NB/T 10877-2021Code for budget estimate (cost estimate) preparation of resettlement compensation cost for hydropower projects (English PDF)

Foreword

This document was issued on 22 December 2021 by the National Energy Administration of the PRC and takes effect on 22 June 2022.

It is a NB/T standard: recommended rather than compulsory, but it is the text a Chinese reviewer applies when assessing a submission.

It is classified under ICS 27.140, Chinese classification P 59.

It replaces DL/T 5382-2007, which is superseded.

This code has been revised by the drafting group in accordance with the requirements of the Notice of the National Energy Administration on Issuing the 2016 Plan for the Development (Revision) of Industry Standards in the Energy Sector (Guo Neng Ke Ji [2016] No. 238), on the basis of extensive investigation and research, careful summary of practical experience, and wide solicitation of comments.

The main technical contents of this code are: general provisions; basic requirements; project items breakdown; cost composition; base price; project item unit price; budget estimate (cost estimate) quantities; itemized cost; annual costs; contingency; and work requirements and outcomes for different stages.

The main technical contents revised in this code are listed in the paragraphs that follow.

A breakdown of separate cost items has been added.

A chapter on budget estimate (cost estimate) quantities has been added.

A chapter on work requirements and outcomes for different stages has been added.

Contents have been added for the calculation of compensation and subsidy expenses for items such as the treatment of rural house sites (homestead land) and subsidies for landscape and appearance construction.

The breakdown of special items has been adjusted, with administrative and public service institutions and enterprises set out as a separate item.

The breakdown of environmental protection and soil and water conservation items has been adjusted, bringing them into the cost composition of the corresponding resettlement project items.

The breakdown of items for the rural part, the special items part, the reservoir basin clearance and similar parts has been improved.

The composition of compensation and subsidy expenses has been improved.

The methods for preparing part of the base prices and project item unit prices have been improved.

This code is under the administration of the National Energy Administration; it was proposed by and its routine administration is the responsibility of the General Institute of Hydropower and Water Resources Planning and Design; the Energy Industry Standardization Technical Committee for Reservoir Environmental Protection (NEA/TC16) is responsible for the interpretation of its specific technical contents. Comments and suggestions arising during implementation should be sent to the General Institute of Hydropower and Water Resources Planning and Design (address: No. 2 Liupukang Beixiaojie, Xicheng District, Beijing, postcode 100120).

Chief editing organizations of this code: General Institute of Hydropower and Water Resources Planning and Design; PowerChina Huadong Engineering Corporation Limited.

Participating editing organizations of this code: PowerChina Chengdu Engineering Corporation Limited; PowerChina Zhongnan Engineering Corporation Limited; PowerChina Northwest Engineering Corporation Limited.

The foreword also lists the principal drafters of the code (twenty-four named persons) and the principal reviewers of the code (twenty-eight named persons).

Issuing Announcement

Announcement of the National Energy Administration, No. 6 of 2021, dated 22 December 2021. Pursuant to the Standardization Law of the People's Republic of China and the Administrative Measures for Energy Standardization, the National Energy Administration approved 356 energy industry standards, headed by the Technical Code for Design of Forced Permeability Enhancement Engineering in Underground Coal Mines (Attachment 1), together with 25 foreign-language versions of energy industry standards, headed by the Technical Code for Design and Calculation of Combustion System of Fossil-fired Power Plant (Attachment 2), and hereby issues them.

Attachment 1 is the Catalogue of Industry Standards and Attachment 2 is the Catalogue of Foreign-language Versions of Industry Standards.

In the Catalogue of Industry Standards this code appears as serial number 28: standard number NB/T 10877-2021, standard name Code for Budget Estimate (Cost Estimate) Preparation of Resettlement Compensation Cost for Hydropower Projects, superseded standard DL/T 5382-2007, no adopted international standard number, date of approval 2021-12-22, date of implementation 2022-06-22.

The title page records that the code was drafted under the leadership of the China Renewable Energy Engineering Institute (General Institute of Hydropower and Water Resources Planning and Design), approved by the National Energy Administration, with an effective date of 22 June 2022, and published by China Water & Power Press, Beijing, 2022.

Structure of the Remaining Chapters (as set out in the table of contents)

The remaining subclauses of Chapter 3, Project Items Breakdown, are: 3.2 Rural Resettlement Items Breakdown (page 6); 3.3 City and Town Resettlement Items Breakdown (page 16); 3.4 Special Items Breakdown (page 17).

Chapter 3 continues with 3.5 Separate Administration and Public Service Institutions and Enterprises Items Breakdown (page 20); 3.6 Reservoir Basin Clearance Items Breakdown (page 26); 3.7 Separate Cost Items Breakdown (page 28).

Chapter 4, Cost Composition, begins on page 30 with 4.1 General Requirements.

Clause 4.2, Compensation and Subsidy Expenses Composition, begins on page 30.

Clause 4.3, Project Construction Cost Composition, begins on page 35.

Clause 4.4, Separate Cost Composition, begins on page 36.

Clause 4.5, Contingency, begins on page 39.

Chapter 5, Base Price, begins on page 40 with 5.1 General Requirements.

Clause 5.2, Base Price Related to Compensation and Subsidy Expenses, begins on page 40.

Clause 5.3, Base Price Related to Project Construction Cost, begins on page 41.

Chapter 6, Project Item Unit Price, begins on page 43 with 6.1 General Requirements.

Clause 6.2, Unit Price Preparation for Compensation and Subsidy Expenses, begins on page 43.

Clause 6.3, Unit Price Preparation for Project Construction Cost, begins on page 51.

Chapter 7, Budget Estimate (Cost Estimate) Quantities, begins on page 53 with 7.1 General Requirements.

Clause 7.2, Affected Persons and Assets Inventory Included in Compensation, begins on page 53.

Clause 7.3, Project Item Quantities, begins on page 54.

Chapter 8, Itemized Cost, begins on page 55 with 8.1 General Requirements.

Clause 8.2, Rural Resettlement Compensation Cost, begins on page 55.

Clause 8.3, City and Town Resettlement Compensation Cost, begins on page 62.

Clause 8.4, Special Items Compensation Cost, begins on page 63.

Clause 8.5, Separate Administration and Public Service Institutions and Enterprises Compensation Cost, begins on page 65.

Clause 8.6, Reservoir Basin Clearance Cost, begins on page 69.

Clause 8.7, Separate Cost, begins on page 70.

Chapter 9, Annual Costs, begins on page 73.

Chapter 10, Contingency, begins on page 74 and comprises 10.1 General Requirements, 10.2 Basic Contingency and 10.3 Contingency for Price Variation, all beginning on page 74.

Chapter 11, Work Requirements and Outcomes for Different Stages, begins on page 76 with 11.1 General Requirements.

Clause 11.2, Pre-feasibility Study Stage, begins on page 77; clause 11.3, Feasibility Study Stage, begins on page 78; clause 11.4, Resettlement Implementation Stage, begins on page 81.

Appendix A, Estimation of Output Value of Cultivated Land Per Year, begins on page 82.

Appendix B, Design of Typical Houses and Calculation of Work Quantities, begins on page 84.

Appendix C, Summary Table of Budget Estimate for Resettlement Compensation Cost, begins on page 87.

Appendix D, Detailed List of Budget Estimate for Resettlement Compensation Cost, begins on page 89.

Appendix E, List of Annual Costs for Resettlement Compensation Cost, begins on page 106.

Appendix F, Items List of Resettlement Compensation and Subsidy Expenses and Planning Costs, begins on page 107.

The code closes with the Explanation of Wording in This Code (page 112), the List of Quoted Standards (page 113) and the Addition: Explanation of Provisions (page 115).

1 Scope

NB/T 10877-2021 fixes how the compensation cost for land acquisition and resettlement on a hydropower project is estimated, replacing DL/T 5382-2007. On a large Chinese hydropower scheme this is often the largest single item of project cost after the works themselves, and it is the item most likely to be disputed, so the code exists to make the estimate consistent and checkable. It sets the general provisions and the defined terms, then the composition of the estimate and the level of detail required at each design stage, from the preliminary cost estimate through to the budget estimate. It then works through the cost categories one by one: compensation for rural land, for housing and attached structures, and for trees and standing crops; the relocation and rebuilding of towns, of enterprises and institutions, and of infrastructure such as roads, power and telecommunication lines and water supply; the resettlement of the affected population with their production and livelihood arrangements; the protection or relocation of cultural relics; the treatment of the reservoir rim including clearance and bank stabilisation; and the administrative, survey, design and supervision costs of the resettlement programme itself, together with contingency and the price escalation allowance. For each it gives the basis of calculation, the unit prices to be used and how they are derived, and the tables in which the estimate is presented. It applies to hydropower projects in China.

1.0.1 This code is formulated in order to standardize the work of preparing the budget estimate (cost estimate) of the compensation cost for construction land acquisition and resettlement, and to determine such compensation cost comprehensively and reasonably.

1.0.2 This code applies to the preparation of the budget estimate (cost estimate) of the compensation cost for construction land acquisition and resettlement of hydropower projects.

1.0.3 The preparation of the budget estimate (cost estimate) of the compensation cost for construction land acquisition and resettlement shall be based on a full command of all items of basic data, shall strictly implement the relevant policies of the State and of the people's governments at provincial level on compensation for construction land acquisition of hydropower projects, and shall determine the compensation cost for construction land acquisition and resettlement completely.

1.0.4 The budget estimate (cost estimate) of the compensation cost for construction land acquisition and resettlement shall be an important part of the planning and design of construction land acquisition and resettlement for a hydropower project, and forms an important component of the budget estimate (cost estimate) of the hydropower project design.

1.0.4 (continued) The cost estimate of the compensation cost for construction land acquisition and resettlement shall serve as an important basis for the preliminary evaluation of the impacts of project construction land acquisition, for demonstrating the project scale, for deciding on project development, and for carrying out the planning and design work of the feasibility study report stage.

1.0.4 (continued) The approved budget estimate of the compensation cost for construction land acquisition and resettlement at the feasibility study report stage shall serve as the basic reference for signing resettlement agreements, preparing the resettlement implementation plan, organizing and implementing resettlement work, and carrying out the acceptance of resettlement.

1.0.5 The preparation of the budget estimate (cost estimate) of the compensation cost for construction land acquisition and resettlement of hydropower projects shall comply with the relevant provisions of the current industry standard Code for Planning and Design of Construction Land Acquisition and Resettlement for Hydropower Projects, NB/T 10876.

1.0.6 In addition to complying with this code, the preparation of the budget estimate (cost estimate) of the compensation cost for construction land acquisition and resettlement of hydropower projects shall also comply with the provisions of the relevant current national standards.

2 Basic Requirements

2.0.1 The preparation of the budget estimate (cost estimate) of the compensation cost for construction land acquisition and resettlement shall take the results of the physical index survey as its basis; in combination with the results of the resettlement planning and design it shall define the preparation basis and principles, analyse and determine the project items breakdown, the cost composition and the base prices, prepare the project item unit prices and the budget estimate (cost estimate) quantities, and calculate the itemized costs, the annual costs, the contingency and the compensation cost for construction land acquisition and resettlement.

2.0.2 The preparation of the budget estimate (cost estimate) of the compensation cost for construction land acquisition and resettlement shall mainly adopt the bases listed in the following paragraphs.

2.0.2 (1) The relevant laws, regulations, rules and administrative normative documents promulgated by the State and by the people's governments at provincial level.

2.0.2 (2) The standards, codes and specifications issued by the competent authorities of the industry.

2.0.2 (3) The quota standards, cost composition and calculation standards promulgated by the industry quota and cost administration bodies and by the relevant competent authorities of the industry.

2.0.2 (4) The relevant national economic statistics and price information data of the construction land acquisition area and of the resettlement area.

2.0.2 (5) The results of the physical index survey.

2.0.2 (6) The results of resettlement planning, investigation and design.

2.0.3 The budget estimate (cost estimate) of the compensation cost for construction land acquisition and resettlement shall be prepared separately for compensation and subsidy expenses and for planning costs. The compensation and subsidy expenses shall be calculated from the compensation and subsidy quantities and the corresponding compensation and subsidy unit prices. For construction projects for which planning and design have to be carried out, the planning costs shall be calculated from the results of the resettlement planning and design. The planning costs for production resettlement and the subsidy expenses for public-welfare public service facilities shall be subjected to a balance analysis against the corresponding compensation and subsidy expenses.

2.0.4 The calculation of land compensation and subsidy expenses shall follow the principles listed in the following paragraphs.

2.0.4 (1) Expropriated land shall be calculated according to the land category of the expropriated land and according to the standards laid down by the people's government at provincial level.

2.0.4 (2) Where State-owned agricultural land lawfully used by other units or individuals is recovered, the calculation shall follow the standards laid down by the people's government at provincial level; where the people's government at provincial level has laid down no standard, the calculation may refer to the compensation standards for the expropriation of neighbouring land of the same category. Where unused State-owned land that has not been assigned to a unit or an individual for use is recovered, no compensation cost shall be calculated.

2.0.4 (3) For construction land lawfully used by other units or individuals within the treatment scope of the impacts of construction land acquisition, the compensation cost shall be calculated according to the relevant provisions of the State and of the people's government at provincial level. Of this, for relocation to a residential site the compensation cost should be calculated in combination with the planned construction land and the scale of the house sites at the original location; for relocated towns and for separate enterprises and institutions the compensation cost shall be calculated according to the planned construction land; for rebuilt and reconstructed special items the compensation cost shall be calculated according to the planned project construction land; and for dispersed resettlement and for separate enterprises and institutions compensated on a one-off basis the compensation cost shall be calculated according to the original land.

2.0.4 (4) For requisitioned land, compensation shall be given according to the land category of the requisitioned land and in accordance with the relevant provisions of the State and of the people's government at provincial level, and the cost of reclamation works and the subsidy expenses for the recovery period shall be calculated.

2.0.5 The house compensation standard shall take overall account of the construction conditions and construction requirements of the original houses and of the newly built houses at the planned resettlement site, and shall be determined by analysis on the basis of the reasonable replacement cost of the newly built houses. The compensation standard for auxiliary structures shall be implemented according to the relevant provisions of the people's government at provincial level; where no provision exists, it may be determined by analysis according to the principle of replacement cost.

2.0.6 The compensation cost for the planned residential sites, for the site levelling works of relocated towns, for the infrastructure and for the environmental protection and soil and water conservation works shall be calculated from the results of the construction planning and design of the new site. The subsidy expenses for public service facilities shall be calculated by analysis on the basis of a comprehensive consideration of the planned project construction cost and of the corresponding compensation cost of the physical indexes.

2.0.7 The calculation of the treatment cost of special items shall follow the principles listed in the following paragraphs.

2.0.7 (1) The relocation or reconstruction of special items shall be carried out, on the basis of satisfying the corresponding provisions of the State, according to the original scale, the original standard or the restoration of the original function, and the cost so required shall be included in the compensation cost for construction land acquisition and resettlement. Where the original standard or the original scale is lower than the lower limit of the range prescribed by the State, the treatment cost shall be calculated according to the construction standard of the lower limit of the range prescribed by the State; where the original standard or the original scale is higher than the upper limit of the range prescribed by the State, the treatment cost of the special item shall be calculated according to the construction standard of the upper limit of the range prescribed by the State.

2.0.7 (2) For objects that do not need to be reconstructed or that are difficult to reconstruct, a reasonable compensation cost shall be calculated according to the treatment scheme for the special item.

2.0.8 For resettlement residential sites, town infrastructure and special items that have already been included in the recent development plan at or above provincial level, that have been approved by the competent department at or above provincial level as genuinely requiring a higher standard or an enlarged scale, whose construction schedule matches and whose local funding source has been secured, a reasonable apportioned cost may be included in the compensation cost for construction land acquisition and resettlement of the hydropower project.

2.0.9 The enterprise treatment cost shall be calculated according to the results of the enterprise treatment planning and design. Costs increased by technical renovation or structural adjustment, enlargement of scale or raising of standards carried out in accordance with the corresponding provisions of the State shall not be included in the compensation cost for construction land acquisition and resettlement.

2.0.10 The preparation of the budget estimate (cost estimate) for resettlement construction projects shall follow the national and local corresponding or related industry methods for preparing budget estimates (cost estimates) and the matching quotas, according to the type, the scale and the industry to which the project belongs; where no such provision exists, the methods for preparing budget estimates (cost estimates) of hydropower projects and the matching quotas may be applied.

2.0.11 The environmental protection and soil and water conservation costs shall be calculated, on the basis of the environmental protection and soil and water conservation planning and design results of the resettlement works, and shall be listed separately within the corresponding works, namely the construction of residential sites and of the new sites of relocated towns, the relocation and reconstruction of special items, and the relocation of separate enterprises and institutions.

2.0.12 The budget estimate (cost estimate) of the compensation cost for construction land acquisition and resettlement should be prepared according to the policy provisions and the price level of the same period as the preparation period of the budget estimate (cost estimate) of the hub (main) project.

2.0.13 For small hydropower projects, or for large and medium-sized hydropower projects with comparatively light resettlement tasks, the preparation of the budget estimate (cost estimate) of the compensation cost for construction land acquisition and resettlement may be simplified.

3 Project Items Breakdown

3.1 General Requirements.

3.1.1 The breakdown of the project items of the compensation cost for construction land acquisition and resettlement (Figure 3.1.1) shall include the rural part, the city and town part, the special items part, the separate administration and public service institutions and enterprises, the reservoir basin clearance, and the separate cost.

3.1.1 (Figure 3.1.1) Figure 3.1.1, entitled Breakdown of the project items of the compensation cost for construction land acquisition and resettlement, shows the six first-level items listed above; the separate cost is further broken down into project construction management cost, scientific research and integrated design cost of the resettlement implementation stage, and other taxes and fees.

3.1.2 Within the treatment scope of the impacts of construction land acquisition, for the villagers' committees, rural collective economic organizations and their members, individual industrial and commercial households, and the administration and public service institutions and enterprises situated inside residential sites that were located outside the built-up area of a city or town before the land acquisition, the corresponding compensation and subsidy items shall be included in the rural part; of these, where resettlement in a relocated town is planned, the compensation and subsidy items related to their relocation and resettlement shall be included in the corresponding city and town part.

3.1.3 Within the treatment scope of the impacts of construction land acquisition, for the residents' committees, rural collective economic organizations, individual industrial and commercial households and administration and public service institutions and enterprises situated inside the built-up area of a city or town before the land acquisition, the corresponding compensation and subsidy items shall be included in the city and town part.