2008-1-10 General Report of Social Assessment for World Bank Financed Yunnan Urban Environmental Construction Project
World Bank Financed
Yunnan Urban Environmental Project
Social Assessment
(Summary Report)
China Cross-cultural Consulting Center,
Sun Yat-sen University
Dec, 2007
8
Yunan Province –World Bank Group Huit –SCE
YUEP-fasep706
2008-1-10 General Report of Social Assessment for World Bank Financed Yunnan Urban Environmental Construction Project
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.