Xining Chengtong Transportation Construction & Investment Co., Ltd

Home , Chengbei District, Chengdong District, Chengxi District

世界银行贷款西宁城市交通项目

Public Disclosure Authorized World Bank-funded Xining Urban Transport Project

移民安置行动计划

Public Disclosure Authorized Resettlement Action Plan

（中期调整更新版） (Updated version after interim adjustment)

Public Disclosure Authorized

西宁城通交通建设投资有限公司 Xining Chengtong Transportation Construction & Investment Co., Ltd. 二○一八年一月 January 2018 Public Disclosure Authorized 1. Project overview and updated Resettlement Action Plan

◼ 1.1 Project introduction

The World Bank-funded Xining Urban Transport Project aims to improve the urban traffic conditions of Xining through construction of the city roads, public transport, smart traffic management system and capacity building. Its overall objective is to implement the people-oriented green transport demonstration corridor project with priority in public bus so as to provide quick, comfort and safe service for Xining's residents in the city center and the western areas to go out. The project mainly has four components: 1) urban road; 2) public transport; 3） smart traffic management; 4) institution and capacity building. The project contents are detailed in Table 1-1. The urban road component mainly includes construction of three new urban roads: Xicheng Avenue, West extension of Wusixi Road and No.5 Road, involving land acquisition and structure demolition.

Table 1-1 Introduction to Project Contents

Project Impacts of Component Contents Name resettlement 1) Xicheng Avenue (starts from Nanraocheng Expressway Interchange Toll Station and ends at Chaidamu Road). The avenue has length of about 3.70km, is urban arterial road with red line width Xining of 50m and is a two-way six-lane road. The land acquisition 1. The urban Urban sub-project contains construction of water supply and structure road Transport and drainage work, rainwater pipe network, demolition is component Project sewage pipe network, comprehensive pipeways, involved supporting lighting facilities for construction, traffic management measures and greening facilities. 2) West extension of Wusixi Road (starts from

Xicheng Avenue and ends at No.4 Road). The road has length of about 3.49km, is urban arterial road with red line width of 60m and is a two-way eight-lane road. The sub-project contains construction of water supply and drainage work, rainwater pipe network, sewage pipe network, comprehensive pipeways, supporting lighting facilities for construction, traffic management measures and greening facilities. 3) No.5 Road (starts from West extension of Wusixi Road and ends at Chaidamu Road). The road has length of about 1.02km, is urban arterial road with red line width of 40m and is a two-way six-lane road. The sub-project contains construction of water supply and drainage work, rainwater pipe network, sewage pipe network, comprehensive pipeways, supporting lighting facilities for construction, traffic management measures and greening facilities. 1) Wusi Road Integrated Public Transport Corridor. The sub-project contains layout of bus-only lane, traffic organization scheme for motorized vehicle, widening and channelized reconstruction of the intersection, reconstruction of entrances along the street, reconstruction of pedestrian crossing, improvement of non-motorized traffic, parking improvement, 2. The public coordinated control of regional traffic signal, acquisition is transport bridge works, drainage and other pipeline works, involved component greening works and lighting works and so on. 2) Yanxiao Village Public Transit Hub. The sub-project includes layout of the public transit hub, energy-saving and emission-reduction facilities and monitoring, environmental protection design, traffic safety and human body safety facilities, passenger facilities and operation facilities and so on. 1) Upgrading and improvement of traffic signal No land 3. The smart control system acquisition and urban traffic 2) Construction of bus signal priority system structure management 3) Construction of traffic video monitoring demolition is component system involved

4) Construction of traffic guidance system 5) Construction of traffic volume monitoring system 5) Construction of electronic police system 7) Construction of traffic events monitoring system 8) Snapshot system of traffic violation on bus lane 9) Construction of mobile police system 10) Upgrading and transformation of smart traffic management and command center 4. The 1) Studies of urban transport related topics No land institution and 2) Project management and technical support acquisition and capacity 3) Improvement of professional skills and structure building capacity training demolition is component 4) Publicity and education involved

When the project was under preparation in 2015, the PMO prepared Resettlement Action Plan (hereinafter referred to as the original plan), Resettlement Policy Framework (RPF) and Due Diligence Report on Resettlement in accordance with the resettlement conditions of various districts and countries. According to the two physical surveys on the resettlement, the basic data of impact of land acquisition and structure demolition for Xining Urban Transport Project is: The affected administrative units: Xining Urban Transport Project affected six villages in three towns (Dabaozi Town, Xibao Town and Mafang Sub-district Office) in one district and one county in Xining, namely Chengbei District and Huangzhong County. Impacts of structure demolition: Total area of structure demolition: 150,661.145m2, including 47,806.145m2 in the first survey and 102,855m2 in the second survey. Totally 527 people in 121 households are affected and the area of demolished private house is 144,868.38m2. Affected enterprises and public institutions: seven, area of structures to be demolished: 5,792.73m2.

Impact of land acquisition: 788.09mu collectively-owned land will be acquired, including 534.45mu cultivated lands, 253.64mu non-cultivated land, and affecting 1921 people in 481 households. 8.46mu state-owned land for construction will be acquired.

◼ 1.2 Cause for updating of Resettlement Action Plan

1.2.1 The progress of resettlement at current stage

According to monitoring report of the external monitoring agency, the land acquisition and structure demolition of this project has all been completed by December 31, 2016. Totally 233,600m2 structures were demolished and 724.88mu land were acquired (except Chengxi Passenger Station). However, the construction of resettlement complexes is about three years later than the original plan. Of which, construction of Taobei Village Resettlement Complex was just started in October 2017; construction of Wangjiazhai Village Resettlement Complex was started in November 2017; and construction of Huangzhong County Resettlement Complex has not yet been started.

1.2.2 The project's interim adjustment

This project was started in 2015 and advanced smoothly. As of October 2017, six of the eight project contracts were awarded; eight of the ten materials contracts were awarded; and three of the nine consulting service contracts were awarded. Due to slightly lower bid price, the contractual amount is actually 45% less than the originally planned. Meanwhile, due to change of the RMB-USD exchange rate, some funds are saved. The fund for civil construction of Wusi transit corridor is raised by the municipal government, so some funds are also saved. In consideration of the reserve for changes of the signed contract, the total saved funds can be up to 43 million dollars. In view of the uncertainty of the contracts that are not signed, the actual savings may be more. To reasonably use the saved funds of World Bank loan, interim adjustment to the

World Bank-financed Xining Urban Transport Project is required. The adjustment contents will be drawn up according to urban development and construction of Xining at present and include reconstruction and extension & widening of urban roads, configuration of new buses and on-board monitoring equipment, improvement of smart traffic management system and the research. The interim adjustment covers such four components as urban road, public transport, smart transport and capacity building and includes altogether 16 subprojects which are all concentrated in central districts of the city. Since the urban road component is extension & widening, transformation or improvement of existing roads and the buildings at both sides of the roads have taken the shape, the roads will be designed strictly along the strike of existing roads on the basis of following the overall planning and no land acquisition and structure demolition is involved. The public transport infrastructure component, smart urban transport component and capacity building component only involve equipment procurement, installation and use and hence no land acquisition, structure demolition and resettlement are involved, either.

Table 1-2 The project's interim adjustment I Urban road component Whether land acquisition and structure demolition is involved 1 Comprehensive improvement of Qiyi Road No 2 Upgrading and transformation of Wuyi Road No 3 Reconstruction and extension & widening of No Changjiang Road (Xiguan Avenue-Binhe Road) 4 Reconstruction and extension & widening of No Xiguan Avenue (Huanghe Road-Changjiang Road) II Infrastructure of public transport No 5 New bus No 6 On-board passenger flow analysis system of buses No III Smart urban traffic management component No 7 Platform connection, consulting and construction No 8 Video forensics system No 9 Image forensics system No

10 Vehicle function monitoring and recording system No 11 Viaduct of Xicheng Avenue No 12 High lookout No IV Capacity building component No 13 Study on carrying capacity of Xining road network No 14 Optimization and adjustment of Xining public No transport lines 15 Study on improvement of crawler-way of Xining No 16 Xining road and traffic safety management and No planning

To cooperate with the overall planning of Xicheng New Area and connection of Rail Line 1 in 2014, the site of Yanxiao Village Public Transit Hub Project in the public transport component of the project was adjusted. The new site is located in Wangjiazhai Village, Dabaozi Town, Chengbei District and named as Wangjiazhai Public Transit Hub and then renamed into Xining Chengxi Passenger Station. The nature of this site is conditionally land for construction. According to requirements of the Ministry of Land and Resources, the separate adjustment plan to overall land use planning of the project is required first and then reported to the land and resource department for approval before going through the land use procedures. The review on and change of the use of such site has been completed in July 2017. Currently, it is under the approval and it is planned to commence the construction in the first half of 2018. Hence, it becomes part of interim adjustment of the World Bank-funded Xining Urban Transport Project. The new site for Chengxi Passenger Station is adjacent to the planned Xicheng Avenue in the west side. The west extension of Wusixi Road passes through the site and is connected with the Rail Line 1. It is about 18km away from the urban area of Xining and covers land of 161.88mu. It will mainly serve the transfer of long-distance and short-distance passengers and urban-rural public buses from Huangyuan, Haixi, Hainan, Yushu and other cities and districts. Considering that Chengxi Passenger Station involves resettlement, construction of the originally planned resettlement complexes was delayed and new changes in land acquisition and structure demolition policies of Qinghai Province and Xining city have

7 occurred after 2015, the World Bank requires the PMO to update the Resettlement Action Plan according to the project changes and new resettlement policies. This plan is hereby formulated.

• 2. Analysis of Impacts

In accordance with the World Bank's working specifications and requirements on involuntary resettlement, field survey on the impacts of the project on the displaced persons must be carried out before the project implementation. The aim of the survey is to comprehensively know about the information on the affected population, types and quantities of house demolition and land acquisition in the project-affected area and understand the social and economic development of the project-affected area so as to provide reference data for the optimized project design scheme and information for preparation of Resettlement Action Plan. From January 7 to January 20, 2018, under coordination of the project implementing unit, Xining Chengtong Transportation Construction & Investment Co., Ltd., and for the purpose of preparing the report, Involuntary Resettlement Research Center of China Three Gorges University (the resettlement consulting agency) conducted the field survey and public consultation on the land acquisition in the project-affected area, the social and economic conditions of the affected villages and households and their willingness toward the resettlement as well as the resettlement plan.

◼ 2.1 Overall impacts of resettlement

According to the two physical surveys on the resettlement, the basic data of impact of land acquisition for this project is: The affected administrative units: Two administrative villages in one town of one district, namely, Wuzhong Village and Wangjiazhai Village in Dabaozi Town, Chengbei District, Xining City. Impact of land acquisition: 161.88mu collectively-owned lands, which are all irrigated lands, will be acquired.

It includes 107.92mu nursery stock land, 53.96mu greenhouses. In light of distribution, it will acquire 158.35mu land of Wuzhong Village, affecting 80 households; 3.53mu land of Wangjiazhai, affecting six households.

2.2 The affected vulnerable groups

2.2.1 Identification of the affected vulnerable groups

The vulnerable groups refer to the group among the project-affected population that are most susceptible to the damages and do not have the ability to adapt themselves to the changes brought by the project. The vulnerable groups mainly consist of the following types: ● The elderly of no family, namely the single elderly of above 65 years old and no legal supporter. ● Single-mother family, namely the households with single female householder and minor children. ● Orphans, namely the children without parents and under 16 years old. ● Poor families, namely the urban households with the Certificate for Receiving Minimum Living Allowance of Xining and the identified exceptionally poor rural households. ●The disabled, namely the people who have lost or have abnormal psychological and physical tissue and function, partially or wholly lost the ability to normally engage in some activities. ● Other families with special difficulties. The vulnerable group will be identified according to the requirements of relevant policies and regulations and the field survey. In the project implementation, the Resettlement Office will identify the vulnerable groups through door-to-door investigation, interview with the neighbors and evidence of the community committee.

2.2.2 The affected vulnerable households

According to the survey, two of the affected households are vulnerable households. These two families have nine members and belong to Wuzhong Village. List of the affected vulnerable households is shown in Table 1-2.

Table 1-2 Project-affected vulnerable families Description of the No. Name Village Family members difficulties Wuzhong 1 Ban Decheng 3 Disability Village Wuzhong 2 Tie Yongxiu 6 Illness Village

• 3. Social and Economic Conditions of the Project Area

◼ 3.1 Social and economic conditions of the project-located city/district

Xining Urban Transport Project affected six villages (communities) of three towns in one district and one county in Xining, namely Chengbei District and Huangzhong County. The social and economic development status of the affected city and county is as follows. Xining, referred to Ning for short, derives its name from the meaning "peace in western border". It is located in east of Qinghai Province, upstream of Huangshui, a tributary of Yellow River. It is surrounded by mountains at its four sides and three rivers gather there. It is located at eastern entry of the Qinghai-Tibet Plateau. Its geographic location is very important and honored as "key to Qinghai Province". Xining has a long history and culture, unique natural resources and colorful folk customs, is a bright pearl of the Qinghai-Tibet Plateau. Xining is the capital of Qinghai province, the political, economic, technological, cultural and transport center as well as main industrial base of Qinghai Province. Xining is now comprised of Chengdong District, Chengzhong District (including Chengnan New District), Chengxi District, Chengbei District, Haihu New District and National Economic Development Zone as well as Datong County, Huangzhong County and Huangyuan County. It covers totally 7649km2, including 380km2 urban areas. As of end of 2016, it has permanent residents of 2,333,700. The population of ethnic minorities was 601,600, accounting for 25.8% of the permanent residents. Of which, the population of Hui was 376,800 (16.2%), that of Tibet was 127,600 (5.5%) and that of

Tu was 59,800 (2.6%). The five major religions, i.e. Buddhism, Islam, Taoism, Christianity and Catholicism, coexist here. And the influence of Tibetan Buddhism and Islam is particularly profound. In 2016, Xining completed regional GDP of 124.816 billion Yuan. Of which the added value of primary industry was 3.915 billion Yuan, that of the secondary industry was 59.564 billion Yuan and that of the tertiary industry was 61.337 billion Yuan. The main proportional relationship of national economy is 3.2:47.7:49.1. Viewing from the demands, the consumption and investment still forcefully drive the economic growth. In 2016, Xining completed fixed asset investment of 139.93 billion Yuan, increasing by 10%; total retail sales of consumer goods of 51.307 billion Yuan, an increase of 11.15%. Xining realized local public budget revenue of 7.522 billion Yuan in 2016. It realized total retail sales of consumer goods of 51.307 billion Yuan, increasing by 11.1% on a year-on-year basis; average disposable income of the urban residents of 27,539 Yuan, increasing by 9.1% against the last year; average net income of rural residents of 9,678 Yuan, increasing by 9.2% against the last year; and registered urban unemployment rate of 2.49%. Chengbei District, Xining, Qinghai is located in northwest of Xining, has administrative area of 137.7km and 318,000 populations consisting of 33 ethnic groups such as Han, Hui, Tibet, Mongolia and Tu. Chengbei district was set up in 1986, administers two towns (Dabaozi Town and Ershilipu Town), four sub-district offices (Chaoyang, Xiaoqiaodajie, Mafang, West Railway Station), 27 community committees and 38 administrative villages. In 2016, Chengbei District realized regional GDP of 22.324 billion Yuan, an increase of 9.2%; fixed asset investment of 7.515 billion Yuan, an increase of 16.3%; local public budget revenue of 506 million Yuan, an increase of 10% for the same types; total retail sales of consumer goods of 8.654 billion Yuan, increasing by 10.8%; average disposable income of urban residents of 27,480 Yuan, increasing by 9.2%; and average income of rural residents of 19,147 Yuan, increasing by 9%.

The Qinghai-Tibet Railway and Ningda Railway as well as Ningda Expressway, Ninghuang Highway and Lanxi Expressway pass through Chengbei District; high and new-tech industrial park (biological park), Chaoyang Logistics Park, Xining Special Steel Co., Ltd., China National Petroleum Corporation Qinghai Sales Company and Xining Power Supply company and other key parks and enterprises settle in the district; North Railway Freight Center, West Railway Station, the Qinghai-Tibet Plateau Agricultural and Sideline Products Collection and Distribution Center, Beishan Furniture, Stone and Decorating Materials Market, Huangshuihe Building Materials Market and Chaoyang International Building Materials City jointly constitute the largest logistics distribution center of Qinghai Province; Qinghai University and other colleges and technical vocational schools and agricultural and husbandry institutes are located in the district, offering plenty of talents resources to the district; Huangshui River and Beichuan River pass through the city, bringing good water conservancy conditions to the city and showing the charm of Hehuang culture.

◼ 3.2 Social and economic conditions of the project-affected villages

Wuzhong Village has totally 782 households with total members of 3120. All of them serve in the agricultural sector. There are about 2000 laborers and no village collective enterprises and private enterprises. It has cultivated land of 1800mu and each member has 0.58mu cultivated land. Wangjiazhai Village has totally 183 households with total members of about 795. All of them serve in the agricultural sector. There are about 642 laborers and no village collective enterprises and private enterprises. Since several land acquisition has been carried out in the village in recent years, the village currently only has 200 cultivated lands and each member has 0.25mu cultivated land.

Table 3-1 Basic conditions of the affected villages The Average Average Cultivated acquired Influence Unit Households Population cultivated income land cultivated rate (%) land lands Wuzhong 782 3120 12000 1800 0.58 158.35 9 Village Wangjiazhai 200 1000 12000 200 0.25 3.53 1.78

◼ 3.3 Basic conditions of the affected households

To analyze the social and economic characteristics of the displaced households of this project, the RAP preparing unit surveyed the displaced households. Since the land acquisition is mainly happened in Wuzhong Village, the survey is focused on Wuzhong Village. Totally 20 households of Wuzhong Village were surveyed by questionnaire. The survey investigated totally 97 members, including 35 from Group I of Wuzhong Village, 34 from Group III of Wuzhong Village and 28 from Group IV of Wuzhong Village. The following analysis is based on the 97 affected people in the surveyed 20 households.

3.3.1 Demographic characteristics of the investigated households

This survey collected all social and economic information about the members of the investigated households. See Table 3-2 for the details.

Table 3-2 Demographic characteristics of the investigated population

Indicator Wuzhong Village 1. All of the surveyed population b. Marital status a. Population 97 Unmarried 15 b. Proportion (%) Married 65 c. Gender Divorced 3 Male 46 Widowed 6 Female 51 Subtotal 89 d. The age group c. Employment status

The unemployed 1. 0 to 14 years old 18 40 members 2. 15 to 29 years old 23 The employed members 49 3. 30 to 39 years old 12 Subtotal 89 4. 40 to 49 years old 19 d. Occupation 5. 50 to 59 years old 11 Worker 16 Laborer in agriculture, forestry, animal 6. 60 years old or older 14 5 husbandry and fishery sectors Subtotal 97 Business people 15 Laborers in culture, e. Ethnic group education and health 7 sectors People working in Han 95 government and public 0 institutions e. Ethnic minorities 2 Others 6 Subtotal 97 Subtotal 49 2．Only members of 15 years old or above e. The unemployed members a. Educational background Students 8 Housewife or Illiterate and semi-literate 15 17 househusband

Primary school 22 Jobless 0

Junior middle school 41 Retired people 11

People losing labor High school 9 4 capacity College or above 2 Other 0

40 Subtotal 89 Subtotal

3.3.2 Gender structure

This baseline survey involved 20 households and 97 people. 46 of them are male and 51 are female, accounting for 47.7% and 52.3% of the total surveyed population respectively. The specific gender structure is shown in Table 3-3. Although the proportion of female members is slightly higher than that of male members, in general,

16 the gender of the surveyed households is evenly distributed.

Table 3-3 Gender distribution of members of the surveyed households (%)

Village Male Female Total

Wuzhong Village 47.7% 52.3% 100.0%

3.3.3 Age structure

The age distribution in this survey is shown in Table 3-1. In general, the majority of the surveyed people were 15 to 29 years old, accounting for 23.9% of the totally surveyed people, followed by the group from 0 to 14 years old, the group from 40 to 49 years old and the group of 60 years old or above, accounting for 18.2%, 19.3% and 14.7% respectively. The group from 50 to 59 years old accounts for the least proportion, 11.4%.

Figure 3-1 Age distribution of members of the surveyed households 吴仲村被调查家庭人口年龄分布 Age distribution of the surveyed households in Wuzhong Village 60 岁以上 60 years old or above 50-59 岁 50 to 59 years old 40-49 岁 40 to 49 years old

30-39 岁 30 to 39 years old 15-29 岁 15 to 29 years old 0-14 岁 0 to 14 years old

3.3.4 Educational background

The survey data shows that 89 of the surveyed people are 15 years old or above and 45.8% of them have received education of junior middle school, accounting for the highest proportion among them. 25.0% of the 89 members have received education of primary school. The proportion of the 89 surveyed members that are illiterate and semi-literate and have received education of high school is 16.7% and 9.7% respectively. The people received education of college or above take the least proportion, only 2.8%. Table 3-2 shows the specific education level of members of the surveyed households.

Figure 3-2 Education background distribution of the members of the surveyed households that are 15 years old or above 吴仲村被调查家庭 15 岁以上成员文化程度 Education level of members of the surveyed households that are 15 years old or above 大专及以上 College or above 高中 High school 初中 Junior middle school 小学 Primary school 文盲及半文盲 Illiterate and semi-literate

3.3.5 Employment status (Only members of 15 years old or above)

Most of the 89 surveyed people who are 15 years old or above are employed. The unemployed members and the employed members account for 44.4% and 55.6% respectively.

Figure 3-3 Employment of people above 15 years old or above in Wuzhong Village 吴仲村被调查家庭 15 岁以上成员就业状况 Employment of members of the surveyed households who are above 15 years old in Wuzhong Village 就业人口 The employed 不就业人口 The unemployed

3.3.6 Occupation of the employed (Only members of 15 years old or above)

In this survey, the occupation of the surveyed people are divided into six types: laborer in agriculture, forestry, animal husbandry and fishery sectors, worker, business people, laborers in culture, education and health sectors, people working in government and public institutions and others. The survey results show that most of them work as workers, with the proportion up to 32.5%, followed by the business people (30.0%).

The third largest group is laborers in culture, education and health sectors, accounting for 15.0%. The proportion of laborers in agriculture, forestry, animal husbandry and fishery sectors and that of others is 10.0% and 12.5% respectively, no big difference. However, the number of people working in government and public institutions is zero.

Figure 3-4 Occupation of the employed members of the surveyed households 吴仲村被调查家庭在业人口职业 Occupation of the employed members of the surveyed 状况 households in Wuzhong Village 工人 Worker 农、林、牧、渔劳动者 Laborer in agriculture, forestry, animal husbandry and fishery sectors 商业人员 Business people 文、教、卫人员 Laborers in culture, education and health sectors 机关事业单位人员 People working in government and public institutions 其他人员 Others

3.3.7 Status of the unemployed (Only members of 15 years old or above)

44.4% of members of the surveyed households that are 15 years old or above were unemployed. We found out during the survey that many elderly people stay at home after retirement to take charge of the household work and engage in agricultural

20 production. Up to 43.8% of the unemployed take charge of the household work. 28.1% of them are retired people and most of the young people who are 15 years old or above are the students, accounting for 18.8%. Only 9.3% (the least proportion) of the unemployed are those who lost the labor capacity. There are no cases of jobless and others.

Figure 3-5 The status of the unemployed members of the surveyed households 吴仲村被调查家庭成员不在业人口状况 Status of the unemployed members of the surveyed households in Wuzhong Village 在校学生 Students 料理家务 Housewife or househusband 无事可干 Jobless 离、退休 Retired people 丧失劳动能力 People losing labor capacity 其他 Other

◼ 3.4 Properties of the surveyed households

In order to fully reflect the economic conditions of the surveyed households, the family property was an important aspect in this survey. Totally 15 durable consumer goods or important production materials were chosen in the survey to relatively clearly and objectively reflect the economic conditions of the surveyed households. Generally, they do not have computer, water dispenser and fixed phone and averagely have 0.13

sets of large agricultural machine and 0.17 sets of air conditioner. The reason for they have less large agricultural machine is that there are a few of cultivated land in the area. The reason for they have less air conditioner is that Xining is known as "City of Summer" and is cool in summer whereas people in Xining mainly burn coal to warm in winter. So air conditioner is not necessary for them. The surveyed households averagely have 3.6 sets of mobile phones, the highest indicator among the 15 surveyed items; averagely one color TV, refrigerator and washing machine, namely basically every household has one. They averagely have 0.19 sets of heater; 0.44 sets of microwave oven and 0.63 sets of rice cooker (mainly because that the local people mainly cook by burning the coal and not by the household appliance very much); 0.31 sets of motorcycle and 0.44 sets of cars, not a large figure either. The survey shows that the surveyed households averagely have large number of the consumer goods for relieving their household work, meaning that they generally have good economic conditions and lead a quality life.

Table 3-4 The average quantity of durable consumer goods owned by the affected households

Was Large Wate Co Refri Microw Air Village/com hing agricultu r Rice Fixed Mobile Motorcycl TV mp gerat ave Heater conditi Car DVD munity mac ral dispe cooker phone phone e uter or Oven oner hine machine nser Wuzhong 1 0 1 1 0.13 0.44 0.19 0.17 0 0.63 0 3.6 0.31 0.44 0.31 Village

◼ 3.5 Members of the surveyed households that working in places other than their hometown

The project area is located in suburbs of Xining where have developed economy and most of the people living in Xining or around Xining, setting out early and returning late. Only very few of people leave their hometown to work in other places. Only 8 people of the three households among the surveyed households in Wuzhong Village work in place other than Xining.

In the survey, we divided the occupation of the people working outside of Xining into five types: industry, construction, transportation, business and service industry and other industries. Most of the people working outside Xining (4) work in the business and service industry. Two of them work in the industry, one works in the transportation and construction industry and one works in the other industry. Generally, the annual average income of the people working outside Xining is 29,500 Yuan, with 20,000 Yuan as the minimum and 36,000 Yuan as the maximum.

◼ 3.6 Economic conditions of the surveyed households

3.6.1 Quantity of cultivated land

The surveyed 20 households with 97 members averagely have 4.2mu cultivated land and each member has 0.76mu cultivated land, slightly higher than the statistical data which is 0.58mu per person. The area of acquired land/ household is 1.81mu, accounting for 43.1% of the total cultivated land owned by each household; the cultivated land mainly consists of dry land but no paddy field. Most of the cultivated land is leased out to plant the nursery stocks and the annual rental per mu is about 1,450 Yuan.

3.6.2 Household income and expenditure

According to the statistical analysis over the surveyed 97 people in 20 households, the average income of each of them in 2016 was 8,072.5 Yuan. 36.46% of their income comes from the business and service sector, taking over the highest proportion; 17.60% from the industry, 17.32% from the construction sector, 17.44% from other channels (pension, alimony given by the children, subsidies for temporary resettlement due to house demolition and so on); 9.85% from the transportation sector, 0.49% from the grain planting and 0.84% from the forestry and other planting. No income is from the fishery or poultry farming.

The above data shows that the income of the surveyed households in 2017 mainly comes from the business and service sector and then the industry, construction sector and other channel. Although the proportion of the occupation as workers is higher, the income level of the business and service sector is higher. So the income from the business and service sector constitutes the highest proportion of the family income. Income sources of the surveyed households are shown in Figure 3-6.

粮食种植 Grain planting 林业或其他作物种植 Forestry or planting of other crops 渔业或家禽饲养 Fishery or poultry farming 工业 Industry 建筑业 Construction sector 交通运输 Transportation 商业和服务业 Business and services 其它 Others Figure 3-6 Income sources of the surveyed households in 2016 (%) The total average expenditure per member of the surveyed households in 2017 was 4,632 Yuan. Of which, the average expenditure per person for family management was 65 Yuan, accounting for 1.42%. The average expenditure per person for the family consumption was 4,567 Yuan, accounting for 98.58%. The expenditure for non-staple food and water, power & gas ranks among top of the expenditure for family consumption, was 1,403 Yuan/person and 818 Yuan/person respectively. The expenditure for grain consumption was 616 Yuan/person. The expenditure for cultural

24 products and education was 558 Yuan/person. The expenditures of the surveyed households are detailed in Table 3-6. The expenditure-income ratio of the surveyed households in 2017 was 0.57 and the consumption-income ratio of them was 0.56.

Table 3-5 Schedule on expenditures of the surveyed households in 2016. Amount per Item Proportion (%) person(Yuan) Expenditure for productive operation 65 1.42 Cultural products and 558 12.04 education Foodstuff 616 13.29 Non-staple food 1403 30.29 Expenditure for living Water, electricity and 818 17.65 consumption gas consumption Clothes 397 8.56 Medical care 415 8.96 Communication and 360 7.79 network Total 4632 100.00

◼ 3.7 The public's understanding of and assessment over the project

The public do not know much about the project: 62.5% of the interviewee expressed that they "know something but not clear about the project" and 37.5% of them expressed that they "completely not know the project". However, 100.0% of the interviewees are supportive of the project. 100.0% of the interviewees think that this project can facilitate the traffic convenience, 62.5% of them think this project will increase their income, 81.3% of them think this project will increase their employment opportunities, 31.3% of them think this project will bring them the market information and 12.5% of them think this project may bring about other benefits, such as convenience in seeing a doctor. The details are shown in Figure 3-7.

Figure 3-7 Survey on "possible benefits of this project" (%) 其他好处 Other benefits 市场信息 Market information 就业机会增加 Increase of employment opportunities 收入增加 Income increase 交通便利 Convenient transport conditions

100.0%, 6.3% and 62.5% of the interviewees think this project may bring about damages to the land, damages to the environment and increase of the living cost respectively. The details are shown in Figure 3-8.

Figure 3-8 Survey on "possible damages of this project" (%) 不适应小区生活 Not adapt to the community life 生活成本增加 Increase of living cost 居住面积减少 Reduction of living area 环境破坏 Damages to the environment 土地被征收 Land acquisition

◼ 3.8 Survey on their resettlement willingness

The survey team also surveyed their resettlement willingness while conducting the social and economic survey. The survey results are as follows: The surveyed households do not know much about the local land acquisition or structure demolition compensation policies: 75% of the interviewee expressed that they "know something but not clear about the policies" and 25% of them expressed that they "completely not know the policies".

Figure 3-9 The surveyed households' understanding of the local land acquisition or structure demolition compensation policies The surveyed households' understanding of the 调查家庭对当地征地或拆迁补偿政策了解情 local land acquisition or structure demolition 况 compensation policies 很清楚 Very clear 知道一点，但不完全 Know a little but not complete 完全不知道 Completely not know The surveyed households are all affected by land acquisition. 19 of the 20

27 households hope the open and transparent release of compensation funds, accounting for 93.8% of the surveyed households. 19 of them (93.8%) hope complete land acquisition as possible as practical and all of them hope employment of the local labors as possible as practical. Some of them also hope utilization of local building materials as possible as practical. The details are shown in Table 3-6.

Table 3-6 The results of the survey on "your opinions and suggestions on the land acquisition

and structure demolition" (%)

Complete land Employment of local Utilization of local Open and transparent acquisition and structure labors as possible as building materials as release of the demolition as possible practical possible as practical compensation funds as practical Households 19 20 5 19 (household) Proportion 93.8 100.0 25.0 93.8 (%)

Figure 3-10 The results of the survey on "your opinions and suggestions on the land acquisition and structure demolition" (%) Open and transparent release of the 资金发放要公开透明 compensation funds Utilization of local building materials as possible 尽可能利用本地建筑材料 as practical Employment of local labors as possible as 尽可能雇佣本地劳动力 practical Complete land acquisition and structure 尽量完整地征地拆迁 demolition as possible as practical

In light of use of land compensation, 50.00% of the interviewees hope to be covered by the old-age insurance, 100.00% hope that the land compensation can be directly paid to the contracting households, 25.00% hope to receive training on employment skills and 31.25% of them hope that the non-agricultural employment can be offered. The affected people's requirements on use of land compensation are shown in Table 3-7.

Table 3-7 The results of survey on "your requirements on use of land compensation" (%)

Handling Most of them directly Providing Directly Collectively Developing Providing the paid to the training on paid to the used for the public non-agricultural old-age households and the employment contracting developing welfare employment insurance rest are for collective skills to the households enterprises cause opportunities procedures use. labors Households 20 10 0 0 0 5 6 (household) Proportion 100.00 50.00 0 0 0 25.00 31.25 (%)

Figure 3-11 The results of survey on "your requirements on use of land compensation" (%) Providing non-agricultural employment 提供非农就业机会 opportunities 对劳动力进行就业技术培训 Providing training on employment skills to the

labors 兴办集体福利事业 Developing the public welfare cause 集体发展企业 Collectively used for developing enterprises Most of them directly paid to the households and 大部分直接给予家庭，其余集体使用 the rest are for collective use. 办理养老保障 Handling the old-age insurance procedures 直接分给承包户 Directly paid to the contracting households

◼ 3.9 The surveyed households' assessment over their current living status and their expectations on the resettlement

3.9.1 Assessment on their own production conditions

The assessment on their own production conditions is divided into five grades: very good, good, fair, poor and very poor. Generally, 68.8% of the surveyed households think their own production conditions are "fair", taking over the largest proportion, followed by the assessment of "poor" and "good" which is 18.6% and 6.3% respectively. Only 6.3% of them think their own production conditions are "very poor". No one think their production conditions are "very good". The overall assessment is above the average.

Figure 3-12 The surveyed households' assessment on their own production conditions 吴仲村被调查家庭对自家生产条件的评价 The surveyed households' assessment on their own production conditions 很好 Very good 较好 Good 一般 Fair 较差 Poor 很差 Very poor

3.9.2 Assessment on the rankings of their own economic conditions in the whole village

Generally more than 62.5% of the surveyed households think their own economic conditions are "fair" in the whole village and 6.3% of them answered "good". However, the proportion that think their own economic conditions in the whole village are "very poor" is also large, which is 31.2%. The proportion of the assessment of "very good" and "very poor" is zero.

Figure 3-13 Assessment on the rankings of their own economic conditions in the whole village 吴仲村被调查家庭对自家经济状况在全村的 The assessment of the surveyed households in 评价 Wuzhong Village on the rankings of their own production conditions in the whole village 很好 Very good 较好 Good 一般 Fair 较差 Poor 很差 Very poor

3.9.3 Whether they are satisfied with their present living conditions

The proportion of the group think "very good" and "fair" is the highest, up to 43.8%. Almost no one is very dissatisfied with the present living conditions. The data shows that the surveyed households are generally relatively satisfied with their present living conditions.

Figure 3-14 The assessment on whether the surveyed households are satisfied with their present living conditions 吴仲村被调查家庭对目前生活是否满意 Assessment on whether the surveyed households in 的评价 Wuzhong Village are satisfied with their present living conditions 较好 Good 很差 Very poor 较差 Poor 很好 Very good 一般 Fair

◼ 3.10 Social gender survey and analysis

To better know about the basic information about the affected women in the project area, the survey team surveyed it via door-to-door interview and questionnaire and other sampling methods.

3.10.1 Income analysis

The survey results show that: income of male members accounts for 73.3% of the family income, far larger than the proportion of the income contributed by women to the households (26.7%). This mainly stems from the traditional labor division of family members. The women (especially the middle-aged women) have to take care of the

33 elderly and the children and do house work and so on, thus playing an indispensable role in the family. Although this hinders them from entering into the labor market, this does not reduce their important even core position in the family.

3.10.2 Education

The surveyed results show that among the family members that are 15 years old or above, the female (not students) obviously have received less education that the males. The proportion of the males that have received junior middle school education and primary school education is obviously higher than that of the females. 62.86% of the males have received education of junior middle school or above, 8.80% higher than the proportion of the females that have received education of junior middle school or above which is 54.06%. Only 8.57% of the male surveyed people are illiterate whereas 24.32% of the female surveyed people are illiterate. The details are shown in Figure 3-16.

Figure 3-16 Education of the surveyed male and female people (%)

高中/中专 High school/technical secondary school 初中 Junior middle school 小学 Primary school 文盲 Illiterate

男性 Male 女性 Female

3.10.3 Employment status

The number of the females of the working age (15 to 64 years old) among the surveyed households is 41, accounting for 80.44% of the female members of the surveyed households. Totally 20 females are employed. Namely, the labor participation rate of the females is 40.00%. The employed women are mainly working in culture, education and health sectors, and then the business and services sectors, accounting for 62.50% of the employed women. Only a few of women work in factory. 18.75% of the female laborers work in place outside of Xining. The number of the males of the working age (18 to 64 years old) among the surveyed households is 38, accounting for 83.33% of the male members of the surveyed households. Totally 29 males are employed. Namely, the labor participation rate of the males is 60.00%. The men work in more sectors than the women and the male laborers is more evenly distributed in various sectors than the female laborers. Most of the male laborers work in the industry, business and service sectors. 20.83% of the male laborers work in place outside of Xining. The details are shown in Figure 3-17.

Figure 3-17 Occupation of the employed males and females in the survey (%)

其他人员 Others People working in government and public 机关事业单位人员 institutions 文、教、卫人员 Laborers in culture, education and health sectors 商业人员 Business people Laborer in agriculture, forestry, animal 农、林、牧、渔劳动者 husbandry and fishery sectors 工人 Worker 男性 Male 女性 Female

3.10.4 The unemployment status

The number of the female unemployed among the surveyed households is 26, accounting for 50.98% of the female members of the surveyed households. 19.05% of the females unemployed are students; 47.61% of the female unemployed do the housework; 9.52% of the female unemployed have lost the labor capacity and 23.81% of them are retired. The details are shown in Table 3-8. In comparison, the number of the male unemployed is 14 and 36.36% of the male unemployed do the housework. The students, retired people or those who lost labor capacity constitute the rest of the male unemployed. The details are shown in Table 3-8.

Table 3-8 The statistics on the male and female unemployed among the surveyed households

(%)

Housewife or Retired People losing labor Gender Students Jobless Others Total househusband people capacity Male 18.18% 36.36% 0 36.36% 9.10% 0 100.00% Female 19.05% 47.62% 0 23.81% 9.52% 0 100.00%

3.10.5 Suggestions on compensation for land acquisition and structure demolition

75% of the female interviewees and 100% of the male interviewees hope that the compensation fund for land acquisition and structure demolition can be released in an

36 open and transparent manner. All of the female and male interviewees suggested employment of local labor force as possible as practical and 50.00% of the female interviewees and 16.67% of the male interviewees suggested utilization of local building materials as possible as practical. In addition, 100.00% of the female interviewees suggested complete land acquisition as possible as practical whereas only 91.67% of the males hold such suggestion. The details are shown in Figure 3-18.

Figure 3-18 The willingness of the surveyed male and female members on land acquisition and structure demolition (%)

Open and transparent release of the 资金发放要公开透明 compensation funds Utilization of local building materials as possible 尽可能利用本地建筑材料 as practical Employment of local labors as possible as 尽可能雇佣本地劳动力 practical Complete land acquisition and structure 尽量完整地征地拆迁 demolition as possible as practical 男性 Male 女性 Female

3.10.6 Willingness on compensation and resettlement for land acquisition

Most of the households affected by land acquisition prefer the cash compensation. In light of other resettlement after receiving the cash compensation, there is little difference between the male and female land-acquired members: 50% of the female land-acquired members prefer to handling the social security for them and 25% of them prefer to receiving training on employment skills and non-agricultural employment opportunities; whereas 50.00% of the male land-acquired members are inclined to be covered by the social security, 33.33% of them are apt to receiving non-agricultural employment opportunities and 25.00% of them tend to receive trainings on employment skills. All male and female land-acquired members hope that the compensation for land acquisition is directly paid to the contracting households. This shows that the surveyed households strongly hope to be covered by old-age insurance through the compensation for land acquisition and get directly paid. The details are shown in Figure 3-19.

Figure 3-19 The willingness of the surveyed male and female members on compensation for land acquisition (%)

Providing non-agricultural employment 提供非农就业机会 opportunities

Providing training on employment skills to the 对劳动力进行就业技术培训 labors 兴办集体福利事业 Developing the public welfare cause 集体发展企业 Collectively used for developing enterprises Most of them directly paid to the households and 大部分直接给予家庭，其余集体使用 the rest are for collective use. 办理养老保障 Handling the old-age insurance procedures 直接分给承包户 Directly paid to the contracting households 男性 Male 女性 Female

◼ 3.11 Impacts of the project construction on the women

Positive impact Most of the women are looking forward to the project construction, for they think the project construction will bring far more opportunities rather than risks to them. The road construction will make the transport more convenient, reduce the travelling cost and bring safety and convenience to their husband and children when they set out to work or go to school. Negative impacts The land acquisition for the project construction will mainly impact the women and elderly, reducing their income and further decreasing their economic position in the family. Therefore, the social security for them after land acquisition becomes their first concern.

• 4 Compensation standards and resettlement policies

The Chengxi Passenger Station Project is a sub-project of the World Bank Funded Qinghai Xining Urban Transport Project and a part of interim adjustment. In the Resettlement Action Plan (updated version after interim adjustment), the lands shall be expropriated in accordance with various resettlement principles and measures as specified in Resettlement Action Plan (2015) and timely adjustment shall be made according to new compensation standards and policies published by Qinghai Province and Xining City.

◼ 4.1 Compensation standards for collective land and resettlement policies

On July 10, 2015, the People's Government of Qinghai Province has promulgated new compensation standard for acquisition of collectively-owned land: Notice of the People's Government of Qinghai Province on Disclosing the Adjusted and Updated Standard of Unified Annual Production and Integrated Land Expropriation Price. This Notice will come into effect as of January 1, 2016. The new compensation standards are much higher than the previous standards.

Table 4-1 Comparison between Old and New Land Acquisition Policies Land compensation Percentage Area standard (RMB) increase (%) New Old Chengbei 108000 90000 16.67 District

According to the field survey, the cultivated lands in the village are no longer

40 planted with field crops but seedlings basically. And greenhouses are built on some cultivated lands. The Land Acquisition and House Demolition Compensation and Resettlement Scheme for New Roads Sub-project in West extension of Wusixi Road and Xicheng Avenue of Xining Urban Transport Project (C.B.Z.B [2015] No.55) was promulgated in Chengbei District, Xining City in 2015 for the implementation of World Bank financed project. The compensation standards for attachments (field infrastructures) and standing crops (seedlings) on the cultivated lands to be expropriated were adjusted based on actual situation at that time. According to the two documents above, the compensation standards for collective land acquisition in this project are formulated as follows (see Table 4-2).

Table 4-2 Compensation Standards for Collective Land Acquisition in the Areas Affected by the Project

Greenhouse (yuan/ Integrated land section price (yuan/ mu) Seedlings (yuan/ mu) mu) 108000 36000 38000 According to Table 4.2, the actual compensation for 1mu seedlings is 144,400 Yuan (integrated land section price: 108,000 Yuan + seedling compensation: 36,000 Yuan). The compensation for 1mu greenhouse is higher, i.e. 182,000 Yuan (integrated land section price: 108,000 Yuan + seedling compensation: 36,000 Yuan + greenhouse compensation: 38,000 Yuan).

4.2 Compensation for temporary land occupation

Some lands will be occupied temporarily during the project implementation. The temporary land occupation scheme shall be determined based on construction schedule and the project scale. In the current preparation stage, only the temporary land occupation plan can be implemented. The expenses occurred shall be determined according to the proportion of the construction and installation cost as specified and shall be included in site preparation cost and temporary facility cost in the Feasibility

Report. Such expenses are not considered during the cost estimation of land acquisition and house demolition.

4.3 Vulnerable groups support policies and subsidy standards

This project will affect 2 households (vulnerable groups), totaling 9 people. The Xining Chengtong Transportation Construction & Investment Co., Ltd. determines to provide subsidies of 10,000 Yuan/ household for the poor households, households living on minimum subsistence allowances and female-headed farm households in addition to general compensations according to the practices during previous project implementation in Xining City, i.e. Opinions on Establishment of Minimum Subsistence Guarantee System of Rural Residents promulgated by Xining Municipal People's Government, Qinghai Province (N.Z.B. [2007] No. 83), so that the vulnerable groups can resume production and life better during their resettlement.

• 5. Resettlement and Restoration Plan

5.1 Objectives, methods and principles of resettlement and restoration

5.1.1 Objectives of resettlement and restoration

According to the requirements of World Bank's involuntary resettlement policy and relevant national laws and regulations, the general objective of resettlement work in this project is to restore and improve the living standards and production levels of the affected people as quickly as possible. The specific objectives are as follows: ●Compensation shall be paid to various affected land attachments at replacement cost; ●The infrastructures shall be compensated or restored as they were; ●The public facilities and community environment in the affected communities shall be restored to the level before demolition or be improved if possible; ●The labor affected by land acquisition shall be properly resettled, whose long-term livelihoods shall be guaranteed and living standard be improved instead of being declined and no farmer shall permanently lose their jobs due to the land acquisition.

5.1.2 Methods of resettlement and restoration

Since the project involves land acquisition only, the resettlement and restoration mainly refers to employment arrangement of labor force and reestablishment and restoration of production facilities, including: ●To make reasonable compensation for the acquired land to ensure that the affected people will not lose their source of income due to land acquisition. ●To provide assistance with labor force of the affected people in production and

43 employment issues to ensure that the long-term livelihood of the affected people will not be affected by the land requisition for the project.

5.1.3 Principles of resettlement and restoration

●The affected people shall have the right to participate in the whole process of resettlement. The decisions concerning problems such as land acquisition, transfer of funds, use and management of resettlement fund, restoration measures for production and operation must be made at the presence of affected people or their representatives, and consensus must be reached through consultation with the affected people by convening representative discussion meetings or consultation meetings of affected villagers. ●Various compensations shall be paid to the owners of the property fully and directly. No organization or individual may withhold or misappropriate the compensations of others. ●Support and help will be provided for the vulnerable groups.

5.2 Resettlement of people affected by land acquisition

According to the socio-economic survey, no field crop is planted in the affected area. Instead, seedlings are planted basically. There are two types of land management. 1. The contracting households plant the seedlings by themselves. The land contractors can get no income from seedlings planting in the first several years but pay the weeding, chemical fertilizers, labor hiring and other cost (300-500 Yuan/ mu/ year), except for the small vegetable filed plated with vegetables for food. 2. Land contractors transfer or lease the cultivated lands to foreign companies (operation households) to be used as seedling bases or for establishment of greenhouses at 1,450 Yuan/mu or so. However, the compensation for attachments (seedlings), greenhouses and other field infrastructures on the cultivated lands will be paid to operation households, and only the land acquisition compensations and resettlement subsidies will be paid to the

44 contracting households after land acquisition. Thus, when the PMO and resettlement consulting agencies conducted surveys and consultations on compensation and resettlement schemes for land acquisition, almost 100% of peasant families hoped that their lands can be expropriated.

Bu Wenjun (male, 40 years old): 1.3mu of the 1.5mu lands owned by my family will be expropriated. Almost all the lands owned by us will be expropriated. The 1.5mu lands are planted with seedling by us. We get no income from the seedlings in recent years but pay 500 Yuan for weeding, fertilizers and labor employment, etc. But it's worthy if the lands are expropriated. The existing compensation standard is 108,000 Yuan/mu for cultivated lands and 30,000-40,000 Yuan/mu for seedlings. I can only get income of 2,000-3,000 Yuan even if I lease the lands to others, which is far less than the interests of land acquisition compensation (150,000 Yuan). Given that the interest rate is 4%, the interests of 150,000 Yuan will be 6,000 Yuan, twice or three times of the rent. I'm engaged in transportation industry and can earn 40,000 Yuan per year which is enough for my family members (4). It has little influence on our living standards that we can get no land profit.

Ban Decheng (male, 46 years old): 1mu of the 4.5mu lands owned by my family will be expropriated. We lease the lands to others at 5,000 Yuan. We don't want to plant seedlings on our own, because we may obtain no income from it in the first several years. I'm disabled and living on the social security subsidies every year (8,000 Yuan only). I have to support my 69-year old parent who is unable to work. My son is 20 years old only and begins to work recently with annual income of about 8,000 Yuan only. It is impossible for us to lease the lands to others. We can get land compensation of over 100,000 Yuan/ mu even without the seedling compensation. The compensation is 100 times of the rent.

In the process of resettlement investigation, the consulting unit and PMO solicit land-acquired households for their opinions about resettlement modes after land acquisition. Most of the surveyed villagers agree that the land compensation and resettlement subsidies shall be paid to land-acquired households and the compensation for standing crops, seedlings and filed infrastructures shall be paid to operation households (if the operation households are contracting households, ) During the investigation and consultation, most of the displaced households think that local traffic conditions will be greatly improved and more job opportunities will be created after the implementation of the project. The PMO is entrusting the feasibility research unit to study the development mode with COD after the project completion and

45 plans to reserve certain proportion of employment post for land-losing farmers. During the project implementation, local labor force will be employed and local building materials will be used as far as possible. After the project completion, the employment opportunities concerning maintenance, sanitation, guard and green keeping and so on will be provided to local labor force preferentially. Xicheng Passenger Station and surrounding commercial network will provide more employment opportunities as well. The information will be provided to the affected villagers by stages based on the engineering and resettlement progress. According to the field survey, the land resources are scarce since a large amount of lands have been expropriated in recent years. Particularly, the per capita cultivated land in Wangjiazhai is 0.25mu only. The land acquisition has great influence on the agricultural production of farmers. 161.88 mu collectively lands (irrigable lands) will be expropriated for the project, including 158.35mu lands in Wuzhong Village with an influence rate of 9% and 3.53mu lands in Wangjiazhai Village with an influence rate of 1.78% only (See Table 3-1). Although it has little influence on the two villages as a whole, it has great influence on the affected households. For the 20 households (97 people) surveyed, the area of cultivated lands per household is 4.2mu and that of per capita is 0.76mu; the area of expropriated land/ household is 1.81mu, accounting for 43.1% of the total cultivated land owned by each household; and the area of expropriated land per capita is 0.37mu. The area of land per capita is 0.39mu after land acquisition, which is very close to the limit of 0.3mu per capita (the area of land per capita in Wangjiazhai Village is lower than the limit). According to the “Notice of General Office of The People's Government of Qinghai Province on Payment of Social Pension Insurance Premium for Land-acquired Farmers upon Land Acquisition (Q.Z.B. [2013] No. 23)”, the social pension insurance premium for land-acquired farmers shall be paid on land acquisition in Qinghai Province with approval according to the latest standards of unified annual production and integrated land expropriation price since January 1, 2013. In specific, in the

46 autonomous prefectures, prefectures and counties where the standards of unified annual production are implemented, 50% of the social pension insurance premiums of land-acquired farmers shall be paid based on the standard of annual production value; in Xining City where the standards of integrated land expropriation price are implemented, 30% of the social pension insurance premiums of land-acquired farmers in the first-class and second-class regions and 50% of the social pension insurance premiums of land-acquired farmers in the third-class regions shall be paid based on the integrated land section price. Both Wangjiazhai Village and Wuzhong Village are located in second-class regions where the integrated land section price is 108,000 Yuan/mu, so the social pension insurance premiums of land-acquired farmers shall be paid at 32,400 Yuan/mu. In accordance with “Notice of Forwarding Opinions on Implementation of Social Pension Insurance Policy for Land-acquired Farmers in Xining City (Trial) (N.Z.B [2013] No. 218)”, the registered farmers in the urban planning area of Xining City who meet the following requirements can be covered by social pension insurance for land-acquired farmers: 1. The rural collective lands are expropriated by local land and resources management departments uniformly with approval according to laws; 2. The remaining land area per capita in a household is less than 0.3mu; 3. The farmers have the certificates of rural collective land contracting rights; 4. The farmers are aged 16 or above and haven't participated in basic pension insurance for urban workers. The insured farmers can draw the pensions monthly since they are 60 years old. The pension insurance benefits consist of basic pension and pension in an individual account. The basic pension is 120 Yuan. The pension in an individual account is the quotient of accumulated deposits in the individual account divided by 139 (the same as existing calculation and release coefficient of pension in an individual account of basic pension insurance for urban enterprises workers).

5.3 Resettlement and restoration of affected women and vulnerable groups

For the resettlement and restoration of the affected women by the project, Xining Chengtong Transportation Construction & Investment Co., Ltd. and the People's Government of Chengbei District will take a series of measures to provide conveniences for the participation and development of women from the long-term and overall development of the region. ●Provide pension insurance for land-acquired farmers (including women) as soon as possible to ensure the economic status of women. ●Establish an open and transparent mechanism of disclosing information about land acquisitions and structure demolitions so as to ensure that women are granted with the right of being compensated equally and the right to know information. The compensation agreement for land acquisition and house demolition shall be signed and the compensation shall be released on the premise that female family members have been informed. ●Set up menu-type employment training system and offer complete set of service including information on recruitment requirements, provision of professional training and job selection by the women based on their interests so as to reduce their blindness in employment. ●The role of the Women's Federation, Family Planning Association and other women's organizations and institutions will be played to link women's development and opportunity with activities organized by them in an organic manner so as to attract and guide women in enjoying development opportunities.

5.4 Resettlement and restoration schedule

The civil works of this project are to be started in April 2018. The schedule of resettlement activities is as shown in Table 5-3.

Table 5-3 Resettlement Activities Schedule

2017 2018 2019 Activity content 3 4 1 2 3 4 1 2 3 4 Entrusting of resettlement consulting unit by Xining Chengtong Transportation Construction & Investment Co., Ltd. Investigation of land acquisition and house

demolition Preliminary consultation on resettlement

scheme

Draft of resettlement action plan

Supplementary investigation

Modify the resettlement action plan

Consultation on resettlement scheme again

Improvement of resettlement scheme

Approval of resettlement plan

Initiation of resettlement

Internal monitoring External monitoring

• 6 Resettlement Fund Budgeting and Management

6.1 Constitution of resettlement funds

The resettlement cost of the project mainly includes: compensations for land acquisition, stipulated charges of land acquisition, compensation for various demolished attachments and other resettlement-related cost, administrative expenses of resettlement and contingencies.

6.1.1 Land acquisition compensation cost

The land acquisition compensation cost include the compensation for the expropriated land and taxes and dues payable; land acquisition compensation, farming land occupation tax, land acquisition management fees and other taxes and fees required to be paid.

6.1.2 Compensation for various demolished attachments

The compensation for attachments on the acquired private or collective lands during land acquisition shall be calculated according to the actual amount of attachments investigated and compensation standards.

6.1.3 Other resettlement-related costs

It mainly refers to some other expenses incurred during the preparation and implementation of the resettlement, such as resettlement monitoring and evaluation expenses paid to external monitoring agency in the process of land acquisition and house demolition, and measurement and evaluation expenses paid to professional

50 institutions hired in the process of land acquisition and house demolition. These fees shall be determined according to standard for collecting fees in the industry or in similar projects.

6.1.4 Administrative expenses of resettlement

The administrative expenses of resettlement shall be calculated at 2% of the direct funds allocated for resettlement. It's mainly used for land acquisition and house demolition-related institution's capacity strengthening, organizing coordination, internal monitoring, external monitoring, official and foreign receptions, on-the-job training, land acquisition and house demolition progress rewards for project implementation units, information collection and distribution, previous preparation, staff wages, benefits and social security, purchase and use of transportation means, vehicles maintenance, communication, daily management and so on.

6.1.5 Contingency cost

The contingency cost includes material contingencies and price contingencies (excluding costs incurred due to temporary design changes of the works). The above two items are calculated at 10% of the basic cost.

6.2 Resettlement fund budgeting

According to the compensation standards and statistics of various affected projects, the total resettlement cost of the World Bank-funded Xining Urban Transport Project is 43,413,856.52 Yuan. The specific capital budget is as shown in Table 7-1.

Table 6-1 Budget Statement for Compensation and Resettlement of Displaced Households in the World Bank-funded Xining Urban Transport Project

Compensation Proportion No. Cost Category Unit standard Total (%) (RMB/unit) Physical Cost budget

quantity (Yuan) Basic cost of 1 Yuan 38064786.42 87.68 resettlement Compensation for 1.1 permanent land Yuan 161.88 30649280 70.6 acquisition 1.1.1 Nursery Mu 144400 107.92 15583648 35.9 1.1.2 Greenhouse Mu 182000 53.96 9820720 22.62 Social insurance premiums for 1.1.3 Yuan/ mu 32400 161.88 5244912 12.08 land-acquired farmers Land acquisition service fee (3% of 1.2 893253.84 2.06 land acquisition cost) Stipulated charges 1.3 6522252.58 15.02 of land acquisition Land acquisition management fees 1.3.1 Yuan 1191005.12 2.74 (4% of land acquisition cost) Farming land 1.3.2 Yuan/mu 1333.33 161.88 215839.46 0.5 occupation tax Cultivated land 1.3.3 Yuan/mu 3600 161.88 582768 1.34 reclamation fee Fees of using new 1.3.4 Yuan/mu 28000 161.88 4532640 10.44 construction lands Subsidies for 2 Household 10000 2 20000 0.05 vulnerable groups Administrative 3 expenses (2% of Yuan 761295.73 1.75 basic cost) Resettlement planning and 4 Yuan 570971.8 1.32 internal monitoring and evaluation fees

(1.5% of basic cost)

Training expenses 6 Yuan 190323.93 0.44 (0.5% of basic cost)

Contingency cost 7 Yuan 3806478.64 8.77 (10% of total cost) 8 Total investment Yuan 43413856.52 100 Proportion % 100

6.3 Allocation objects and fund flow of resettlement fund

6.3.1 Allocation objects of resettlement fund

The resettlement funds in the project will be allocated to different objects according to ownership of various affected items; see Table 7-2 for details. In order to ensure that the compensations can be allocated to the affected people and units in full amount timely, the following measures shall be taken: on one hand, give full play to the external monitoring agency, internal monitoring agency and national audit institutions; on the other hand, reduce intermediate links and pay the resettlement fund to individuals and units in a simple and easy way.

Table 7-2 Allocation Objects of Resettlement Fund

Object Cost category Village Compensation for non-contracted collective lands and collective facilities, etc. collective Compensation for contracted lands, attachments and field facilities, and Households standing crops (for crop-damaged families only), etc. Other Various land acquisition taxes and fees, etc. departments

6.3.2 Sources and flows of resettlement funds

The resettlement funds for Chengxi Passenger Station Sub-project of World Bank-funded Xining Urban Transport Project will be raised by Xining Chengtong Transportation Construction & Investment Co., Ltd. During the resettlement, funds will be paid to the compensation objects through special accounts, without any intermediate links, so as to avoid interception and misappropriation.

6.4 Allocation, management and monitoring of resettlement funds

6.4.1 Allocation of resettlement funds

The resettlement funds in the project will be allocated according to the following principles: ●All costs associated with land acquisition and house demolition shall be included in the overall budgetary estimate of works; compensations for land acquisition and house demolition for various subprojects shall be audited by project implementation units of corresponding subprojects, and be applied to PMO for payment; and the compensation funds will be paid by PMO to the relevant units and personnel directly through special accounts; ●The various compensations payable to private households will be paid to the affected families through special accounts; ●The land compensation will be paid after the land is expropriated.

6.4.2 Management and monitoring of resettlement funds

●The resettlement fund must be paid strictly in accordance with national relevant laws and regulations of land acquisition and demolition, as well as regulations of RAP.

The compensation standards shall be no lower than that of stated in the evaluation report and the compensation scope shall be no smaller than that of stated in the evaluation report. ●The project implementation unit shall submit the monthly construction schedule to the PMO every month, review the payment report and have it signed for approval by person chiefly in charge of project implementation unit, and report it to company's Finance Department for fund appropriation. The PMO shall be responsible for payment of progress payment according to the payment of progress payment signed by the project implementing unit; the money will be paid to the compensation object directly by the company's Finance Department. ●Compensation for lands, housings and attachments, relocation fees and transition fees, etc. shall be approved by the project implementation units. ●The PMO shall hire specialized agencies to conduct internal checks on the use of resettlement funds. ●Xining financial and auditing departments shall monitor and audit the use of special funds. ●In the process of external monitoring, Resettlement External Monitoring Agency shall conduct special tracking and monitoring of the payment of compensation funds for the affected households and villages.

• 8 Resettlement Office

8.1 Institutional arrangement

For successful implementation of resettlement work of Chengxi Passenger Station Sub-project of Xining Urban Transport Project, the governments at all levels in Xining City establishes relevant organizations and strengthens their capabilities to ensure a smooth project preparation and resettlement work. The leading group of Xining Urban Transport Project, World Bank-funded Project Construction Office (PMO) in Xining City and other resettlement-related agencies at all levels have been established successively since October 2011. The Xining Chengtong Transportation Construction & Investment Co., Ltd. in Xining was chosen as the implementation unit of Chengxi Passenger Station in 2017 and it's responsible for various works including resettlement. The main institutions involved in the resettlement activities in this project include: ●Xining Work Leading Group for World Bank-funded Projects ●World Bank-funded Project Construction Office (PMO) in Xining City ●Xining Chengtong Transportation Construction & Investment Co., Ltd. ●Chengbei District Resettlement Office ●Resettlement working group in affected villages ●Resettlement consulting agency - Involuntary Resettlement Research Center of Three Gorges University See Figure 8-1 for resettlement organization network.

Figure 8-1 Resettlement Offices of Chengxi Passenger StationXining Sub- Workproject Leading of Xining Group for World Bank-funded Projects Urban Transport Project

Xining PMO Xining Chengtong Transportation Construction & Investment Co., Ltd.

56 Chengbei District Resettlement Office

Villages and households affected by land acquisition and house demolition 8.2 Responsibilities of various agencies

8.2.1 Xining Work Leading Group for World Bank-funded Projects

· Fully lead the project preparation and implementation; · Make decisions on key resettlement policies; · Coordinate the relationship between the resettlement agencies and relevant government departments.

8.2.2 World Bank-funded Project Construction Office (PMO) in Xining

City

· Provide business guidance and supervision on the project implementation unit, i.e. Xining Chengtong Transportation Construction & Investment Co., Ltd.; · Be responsible for the reception of resettlement experts from the World Bank at the project preparation and implementation stages; · Be responsible for the reception of resettlement experts from the World Bank at the project preparation and implementation stages;

8.2.3 Xining Chengtong Transportation Construction & Investment

Co., Ltd.

· Be responsible for applying to the relevant departments for land use planning permit and land use construction permit; · Coordinate with the relevant departments to formulate policies on resettlement action plans; · Coordinate the implementation progress of the project construction and resettlement action plan; · Coordinate the work of resettlement agencies;

· Provide training for resettlement principals at all levels; · Report the resettlement progress; · Communicate and coordinate with other departments during the implementation of resettlement work; · Verify the resettlement fund plan; · Guide and supervise the implementation of resettlement work; · Be responsible for the management of resettlement data files; · Be responsible for the internal monitoring of resettlement; · Handle the complaints and appeals of displaced household during resettlement; · Be responsible for communication with external monitoring agency during the implementation of resettlement work.

8.2.4 Chengbei District Resettlement Office

· Be responsible for organizing the implementation of detailed resettlement investigation; · Be responsible for implementation of resettlement work of the project; · Be responsible for formulating and submitting the resettlement fund plan for the project; · Be responsible for tracking the full allocation of resettlement funds in the project; · Handle the complaints and appeals of displaced household during resettlement; · Be responsible for coordinating with the resettlement external monitoring agencies; · Be responsible for collecting and arranging all kinds of information needed for the internal monitoring report of the project; · Be responsible for submitting the project resettlement files to Xining Chengtong Transportation Construction & Investment Co., Ltd.

8.2.4 External monitoring agency

During the resettlement planning and implementation, the external monitoring agency is responsible for the external monitoring of resettlement work and submitting resettlement progress reports and supervision reports to the PMO and the World Bank. Its responsibilities are described in details in the chapter on external monitoring.

8.3 Personnel and equipment of resettlement offices at all levels

The Xining Chengtong Transportation Construction & Investment Co., Ltd. has assigned special persons to be responsible for resettlement work in the project. There are 2 staff members at present. The office workers have excellent organizational and coordination abilities, and are skilled in using computer and other tools. The Chengbei District Resettlement Office has highly qualified and experienced workers as well. They can meet the requirements of resettlement work without doubt. The list of these workers are as shown in Table 8-1. The personnel and equipment at resettlement offices of all levels are as shown in Table 8-2 and Table 8-3 respectively.

Table 8-1 List of Members of Resettlement Office at All Levels

Resettlement office Principal Staff Xining Chengtong Transportation Construction & Investment Co., Ltd. Chengbei District

Table 8-2 Staff Arrangement of Resettlement Offices at All Levels

Number Resettlement office Staff and qualifications Work and operation date of staff

Xining Chengtong Persons skilled in foreign language, From September 2017 to Transportation computer and engineering technologies 2 the end of resettlement Construction & and familiar with the local environment work Investment Co., Ltd. and resettlement policies Persons engaged in similar works for From September 2017 to Chengbei District 4 long time, with high school diploma or the end of resettlement Resettlement Office above work

Table 8.3 Equipment of Resettlement Organizations at All Levels

Computer Camera Work vehicle Office Organization (set) (set) (set) (m2) PMO 2 1 1 200

Chengbei District Resettlement Office 2 2 2 200

8.4 Measures to Strengthen Institutional Capacity

In order to improve the staff quality of the resettlement organizations at all levels, strengthen the capacity of resettlement organizations, enable the staff to get familiar with the laws and regulations on resettlement and have a better understanding of the requirements of the World Bank on involuntary resettlement and ensure the smooth implementation of resettlement work in the project, the PMO has organized the staff to study and learn from the similar projects in China, so that the staff can get familiar with the resettlement procedures of World Bank financed project and have a profound understanding of the involuntary resettlement policies. The PMO has conducted a series of training on China's policies and regulations on resettlement work, the World Bank's policy of involuntary resettlement - OP4.12/ BP4.12, and relevant skills. The training that has been completed is as shown in Table 8-4.

Table 8-4 Professional Training Schedule for Resettlement Staff

Training Training content Training object Training time No. institutions A B C D

Learn from the experience of resettlement work of World 1 PMO PMO staff January 2018 Bank-financed projects in other provinces Resettlement procedures, PMO staff 2 PMO arrangement and investigation March 2018 training Computer operation and data 3 PMO PMO staff April 2018 processing Learning of national PMO staff resettlement regulations and 4 PMO May 2018 operation policies of the World Bank Allocation, management and 5 PMO monitoring of resettlement PMO staff May 2018 funds Resettlement information PMO staff 6 PMO June 2018 processing methods Staff of PMO and Resettlement procedures and 7 PMO resettlement offices in June 2018 policies the districts/ counties Staff of PMO and World Bank's Resettlement 8 PMO resettlement offices in July 2018 Policy the districts/ counties The latest national policies on Staff of PMO and 9 PMO land requisition and house resettlement offices in August 2018 demolition the districts/ counties Experiences of resettlement Staff of PMO and 10 PMO work of other World Bank resettlement offices in December 2018 financed projects in China the districts/ counties

8.5 Future plans to further enhance institutional capacity

To better implement the RAP, to ensure that the affected persons can benefit from the project, and to meet the overall planning requirements of the project, the PMO will take the following measures to enhance the institutional capacity and improve the efficiency. 1. Leader accountability system: the principal leaders from Xining Chengtong

Transportation Construction & Investment Co., Ltd. will lead the establishment of a strong resettlement leadership group. 2. Provision of high-quality personnel: staffs of resettlement offices at all levels are required to have strong policy awareness and professional ability, especially the experience on mass work. 3. Clear responsibilities: Clear the duties of resettlement offices at all levels in accordance with the requirements of the World Bank and relevant national laws and regulations. 4. Resettlement staff training: The resettlement staff shall receive the training on resettlement policy and information management, etc. according to the actual needs. It is proposed to invite/ go to the experienced institutions for experience exchange and learning. 5. Supervision by the masses and public opinions: All the information will be disclosed to the masses and the public; resettlement manuals will be distributed; and the resettlement consulting and compliant hotlines will be available, accepting the supervision of displaced households and the public opinions. 6. The resettlement briefings hosted by Xining Chengtong Transportation Construction & Investment Co., Ltd. will be held irregularly and the information of the briefings will be distributed to resettlement offices at various levels. 7. The Xining Chengtong Transportation Construction & Investment Co., Ltd. will provide the resettlement offices at all levels with the indispensable means of transportation and relevant office facilities so as to meet the work needs. The future institutional strengthening and training plans are as shown in Table 8-5.

Table 8-5 Professional Training Schedule for Resettlement Organizations in the Next Step

Training Planned training Training content Training object No. institutions time A B C D Xining Chengtong Learn from the experience Staff of Xining Chengtong 1 Transportation of resettlement work of Transportation 2018-2019 Construction & other World Bank-financed Construction &

Investment Co., projects Investment Co., Ltd. and Ltd. Chengbei District Resettlement Office Xining Chengtong Staff of Xining Chengtong Transportation Transportation Construction & World Bank's resettlement Construction & 2 Investment Co., February 2019 policy Investment Co., Ltd. and Ltd. and Chengbei District resettlement Resettlement Office consulting unit Xining Chengtong Staff of Xining Chengtong Transportation Latest change in the Transportation Construction & national policies on land Construction & 3 Investment Co., March 2019 acquisition and structure Investment Co., Ltd. and Ltd. and demolition Chengbei District resettlement Resettlement Office consulting unit Staff of Xining Chengtong Xining Chengtong Transportation Transportation Experiences and lessons Construction & 4 Construction & learned from resettlement April 2019 Investment Co., Ltd. and Investment Co., work in other places Chengbei District Ltd. Resettlement Office Staff of Xining Chengtong Xining Chengtong Transportation Transportation Computer operation and Construction & 5 Construction & May 2019 data processing Investment Co., Ltd. and Investment Co., Chengbei District Ltd. Resettlement Office Xining Chengtong Staff of Chengbei District Transportation Resettlement procedures Resettlement Office and 6 Construction & and policies in other World June 2019 resettlement teams in the Investment Co., Bank-financed projects affected villages Ltd. Xining Chengtong Staff of Chengbei District Transportation Resettlement policies and Resettlement Office and 7 Construction & July 2019 practices resettlement teams in the Investment Co., affected villages Ltd. Xining Chengtong Staff of Xining Chengtong International experience of 8 Transportation Transportation 2018－2019 resettlement work Construction & Construction &

Investment Co., Investment Co., Ltd. Ltd.

• 9. Public Consultation and Negotiation

In order to implement the resettlement work required by Chengxi Passenger Station Subproject of World Bank-funded Xining Urban Transport Project practically and reliably, safeguard lawful rights and interests of displaced households, reduce dissatisfactions and disputes, Xining Chengtong Transportation Construction & Investment Co., Ltd. attaches great importance to the participation and consultation with displaced households. The Resettlement Action Plan is prepared on the basis of full consultation with the affected people and information disclosure. During the decision-making process of the project planning, design and implementation, Xining Chengtong Transportation Construction & Investment Co., Ltd., relevant departments of Chengbei District and village committees of two affected villages have utilized the survey of physical indicators, socio-economic survey, public consultation on resettlement and other opportunities in cooperation with consulting agencies to widely publicize and introduce basic information of this project via various methods, solicit opinions from all kinds of affected people, and hold consultation on issues of common concern. The results of public consultation and negotiation provide the basis for the improvement of the resettlement plan.

◼ 9.1 Public consultation and negotiation that have been conducted so far

Xining Chengtong Transportation Construction & Investment Co., Ltd. has organized the design units, consulting agencies, local resettlement departments and the affected people to publicly release information and arrange the consultation on major issues involved at the resettlement planning stage in various ways. Major methods adopted by Xining Chengtong Transportation Construction & Investment Co., Ltd. and resettlement consulting agencies for the public consultation are as follows: (1) Using official documents and announcements to disclose information related

65 to this project to the public within the affected area; (2) Collecting opinions and suggestions of the affected people on land acquisitions and structure demolitions via questionnaires; (3) Holding various discussion meetings in affected villages to understand social and economic conditions of affected households and solicit their opinions and suggestions on resettlement; (4) Affected people can report relevant opinions and suggestions verbally or in writing to the authority of concerned towns, subdistrict offices, the government of Chengbei District or village committees, and the local government will pass such opinions and suggestions to Xining Chengtong Transportation Construction & Investment Co., Ltd. (5) Organizing discussion meetings for females in affected villages to understand potential adverse impacts of land acquisitions and structure demolitions of this project on them and solicit their opinions and suggestions on restoration and resettlement; Main public consultation activities organized since the implementation of the project are shown in Table 9-1.

Table 9.1 Major Activities of Information Disclosure and Consultation on Resettlement Contents of No. Date information disclosure Participants Organizer and consultation Land and resources department of Survey of the quantity Chengbei District, Xining Chengtong Xining Chengtong of land acquisitions Transportation Construction & Transportation 1 2017-9 and structure Investment Co., Ltd., assessment Construction & demolitions, and the companies and affected village Investment Co., Ltd. signing of contracts collectives Consulting agency, Xining Displaced households’ Consulting agency, Chengtong Transportation opinions and Xining Chengtong Construction & Investment Co., Ltd., 2 2018 1-2 suggestions on the Transportation land and resources department of project Construction & Chengbei District, affected village implementation Investment Co., Ltd. collectives and peasant households Consulting agency, Xining Consulting agency, Chengtong Transportation Xining Chengtong Consultation on Construction & Investment Co., Ltd., 3 2018 1-2 Transportation resettlement plans land and resources department of Construction & Chengbei District, affected village Investment Co., Ltd. collectives and peasant households

Survey of displaced Consulting agency, Xining Consulting agency, households (baseline Chengtong Transportation Xining Chengtong report), displaced Construction & Investment Co., Ltd., 4 2018 1-6 Transportation households’ opinions land and resources department of Construction & and suggestions on Chengbei District, affected village Investment Co., Ltd. resettlement collectives and peasant households

9.2 Public consultation on resettlement

From January 9 to January 11 of 2018, Involuntary Resettlement Research Center of China Three Gorges University conducted the questionnaire survey on opinions and suggestions of affected villagers in Wuzhong Village under the help of Xining Chengtong Transportation Construction & Investment Co., Ltd. and the People’s Government of Chengbei District. The main results are summarized as follows: Firstly, although everyone supports the project, they do not know much about the project. As the World Bank-funded project has been implemented for about 3 years, this finding is unexpected. Secondly, although 75% of respondents reported that they had “some but incomplete knowledge” of this project, 25% of respondents had no idea of this project. No one was clear about policies of land acquisitions and structure demolitions in Xining City. Thirdly, when answering Question XI: “What are your opinions and suggestions on land acquisitions and structure demolitions in this project?”, 93.8% of respondents reported that funds should be released in an open and transparent manner. Therefore, various channels and methods shall be further used to make affected people in Wuzhong Village know more about the project and policies of land acquisitions and structure demolitions in Xining City as well as improve the transparency of fund release in the future. Fourthly, 100% of the surveyed villagers agreed upon the policy about how compensation funds for land acquisitions of this project should be used. In other

67 words, they thought that compensation funds for contracted lands should be directly paid to the deposit book or bank card of households contracting those lands by the Chengbei District Resettlement Office so as to pay such funds to concerned households directly by eliminating intermediate links. Compensations for collectively owned lands should be reserved by the collective organization for purposes which are discussed and determined by the villagers assembly. Fifthly, as the project construction affects the local people more or less, the public should be encouraged to participate in the project construction and preferential options should be offered to the local people when selecting materials and labor services so as to ensure that the people affected by this project can be benefited from the project construction. According to the survey, most people are supportive of those measures and some villagers have participated in this World Bank-funded Xining Urban Transport Project.

9.3 Feedback on opinions from public consultation and negotiation

From January to March 2018, Xining Chengtong Transportation Construction & Investment Co., Ltd. and Involuntary Resettlement Research Center of China Three Gorges University organized and summarized opinions and suggestions collected from affected people via various channels during the process of public consultation. They passed some issues which were most concerned by the affected people to the engineering design unit, environmental impact assessment unit and other relevant departments, and fully considered and absorbed those opinions and suggestions when preparing the resettlement action plan. The feedback on opinions from public consultation and negotiation so far is shown in Table 9-2.

Table 9-2 Major Opinions from Public Consultation and Negotiation and Corresponding Solutions

Opinions of affected Issues Solutions people The use and Affected people are In this project, compensation funds for land acquisitions

Opinions of affected Issues Solutions people release of worried that they may not will be directly paid to households contracting lands to compensation be able to directly receive be acquired. To be more specific, those funds will be funds compensation funds as those funds may be directly paid to the deposit book or bank card of retained or households by Chengbei District Resettlement Office so misappropriated during as to eliminate any intermediate link. Compensations for intermediate links. collectively owned lands will be reserved by the collective organization for purposes which are discussed and determined by the villagers assembly. In accordance with Circular of the Land and Resources Bureau of Xining City on Forwarding Circular of Department of Human Resources and Social Security of Qinghai Province and Other Departments Concerning Provisional Measures for Social Security of Qinghai Land-acquired Farmers Forwarded by General Office of It is expected that old-age Old-age Qinghai Provincial People’s Government (N.G.T.Z insurance procedures can insurance be handled. (2013) No.11), village collectives shall use some of compensation funds for collectively owned lands to purchase or upgrade to the new rural social old-age insurance for land-acquired households whose per capita land is less than 0.3mu so as to include land-acquired farmers into the rural old-age insurance system. Affected villagers already knew about relevant policies. Rights of They hope to be taken A subsidy of 10000 Yuan will be provided to help them vulnerable care of. groups deal with difficulties. (1) Policies of including land-acquired farmers (including women) into the old-age insurance system will be developed as soon as possible. (2) An open and transparent mechanism of disclosing information about compensations for land acquisitions and structure demolitions will be established to ensure that women are granted with the right of being How to enable affected compensated equally, the right to know information and females to fully enjoy Affected the right of signing instruments which specify the use development females opportunities brought by and distribution of properties. the project (3) The employment training system which is featured by customized options will be established to provide coordinated services which integrate enterprises’ employment demands, professional trainings and personal interest of women so as to reduce the blindness of women’s employment; (4) The commercial district constructed in Chengxi Passenger Station will provide more employment

Opinions of affected Issues Solutions people opportunities for local women with priority. At the same time, other commercial outlets will provide more employment opportunities for local women, too. (5) The role of the Women’s Federation, Family Planning Association and other women’s organizations and institutions will be played to link women’s development and opportunity with activities organized by those organizations in an organic manner so as to attract and guide women in enjoying development opportunities.

9.4 Next plan for consultation with affected people

The schedule for Chengbei District Resettlement Office to consult with the affected people at the next stage is shown in Table 9-3. Consultation meetings can be convened from time to time to discuss issues concerned by the general public within the affected area, and the feedback will be reported to Xining Chengtong Transportation Construction & Investment Co., Ltd. In addition to participating in the consultation activities organized by PMO and Xining Chengtong Transportation Construction & Investment Co., Ltd., the monitoring department will also independently consult with the affected people on other issues to be monitored, collect their complaints and suggestions, and provide monitoring information to resettlement departments at all levels.

Table 9-3 Schedule for consultation with affected people

Contents of consultation Schedule Participating units Xining Chengtong Transportation Compensation policies for February to April of Construction & Investment Co., Ltd., land acquisitions 2018 displaced persons in Chengbei District, resettlement consulting agency Problems emerged in the Xining Chengtong Transportation The whole process of process of project Construction & Investment Co., Ltd., project implementation implementation displaced persons in Chengbei District,

resettlement consulting agency Xining Chengtong Transportation Collection of suggestions The whole process of Construction & Investment Co., Ltd., and complains project implementation displaced persons in Chengbei District, resettlement consulting agency

9.5 Methods for affected people to participate into consultation during the project implementation

1). Direct method Discussions will be organized with village cadres or representatives of the affected people to collect their opinions on key issues widely concerned by the affected people and solicit suggestions from authorities of concerned towns, subdistrict offices and village committees on those issues. 2). Indirect method The public can report their complaints, opinions and suggestions to the village committees, resettlement departments at various levels and monitoring departments, and treatment suggestions will be fed back by the Resettlement Office according to treatment procedures.

9.6 Policy disclosure and Resettlement Information Booklet

Resettlement agencies at various levels will take the following measures to ensure the transparency of resettlement policies so that all affected people are timely and fully informed of resettlement policies and implementation details of this project, thus making the resettlement work truly open, fair and transparent: ● Resettlement policies and standards of this project will be disclosed on relevant government websites prior to*** of 2018; ● Impacts of the project on concerned communities, compensation standards, resettlement measures, complain channels and other information will be made in public in the committee of affected villages or other public places;

● The Resettlement Action Plan of this project will be released in the committee of affected villages or other public places prior to *** of 2018 so that all affected people can look up this document at any time; ● Resettlement Information Booklet will be distributed to each affected household before the land acquisition and structure demolition are started. Resettlement Information Booklet will detail impacts of this project on each affected household, resettlement policies and compensation standards applicable for this project, project implementation progress, complaints of affected people and procedures of solving such complaints etc. Resettlement Information Booklet will be distributed to affected people before the project is formally started, and its format is shown in the annex.

• 10 Complaints and Grievances

Resettlement is a complicated task. Since the land acquisition and resettlement involve a wide range of issues which are vital for interests of displaced persons, complaints from the affected people about the resettlement, compensation and other issues are inevitable during the project implementation process. In order to satisfactorily and promptly resolve complaints of the affected people, Xining Chengtong Transportation Construction & Investment Co., Ltd. and PMO will establish a set of highly transparent, simple and practicable procedures to collect and deal with complaints of the public in an objective, fair and efficient manner, thus ensuring that the resettlement work can be advanced smoothly.

10.1 Methods of collecting dissatisfactions and complaints

1) Complaints of the public, the project progress, measures and existing problems can be reported by the village committee or Chengbei District Resettlement Office. 2) The construction unit will send the construction log to the project implementation unit on a daily basis so as to collect information about impacts of the public on the construction. 3) The project implementation unit will inspect the construction site to identify problems emerged during the coordination of land acquisitions and structure demolitions. 4) The external monitoring agency will report relevant information. 5) The affected people can report complaints by sending letters or paying visits to relevant departments. 6) Relevant information can be reported by local offices (work stations) of the project implementation unit. 7) The audit department, discipline inspection department and other departments

73 will report special issues identified during the inspection of work. 8) Information about expenditures of payments for land acquisitions and structure demolitions will be collected from the detailed statement of the bank account for fund appropriations. 9) Internal monitoring and special investigation will be carried out to collect relevant information.

10.2 Complaint and grievance procedures

⚫ Stage 1 Affected people may report their complaints to concerned village committees or Chengbei District Resettlement Office verbally or in writing. If complaints are made verbally, the village committee or Chengbei District Resettlement Office must make a written record properly and give a definite reply within 2 weeks. If involved problems are serious, such problems need to be reported to the resettlement office at a higher level, and efforts must be made to obtain the reply opinion from such authority within 2 weeks. ⚫ Stage 2 Complainants who are unsatisfied with the reply opinion of Stage 1 may report the complaint to Xining Chengtong Transportation Construction & Investment Co., Ltd. within one month since the reception of the reply opinion of Stage 1, and Xining Chengtong Transportation Construction & Investment Co., Ltd. will make a decision on concerned complaints within 2 weeks. ⚫ Stage 3 Affected people who are unsatisfied with the reply opinion made at Stage 2 may institute legal proceedings in the civil court within 15 days after receiving the reply from Xining Chengtong Transportation Construction & Investment Co., Ltd.

10.3 Principles of handling complaints

The resettlement offices at various levels must carry out field investigations and 74 studies on complaints raised by the public, solicit their opinions, consult with them patiently and repeatedly, and provide solutions objectively and fairly according to various principles and standards specified by national laws, regulations and resettlement action plans. Complaints which cannot be properly handled must be reported to higher authorities in charge of land acquisitions and structure demolitions in a timely manner, and the assistance needs to be offered to facilitate relevant investigations. If the decision-making body of the previous stage fails to reply to complaints reported by the complainant, the complainant has the right to institute an appeal. As females may have their own special complaints and grievances during the resettlement process, Xining Chengtong Transportation Construction & Investment Co., Ltd. has required Chengbei District Resettlement Office to employ at least one female staff to deal with women’s complaints. Local governments and non-governmental organizations such as the civil affairs bureau and women’s federation will also supervise resettlement activities so as to protect the rights and interests of affected people, especially women.

10.4 Methods of replying to complaints and contents of the reply

10.4.1 Contents of the reply

● Brief description of dissatisfactions of the complainant. ● Facts and findings of the investigation. ● Principles and standards stipulated by relevant national regulations and resettlement action plans. ● Treatment suggestions and concrete basis thereof. ● The complainant has the right to complain to the resettlement department at a higher level and institute an appeal to the civil court, and relevant legal costs will be paid by the project unit.

10.4.2 Methods of replying to complaints

● As to complaints made by only a few people, written documents will be directly delivered to the complainant as the reply. ● As to complaints widely reported by many people, concerned communities will be informed of such complaints either by holding the villagers assembly or releasing a document. Whichever approach is taken, the reply information must be sent to the resettlement department to which the complainant belongs.

10.5 Recording, tracking and feedback of complaints and grievances

During the implementation of the resettlement action plan, the resettlement department shall register and manage the information about complainants and results thereof, and submit it to the PMO once a month in writing. Xining Chengtong Transportation Construction & Investment Co., Ltd. will inspect recorded complaints and results thereof regularly. In order to fully record the complaints made by the affected people and results of handing relevant problems, Xining Chengtong Transportation Construction & Investment Co., Ltd. has formulated the registration form of complaints made by affected people and results thereof. The format of this form is shown in Table 10-1.

Table 10-1 Registration Form of Grievances and Complaints about Resettlement Receiving unit: Date: Place: Name of the Content of Solutions required by the Proposed Actual result complainant complaints complaint solutions

Complainant Recorder

(Signature) (Signature) Notes: 1. The recorder shall faithfully record the content of complaints and requirements of the complainant. 2. The complaint process shall not be interfered or hindered in any way. 3. The proposed solution shall be provided to the complainant within the specified time limit.

Main contents of this chapter will be disclosed to the affected people in this project and delivered to each affected household in the form of publicity materials before the resettlement is implemented.

10.6 Contact information for making complaints

Xining Chengtong Transportation Construction & Investment Co., Ltd. will send specially-assigned person to collect and receive complaints and grievances from affected people. The name of the responsible person, the office addresses and contact information are shown in Table 10-2. Table 10-2 Information about Agencies and Personnel Receiving Complaints and Grievances of Affected People Resettlement Agencies Contact Person Address Phone Number Xining Chengtong Transportation Construction & Investment Co., Ltd. Chengbei District

Resettlement Office

• 11 Resettlement Monitoring

11.1 Internal monitoring

11.1.1 Purposes and objectives of internal monitoring

Internal monitoring is the continuous internal control carried out by Xining Chengtong Transportation Construction & Investment Co., Ltd. and resettlement implementation agencies at various levels over the implementation of the resettlement actions plan by means of a top-down management system. It aims to grasp the progress of the resettlement in an all-round, timely and accurate manner, identify and solve the problems, thus providing a basis for decision makings to ensure the successful implementation of the resettlement. The internal monitoring targets to standardize and guide the PMO and resettlement implementation unit and other agencies related to the resettlement of the World Bank-funded project in carrying out internal resettlement inspections so that the resettlement work can be carried out strictly in accordance with the Resettlement Action Plan and resettlement monitoring and assessment activities can be conducted in an organized, standardized and efficient manner, thus enabling all concerned parties to keep abreast of the implementation of the resettlement as well as identify and solve problems emerged during the process of resettlement. Principles of the internal monitoring include: to periodically investigate, understand and evaluate the implementation of the resettlement action plan; to accurately collect and analyze data and information to ensure the accuracy of monitoring results; to scientifically, objectively and justly evaluate the implementation of the resettlement action plan; to timely report to Xining Chengtong Transportation Construction & Investment Co., Ltd., PMO and World Bank to keep them informed of the project progress promptly and enable them to make decisions scientifically. Roles of the internal monitoring: Internal monitoring is an important part of the 78 internal management of the project. It aims to grasp the implementation status of the resettlement work, establish and use the resettlement information management system to collect, analyze and share data and information about the progress, funds and quality of the resettlement work, identify existing or potential problems, analyze their causes, and propose measures and suggestions to solve those problems. The internal resettlement monitoring will be carried out by Xining Chengtong Transportation Construction & Investment Co., Ltd. and the resettlement implementation agency. Internal monitoring reports will be regularly submitted by the project implementation unit to World Bank.

11.1.2 Implementation procedures of internal monitoring

The internal monitoring can be divided into two phases, namely the preparatory phase and implementation phase. The preparatory phase begins with the project identification as defined in the project cycle of World Bank-funded projects. It involves sub-phases of project preparation, project pre-assessment and project assessment and ends with the sub-phase of project approval. The implementation phase starts from the implementation of the resettlement and ends with the achievement of resettlement goals. 1) Preparatory phase of internal monitoring Xining Chengtong Transportation Construction & Investment Co., Ltd. and the people’s government of Chengbei District shall set up the resettlement service agency at the early stage of project preparation. Xining Chengtong Transportation Construction & Investment Co., Ltd. shall establish an internal agency which is especially responsible for resettlement work and equip this agency with specially-assigned competent staffs to work on affairs related to the resettlement so as to provide complete and objective information and data as well as help other industry bodies participate into the resettlement work. The internal resettlement monitoring and evaluation shall be arranged during the project preparation period. Preparations of Xining Chengtong Transportation Construction & Investment

Co., Ltd. are as follows: -- Organize trainings on resettlement policies and experiences of World Bank, national resettlement policies, the preparation of the resettlement action plan, the implementation of resettlement, resettlement monitoring and assessment and other issues for staffs of Xining Chengtong Transportation Construction & Investment Co., Ltd. and resettlement implementation agencies at various levels; -- Hire professional organizations and professionals as soon as possible to facilitate the preparation of the resettlement action plan, organize socio-economic surveys, and prepare the resettlement action plan under the help of professional institutions and professionals; Preparations of the resettlement implementation agency are as follows: -- Sign a detailed contract for the implementation of resettlement work with the project implementation unit; -- Establish or improve resettlement implementation agencies at all levels and equip them with necessary staffs; -- Organize the training for staffs of resettlement implementing agencies at all levels, work with the project implementation unit and professional organization entrusted by it to conduct socio-economic surveys and prepare the resettlement action plan jointly; -- Establish the management information system for resettlement implementation. 2) Implementation phase of internal monitoring At the implementation phase of internal monitoring, Xining Chengtong Transportation Construction & Investment Co., Ltd. shall: - Be responsible for the internal monitoring of resettlement activities according to the resettlement action plan; - Submit a detailed internal monitoring report to the World Bank semiannually. - Timely update statistical data of resettlement implementation and improve the resettlement management information system.

11.1.3 Contents of internal monitoring

The following items will be covered by the internal monitoring: ● Organizational arrangement: resettlement implementation, arrangement of organizations related to resettlement implementation, division of work related to resettlement implementation, the staffing and capacity building of resettlement agencies; ● Resettlement policies and compensation standards: the formulation and implementation of resettlement policies; the actual implementation of various standards of compensations for various types of losses (e.g. permanent land acquisitions, temporary land occupations, structure demolitions, the relocation of enterprises and public institutions, demolitions of special facilities etc.). Whether relevant work is implemented as per standards stipulated in the resettlement action plan shall be specified in particular, and reasons shall be explained for any change (if any). ● Progress of land acquisitions, structure demolitions and resettlement activities: the general schedule plan and annual plan; the progress of the establishment and staffing of resettlement agencies; the implementation progress of permanent land acquisitions and temporary land occupations in the project area; the implementation progress of adjusting, acquiring (or appropriating) and distributing lands (including the production land, house sites, public facilities etc.) in the resettlement area to displaced people; the progress of house demolitions; the progress of constructing resettlement houses; the progress of relocating displaced people; the progress of constructing public facilities; the progress of rebuilding, relocating and reconstructing special facilities; and the progress of other resettlement activities. The format of the internal monitoring progress report of the land acquisition, house demolition and resettlement is shown in Table 11-1. ● The resettlement budget and its implementations: the amount and time of resettlement funds paid step-by-step; the use and management of resettlement funds by resettlement implementation agencies at various levels; the amount and time of 81 payment of compensations to owners of affected properties (i.e. houses etc.) and owners of use right to acquired lands; the use and management of compensations for collectively owned rural lands; and the monitoring and audit of fund applications. The format of the internal monitoring report of the progress of fund utilizations is shown in Table 11-2. ● Production and employment of displaced households: main resettlement methods for displaced households, the number of displaced people, the resettlement of vulnerable groups (such as families with women, families with elderly people, and disabled people etc.); the reclamation of temporarily occupied lands; and the effects of resettlement etc. ● Complaints, grievances, public consultation, negotiation, information disclosure and external monitoring: the channels, procedures and agencies responsible for complaints and grievances; main issues to be complained and results thereof; major activities, contents and forms of public consultation and negotiation; implementation effects of public consultation and negotiation; the resettlement information booklet and information disclosure; external monitoring agencies; relevant activities and effects of external monitoring activities. ● Handling of relevant issues mentioned in the memorandum of the inspection team of World Bank. ● Existing problems and their solutions.

11.1.4 Methods of internal monitoring

As the monitoring activity of resettlement implementation process from top to bottom within the resettlement system, the internal monitoring requires that a standardized, smooth and bottom-up information management system for resettlement implementation should be established between the PMO and the resettlement implementing agencies at all levels, to track the progress of resettlement implementation in various districts. The resettlement agencies at all levels use the information management system to report the progress, funding, effectiveness and

82 other information of the resettlement implementation from the bottom up and carry out the processing and analysis. Xining Chengtong Transportation Construction & Investment Co., Ltd. has established a sound information management system, which can store and manage the various data of project implementation activities comprehensively, timely and accurately. The following methods will be adopted in the project to implement internal monitoring according to the project implementation: 1) Standardized statistical reporting system The PMO will formulate a unified report according to the needs of resettlement implementation. The report shall reflect the progress of appropriation of resettlement funds and the completion of the quantity of land acquisitions and structure demolitions. The report is a regular monthly report, which is usually submitted from the bottom up when appropriating at the end of the month, so that the progress of appropriation can be known. 2) Regular or irregular reflection The PMO will adopt various measures to exchange information on the problems occurred in resettlement implementation and relevant situation among resettlement agencies at all levels and put forward opinions on how to deal with them. 3) Regular organization of contact meetings At the beginning of each month, the PMO will hold a resettlement coordination meeting with staff from resettlement offices of districts, counties and villages attending to report the situation, reflect the implementation progress and existing problems, or exchange work experience and study measures to deal with the problems. 4) Inspection The PMO will carry out routine inspection and non-routine special inspection on the resettlement work of resettlement agencies at lower levels, conduct in-depth field research, handle resettlement issues due to land acquisition and structure demolition on the spot, and verify the work progress and the implementation of resettlement 83 policies. 5) Information exchange with external monitoring agency Xining Chengtong Transportation Construction & Investment Co., Ltd. and local implementing agencies will maintain regular contact and information exchange with the external monitoring agency, and take the findings and evaluation opinions of the external monitoring and assessment agency as the reference for internal monitoring. 6) Survey The PMO will carry out the survey through questionnaire as well as household interviews to check the implementation of resettlement work. The sampling method will be adopted in the survey of households, and a certain number of households or collective units will be taken as samples. The PMO will investigate the resettlement situation in the form of report, to reflect the implementation level of their compensation fees and relocation costs, and know if the resettlement work is strictly implemented according to the Resettlement Action Plan. Xining Chengtong Transportation Construction & Investment Co., Ltd. will conduct the first survey after the affected people receive the first compensation. After the first survey, it will take improvement measures based on the survey results and the problems reflected through the complaints, and continue to conduct tracking survey on the implementation of the improvement measures. It will track the situations of labor resettlement and land adjustment for the affected people and the settlement of complaints reflected through non-irregular questionnaire in the tracking survey, and collect opinions and suggestions on public negotiation and compensation standards. Table 11-1 Progress of Land Acquisition and Structure Demolition Unit: ______Report date: ______/ ____ / ______(year / month / day) Cumulative The Planned Completed Resettlement activities Unit completed percentage in amount amount amount the total (%) Permanent land acquisition Mu Temporary land occupation Mu House demolition m2 10,000 Land compensation Yuan Payment of house demolition 10,000

fees Yuan

Cumulative The Planned Completed Resettlement activities Unit completed percentage in amount amount amount the total (%) Reconstruction of residential m2 buildings Report writer: Signature of responsible person: Seal:

Table 11-2 Progress of Funds Usage ______Village (Community), ______Town, _____District Date: _ / _ / _ (year / month / day) Amount of The Percentage of Compensation Amount of amount of funds received Brief Amount Funds Received Compensation Affected units funds in total description (Unit) during the Funds needed compensation Reporting Accumulated (Yuan) funds (%) Period (Yuan)

Report writer: Signature of responsible person: Seal:

11.1.5 Internal monitoring agency and personnel arrangement

The information about staff of implementing agencies involved in the monitoring is shown in Table 11-3. Table 11-3 Staff of Implementing Agencies of Internal Monitoring Total number of staff at peak Resettlement agencies Regular staff times Xining Chengtong Transportation 2 4 Construction & Investment Co., Ltd. Chengbei District Resettlement Office 2 6

11.1.6 Cycle and report of internal monitoring

Internal monitoring is a continuous process in which comprehensive monitoring activities will be conducted at least once a quarter; and the frequency of monitoring will be increased during critical periods like relocation of displaced households.

During the preparation of the project, the internal monitoring agency will prepare regular or irregular internal work reports in accordance with the World Bank's inspection. And the format will vary in different projects and stages according to the requirements of the World Bank. After the implementation starts, brief weekly and monthly reports, as well as detailed quarterly, semi-annual and annual reports are required for the projects with great impact; and brief quarterly reports, as well as detailed semi-annual and annual reports are required for projects with small impact according to the project conditions. Special reports will be made according to the needs of project management. A final report will be made after the completion of the project. The internal monitoring report shall be reported by the resettlement implementing agencies at all levels to the people's governments at the same level, resettlement implementing agencies at higher levels, and Xining Chengtong Transportation Construction & Investment Co., Ltd.. And Xining Chengtong Transportation Construction & Investment Co., Ltd. will submit an internal monitoring report to the World Bank every six months.

11.2 External monitoring

In accordance with the relevant requirements of the World Bank, during the implementation of the project, the PMO will undergo extensive comparison and selection to determine an agency with more than 5 years of experience in related work as the external monitoring agency of the resettlement, and the agency shall be responsible for the independent monitoring and evaluation of the resettlement work.

11.2.1 Purpose of external monitoring

External monitoring and evaluation is the evaluation of resettlement by an agency independent of the government agency. Its purpose is to examine the implementation of the resettlement action plan from a broad and long-term perspective, to monitor and assess whether the objectives of land acquisition, resettlement and relocation are realized, to put forward assessment opinions and 86 suggestions, and to take remedial measures and tracking actions in a timely manner to ensure the effectiveness of resettlement work. Land acquisition and structure demolition and resettlement activities will be tracked in external monitoring to monitor and assess whether the resettlement: 1) Complies with the state laws and regulations on resettlement work; 2) Complies with the World Bank's policies on involuntary resettlement; 3) Makes the living standard of the affected persons exceed or at least revert to the level before the resettlement.

11.2.2 External monitoring agency and monitoring personnel

The staff of the external monitoring agency must meet the following basic requirements: 1) The staff engaged in external monitoring should have participated in similar work, have rich experience in socio-economic survey, understand the World Bank's policies on involuntary resettlement, and grasp the national and local policies and laws on the resettlement. 2) The staff shall have the ability to independently engage in social research, have good communication skills, and be hard-working.

11.2.3 Responsibilities of external monitoring agency

The external monitoring agency will undertake the following activities: ●Before the resettlement activities begin, a baseline survey of living standards will be conducted to obtain the basic conditions of the production and life of the affected persons; ●The implementation of resettlement activities will be tracked and monitored during the resettlement. The opinions and complaints of the affected persons will be collected and timely reflected to the PMO and the local resettlement office, and a monitoring report will be submitted to the PMO and the World Bank; ●A tracking survey on the changes in the production and living standards of the 87 affected persons, as well as evaluation of the resettlement activities and measures will be conducted; ●On the basis of investigation and full consultation with the affected persons, constructive suggestions will be put forward to the PMO and the local resettlement office to ensure the smooth progress of the resettlement work and the early restoration of the production and living standards of the affected persons.

11.2.4 Methods and steps of external monitoring

The external monitoring agency will take the following measures for monitoring resettlement: 1) Establish a database of affected persons, and conduct frequent household interviews on the basis of resettlement survey. The external monitoring agency will make full use of the socio-economic survey data and the resettlement information management system established by the PMO to conduct dynamic management of the basic situation of the households affected by land acquisition and house demolition, so as to keep abreast of the situation of displaced households. Use the information reflected by the database, and conduct face-to-face interviews among the affected households to know about the progress of resettlement work, listen to their complaints, dissatisfaction and suggestions, and publicize the relevant policies of the state, the relevant requirements of the World Bank and the information on engineering construction at the same time. Household interviews will be conducted independently by the staff of external monitoring agency, whom shall not be accompanied by the staff of local resettlement agency or local administrative personnel after obtaining the list and related information of the affected persons from the grass-roots organization. When the external monitoring agency conducts household interviews, the interviewers will be relatively fixed, that is, the same person will interview the same affected area as often as possible, so it is easy to establish a mutual trust relationship between the interviewers and the affected persons, which is conducive to the development of

88 work. 2) In areas where the affected persons are relatively concentrated, discussion meetings will be organized among the affected persons now and then. In areas where the affected persons are concentrated, the external monitoring agency will hold discussion meetings, and listen to the opinions of the affected persons on major issues affected by the project. The discussion meetings may be formal or informal, and the staff of the grass-roots resettlement agencies may be invited or not invited, depending on the specific circumstances. 3) Field observation. The staff of the external monitoring agency will visit the resettlement sites regularly and irregularly, and observe the resettlement situation on the spot. 4) Case study. Focus on the individual prominent cases that may arise in the process of resettlement. Analyze the root causes of the problems, find the solutions to the problems, and put forward some suggestions. 5) Questionnaire. Conduct a sample survey on the recovery of production and life of displaced households and their opinions on resettlement work, and analyze the results in time. Solve the existing problems and provide reference for resettlement work for the next year.

11.2.5 Main contents of external monitoring

1) Monitoring of resettlement of displaced households through production According to the characteristics of the affected land and its management, the external monitoring agency's monitoring of the resettlement through production of displaced households affected by land acquisition will mainly focus on the following aspects: ●Whether the compensation standards for land acquisition are formulated in accordance with the relevant laws of the state; ●Whether the allocation procedures for land compensation can ensure the affected villages get their deserved funds;

●Whether the amount of land acquisition, the compensation standard and the amount of compensation are made public in the whole village and in which form; ●If the land compensation is paid directly to the individual, how is the scope of the payment determined; ●Whether there is a definite and feasible plan for the centralized use of land compensation; ●Whether the interest related villagers are asked for opinions in the formulation of land compensation use plan, and how is the use plan determined; 2) Monitoring the operation of resettlement agencies A competent, professional and efficient resettlement agency is a reliable guarantee to ensure the smooth progress of the resettlement. Monitoring the operation of resettlement agencies is also an important part of external monitoring by the external monitoring agency. The monitoring of resettlement agencies is mainly carried out through the field visit to the resettlement agencies, and verification of their working materials and records, and the main contents include: ●Whether the staff composition of resettlement agencies at all levels meets the needs of the resettlement work; ●Whether the resettlement agencies at all levels are equipped with necessary working conditions; ●Whether the quality of the staff in resettlement agencies meets the requirements of resettlement work; ●Training of the staff in resettlement agencies; ●Internal information management of resettlement agencies. 3) Monitoring the resettlement of vulnerable groups Vulnerable groups are not only the special groups that need special attention of resettlement agencies, but also the objects that external monitoring agency should pay special attention to in the external monitoring process. The external monitoring agency will track and monitor the vulnerable groups affected by the project through household interviews, questionnaires and case studies. The main indicators of monitoring include: 90

●What special preferential policies are enjoyed by vulnerable groups in resettlement; ●Whether affected poor families get help during house demolition; ●Recovery measures for production arrangement of affected poor families; ●Whether the special needs of the affected women are fully considered in the resettlement measures; ●Whether vulnerable groups, especially women, have access to project-related employment opportunities and how many vulnerable groups are employed in the construction project; ●Whether there are female staff responsible for women's affairs in the resettlement agencies. 4) Baseline survey of living standard of affected persons Before the formal implementation of the resettlement, the external monitoring agency will establish the baseline information on resettlement for the World Bank-funded Xining Urban Transport Project through a sample survey. The sample survey will be conducted through a structured questionnaire. All the affected households involved in the socio-economic survey during the project preparation phase will be used as sample database for classified sampling. The sampling proportion of baseline survey of living standard is 10% of the households affected by the house demolition or the land acquisition. The main contents of baseline survey of living standard of affected households include: Household population, production and operation situation, housing construction area, annual household income, employment structure, annual household expenditure, traffic conditions, water supply conditions, power supply conditions, living environment, subjective evaluation of production and living conditions, etc.. 5) Monitoring and evaluation of resettlement effect After the formal implementation of the resettlement, the external monitoring agency will continuously track and monitor the effect of resettlement. The external monitoring agency will conduct tracking survey on affected households six months after their resettlement. The tracking survey is similar to the 91 baseline survey of living standard and will be conducted by means of a sample survey. It will reflect the impact of resettlement on the life and production of the respondents through a structured questionnaire, so as to evaluate the effect of resettlement. The selection of tracking sample will be in principle the same as that of living standard, and it will be a track of subjects involved in baseline survey of living standard as far as possible. After completing the baseline survey of living standard, a database of all the survey samples will be established as a basis for tracking survey. For a small number of respondents that are difficult to be tracked due to various factors, the households affected by the same reason in the same residential community will be taken as alternative respondents according to the early socio-economic survey database. The content of the tracking survey shall be well connected with the baseline survey of living standard, so as to compare and analyze the changes in life and production of affected households before and after the resettlement. At the same time, the subjective evaluation of the resettlement by the affected persons will be taken as a reference for assessing the effect of the resettlement work.

11.2.6 Reporting system for external monitoring

The external monitoring agency will prepare external monitoring reports based on its observations and surveys. There are two main purposes: firstly, objectively reflect the progress and existing problems of the resettlement work to the World Bank and Xining Chengtong Transportation Construction & Investment Co., Ltd.; secondly, evaluate the social and economic effects of resettlement and put forward constructive opinions and suggestions to improve the resettlement work. The reporting cycle of the external monitoring agency to the World Bank and the PMO is as follows: ●Submit an annual mid-term monitoring report to the World Bank, Xining Chengtong Transportation Construction & Investment Co., Ltd. and PMO on resettlement in the first half of this year by July 31 of each year;

●Submit an annual monitoring report to the World Bank, Xining Chengtong Transportation Construction & Investment Co., Ltd. and PMO by January 31 of each year; ●Submit a comprehensive post-resettlement assessment report 6 months after the completion of the resettlement work. The regular monitoring report shall include at least the following contents: 1) the monitoring object of this report; 2) the progress of resettlement work; 3) the main findings of the monitoring agency; 4) the main problems; 5) basic comments and suggestions on external monitoring. The report of the external monitoring agency will be submitted to Xining Chengtong Transportation Construction & Investment Co., Ltd., the PMO and the resettlement experts of the World Bank in both Chinese and English. Before formal submission, the relevant personnel from the Resettlement Office will be informed to seek their views on the content and form of the report.

• Annex 1 Resettlement Information Booklet

Dear : The construction of Chengxi Passenger Station in the World Bank-funded Xining Urban Transport Project will be commenced at your site. This booklet is distributed to you to keep you informed of the basic information of the project and the national policies on land acquisition and structure demolition as well as the impact on your family. I. Project overview The Chengxi Passenger Station in the World Bank-funded Xining Urban Transport Project is planned to be implemented from April 2018, with a construction period of 2 years. II. Laws, regulations and compensation standards for land acquisition and structure demolition The policies of land acquisition and structure demolition of this project is formulated according to the following laws and regulations: ●Land Administration Law of the People's Republic of China, implemented in January, 1999 and revised on August 28, 2004; ●Decisions on Deepening the Reform to Strengthen the Land Administration, issued by the State Council on October 21, 2004; ●Guiding Opinions of the Ministry of Land and Resources on Perfecting the Land Expropriation Compensation and Relocation Institution (November 3, 2004); ●Notice of the People's Government of Qinghai Province on Disclosing the Adjusted and Updated Standard of Unified Annual Production and Integrated Land Expropriation Price; July 10, 2015 ●Notice of Land and Resources Department of Qinghai Province on Issuing Compensation Standards for Land Acquisition and Structure Demolition in the Construction of Lanzhou-Xinjiang High-speed Railway (Q.G.T.Z.T. [2009] No. 33)

May 13, 2009 ●Notice of Xining Municipal People's Government on Issuing Compensation Standards for House Demolition and Resettlement and Price Evaluation Rules in Xining City (N.Z. [2004] No. 30) March 4, 2004 ●Notice of Xining Municipal People's Government on Issuing Compensation and Resettlement Plan for Land Acquisition and Structure Demolition in Xining Station Reconstruction and Related Projects (Z.N.Z.B. [2011] No.179) August 9, 2011 ●Land Acquisition and House Demolition Compensation and Resettlement Scheme for New Roads Sub-project in Extension of Wusixi Road and Xicheng Avenue of Xinning Urban Transport Project (C.B.Z.B. [2015] No. 55) ●The World Bank Operational Policy OP4.12 Involuntary Resettlement and its annexes were implemented on January 1, 2002; ●The World Bank Business Procedure BP4.12 Involuntary Resettlement and its annexes were implemented on January 1, 2002. The compensation policies for land acquisition and structure demolition in this project are shown in the table below. Category Compensation standards I. Compensation for land 108,000 Yuan/mu acquisition II. Houses III. Land attachments Seedlings: 36,000 Yuan/mu IV. Professional Greenhouse: 38,000 Yuan/mu infrastructure III. Impacts on your family (unit) Compensation Compensation Project Quantity Remarks standards deserved 1 2 3 4 Total IV. Schedule of project implementation

Items Time Announcement on land acquisition

and structure demolition Payment of funds Land acquisition and structure

demolition Move into new house

Project preparation

Project construction V. Rights and obligations of affected people (I) Rights of affected people The affected people can obtain all the compensation listed above in accordance with the above standards, and can give their opinions and suggestions to the village, district and the World Bank-funded PMO in Xining City step by step. The specific contents include: base of compensation, compensation standards, payment time of compensation, and selection of reconstruction site. The resettlement offices must respond within 15 days after they receive the grievances of the affected people or the reports of the land acquisition and structure demolition offices at lower levels. (II) Obligations of affected people ●Actively cooperate with the construction of the project. ●No new buildings shall be built within the scope of survey after the survey of land acquisition and structure demolition, otherwise no compensation will be given. VI. Appeal of dissatisfactions and complaints If you have any dissatisfaction with the resettlement work, you can appeal according to the following procedures: Stage 1 Affected people may report their complaints to concerned villages or sub-district resettlement offices verbally or in writing. If complaints are made verbally, the villages or sub-district resettlement offices must make a written record properly and give a definite reply within 2 weeks. If involved problems are serious, such problems need to be reported to the resettlement office at a higher level, and efforts must be 96 made to obtain the reply opinion from such authority within 2 weeks.

Stage 2 Complainants who are unsatisfied with the reply opinion of Stage 1 may report the complaint to Xining Chengtong Transportation Construction & Investment Co., Ltd. or Xining PMO within one month since the reception of the reply opinion of Stage 1, and Xining Chengtong Transportation Construction & Investment Co., Ltd. or Xining PMO will make a decision on concerned complaints within 2 weeks. Stage 3 Affected people who are unsatisfied with the reply opinion made at Stage 2 may institute legal proceedings in the civil court within 15 days after receiving the reply. VII. Land acquisition and structure demolition agencies ●Xining Chengtong Transportation Construction & Investment Co., Ltd. Address: Tel: ●Municipal agency World Bank-funded PMO in Xining City Address: No.13, Wusi Street, Xining City Tel: ●Resettlement agency in Chengbei District Address: The Land and Resources Bureau of Chengbei District Tel: ●External monitoring agency: Address: Tel: VIII. Power of interpretation of this booklet Xining Chengtong Transportation Construction & Investment Co., Ltd. reserves the power of interpretation of this booklet Thank you for your support of this project!

Xining Chengtong Transportation Construction & Investment Co., Ltd.

2018