, rational layout, health, convenience, environmental protection and energy saving” in a scientific and standard manner.
Article 5 Puzhehei Tourist Development Co., Ltd. is the organization responsible for the management of the rural public toilets in Puzhehei; the village teams shall be responsible for the routine maintenance, management and supervision of the rural public toilets in their respective villages.
Article 6 Each village shall manage its rural public toilets based on its practical situation with reference to the following practices:
(1) The town government, village committee and natural village employ a person for the cleaning and management of public toilets by appropriating a certain sum of money. Management approach: The public toilets are freely open to the public; the village committee shall sign a responsibility document with the manager and formulate the examination procedure, which shall be followed strictly; the public toilets shall be put under the management of a specially assigned person, who shall clean and take care of the public toilets, and the relevant costs shall be borne by the town, village and cooperative levels; the water and electric charges of public toilets shall be borne by each villager team respectively; the supporting refuse dump of a public toilet is covered by the responsibility of waste collection.
(2) A rural public toilet is used on a compensated basis and managed by a specially assigned person. The charges collected shall belong to that person, who must be responsible for the routine management of the public toilet. Management approach: Compensated management is practiced for the public toilets of each village, but the charging limit shall not exceed 0.2 yuan/man-time; the village committee shall sign a responsibility document with the manager and formulate the examination procedure, which shall be followed strictly; the collector shall clean and take care of the public toilets; the water and electric charges of public toilets shall be borne by the collector; the supporting refuse dump of a public toilet is covered by the responsibility of waste collection.
(3) As the case may be, rural public toilets are built at some special locations, such as the association of the elderly, schools, and are managed by these organizations. Rural public toilets shall serve all villagers and be managed by the organizations concerned. Management approach: The public toilets of each village are open to the public; the village committee shall sign a responsibility document with the manager and formulate the examination procedure, which shall be followed strictly; the organization concerned shall clean and take care of the public toilets at its own expense; the water and electric charges of public toilets shall be borne by the organization concerned; the supporting refuse dump of a public toilet is covered by the responsibility of waste collection.
Article 7 No organization or individual shall demolish, close down any rural public toilet or change its purpose without authorization. If such toilet has to be demolished or closed down due to any village project or house demolition, a reconstruction plan shall be submitted to the town environmental administration 15 days in advance, and the toilet shall be reconstructed according to the above plan or a compensation granted at the replacement price.
Article 8 The main building and internal facilities of a rural public toilet shall be maintained and repaired by the village committee, which shall also observe the following provisions:
(1) The village committee shall establish a repair reporting system; when the main building or any facility of the toilet is damaged, the maintenance staff shall repair or replace it timely;
(2) The water supply, power supply, drainage and ventilation equipment shall be in good condition and serviceable; any problem must be repaired within 12 hours;
(3) If any wall, floor, partition, basin, window, door, switch, handle or lock is damaged, it must be repaired or replaced within 3 days;
(4) If any sign in the toilet is damaged, it must be repaired or replaced within 12 hours.
Article 9 A rural public toilet (including its septic tank) must be cleaned up as follows:
(1) It must be cleaned up at any time, so that feces do not overflow;
(2) There shall be no spillage or leakage;
(3) The waste collected shall be discharged by the organization responsible or its authorized organization to the specified location in the specified manner.
Article 10 A rural public toilet must be cleaned as follows:
(1) The walls, doors, windows and partitions are clean, tidy, free of scrawl;
(2) The internal facilities and tools are put in order and clean;
(3) The outer walls, roof and sanitary responsibility area are tidy, free of sundries;
(4) Waste is dumped at the specified time, location and in the specified manner.
Article 11 No scrawl is allowed on the walls and floor of a rural public toilet; random spitting is forbidden; unorganized waste dumping is forbidden; pouring sewage and waste into the urinals and fecal wells is forbidden; urinating outside the urinals is forbidden; destruction of any facility in the toilet is forbidden. Any organization or individual shall have the right to prevent and report any destruction.
Article 12 Anyone breaching these Procedures shall be published by the Competent Authorities or their authorized organization depending on the gravity of the circumstances:
(1) Anyone who demolishes, closes down the toilet or changes its purpose shall be ordered to restore or reconstruct the toilet, and may be fined 1,000~3,000 yuan;
(2) If the toilet does not meet the specified sanitary standard, the person liable shall be ordered to make corrections and may be fined 50~500 yuan.
(3) If feces overflow occurs due to untimely cleanup, the person liable shall be fined 100~500 yuan and ordered to clean it up within 24 hours.
(4) Anyone who pours sewage, waste or scrawl in the toilet shall be fined 50~500 yuan.
(5) Anyone who destroys any facility of the toilet shall be ordered to restore it to the original condition or compensate for the losses, and be fined 300~2,000 yuan.
Article 13 These Procedures shall be construed by Puzhehei Tourist Development Co., Ltd.
Article 14 These Procedures shall come into effect from the date of promulgation.
Appendix V
Community Participation Procedure for “Forest Blockage of Upper Reaches of Panlong River” in Integrated Environment Management Project of Panlonghe River in Wenshan County
|Stage |Activity |Details |Manner |Participants |Body responsible |Remarks |
|Preparation |Project |①Propagandize the importance and necessity of the project, |Poster, brochure, public assembly, |①All community members |PO, employer |With the assistance of the |
| |propaganda |solicit for their inputs and advice |slogan, leaflet |②Employer | |Xiang/town, village and |
| | |② Communicate the key information of concern to the main | |③PO | |competent county |
| | |stakeholders, such as commencement date and location of the | | | |authorities |
| | |project | | | | |
| |Fact-finding |Social and economic survey: with focus on population, economy, |Village congress, door-to-door |①Community reps (including reps| |With the assistance of the |
| |survey of |income structure, land use, materials used, combustion |interview |of the poor, minorities, women | |SA Team and county |
| |ecological |structure, as well as forecasts | |and other special groups) | |technical authority |
| |restoration area | | |②Community/village committee | | |
| | | | |③Employer and PO | | |
| | | | |④Staff of county agricultural | | |
| | | | |authority | | |
| | |Present situation survey of forest structure: Set up survey | | | | |
| | |areas by forest category, structure and shade density, number | | | | |
| | |and register them respectively, make statistics of forest | | | | |
| | |cultivation and replanting areas, quantities of different | | | | |
| | |species required, prepare a yearly implementation plan of forest| | | | |
| | |cultivation and replanting | | | | |
| | |Survey of present situation and management method of forests and| | | | |
| | |grasses in the restoration area, in order to propose the optimum| | | | |
| | |management plan pertinently | | | | |
| |Training |① Strengthen the training on national and local forest |①Community/village meeting |①All community members | |With the assistance of the |
| | |protection regulations to all people |②Poster, brochure, slogan, leaflet |②Employer | |Xiang/town, village and |
| | |② Tell the public which lifestyles might affect the surrounding | |③PO | |competent county |
| | |environment, help the residents in the affected area realize | |④Competent government | |authorities |
| | |these impacts | |authorities | | |
| | | | |⑤Community/village committee | | |
|Implementation|Enacting blockage|Have the county government issue a “mountain sealing order”, and| |County government and competent|Wenshan County | |
| |regulations |set up an ecological restoration supervision and law enforcement| |authorities |Government | |
| | |team | | | | |
| |Establishing |Establish a 4-level (county, Xiang, village, community) | |County competent authorities |County and Xiang | |
| |blockage |supervision and management network centering on the water | |and Xiang government |governments | |
| |supervision and |conservancy bureau, implement the supervision and management | | | | |
| |management |responsibility system level by level, carry out the supervision | | | | |
| |network |and management one-vote vetoing system strictly | | | | |
| |Technician |Transfer specialized technicians from the forestry, animal |Technical guidance and supervision |County technical authority |Employer, county | |
| |support system |husbandry and agricultural departments to organize an ecological| | |technical authority | |
| | |restoration management technical force, which shall be | | | | |
| | |responsible for the enclosed cultivation and replanting, pest | | | | |
| | |control, disease treatment, variety introduction and improvement| | | | |
| | |of the restoration area. The technical team shall practice the | | | | |
| | |technical job responsibility system and the technical guidance | | | | |
| | |mistake compensation system to define the job responsibilities | | | | |
| | |of all technicians and link their wages and benefits to service | | | | |
| | |performance | | | | |
| |Setting up |Elect trustworthy and prestigious able persons as full-time |①Community/village meeting |①All community members |Community PM team | |
| |community |managers, and have the relevant village and community heads as |②Community/village congress |②Employer | | |
| |supervision and |part-time supervisors, found a community supervision and |③Meeting of community PM team |③Community PM team | | |
| |management team |management team, which shall prevent and forecast water and soil|(including representatives of the | | | |
| | |loss, collect water conservation cases, enact village rules for |poor, migrants, minorities and women)| | | |
| | |blockage, and establish a water conservation reporting | | | | |
| | |compensation system | | | | |
| |Entering into |Enter into a management contract in diverse forms with residents|①Community/village meeting |①All community members |Community PM team | |
| |management |in the affected area, such as large household management |②Community/village congress |②Employer | | |
| |contract with |contracting, buy-out management and joint-stock management |③Meeting of community PM team |③Community PM team | | |
| |villagers | |(including representatives of the | | | |
| | | |poor, migrants, minorities and women)| | | |
| |Establishing |Practice classified and area-by-area management depending on |①Community/village meeting |①All community members |Community PM team, |With the assistance of |
| |community |shade density, forest structure and location, and propose |②Community/village congress |②Employer |employer |county technical authority |
| |classified |corresponding fostering measures. Propose criteria, management |③Meeting of community PM team |③Community PM team | | |
| |management system|expenses and reward/punishment measures for the management |(including representatives of the | | | |
| | |contract according to the scope and priorities of management. |poor, migrants, minorities and women)| | | |
| | |Erect an ecological restoration management tablet in the managed| | | | |
| | |area, fence the key management sections (e.g., replanting area, | | | | |
| | |fruit forest management area) and set up striking blockage | | | | |
| | |signboards. Meanwhile, disclose the details of the blockage | | | | |
| | |management contract and the management system to the villagers, | | | | |
| | |encourage them to supervise and report violations, increase the | | | | |
| | |transparency and quality of blockage management | | | | |
|Monitoring and|Defining forest |Pursue the forest ownership pre-assignment system by combining |①Community/village meeting |①County government |Community PM team |With the assistance of |
|feedback |ownership |ecological restoration with issuance of forest ownership |②Community/village congress |②Employer | |county technical authority |
| | |certificate and returning land for farming to forestry, so that |③Meeting of community PM team |③Community PM team | | |
| | |whoever cultivates the forest will benefit. Provided the forest |(including representatives of the | | | |
| | |ownership will remain unchanged over a long term, the title to |poor, migrants, minorities and women)| | | |
| | |forest products planted and managed in autonomous forests will | | | | |
| | |belong to the owner so as to eliminate the worry about ownership| | | | |
| | |change | | | | |
| |Setting up |Monitor the following in the affected area under the supervision|①Community/village meeting |①All community members |Employer |With the assistance of |
| |typical |of the technical force: ① wild life population changes; ② forest|②Community/village congress |②Employer | |county technical authority |
| |monitoring |and grass growth changes; ③ soil fertility changes; ④ social and|③Meeting of community PM team |③Community PM team | | |
| |stations |economic changes; ⑤ changes in soil loss area and amount of loss|(including representatives of the |④County technical authority | | |
| | | |poor, migrants, minorities and women)| | | |
| |Establishing |Appoint a supervisor at each Xiang/town, an information clerk |All levels of project monitoring |Xiang/town, village PM team, |Xiang/town, village | |
| |supervision |for each village/community, enact village rules, set up a | |competent county authorities, |PM team, competent | |
| |mechanism |reporting hotline, establish a 3-level (county, Xiang, village) | |employer |county authorities | |
| | |supervision and law enforcement network, define the duties of | | | | |
| | |the county planning committee, construction committee, land and | | | | |
| | |resources, environmental protection, forestry and agricultural | | | | |
| | |departments | | | | |
| |Village / |① Regular environmental monitoring |①Community/village meeting |①All community members |Employer, community |With the assistance of PO |
| |community PM team|② Villager living standard restoration monitoring |②Community/village congress |②Community/village committee |PM team | |
| | |③ Monitoring of restoration of natural environment after the |③Community PM team (including |③Employer | | |
| | |project |representatives of the poor, |④PO | | |
| | | |migrants, minorities and women) |⑤Community PM team | | |
Appendix VI
No.: ____________
Social Assessment Questionnaire for
World Bank Financed Yunnan Urban Environmental Construction Project
Point of survey: ______ Team, ______ Village/Sub-district Committee, ______ Xiang/Town/Neighborhood, ______ County/District/City, ______ City
Surveyor: ____________
Date: ____________, 2006
Respondent: ____________ Registered householder: ____________
I. Family Background
1. Background of respondent
1. Sex of respondent: (1) Male; (2) Female
2. Your age: (1) =66
3. Your nationality: (1) Han; (2) Miao; (3) Yi; (4) Lisu; (5) Bai; (6) Hui; (7) Tibetan; (8) Naxi; (9) Dai; (10) Mosuo; (11) Zhuang; (12) Yao; (13) Mongolian; (14) Gelao; (15) Other ______
4. Your religious faith: (1) Buddhism; (2) Islam; (3) Christianity; (4) Local religion; (5) Other ______; (6) No faith
5. Your marital status: (1) Married; (2) Unmarried; (3) Divorced; (4) Bereft of spouse
6. Your education: (1) Illiterate; (2) Semiliterate; (3) Primary school; (4) Junior high school; (5) Senior high school; (6) Secondary school; (7) College; (8) Undergraduate; (9) Postgraduate
7. Your occupation: (1) Farmer; (2) Worker; (3) Self-employer; (4) Business employee; (5) Public servant; (6) Public institution worker; (7) Retired cadre; (8) Laid-off or retired worker; (9) Student; (10) Unemployed; (11) Other ______
2. Family economy
1. ______ people dine together at your family. (1) =10 people
2. Last year, your family’s gross income was about ______ yuan, and your current expenses were ______ yuan. (1) 50,000 yuan
3. The primary expenses of your family are ______, ______ and ______ in turn: (1) Food; (2) Clothing; (3) Production; (4) Travel cost; (5) Education; (6) Medical care; (7) Living expenses except food and clothing (e.g., buying furniture, soap, etc); (8) Entertaining expenses; (9) Supporting the elderly; (10) Other ______
4. Your family’s sources of income include ______ (multiple choices), in which the most important one is ______ (single choice): (1) Planting; (2) Stockbreeding; (3) Handicraft; (4) Workshop; (5) Commerce; (6) Labor service; (7) Wages; (8) Other (specify) ______
● Rural residents
1. You think your family’s standard of living is: (1) Below subsistent; (2) Subsistent; (3) Well-off; (4) Moderately wealthy; (5) Wealthy
2. Your family has ______mu of land, including ______mu of dry land; ______mu of paddy field; ______mu of land for farming returned to forestry; ______mu of woodland; ______mu of fishpond; ______mu of orchard.
3. Your family’s livestock: ______heads, including ______heads of cattle; ______pigs; ______heads of sheep; ______ horses; ______others.
4. Your family’s poultry stock: ______, including ______ chickens; ______ ducks; ______ geese; ______ others.
5. When was your house built? ______ (year), house area ______m2, rough cost ______yuan.
6. Are you satisfied with your family’s financial status? (1) Very satisfied; (2) Largely satisfied; (3) Neither, nor; (4) Not quite satisfied; (5) Very dissatisfied
● Town residents
1. You think your family’s standard of living is: (1) Below subsistent; (2) Subsistent; (3) Well-off; (4) Moderately wealthy; (5) Wealthy
2. Your family moved into your present house in ______ (year). The house price then was ______, and the present price ______.
3. Are you satisfied with your family’s financial status? (1) Very satisfied; (2) Largely satisfied; (3) Neither, nor; (4) Not quite satisfied; (5) Very dissatisfied
II. Willingness and Ability to Pay for Services Offered by the Project
1. In your opinion, the primary consideration in local economic development is:
(1) Conservation and improvement of ecology; (2) Introduction of talent; (3) Increase of per capita income; (4) Improvement of living facilities; (5) Other ______
2. Do you think your location is seriously polluted?
(1) Very serious; (2) Serious; (3) Neither, nor; (4) Not quite serious; (5) Almost none; (6) Don’t know
3. Do you think your local sewage needs control?
(1) Very necessary; (2) Necessary; (3) Neither, nor; (4) Not quite necessary; (5) Completely unnecessary; (6) Don’t know
4. Do you think your local domestic refuse needs cleanup and disposal?
(1) Very necessary; (2) Necessary; (3) Neither, nor; (4) Not quite necessary; (5) Completely unnecessary; (6) Don’t know
5. If this Project improves your local environment, will you be willing to pay for the services offered by it?
(1) Very willing; (2) Willing; (3) Neither, nor; (4) Not quite willing; (5) Unwilling; (6) Not sure
6. If this Project can increase your living costs, the payment level you can afford will be about ______yuan/month.
III. Attitudes to and Suggestions for the Project of Villagers and Residents
1. Have you heard of Yunnan Province borrowing a loan from the World Bank for improving the urban environment?
(1) Know; (2) Don’t know
2. If yes, where did you know?
(1) Broadcast, TV or newspaper; (2) Government notice; (3) Relatives/friends; (4) Other ______
3. Which information do you know about this Project?
(1) Time of implementation; (2) Location of implementation; (3) Land requisition or house demolition plan; (4) Compensation plan for land requisition /relocation; (5) Something during construction; (6) Not clear, just know about it; (7) Completely unaware; (8) Other (specify) ______
4. What more information do you want to know?
(1) Time of implementation; (2) Location of implementation; (3) Land requisition or house demolition plan; (4) Compensation plan for land requisition /relocation; (5) Something during construction; (6) Other (specify) ______
5. Do you think this Project will bring opportunities to the development of your family or community?
(1) Yes; (2) No; (3) Not necessarily; (4) Don’t know
6. Do you think sewage treatment might have some negative impact?
(1) Yes; (2) No; (3) Not necessarily; (4) Don’t know
7. Do you think refuse cleanup and disposal will affect your production and living?
(1) Yes; (2) No
8. Are you willing to participate in the construction of this Project?
(1) Yes; (2) No; (3) Don’t know (no answer)
If yes, how do you expect to participate?
(1) Working at the site; (2) Providing raw materials; (3) Doing business near the site; (4) Other (specify) ______
9. Questions about land requisition:
a. Will the Project requisition your land?
(1) Yes; (2) No; (3) Don’t know
b. Are you willing to have your land requisitioned for the Project?
(1) Yes; (2) No; (3) No answer
c. If the Project will occupy your land, how do you expect to be compensated?
(1) Money only; (2) Land exchange only; (3) Job arrangement only; (4) Total resettlement (specify)
d. How long do you expect to be compensated after land requisition?
(1) 2 months; (2) Half a year; (3) More than a year; (4) Don’t care
e. In case of monetary compensation, which mode do you prefer?
(1) Single payment; (2) Payment in installments; (3) Don’t care
10. Questions about relocation:
a. Will your house be demolished?
(1) Yes; (2) No; (3) Don’t know
b. Are you willing to be relocated for the Project?
(1) Yes; (2) No; (3) No answer
c. If yes, how do you expect to be compensated?
(1) Money; (2) Housing arrangement; (3) Job arrangement; (4) Other (specify)
d. If you are to be relocated, where do you prefer?
(1) Near the former location; (2) Town; (3) Other ______
e. If your children are given job opportunities, who will you give priority to?
(1) Son; (2) Daughter; (3) Anyone
f. The possible impact of relocation on your family and you would be:
(1) No impact; (2) Less visits of friends/relatives; (3) Discrimination in new environment; (4) Other ______
Appendix VII
Interview Outlines
Interview Outline for Village/Community Cadres
I. Drawing:
1. Community map
2. Resources distribution map (Mark key roads, hospitals, schools, markets, bridges, historic sites, drinking water sources, irrigation facilities and other key facilities that might be affected)
II. Background of affected village/neighborhood committee:
1. Population (size, sex, nationality, faith, occupation, size and ratio of agricultural and nonagricultural populations)
2. Natural resources owned by village and community (land, forest, minerals, forests, etc) and utilization thereof
3. Income of village/community, key sources, proportions and rankings hereof
4. Composition and development of means of living (agricultural, nonagricultural, stockbreeding).
5. Level of economic development of village/community: per capita income, poverty level, ranking of economic development, collective economic development
6. History and planning of village development
7. Problems and present situation of village infrastructure
8. Ecology and impacts on local people’s living
9. Composition and operations of formal and informal organizations
10. Experience of implementing similar projects
III. Indigenous Peoples
1. Categories, populations, proportions and residences of Indigenous Peoples at village/community
2. Origin of Indigenous Peoples
3. Informal organizations of Indigenous Peoples
4. Natural resources, and habits of environmental protection of Indigenous Peoples
5. Economic development of Indigenous Peoples
6. Religious faiths of Indigenous Peoples
7. Production and consumption of Indigenous Peoples
8. Government aids to Indigenous Peoples
9. Intercourse among nationalities
IV. involuntary migrants
1. Background of affected village/community: population, arable land, labor and industrial structure, etc
2. Indicators of real objects of the affected population that might be requisitioned, demolished or relocated in the Project, including:
1) Situation of land requisition;
2) Situation of house demolition;
3) Land attachments, including trees, wells, terraces, graves, enclosures, etc
4) Water systems, roads, power, telecom, broadcast, cable TV and other types of infrastructure
V. Attitude toward the Project
1. Which benefits do you think the Project will bring to your village?
2. How will your village assist the government in constructing the highway?
3. What difficulties do you think are there in assisting the government in implementing the Project?
4. Do you think the Project will have any negative impact on your existing ecological environment?
5. Who do you think will benefit most from the Project?
6. What difficulties do you think are there in your village’s development?
7. If payment of charges is required after the Project’s completion, do you think is reasonable?
8. If yes, how much? How to pay?
9. If not, why?
10. How do you think the villagers/citizens will react to the Project’s collection of charges?
(Note: This outline also applies to Xiang/town-level team or cadre interview. The questions may be added/removed as the case may be. The purpose is to learn the social, economic and cultural background of the affected regions and the attitude of the rural residents, town cadres to the Project.)
Forum Outline for Villagers/Residents
1. Do you know about the Project? When, how and what? Which more information do you want to know? What’s your greatest concern? (Especially whether and to what extent do people know about the relocation resettlement plan, including location, quality of resettlement house, time of resettlement.)
2. What impacts will the Project have on your living? (Both positive and negative)
3. Which aspects of the Project are you most concerned about? Enumerate and prioritize your points.
4. Who will benefit most from the Project?
5. What are your suggestions for the Project? (Rank by acceptance level)
6. Which problems are urgent in public services (traffic, irrigation, medical care, children’s education, etc), and housing? Which solutions are possible? What forms of assistance do you need?
7. Should the Project collect charges? (Why? Why not?)
(Note the name, sex, age, residence of each villager present)
Door-to-door In-depth Interview Outline
I. Questions:
1. In your opinion, is your village richer or poorer than the other villages in the county? If poorer, why? What measures should the government take in addition to individual effort?
2. Do you approve of or object to the Project? If you object, please justify.
3. Do you think the Project will bring opportunities to the development of your family or community? If yes, which opportunities will there be? (For in-depth interviewees)
4. What negative impacts do you think will the Project have?
5. Do you know that you might pay for using the facilities of the Project after its completion?
6. Do you think it reasonable? Why?
7. Do you know your land and house might be requisitioned? Do you know the compensation standards for land occupation and house demolition? Are you satisfied with your new house and job?
8. How much do you expect to be compensated? How long do you expect to get it? How will you use it?
9. Which mode of compensation do you think is reasonable in land requisition and migration?
10. Who do you think will benefit most from the Project’s construction?
11. What impacts does the Project’s construction have on your village’s existing natural environment (e.g., tail gas pollution, noise pollution)? What impacts will there be on your cultural, historical heritage and religious, tourist sites?
12. What impacts does the Project’s construction have on women’s production and living? What requirements and suggestions do they have for the Project? (For women only)
13. What impacts does the Project’s construction have on your nationality’s production, living and customs? What’s your suggestions? (For Indigenous Peoples only)
II. Drawing:
1. Daily living chart and seasonal activity chart
2. Routine trip chart and routine intercourse chart
(Note: This interview outline shall be based on the questionnaire survey.)
Appendix VIII
Questionnaire for Entity to be Relocated under Lijiang Lion Mountain Environmental Renovation Project
Dear Sir or Madam:
Hello!
Entrusted by the World Bank Financed Lijiang Urban Environment Construction Project Office, CCCC is now carrying out the social impact assessment of this Project. We expect to know your impacts and existing problems arising from this Project as a basis of feedback to the competent authorities. This survey does not involve privacy and your personal information will be kept confidential. Thank you for your support!
CCCC
2006-12-10
|Address |______, ______ Committee (Village), ______ Street (Road, Xiang/Town), ______ District |
|Name | |
|Contact | |
|Mailing address | |
|Tel | |
|E-mail | |
1. Type of business
1) Foreign funded; 2) State-owned; 3) Private; 4) Mixed ownership; 5) Public institution; 6) Government; 7) Other (specify) ______
2. Your entity has been here for ______ years.
3. Your main business line: ______
4. Workforce: ______ regular workers, ______ casual workers, ______ retired workers
5. Your floor area: a) ______m2, floor area to be requisitioned: b) ______m2
6. What’s your type of land property right?
a. 1) Leased (Go to b); 2) Bought; 3) Other (specify) ______
b. Your rental is ______ yuan/month; term of lease contract: from ______ to ______
7. What’s your type of house property right?
a. 1) Leased (Go to b); 2) Bought; 3) Other (specify) ______
b. Your rental is ______ yuan/month; term of lease contract: from ______ to ______
8. Will your entity’s house be partially or entirely requisitioned? Total area requisitioned: ______ m2
9. Legality of your entity’s house:
1) Lawful permanent property right; 2) Temporary (non-expired); 3) Temporary (expired); 4) Illegal building; 5) Other (specify) ______
10. Have your entity hired out any house or land? ______
11. If yes, your entity owns ______ leased stores; ______ leased houses; ______ leased suites.
12. On average, each store is leased at ______ yuan/month, each house at ______ yuan/month, and each suite ______ yuan/month.
13. Is the lease of house and land essential to your existence and development? Please specify the reason.
14. Do you know the resettlement compensation plan after relocation? If yes, please indicate.
15. Do you know the time of relocation?
16. Which losses have been caused to your entity from relocation?
17. How do you expect to be compensated for the losses caused by relocation?
18. What’s your plan after relocation?
19. What’s the impact of relocation on your future development? (Merits and demerits)
Questionnaire for Store to be Relocated under Lijiang Lion Mountain Environmental Renovation Project
Store name: ______
Nation: ______; nationality: ______; Operating period here: ______
Business line:
Name of storeowner: ______; Entity: ______; Origin: ______ Nationality: ______
Rental: ______ yuan/month
Term of lease contract: from ______ to ______
What about your business around here? What’s your daily business volume?
Do you know the Lion Mountain Environmental Control Project?
Do you know your present store is to be relocated?
Do you know the resettlement compensation plan after relocation?
Do you know the time of relocation?
Which losses have been caused to you from relocation?
How do you expect to be compensated for the losses caused by relocation?
What’s your plan after relocation?
What’s the impact of relocation on your future development? (Merits and demerits)
-----------------------
[1] The existing data on district IPs population of Panlong District, Xishan District, Wuhua District and Guandu District, Kunming is from the population census 2000; and the data of 2005 is unavailable, so these districts are not counted in.
[2] There is no statistical data on disposable income of urban residents of Luquan County, Songming County and Yiliang County, Kunming; the disposable income data of the 4 urban districts is based on a sample of 1,000 households only, which is 9,616 yuan.
[3] The unit of poverty village is natural village.
[4] The primary stakeholders are shaded.
[5] Original expression of the households to be relocated under Lijiang Lion Mountain Environment Renovation Project
[6] World Bank. 1996. The World Bank Participation Source book. Washington D. C.: World Bank.
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Figure 4-3 Structural Diagram of Pollution Load of Puzhehei Lake
Domestic pollution from 8 main lakefront villages
Tourist pollution
Rural domestic sewage
Surface runoff
Fishpond pollution
Stockbreeding
Point source
Rural runoff
Puzhehei Lake pollution load
IPP252
V2
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