3rd Mekong Forum on Water, Food & Energy 2013. Presentation from Session 10: Private sector policies for contributing to environmental and social sustainability

1. Session 10: Private sector policies for contributing to environmental
and social sustainability
Successful or failure ?
Perspective from Hydropower Resettlement
SHI Guoqing, Professor
Member of Governance Committee of IHA
Director of National Research Center for
Resettlement (NRCR)
Hohai University, Nanjing, CHINA
Email: gshi@hhu.edu.cn +86-13305183575
www.chinaresettlement.com www.displacement.net

2. Session 10- Questions:
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Many dam developers in the Mekong have
social and environmental policies;
many have implemented successful social
and environmental policies and strategies.
What can different dam developers learn
from each other in the implementation of
these policies, and
why do they make sense to pursue?

3. Why we talk about Social Sustainability linked
with Hydropower ？
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Hydropower= Dam/hydropower plant
+Resettlement
+Other impacts and mitigate measures (social,
env., etc.)
Involuntary resettlement and social sustainability
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are key issue of hydropower development
are worldwide challenges
should be sustainable and successful
should accompany advanced sustainable hydropower

4. What are successful or failure in
resettlement caused by hydropower?
Successful
 Better off
 Most affect households
have reached
the aim “income
restoration and
recovering of living
standard”
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Failure
Worse off
Most affect households
have NOT reached the
aim “income
restoration and
recovering of living
standard”

5. China:Dam-induced Resettlement
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Dam-induced resettlement: 20 millions resettlars
in 1950-2012
Many failure project cases before 1985
Many successful projects and good model after 1985
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Danjiangkou Dam: 382,000 APs （ phase 1,1958-1962 ）
350,000 (phase 2, 2009-2011) APs
Shuikou Dam:
80,000 APs (WB funded, 1980s-90s)
Xiaolongdi Dam:
200,000 APs (WB funded, 1994-2004)
Three Gorges Dam: 1.3 millions APs (Domestic since 1993)
Langcang-Mekong River Basin: Jinghong etc.

6. Successful Model -funded by World Bank
Shuikou Dam Project—80,000 APs
in 1980s-1990s

7. • One of the state key projects--flood control, power, and
irrigation in Yellow River, Funded by World Bank
• Impact scope of the land requisition involves provinces,
8 counties 29 townships, 174 villages, 200,000 APs mainly
rural people, 134,000 ha cultivatable land
•Budget: Project’s-- 3.5 Billion USD, resettlement--1Billion
•Finished resettlars’ relocation in 2004

8. Successful Model 3
Three Gorges Dam Project-1.3 millions APs
Budget (price in May 1993) 10.2 Billions USD,
Resettlement Budget 5 Billions USD 1993-2009

9. Three Gorges Dam
-rural, urban and enterprises
resettlement
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1.3 millions APs, 44% rural farmers and 56%
urban
citizen,
in
2
provinces
and
21
Country/districts
1,629 enterprises and 11 towns, 2 cities affected
200,000 rural APs relocated with long distant in
11 coast or downstream provinces, others
relocated within Country
resettlement budget 5 billions USD, 44.6% of dam
project budget (12 billions USD) estimated in the
price in May 1993
All APs have been relocated before June 2009
smoothly

10. Successful model: Danjiangkou Dam in 2002-2013
350,000 affected people relocated
in 2009-2011
South to North Water Diversion Project of ChinaThe largest water diversion project in the World:
50 years,5 millions M³,500 Billions RMB(650 Billions USD)

11. Danjiangkou Dam- Resettlement Villages/
2011
House space per person in 10 villages (pre- vs post-)
Guanggou Village
photos:

12. Danjiangkou Dam IR- Guanggou Village
photo in 2011
School teachers (pre- vs post-) in 10 villages

13. What are good-practices in
resettlement ？ Jinghong Hydropower
Case Study:
Deliver better living conditions for resettlars
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House
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Better quality
Larger space
Higher value
Community
facilities
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Water supply
Electricity supply
Roads
Clinics
School
Market
TV…
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Housing
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Replacement price as fundamental
Assistant for poor families
Community facilities
rehabilitation
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good location selected by local
government and satisfied by APs
public facilities rebuilt in better
standards, cost by project and
local government

14. Before
After

15. Before
After

16. Clinics in the resettlement village

17. Public facilities-school, road, bridge

18. What are good practices in resettlement
(affected community and livelihoods) ？
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Restoration and development of
sustainable livelihoods of affected
people
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Land for land as the first priority option for rural
farmers
Help to generate multi income sources
Deliver the post-resettlement support fund for
livelihoods
Deliver micro credit support
Deliver technique skills and training
Create non-farming jobs and deliver employment
services

19. Livelihoods

20. What are reasons for failure?
Lessoned from many projects
Policies:
 Lack of good policies-national, local, project
 Lack of policies implementation
 The policies can NOT be operational
 There are significant gap between IR policies
,RAP, RIP and implementation
 Low rates in compensation and reconstruction
and rehabilitation standards
 Not disclosure to and well knew by ACs and AHs
 Lack of political wills to develop the good policies

21. What are reasons for failure?
Planning:
 Lack of operational standard and technique guidelines
 Lack of good SES results in detail and based on
participatory approach (should be joint-team work)
 The physical survey results are NOT disclosure, and NOT
accepted by AHs, and NOT confirmed by stakeholders
 The RAP/RIP can NOT be operational, and not agreed by
all key stakeholders (AHs, ACs, Government, Developer)
 The resettlement schemes in areas, places, alternatives of
community and housing, are NOT accepted by AHs
 Consultants’ RAP only, but No ownership by AHs, ACs and
government and developer
 Lack of consultation process for key decision-making with
AHs, ACs and local government

22. What are reasons for failure?
Implementation:
 Lack of implementation team with full time and skilled staff,
capacity, budget
 Lack of local governmental and institution’s responsibility
taken in place and engagement
 Lack of clear tasks, procedure and responsibility define and
distribution between developer, different level
governments, consulting firms, ACs and AHs
 There are significant gap in implementation against the IR
policies ,RAP and RIP
 Lack of participation, consultation, and grievance system
 Lack of internal and external monitoring, supervision,
auditing and compliance check system

23. Conclusion:
Key factors for successful
resettlement
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Good resettlement policies and legislation system
Good governance and institution system
Good RP (resettlement plan) prepared with participation
approach and consultation process
Good detail designs
Good RIP and its implementation
Independent monitoring and supervision mechanism
Participation of APs
Consultation and grievance process
Self- organization and self-management of ACs
High attention the special impacts in social, culture and
traditional livelihoods and develop mitigation measures for
affected indigenous people or ethnic minority
Capacity building through research, training and education

24. Conclusion:
Key factors for successful
resettlement
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Integrate all responsibility under one roof
(Resettlement Bureau) with the assistant
and support by other government
agencies and consulting firm
Integrate all resettlement activities
(implementation policy, survey, planning,
design, expropriation, displacement,
reconstruction, relocation, income
restoration, implementation
administration, monitoring, supervision,
etc) in one workplan

25. Conclusion:
Key factors for successful
resettlement
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Good Governance in public wills, policies,
institution, decision making, responsibility,
mechanism in the resettlement cycle
(planning and implementation and postsupport)
Capacity building in policy, survey,
planning, implementation, management,
participation, consultation, transparence,
supervision, monitoring, auditing,
ensuring, research and education etc.

26. Conclusion:
Key factors for successful
resettlement
Highlight to
 Procedures: RPO-Cut-off dates-SESRP/FSR-RIP-RI-RIR-PRS
 Take various approaches to implement
Development-oriented Resettlement to
restore or improve the income and livelihood
of APs
 Active participation, consultation and
information disclosure with ACs and APs
 EMSEES (External Monitoring, Supervision,
Auditing and Ensuring System)

27. Resettlement
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Not only a challenge work
Is “Resettlement Engineering”
Is a Science (across multiple-subjects)
Is a Discipline
It has the Master and Ph. D Program in
“Resettlement Science and Management”
in Hohai University in China since 2004

28. Possible results of good practices
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Affected people want to be resettled
From Involuntary resettlement to
Voluntary resettlement
Turn risks to opportunities through
resettlement
Affected people shares benefits of
hydropower development rather than be
impoverished
Increase social sustainability and social
friendship of hydropower development

29. NRCR
National Research Center for Resettlement
The first and the only one national research institute,
The first research institute all over the world
specialized in development-caused R&R.
The first institute has Ph.D and master program in
Resettlement Science and Management in the world
Director: Prof. Guoqing SHI
Vice Director: Prof. Shaojun CHEN Prof. Wenxue YU
Full-time Staff: 16 persons (7 professors, 13 PhD.)
Part-time Staff: 23 persons (18 professors, 17 PhD.)
Ph.D students: 35 persons, Master students: 80 persons

30. Thanks for
your attention !