亚洲开发银行非自愿移民培训之一 Involuntary Resettlement 亚洲开发银行非自愿移民政策与程序 ADB Involuntary Resettlement Policy

亚洲开发银行非自愿移民培训之一 Involuntary Resettlement 亚洲开发银行非自愿移民政策与程序 ADB Involuntary Resettlement Policy and Procedures 亚行中国代表处 ADB

亚行项目的目标 ADB Development Goals • 项目应该给人们带来的是更高的生活水平，特别是对于那些贫困人口以及其他弱势群体。 • 确保项目按照亚行的社会保障政策执行－主要原则– 不应有人因为项目受到损害，特别是当其他人受益的时候 • Projects should lead to enhanced living standards, especially for the poor and other vulnerable groups • Ensure Projects comply with ADB safeguard policies －Key principle – nobody should be made worse off, especially while others benefit

亚行的保障政策－务必遵从的政策 ADB Safeguard Policies - compliance is mandatory • 非自愿移民 - 1995 • 土著居民 - 1998 • 环境评价 – 2002 2003年～ 2006年，亚行陆续修订了这些操作政策，并在亚行网站上进行了公布。 • Involuntary Resettlement (IR) 1995 • Indigenous Peoples (IP) - 1998 • Environmental Assessment – 2002 In 2003 -06, ADB updated its operational policies and producers – see ADB website for OM section F 1, F 2 and F 3

移民/Re---Settlement Voluntary Resettlement 自愿移民 Involuntary Resettlement 非自愿移民

非自愿移民 Involuntary Resettlement 移民的过程包括： A process that includes …项目影响（包括房屋和土地）… …Displacement…(house and land) …搬迁… Relocation… …重新安置… … 家园恢复 …收入恢复 Resettlement… Rehabilitation and Income Restoration

亚行非自愿移民政策的主要原则和要求 Key Principles and Requirements of ADB’s Policy on Involuntary Resettlement • Policy on Involuntary Resettlement (1995) • Handbook on Involuntary Resettlement (1998) • OM F 2 BP/OP Involuntary Resettlement (2003, 2006)

主要原则 Key Policy Objectives Avoid IR 避免移民 Minimize IR 减少移民 Restore standard of living to at least original standards of living (AP should not be worse off) 至少达到收入恢复 Replace and compensate lost assets 重置和补偿财产损失 Integrate IR in project design 项目设计中包括移民

主要原则 Key Policy Objectives Inform and consult APs 通知并与受影响人协商 Disclose information 信息公开 Protect social/cultural institutions 保护当地社会/文化 Set cut-off date 设置截止日期

主要原则 Key Policy Objectives Informal dwellers have rights 非正式的居民拥有相应权利 Assist vulnerable groups 协助脆弱群体 Budget 足够的预算 Implementation arrangements 实施的安排与程进度的协调

移民政策适用范围 Scope and Application Applies to public/private sector 同时适用于公共/私营部门 In anticipation of ADB assistance, associated facilities 与亚行项目关联的当地项目 • conduct due diligence 尽责调查 • prepare retrofit plan if required 如需要准备补救的移民计划 Not limited to relocation 不局限于搬迁

符合条件的受影响人 Eligible Affected Persons (APs) Before Cut-off Date: 截止日期之前： • Titled 拥有正式权利的 • Legalizable 需要合法化论证的 • Nontitled 没有正式权利的 After Cut-off Date: None 截止日期之后：没有

显著性的非自愿移民 IR Significance 200 or more APs 受影响人口达到 200人及以上 • physically displaced 居所搬迁 • 10% or more of productive assets are lost. 损失生产性资产 10% 及以上

项目分类Project Categorization IR Cat Impact 影响 Reports Required A Significant 显著 Full RPs 完整移民计划 B Less Significant Short RPs 短移民计划不显著 C No impact None 不需要 RF – Sector/Hybrid/Emergency loans 移民框架－行业、混合、紧急贷款项目

亚行对成员国的援助 ADB Assistance to DMCs TAs, RETAs for IR policy 对成员国的非自愿移民政策提供技援 Training, Hands-on 培训 PPTA 项目准备技术援助 Eligible costs through loan funds 贷款支付移民中的合格费用

项目周期中的移民作 Addressing Resettlement in the Project Cycle

项目鉴别阶段 Project Identification Concept Paper 项目概念书 Screen IR impacts 梳理移民影响 Categorize 分类 Project profile, update regularly 根据项目内容及时更新

项目准备技援PPTA TA Paper – TOR, IPSA 技援文件－作大纲，初始贫困与社会评价 IR category – update? 移民分类－更新？ Consultants—Resettlement Specialist 移民咨询专家参与技援 TA completion: Draft RP/RF, subproject RP 技援需要完成移民计划/框架、子项目移民计划初稿 • Should be satisfactory for appraisal 满足项目评估要求 • OD specialist to review/comment 业务局移民专家 • Forward to Environment and Social Safeguard Division (RSES) with operational division (OD) specialist’s comment 递交给环境与社会保障处检查移民计划并提出修改意见

贷款现场考察 Loan Fact Finding Review draft RP 现场检查移民计划初稿 Raise interdepartmental comment 提出部门意见 Verify AP consultations/disclosure 查验与受影响人的协商及信息公开事宜 Confirm : 确认： • RP disclosure：移民计划的公开 • EA endorsement of RP/RF 执行机构签署移民计划/框架

管理层会议 Management Review Meeting (MRM) Submit draft RP/RF提交移民计划/框架初稿 Confirm : 确认 • RP disclosure to APs 计划公开 • EA endorsement of RP/RF 计划签署 Reflect IR info in Summary Poverty Reduction and Social Strategy (SPRSS) 减贫与社会策略概要中体现非自愿移民事项

项目评估 Appraisal Satisfactory RP/RF before appraisal 评估团之前移民计划要基本满意 Draft RP/RF upload to ADB website 计划初稿上 ADB网站 RP/RF revisions: MRM comments, Safeguards Policy Compliance Memo (SPCM) 根据会议意见与合规检查，进一步修改计划 Assurances, covenants 协议约文 Supervision consultants’ TOR 检查咨询专家的作大纲 Outstanding issues as conditions 主要的问题

职员审查委员会/第二次管理层会议 SRC/2 nd MRM Outstanding 1 st MRM issues 主要问题讨论 Check loan covenants, loan agreements circulated 检查贷款约定和协议 Forward revised RP/RF to RSES 递交修改后的移民计划

贷款谈判 Loan Negotiations Confirm RP approval before civil works contracts awards 在土建合同授予之前移民计划需要得到最终审批 RP update/disclosed on detailed design 根据详细设计更新移民计划并公开

贷款批准 Loan Approval Upload RP/RF on ADB web site (mandatory) 移民计划完稿后在ADB网站公布（强制性）

贷款启动团：项目管理手册 Loan Inception : PAM • Resettlement specialist’s participation 移民专家的参与 • Review RP/RF implementation requirements 检查计划实施并提出要求 • Include IR budget, schedule, consulting service packages 包括预算、时间表、咨询专家安排 • EAs, IAs, contractors’ and supervision consultants’ compliance with RP 执行机构、实施机构、承包商以及监理遵守计划情况

贷款启动团：项目管理手册 Loan Inception : PAM • RP updating, disclosure after detailed design 详细设计后的计划更新与公开 • TOR/Recruitment 作大纲 • External M&E 外部监测 • NGO RP Implementer 计划实施者 • Non-core subproject RP preparation 非核心子项目的移民计划准备

贷款执行过程中业务部门的任务 Loan Implementation: OD’s Role Cat A 类别A Review RP preparation before implementation 检查移民实施前的准备 Visit sites 现场考察 Reviews progress reports, M&E reports, audit reports 检查进度报告、监测报告以及审计报告 Cat B, in addition to above 类别B，除以上外： Resettlement specialist approves 移民专家审批 • Short RPs 短移民计划 • Any IR actions before award of civil works contracts, contract mobilization or similar mechanism 土建合同授予及生效之前移民行动

贷款执行中RSDD的任务 Loan Implementation: RSDD Chief Compliance Officer approves Full RPs 主任合规官员批准完整移民计划 • Updated based on detailed design 根据详细设计更新的 • Non-core subprojects 非核心子项目的 • Unanticipated IR impacts 前期未预料的 • Changes in project scope 项目范围变更 RSES conducts IR safeguard review missions 移民特别检查团

项目完报告 Project Completion Report Concise history of IR activities 简述移民实施的情况 Evaluate RP/RF implementation, loan covenants 评价计划实施以及贷款约文的执行情况 Assess EA’s performance 评价执行机构的表现 Summarize external M&E reports 对外部监测报告的总结 Identify outstanding compliance issues, recommend actions 识别主要遗留问题。并提出建议。

项目准备阶段亚行与国内程序的协调 Coordination of ADB and PRC Procedures during the Project Preparation

亚行贷款项目准备周期和移民计划/ADB Loan Cycle & RP 告知准备移民计划 Notify preparation of RP 国别规划概念形成 CPS 形成技援报告初稿 TAR 技援项目实地考察 Fact-Finding Mission 提交移民计划初稿 Submit Draft RP 技援项目启动 PPTA Commences 3个月/3 months 个月/3 选择和聘用咨询专家 Select & contract PPTA Consultant 1. 技术援助阶段 1. PPTA Phase 行长/副行长批准行长/ TAR Approved by President/VP 项目单位准备移民计划 Borrower Prepares RP 签署技援信 TA Letter Signed 3 -months 6个月/3~5 咨询专家现场作 Field Work by PPTA Consultant 专家援助移民计划 RP submitted by Consultant 咨询专家报告初稿 PPTA Consultant Draft Final Report 三方会议 Tripartite Meeting 6 - months 8 个月/6 -8 提交修订后移民计划给亚行 Revised RP submitted to ADB

2. 贷款准备阶段 2. Loan Preparation 亚行现场考察移民问题 ADB Resettlement Fact-Finding Mission PPTA三方会议 PPTA Tripartite Meeting 贷款项目实地考察 Loan Fact-Finding Msn 移民计划的正式评估 RP Formal Appraisal 亚行职员审查委员会 PSC 亚行审查移民计划 ADB Reviews RP 贷款项目评估 Loan Appraisal Mission 移民计划公开 RP Disclosure 亚行管理层审查会 MRM 最后审定移民计划 RP Finalization 取得外界公众认可 Public Consent to RP 移民计划的实施写入贷款协定 RP implementation included in Loan Agreement 贷款谈判 Loan Negotiations 时间框架/Timeframe： 13 – 35 周/Weeks 执董会研究 Board Consideration

项目准备国内程序和土地征用 Domestic Procedure & Land Acquisition 亚行技术援助 ADB PPTA 规划 Planning 项目建议书 Project Proposal 预可研 Pre-Feasibility Study 可进行贷款谈判 Loan Neg. can proceed 初设招标/Preliminary design & bidding 发改委批复可研 DRC approves FSR 可研 Feasibility Study 土地部门对可研预审 LRB reviews FSR 移民部门审查水库移民计划 Resettlement authority reviews RP 征地调查 Land acquisition survey 初步设计 Preliminary design 初设批复 Preliminary design approved 项目开 Implementation commences 报批征地手续 Apply for land use certificate 详设/招投标详设/ Detailed design + tendering 征地批复 Land use certificate granted

建设项目用地预审作流程图 Flowchart for Preliminary Approval of Land Use Certificate

建设用地审批程序(国土资源部) / Land Use Review and Approval Procedure for Construction Projects (Ministry 第一步：初审 / Step 1: Preliminary of Land Resources) Review 根据申报材料的要求进行初审，审查材料是否齐全，内容是否完整。初审在 11个作根据申报材料的要求进行初审，审查材料是否齐全，内容是否完整。初审在日内完成。Reviews if required docs are complete. Takes 11 days. 日内完成。Reviews 第二步：专项审查 / Step 2: Specialized Reviews. 权属、地类、面积的审查/ownership, type, area 　. 土地利用规划审查/land use 权属、地类、面积的审查/ownership, 土地利用规划审查/land plan. 供地情况审查/land supply 　　　　　. 压矿情况审查/ mines underneath 供地情况审查/land 　　　　　. 压矿情况审查/. 地质灾害情况审查/geological hazards. 违法用地的审查/land use violations 地质灾害情况审查/geological. 违法用地的审查/land. 信访情况审查/public complaints　　　政策法规审查/policy and regulation 信访情况审查/public complaints　　　政策法规审查/policy. 补充耕地和征用土地情况审查/Supplementary farmland acquisition　　　补充耕地和征用土地情况审查/Supplementary acquisition　　　. 审查在 5个作日内完成。This step takes 5 days. 5 个作日内完成。This 审查在第三步：会审 / Step 3: Panel Review 召开会审会，集体研究申报建设用地的情况。Convenes a panel meeting to review 召开会审会，集体研究申报建设用地的情况。Convenes the land use application 第四步：报国务院 / Step 4: Submission to State Council 要件齐全，会审会通过的材料，从接到用地申报起 40个作日内上报国务院。 Application, together with conclusions of reviews, is submitted to Sate Council within 40 days from receipt of application. 第五步：通知缴费/ Step 5: Payment 第五步：通知缴费/ 国务院批复后，根据批准用地面积及缴费标准交纳相关费用。 Once State Council approval is granted, payment will be made. 第六步：批复/ Step 6: Final Notification 第六步：批复/ 收到符合要求的缴款回执后，在 2个作日内办理批复并下发给申报单位。收到符合要求的缴款回执后，在 2 Within 2 days of receipt of payment, applicant is notified of final approval.

Thank You 谢谢！亚行网址： www. adb. org 亚行驻中国代表处： www. adb. org/prcm/