亚洲开发银行非自愿移民培训之二
Involuntary Resettlement_ Session 2
移民安置计划的准备
Preparation of Resettlement Plan
亚行驻中国代表处
PRCM/ADB
移民计划主要内容
Contents of Resettlement Plan
承偌函 / Endorsement Letter
执行摘要 / Executive Summary
1.
项目描述 / Project Description
2.
征地拆迁与安置的范围 / Scope of Land Acquisition and
Resettlement
3.
社会经济调查 / Socioeconomic Survey
4.
政策与法律框架 / Policy and Legal Framework
5.
（资格）权利 / (Eligibility) Entitlements
6.
房屋搬迁与重建 / Relocation of Housing and Settlements
7.
收入恢复措施 / Income Restoration and Rehabilitation
Measures
8.
安置预算与融资计划 / Resettlement Budget and Financing
Plan
移民计划主要内容
Contents of Resettlement Plan
9.
10.
11.
12.
13.
信息发布、协商、参与途径和信息披露要求 /
Information Dissemination, Consultation, Participation
and Approaches and Disclosure Requirements
抱怨处理机制 / Grievance Redress Mechanisms
实施进度表 / Implementation Schedule
安置机构框架 / Institutional Framework for
Resettlement
监测与评价 / Monitoring and Evaluation
附件 / Appendices
承偌函
Endorsement Letter
由项目执行机构或地方政府负责人签署的有
关严格执行移民计划的承诺。
Endorsement Letter signed by the person in
charge from the EA or local government
to strictly execute the implementation of
the RP
执行摘要
Executive Summary (ES)
是一个关于安置计划关键方面的简洁报告
（一般为三页左右）。应当涵盖安置计划
所有章节的突出要点。
An ES is a succinct report on the key aspects of
the resettlement plan (about 3 pages). It
should cover the salient points in the RP.
一、项目描述 / Project Description
•
项目的总体描述（简短为好），对导致征地或动迁
或两者兼备的子项目进行讨论，并确定项目影响区。
/ General description of the project, discussion of
project components that result in land acquisition
or involuntary resettlement or both, and
identification of the project area.
•
详细描述所考虑的避免拆迁或使拆迁最小化的项目
设计比选方案（两个及两个以上），包括一个定量
数据比较表格（主要比较各项目备选方案的项目影
响指标），并提供选择推荐方案的原因和最后决策
的依据，以及说明为什么推荐方案造成的影响已经
最小化并且是不可避免的。/ Detailed description
of the alternatives considered to avoid or minimize
resettlement (two or more than two alternatives),
including a table with quantified data (comparison
of impact index of each alternative) and provide a
rationale for the final decision, and why remaining
impacts are unavoidable.
•
阐明安置计划的主要目标 (结合具体项目、具体地
区情况进行描述)。/ State the main objectives of
the RP (describe based on the specific project
and location).
•
为了清楚起见，还要说明该安置计划是否是以项目
的可行性研究报告为依据，并说明在详细设计和详
细丈量调查（DMS）之后更新安置计划并提交亚洲
开发银行批准的安排。/ For clarity, please also
indicate whether the project is based on
feasibility study and state the arrangements for
updating the RP at after detailed
technical/engineering design and detailed
measurement survey and submission to ADB for
review and approval.
二 征地拆迁与安置的范围 / Scope of Land Acquisition and
Resettlement：
•
•
•
•
讨论项目潜在的影响。包括各子项目建设及其管理可
能影响区域的地图（附件）。／Discuss the potential
impacts of the project, including maps (appendix) of
the areas or zone of impact of such components or
activities.
描述征地范围，以及阐明为什么这是投资项目所必需
的。/ Describe scope of land acquisition, and why it
is necessary for the main investment project.
描述受项目影响的主要财产和受影响人信息，列表说
明。/ Summarize the key impacts in terms of assets
acquired and affected persons, including a table.
提供受项目影响的公共财产或公共资源的详细资料。
/ Provide details of any common property or
resources
该部分需要准备的核心表格：/ Core tables to be prepared for this section:
•
项目所有组成部分的征地拆迁安置影响概要；/ Summary of Land
Acquisition Requirements and Involuntary
•
按类别和影响的严重程度分类的受影响人概要。/ Summary of Affected
Persons by Category and Severity of Impacts
受影响人—— 总户数和总人数；/ Affected Persons – Total Number of
Households and Total Population
影响类型—— 土地、建筑物、生意、作物与树木损失，社区财产资源和其
它种类的损失；/ Type of Impacts – Loss of Land, Structure, Businesses,
Crops and Trees, Community Property Resources, and other categories
of losses
影响的严重性——永久或临时；全部（100%）或部分（不超过10%，不
超过50%）失去建筑物/土地，包括需要搬迁的人数；按照土地权属和土
地利用类别（农业、商业、宅基地、公共森林，等）分类的受影响土地概
要。/ Severity of Impacts - Permanent or Temporary; Full (100%) or
Partial (10% and below, 50% and below) loss of Structures/Land
including number of people requiring relocation
•
按建筑物类型、材料和数量分类的受影响建筑物的用地性质概要。/
Summary of Affected Lands by Tenure Status and Land Use Type
(Agricultural, Commercial, Residential, Public Forest, etc.)
三 社会经济调查：社会经济调查以及数据的提供，应当同
时提供按照性别、脆弱群体和其他社会群体的详细
的分析/影响评估。 / Socioeconomic Survey:
The socioeconomic survey while providing data
should be accompanied by a careful
analysis/impact assessment disaggregated by
gender, vulnerability and other social groups.
•
项目影响社区的社会经济调查 / Socioeconomic
survey in the project affected areas.
•
界定、鉴别将要受影响的人,并进行社会经济调查
(20%、10%); / Define, identify and enumerate the
people to be affected (20%, 10%).
•
描述土地和财产征收对受影响人带来可能的影响，
考虑社会、文化和经济因素；提供明细表格进行分
类分析；/ Taking into account social, cultural and
economic parameters, prepare disaggregated tables.
•
•
讨论项目对穷人、土著人/少数民族和其他脆弱群体带
来的影响；/ Discuss project impacts on the poor,
indigenous/ethnic minorities, and other vulnerable
groups.
分析征地拆迁中的性别影响。分析妇女的社会经济状
况、面临的影响、需求和优先考虑的事宜。/ Analyze
impacts of land acquisition and resettlement on
gender, and analyze the socioeconomic situation,
impacts, needs, and priorities of women.
该部分需要准备的核心表格：/ Core tables to be
prepared for this section:
•
按性别分类的受影响人的社会经济状况 /
Socioeconomic Profile of the Affected Persons
Disaggregated by Gender
•
脆弱性与风险分析 / Vulnerability and Risk
Analysis
四 政策与法律框架 / Policy and Legal Framework
•
描述适用于项目的国家与地方法律与政策，并准备一个（与亚
行非自愿搬迁安置政策比较的）差别分析，指出将如何解决这
个问题。/ Describe the national and local laws and policies
that apply to the project and prepare a gap analysis (in
comparison with ADB’s Involuntary Resettlement Policy)
indicating how the gaps will be addressed.
•
执行机构对不同类别的项目影响进行补偿安置的原则、法律与
政策承诺。在财产、收入和生计的重置价估价与补偿标准确定
方面的原则与具体方法。补偿与协助的资格标准以及补偿的支
付方式与时间。/ Principles, legal and policy commitments
from executing agency for different categories of project
impacts. Principles and methodologies used for determining
valuation and compensation rates at replacement costs for
assets, incomes and livelihoods. Compensation and
assistance eligibility criteria and how and when compensation
will be paid.
•
描述征地与搬迁关键程序过程 / Describe the land acquisition
process and prepare a schedule for meeting key procedural
requirements.
该部分需要准备的核心表格/流程图：
Core tables/flowcharts to be prepared for this section:
•
法律鸿沟分析——亚行非自愿搬迁安置政策与本地
法律框架之间的比较，并提出跨越该鸿沟的措施；
/ Legislative Gap Analysis – Comparison of ADB’s
Involuntary Resettlement Policy and DMC Legal
Frameworks and Proposed Measures to Bridge the
Gap
•
表明活动和时间线段的征地与搬迁过程流程图 /
Flowchart of the Land Acquisition Process with
outputs and timelines
五 受影响人权利/Entitlements：
•
确定受影响人的资格与权利。确保所有的
安置帮助、包括交易成本包括在内。/
Define entitlement and eligibility of
affected persons. Ensure all resettlement
assistance, including, transaction costs
are included.
•
包括对脆弱群体和其他特殊群体的帮助。/
Assistance to vulnerable groups and other
special groups should be included.
该部分要准备的核心表格：/ Core tables to be
prepared for this section:
•
补偿资格权利矩阵表 / Entitlement matrix
六 房屋搬迁与重建 / Relocation of Housing and Settlements
•
描述住宅与其它建筑物的搬迁选择方案，包括住房置换、重置
价现金补偿、和/或自主选择。确保妇女关注的事宜以及对脆弱
群体的帮助得以确认并在制定住房重置计划时纳入其中。/
Description of options for relocation of housing and other
structures, including replacement housing, replacement cash
compensation, and/or self-selection. Ensure gender concerns
and support to vulnerable groups are identified and integrated
when preparing replacement housing programs.
•
描述所考虑的备选搬迁安置地点，所开展的社区咨询以及选定
搬迁安置地点的理由，包括具体的地点、地点的环境评估和发
展需求。/ Description of the alternative relocation sites
considered, community consultations conducted and
justification for selected sites including details on location,
environment assessment of site, and development needs.
•
使土地权属合法化以及为搬迁者（财产）资格过户的法律安排，
包括共有补偿资格的规定以及相关的为成年子女分配土地。/
Legal arrangements to regularize tenure and transferring titles
to resettlers including, provision of joint titles as well as plot
allocation to adult children as relevant.
•
•
•
•
搬迁安置地点准备与合理安排迁移时间, 应当避免在
外过渡。/ Timetables for site preparation and
transfer. Transition housing should be avoided协助
搬迁和在新地点建设家园的措施。/ Measures to
assist with transfer and establishment at new sites.
确保具体场地所需要考虑的事项，对公共服务的可
利用性等事宜，使生计得到保护。/ Ensure location
specific considerations to protect livelihood access
to public services, etc.
提供安置点基础设施建设的计划。/ Plans to provide
basic infrastructures and special facilities
被安置人员与安置区人口的融合。/ Integration of
APs with host populations.
七 收入恢复的措施 / Income Restoration and Rehabilitation
•
确定生计风险，根据人口数据和生计来源制定分类
表格。/ Identify livelihood risks, prepare
disaggregated tables based on a demographic data
and livelihood sources.
•
描述收入恢复计划——包括恢复所有生计类型的多
种选择。举几个例子：/ Description of income
restoration programs, including multiple options to
restore all types of livelihoods, for example:
•
•
•
•
•
•
项目的利益共享 / Project benefit-sharing
收益共享安排 / Revenue sharing arrangements
资产入股，比如土地 / Joint-stock for equity
contributions such as land
补偿费的投资渠道 / Investment channels of
compensation fund
提供就业岗位 / Provision of employment
opportunities
讨论可持续性与安全网络 . / Discuss sustainability and
safety nets
•
•
•
•
通过社会保险/项目特别基金建立起社会安全网络 / Social
safety net through social insurance / project special funds
支持脆弱全体的特殊措施 / Special measures to support
vulnerable groups
社会性别需要考虑的事项 （妇女权益）/ Gender
consideration (women’s rights)
通过技能分析和需求评估，培训计划应当给与支持。/
Training programs should be supported by skills analysis and
needs assessment
该部分需要准备的核心表格: / Core tables to be prepared for this section:
•
生计恢复计划，逐项列出提供多种选择 / Livelihood restoration
plans with itemized budgets and multiple options
•
受影响人的偏好和培训计划列表 / List of training programs and
APs’ preferences
•
就业机会 / Employment opportunities
八 预算与融资计划/Resettlement Budget and Financing
Plan
•
对移民安置的所有活动逐项列出预算，还包括移民
机构的工作费用，人员培训，监测与评价，以及准
备移民报告的预算。同时考虑基本预备费和价差预
备费。/ Itemized budget for all resettlement
activities, including, budget for resettlement unit,
staffing training, M&E, and preparation of RPs
during loan implementation. Physical and price
contingencies should be included.
•
描述移民资金流向：年度预算应当显示关键科目的
预算计划支出。Describe the flow of funds: the
annual resettlement budget should show the
budget-scheduled expenditure for key items.
•
包括关于安置预算资金来源的信息。/ Include
information about the source of funding for the RP
budget.
本部分要准备的核心表格:
Core tables to be prepared in this section:
•
所有安置活动的详细费用估计和预算
Detailed Cost Estimate and Budget for all
Resettlement Activities
•
流程图: 资金流动，特别是在（符合）法律要求的背
景下，显示出资金来源和时间安排。
Flowchart: Flow of Funds showing source of
financing and timing, particularly in the context of
legal requirements.
九 信息发布、协商、参与途径和信息披露要求
Information Dissemination, Consultation, Participatory
Approaches and Disclosure Requirements
•
确定项目的利益相关者，特别是主要利益相关者 /
Identify project stakeholders, specifically primary
stakeholders
•
描述在项目周期不同阶段要开展的协商活动的机制 /
Describe the mechanisms for consultation to be
conducted during the different stages of the project
cycle
•
描述信息发布所开展的活动 / Describe the activities
undertaken to disseminate information
•
总结向受影响人（包括受影响社区或安置社区）协商
的结果，并讨论关注和建议的事宜是如何在移民计划
中得以解决的。/ Summarize the results of
consultations with affected persons (including host
communities) and discuss how concerns raised and
recommendations made were discussed in the RP
•
确认移民计划初稿向受影响人公布，并包括随后要公
布的计划的所有安排。/ Confirm disclosure of draft
resettlement plan to affected people and include
arrangements to disclose any subsequent plans
该部分需要准备的核心表格：/ Core tables to be prepared
for this section:
•
公众咨询与信息公布计划 / Public Consultation and
Disclosure Plan
•
按利益相关者群体分类的、在协商过程中提出的关注
事宜和建议摘要。/ Summary of Concerns Raised
and Recommendations Made during Consultations
Disaggregated by Stakeholder Groups
十 抱怨处理机制 / Grievance Redress Mechanisms
•
冲突解决机制以及申诉程序 / Mechanisms for
resolution of conflicts and appeals procedures
•
描述即将由项目单位实施和落实的抱怨事项处
理机制（正式和非正式的程序），制订一个有
时间约束的关于征地拆迁安置的申诉解决方案。
/ Description of the grievance redress
framework (informal and formal channels)
that will be put in place by the project
proponent setting out the time frame and
mechanisms for resolution of complaints
about resettlement
十一 实施进度表 / Implementation Schedule
•
包括一个针对所有关键安置和恢复活动的详细的、
具有时间范围的实施计划（该进度表应当与项目的
土建工程建设进度表同步）。/ Include a detailed,
time bound, implementation schedule for all key
resettlement and rehabilitation activities (the
schedule should be synchronized with the project
schedule of civil works construction)
•
包括安置监督里程碑/关键事件，并定期更新。/
Resettlement Supervision Milestones included and
updated regularly
该部分需要准备的核心表格: / Core tables to be prepared
in this section:
•
移民准备与实施进度表，与中标土建工程建设同步、
涵盖安置活动的所有方面——甘特图（用图表设
计）。/ Implementation schedule covering all
aspects of resettlement activities synchronized
with civil works awards construction – Gantt Chart
十二 移民机构框架 / Institutional Framework for Resettlement
•
应当描述负责安置准备、实施和监测的各团体的主要任务和职责，包
括工作人员的技能和人员数量。/ Main tasks and responsibilities of
the groups responsible for resettlement preparation, implementation
and monitoring should be described, including skills and number of
staff
•
对这些机构的能力进行评估，包括：技术支持（若需要），办公条件，
财务，人员和其它必要的硬件。/ Assessment of the institutional
capacity of such agencies. Arrangements to build, including technical
assistance, if required. Availability of logistics, finance, staff and
other necessary hardware
•
民间组织的作用（若涉及），以及在安置规划与管理过程中的受影响
人组织。妇女组织在安置规划、管理与运作过程中的介入，就业与创
收。安置机构雇佣女性工作人员与妇女一起工作并在安置活动的所有
方面帮助妇女的安排，包括收入恢复计划的规划与实施。/ Role of
NGOs, if involved, and organizations of affected persons in
resettlement planning and management. Involvement of women’s
groups in resettlement planning, management and operations, job
creation and income generation
本部分要准备的核心表格：/ Core tables to be prepared in this section:
•
介入安置规划与实施的政府机构和其它组织的作用与职责矩阵表 /
Matrix of Roles and Responsibilities of Government Agencies and
Other Organizations involved in Resettlement Planning and
Implementation
十三 监测与评价/Monitoring and Evaluation
•
内部监测与评价: 对安置实施进行监测的具体安排，
描述机构安排、后勤、人员配备、技能、时间和预
算分配。/ Internal Monitoring and Evaluation:
Arrangements to (i) monitor resettlement
implementation, describe institutional
arrangements, logistics, staff, skills, timelines and
budget allocated
•
外部监测与评价: 聘请一个外部监测机构的具体安
排。确保受影响人在内部与外部监测与评价中的参
与。描述（外部评价机构）资格，报告的编制安排
与提交时间。/ External Monitoring and Evaluation:
Arrangements to hire an external monitor. Ensure
participation of affected people in internal and
external monitoring and evaluation. Describe
competencies, reporting arrangements and
timelines
附件内容/Appendices
•
项目受影响区位置图 / Map of Project
Affected Area
•
监测评估工作大纲 / TOR of Monitoring
and Evaluation
•
移民信息手册 / Resettlement Information
Booklet
•
其他附件(公众参与记录等) / Other
Appendices (Public Participation Records,
etc.)
Thank You
谢谢！
亚行网址：
www.adb.org
亚行驻中国代表处：
www.adb.org/prcm/