亚洲开发银行非自愿移民培训之四
Involuntary Resettlement Session 4
移民监测与评估
Resettlement Monitoring & Evaluation
亚行驻中国代表处
PRCM/ADB
移民监测评估的定义
Definition of Resettlement M&E
1、什么是移民的监测评估？What’s Resettlement M&E?
移民监测评估是根据项目移民安置行动计划，对移民安置实施活动进
行持续地调查、检查、监督和评估工作。
Resettlement M&E is to investigate, inspect, supervise and evaluate
continuously the implementation of resettlement activities on the basis of RP.
2、移民监测评估的分类 Types of M&E
移民监测评估活动，包括由业主和移民实施机构进行的内部的移民监
测活动，和由独立的移民监测评估机构进行的外部监测评估活动。
Two types of Resettlement M&E: internal M&E conducted by the Project
owner and Resettlement Implementation Agency; and external M&E
conducted by Independent Resettlement M&E Agency
3、什么是内部监测？What’s Internal M&E?
内部监测，是业主和移民实施机构依靠自上而下的管理系统对移民安置行
动计划的实施进行连续的内部监控，目的在于全面、及时、准确地掌握移
民的进展，发现和解决问题，为顺利实施移民工作提供决策依据。
Internal M&E refers to continuous supervision and control by the Project owner and
Resettlement Implementing Agency for the implementation of the RP, with the
purposes of having thorough, timely and accurate understanding of the progress,
identifying and resolving any problems, and serving as the basis for decision
making to ensure successful implementation of the resettlement program.
4、什么是外部监测？What’s External M&E?
外部监测评估，是独立于项目业主及移民实施机构的具有移民监测评估能
力的组织或机构，对移民活动进行的周期性的监测和客观评估，它通过现
场调查访问等方法，对移民安置实施活动进行数据和信息的收集，在此基
础上对项目移民安置实施工作进行客观评估，以发现已经存在或潜在的问
题，提出解决问题的意见和建议，并反馈给亚行、项目业主和移民实施机
构，以推动移民安置实施工作的不断改进和完善。
External M&E refers to periodic monitoring and assessment by an independent
agency of resettlement activities, with use of field visits to collect necessary data,
to come up with an objective assessment of the progress of resettlement work,
identify existing or potential problems, recommend solutions, and feed back to ADB
and Project owner, so as to improve the implementation of the resettlement
program.
移民监测评估的组织机构及管理
Responsible Institutions & Management
Framework for Resettlement M&E
与移民监测评估相关的主要组织机构有:
Major organizations in respect to resettlement M&E：
亚行 ADB
项目业主/实施机构 EA/IA
移民实施机构 Resettlement Implementing Agency
外部监测评估机构 External Monitor
亚行
ADB
亚行的主要任务包括：
Major Tasks for ADB:
认定外部监测评估机构的资格
Confirm qualifications of External Monitor
协助项目业主选定外部监测评估机构
Assist EA to select External Monitor
指导、检查和评价移民监测评估工作
Guide, inspect and assess resettlement M&E
督促处理移民安置实施过程中出现的问题
Supervise resolution of problems during resettlement
审查项目实施过程中移民安置政策和方案的调整
Review adjustments to resettlement policies and plans
进行项目移民中期评价和后评价
Conduct mid-term and ex-post evaluations
项目业主/实施机构
EA/IA
在亚行的协助下，项目业主初选至少二个具有亚行或世
行移民外部监测评估经验的候选机构
With assistance from ADB, EA shortlists at least two candidate
agencies with ADB or World Bank experience
通过比较选定一家外部监测评估机构，报亚行项目经理
备案
Through comparison, select one External Monitor and inform the
ADB Mission Leader of the selection
在征地详查前两个月与选定的外部监测评估机构签订合
同，委托外部监测评估机构开展监测评估工作
Sign contract with the External Monitor two months before
detailed measurement survey of land acquisition; entrust the
External Monitor to conduct M&E
移民实施机构
Resettlement Implementing Agency (RIA)
移民实施机构的主要任务包括：
Major responsibilities of RIA:
按照经亚行批准的移民安置行动计划实施移民安置，进行内部监
测，内容可在项目进度报告中作为一章进行描述
Implement the ADB-approved RP, conduct internal monitoring; results to be
included as one chapter in Progress Report
向项目业主和外部监测评估机构提交移民安置实施进度季报
Submit quarterly RP progress report to EA and External Monitor
向外部监测评估机构提供详实的相关资料
Provide External Monitor with detailed and accurate data
对项目业主、外部监测评估机构和亚行在工作中发现并指出的问
题提出改正计划，征得项目业主和亚行同意后付诸实施
Propose corrective measures to problems identified by EA, External Monitoring
Agnecy and ADB; implement corrective measures approved by EA and ADB
外部监测评估机构的独立性要求
Independence of External Monitor (EM)
移民外部监测评估机构是独立的、与业主无直接行政隶属关系、
与移民实施机构无直接行政隶属关系的社会组织（研究机构、设计
机构、咨询机构、大学等非政府机构）
EM is an independent social entity, has no reporting relationship with the EA or
the RIA (e.g., research institute, design institute, consulting firm, university or
NGO)
外部监测评估机构必须保证机构和工作的独立性、客观性、公正
性，独立地开展移民监测评估工作，包括独立收集资料、独立分析
评估、独立编制报告等
EM should maintain independence, objectivity and fairness institutionally and
work-wise. It should carry out work independently, including independent data
collection, analysis and reporting
外部监测评估机构的资格
Qualifications of External Monitor
拥有具备社会学、人类学、经济学等专业背景的学者、专家和工
程技术人员（包括女性工作人员）
Scholars, experts and engineers (including females) with professional
background in sociology, anthropology, economics or related disciplines
具有丰富的非自愿移民业务的经验和经历
Rich working experience in involuntary resettlement
主要工作人员已接受过亚行非自愿移民安置政策和监测评估业务
培训，熟悉移民监测评估业务
Key personnel have received training on ADB involuntary resettlement policies
and M&E, and familiar with resettlement M&E
在少数民族地区，应配备具有少数民族工作经验和能说少数民族
语言的工作人员
In ethnic minority area, staff with ethnic language capability and experience in
working with ethnic minorities should be included
外部监测评估机构的任务
Responsibilities of External Monitor
编制移民外部监测评估工作大纲，明确移民外部监测评估的工作内容、
工作方法、工作程序、时间安排、人员安排；
Prepare TOR for resettlement external M&E, confirm the contents, approach,
procedure, timeline and personnel arrangements for external M&E
按照亚行批准的移民监测评估工作大纲，进行现场调查和监测，发现
移民实施中存在的问题，并预测潜在的问题，提出改进措施和建议，对
移民安置的效果进行评估；
In accordance with ADB-approved TOR, conduct field surveys and monitoring,
identify issues of concern, predict potential problems, recommend corrective
measures, and assess the performance of resettlement
编制外部监测评估报告，呈报项目业主和亚行；
Prepare external M&E report, and submit to EA and ADB
接受亚行移民业务指导；根据亚行的意见及时修正移民外部监测评估
工作。
Receives guidance from ADB, and adjust the External M&E in accordance with
ADB guidance
外部监测评估的报告周期
Reporting of External Monitoring
在移民实施期间，外部监测评估机构一般一年开展两次现场调查
和监测评估
During resettlement implementation, External Monitor should conduct field visit
and M&E twice a year
在移民实施结束后，可以一年开展一次现场调查和监测评估（ 关
注遗留问题以及收入跟踪）
After resettlement completion, External Monitor should conduct field visit and
M&E once a year (focusing on remaining problems and income monitoring)
外部监测评估工作需延续到移民安置目标的实现
External M&E should last until the goal of resettlement is accomplished
外部监测评估报告大纲
Outline of External Monitoring Report
A. 前言 / Preface
•
监测方法与内容 / Monitoring methodology and contents
•
前期监测活动回顾及问题反馈
Results for previous monitoring period and feedback to problems found
•
本次监测的重点 / Priority issues for this monitoring exercise
•
监测主要负责人以及联系方式
Key personnel of External Monitor and contact information
B. 征地拆迁与移民安置进度 / Progress in Land Acquisition and Resettlement
•
征地拆迁与移民安置的总体过程与最新进展
Overall progress of LAR and latest progress
•
用时间表方式表述征地拆迁与移民安置的主要活动的起始与结束时间
Chart depicting the start and end of major LAR activities
•
评价移民安置进度与工程建设进度之间的协调情况
Assessment of the coordination between LAR progress and overall Project
progress
C. 项目影响变化及其原因分析
Variations in predicted vs. actual impacts and contributing factors
•
比较实际发生的项目影响与移民计划之间的差别，包括各子项目或各分段实
施项目
Compare predicted vs. actual impacts, including those of the subprojects and phased
components
•
分析并解释以上变化的原因
Analyze and explain the reasons for such variations
D. 移民政策的执行情况 / Status of implementation of LAR policies
•
详细描述项目实际执行的移民政策与各类补偿标准
Provide detailed description of resettlement policies and compensation standards
adopted during implementation of resettlement program
•
比较实际执行的政策与移民计划中的政策之间的差别
Compare the variations between policies implemented and policies in the RP
•
分析并解释以上差别的原因
Analyze and explain the reasons for such variations
•
评价移民政策执行的适应性
Assess the suitability of implementation of resettlement policies
E.
•
•
•
•
•
收入与生计恢复 / Income Restoration and Livelihood Rehabilitation
为受影响人的收入与生计恢复提供的各类具体措施的落实情况
Implementation status for income restoration and livelihood rehabilitation of
APs
为企业与店铺的生产与商业恢复以及职工岗位提供的各类具体措施的
落实情况
Implementation status for restoring production and commercial activities of
enterprises and businesses and for job creation
为脆弱群体的生计恢复提供的各类具体措施的落实情况
Implementation status for livelihood rehabilitation of vulnerable groups
通过抽样跟踪调查受影响人的年度各类收入与各类支出变化的详细指
标，并与基底数据进行对比分析
Through sample survey, investigate the detailed indictors of changes in annual
incomes and expenditures of APs
评价受影响人的收入恢复程度
Assess the extent to which the incomes of the APs are stored
F. 建筑物的搬迁与重建 / Relocation and Reconstruction of Buildings
•
房屋、企事业、店铺、学校以及其他建筑物的搬迁与重建方式以及措施
Methods and measures for relocation and reconstruction of houses, enterprises, shops,
schools and other buildings
•
安置点选择与建设的进度，包括各类各安置点的基础设施以及公共设施的建设
Status of selection and construction of resettlement sites, including construction of basic
infrastructures and pubic facilities for resettlement sites
•
为脆弱群体在建房与搬迁等方面提供的措施以及落实情况，并提供相应个案分析
Measures for housing and moving of vulnerable groups and the status of implementation.
Provide case analyses
•
通过问卷或访谈等方式调查受影响人对于房屋重建的意见与看法
Obtain views and comments of APs on housing reconstruction, through questionnaire
surveys and interviews
•
评价建筑物搬迁与重建 / Assess the status of removal and construction of buildings
G.
•
•
基础设施与公共设施的恢复 / Restoration of Infrastructure and Public Facilities
描述项目影响的基础设施与公共设施的恢复情况，如：水系、道路、电力等
Describe the status of restoration of infrastructures and public facilities, incl. water, roads,
power, etc.
识别存在的遗留问题以及业主准备采取的措施，包括项目红线内和红线外
Identify existing problems and corrective measures to be adopted by EA, including the
component within and beyond red line.
H. 移民预算执行与资金来源到位 / Resettlement Budget, Sources of Financing
•
移民费用的支付以及实际资金流程
Payment of compensation funds, and fund flowchart
•
移民资金支付的时间表
Payment timetable for resettlement funds
•
移民资金的来源以及到位情况
Sources of financing, and earmarking of funds
•
比较分析实际发生的移民费用与移民计划中的预算，以及变化原因分析
Analysis of discrepancies of actual costs vs. budget in the RP, and reasons for the
differences
I. 参与和信息公开 / Public Participation and Information Disclosure
•
项目信息公开记录/Records of disclosure of project information
•
征地拆迁与移民安置政策、计划的公开记录
Records of disclosure of LAR policies, and RP
•
受影响人在移民实施以及监测评估过程中的参与机制以及参与记录
Mechanisms for and records of AP participation in LAR implementation and M&E
•
评价参与和信息公开 / Evaluation of public participation and information disclosure
J. 移民实施与管理机构 / Resettlement Implementation and Management Agencies
•
移民实施与管理主要机构的工作内容与主要指责的安排情况
Major resettlement implementation and management agencies, their tasks and
responsibilities
•
评价这些机构的执行能力与协调能力
Assessment of the capacity for implementation and coordination of the agencies
•
机构能力建设措施的落实情况
Status of implementation of institutional strengthening measures
•
对移民内部监测工作的评价 / Assessment of resettlement Internal M&E
K. 存在的主要问题及建议 / Major Problems and Suggestions
•
存在的主要问题 / Major problems
•
专业建议 / Suggestions
L.
•
•
•
•
•
附件 / Appendices
项目影响区与安置点的位置示意图
Location maps of affected areas and resettlement sites
项目实际执行并公开的有关具体征地拆迁与移民安置政策文件（复印
件）
Photocopies of specific LAR policies disclosed and implemented
抽样调查的原始数据整理
Original data from sample surveys
具有代表性的当地政府与受影响集体或受影响人签订的补偿安置协议
（复印件）
Photocopies of representative compensation and resettlement agreements
signed between local government and APs/affected collectives
相应的照片资料。如新旧房屋、安置点、培训、参与和信息公开等
Photos showing, e.g., old and new houses, resettlement sites, training, public
participation, information disclosure, etc.
Thank You
谢谢！
亚行网址：
www.adb.org
亚行驻中国代表处：
www.adb.org/prcm/