Resettlement Plan: Emin County Infrastructures and Municipal

Resettlement Plan

December 2014

PRC: Xinjiang Tacheng Border Cities and Counties Development Project

Prepared by Emin County Urban-Rural Construction Bureau for the Asian Development Bank.

CURRENCY EQUIVALENTS (as of 28 December 2014)

Currency unit – Yuan (CNY)

CNY1.00 = $0.163 $1.00 = CNY6.149

ABBREVIATIONS

ADB – Asian Development Bank AH – affected households AP – affected persons DMS – detailed measurement survey EA – executing agency ECCB – Emin County Construction Bureau ECG – Emin County Government EMDP – ethnic minority development plan FSR – feasibility study report HD – house demolition HH – households IA – implementing agency LA – land acquisition LAR – land acquisition and resettlement PMO – project management office RP – resettlement plan

WEIGHTS AND MEASURES

ha – hectare km – kilometer mu – Chinese unit of measurement (1mu=666.67 m2)

NOTE

In this report, “$” refers to US dollars.

This resettlement plan is a document of the borrower. The views expressed herein do not necessarily represent those of ADB's Board of Directors, Management, or staff, and may be preliminary in nature. Your attention is directed to the “terms of use” section of this website.

In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.

ADB-financed Xinjiang Tacheng Border Cities and Counties Development Project

Emin County Infrastructures and Municipal Services Component

Resettlement Plan

Emin County Urban-Rural Construction Bureau December 2014

Table of Contents

EXECUTIVE SUMMARY ...... 4 1. OVERVIEW ...... 7

1.1. INTRODUCTION ...... 7

1.2. IMPACT SCOPE OF LAND ACQUISITION AND RESETTLEMENT ...... 8

1.3. OPTIMIZING PROJECT DESIGN TO REDUCE RESETTLEMENT IMPACTS ...... 10 2. IMPACT SCOPE ...... 11

2.1. TYPES OF IMPACTS ...... 11

2.2. METHODOLOGY AND PROCEDURES ...... 11

2.3. IMPACT IDENTIFICATION ...... 12

2.4. LOSS OF COLLECTIVE LAND...... 14

2.5. IMPACTS OF STATE-OWNED LAND ACQUISITION ...... 15

2.6. IMPACTS OF TEMPORARY LAND ACQUISITION ...... 15

2.7. IMPACTS OF HOUSE DEMOLITION ...... 15

2.8. IMPACTS OF PUBLIC INSTITUTION ...... 16

2.9. AFFECTED VULNERABLE GROUPS ...... 16

2.10. AFFECTED ETHNIC MINORITIES ...... 17

2.11. AFFECTED ATTACHMENTS AND INFRASTRUCTURE ...... 18 3. SOCIOECONOMIC PROFILE OF AFFECTED AREAS ...... 19

3.1. SOCIOECONOMIC STATUS ...... 19

3.2. SOCIOECONOMIC PROFILE OF AFFECTED PEOPLE ...... 19

3.3. GENDER ANALYSIS ...... 25 4. LEGAL FRAMEWORK AND POLICIES ...... 30

4.1. LAWS REGULATIONS AND POLICIES APPLICABLE TO RESETTLEMENT ...... 30 4.2. ADB’S POLICY REQUIREMENT ON INVOLUNTARY RESETTLEMENT ...... 30 4.3. DIFFERENCES BETWEEN ADB AND PRC POLICIES ...... 32

4.4. ELIGIBILITY AND BENEFICIARIES ...... 33

4.5. COMPENSATION RATES ...... 33

4.6. ENTITLEMENT MATRIX ...... 38 5. RESETTLEMENT MEASURES ...... 44

5.1. OBJECTIVES OF RESETTLEMENT ...... 44

5.2. PRINCIPLES FOR RESETTLEMENT RECOVERY PLAN ...... 44

5.3. SUMMARY OF RESTORATION PROGRAM FOR ACQUISITION OF CULTIVATED LAND ...... 44

5.4. RESETTLEMENT PROGRAM FOR DISPLACED HOUSEHOLDS ...... 49

5.5. RESETTLEMENT PROGRAM FOR LIVESTOCK BREEDING HOUSEHOLDS ...... 51

5.6. RESTORATION PROGRAM FOR ENTERPRISES ...... 52

5.7. TRAINING ...... 52

5.8. SUPPORTING PROGRAM FOR VULNERABLE GROUPS ...... 53 5.9. PROTECTION OF WOMEN’S RIGHTS ...... 54 5.10. ETHNIC MINORITY DEVELOPMENT ...... 54

5.11. RESTORATION OF INFRASTRUCTURE AND GROUND ATTACHMENTS ...... 54 6. PUBLIC PARTICIPATION AND GRIEVANCE REDRESS...... 55

6.1. CONSULTATION AT PREPARATION STAGE ...... 55

6.2. PUBLIC PARTICIPATION AND CONSULTATION PLAN ...... 59

6.3. APPEAL PROCEDURE ...... 60

6.4. APPEAL CONTACT INFORMATION ...... 61 7. RESETTLEMENT BUDGET ...... 63

7.1. RESETTLEMENT BUDGET ...... 63

7.2. ANNUAL INVESTMENT PLAN ...... 69

7.3. DISBURSEMENT FLOW AND PLAN OF RESETTLEMENT FUNDS ...... 69 8. ORGANIZATIONAL STRUCTURE AND RESPONSIBILITIES ...... 71

8.1. RESETTLEMENT ACTION AGENCIES ...... 71

8.2. ORGANIZATIONAL CHART ...... 72

8.3. ORGANIZATIONAL QUALIFICATIONS AND STAFFING ...... 72

8.4. DIVISION OF RESPONSIBILITIES AMONG AGENCIES ...... 73

8.5. MEASURES TO STRENGTHEN INSTITUTIONAL CAPACITY ...... 75 9. RESETTLEMENT IMPLEMENTATION SCHEDULE ...... 77

9.1. WORK BEFORE RESETTLEMENT IMPLEMENTATION ...... 77

9.2. WORK DURING RESETTLEMENT IMPLEMENTATION ...... 78

9.3. WORK AFTER RESETTLEMENT IMPLEMENTATION ...... 78 10. MONITORING AND EVALUATION ...... 81

10.1. INTERNAL MONITORING ...... 81

10.2. EXTERNAL MONITORING ...... 83

APPENDIX 1: APPLICABLE LAWS, REGULATIONS AND POLICIES ...... 85 APPENDIX 2: RESETTLEMENT INFORMATION BOOKLET (RIB) ...... 100 APPENDIX 3: TERMS OF REFERENCE OF EXTERNAL MONITORING AND EVALUATION 116

APPENDIX 4: MINUTES OF PUBLIC PARTICIPATION AND INTERVIEW ...... 119 APPENDIX 5: DUE DILIGENCE REPORT ON EMIN ROAD COMPONENT ...... 123 APPENDIX 6: THE AGREEMENT OF LAND COMPENSATION ...... 137 APPENDIX 7: THE AGREEMENT OF COMPENSATION AND RESETTLEMENT ON HOUSEING LEVY ...... 140

List of Tables

Table 1-1:Project Roads ...... …7 Table 1-2 Summary of Project Resettlement Impacts ...... …9 Table 1-3: Comparison of the Affected Area before and after Design Optimization ...... 10 Table 2-1:Detail Impact Scope ...... 14 Table 2-2 Land Loss Analysis ...... 14 Table 2-3 Affected House Demolition ...... 16 Table 2-4 Impacts of Public Institution...... 16 Table 2-5 Affected Vulnerable Households ...... 17 Table 2-6 Nationality and Distribution of Affected Minority People ...... 17 Table 2-7 Affected Attachments and Infrastructure ...... 18 Table 3-1 Demographic Profile of Suveyed Households ...... 20 Table 3-2 Housing Condtions of Affected Households ...... 23 Table 3-3 Farmland Area of Affected Households ...... 23 Table 3-4 Selected Households Assets of Affected Households ...... 24 Tablez 3-5 Economic Statistics of the Sample Households in 2012 ...... 24 Table 3-6 Average Household Income Sources of Affected Households in 2012 ...... 25 Table 3-7 Average Household Expenditure Pattern of Affected Households in 2012 ...... 25 Table 3-8 Income Difference of Male and Female Laborers in 2012 ...... 27 Table 3-9 Construction of Women’s Income to Household in 2012 ...... 28 Table 4-1 The Standard of Compendation for Arable Land in Emin County ...... 33 Table 4-2 Unified Annual Output Values of Collective Land...... 34 Table 4-3 Cultivated Land Compensation Standard of the Project ...... 34 Table 4-4 Compensation Standard of Residential House Demolition ...... 36 Table 4-5 Compensation Standard for Public Institution ...... 37 Table 4-6 Compensation Rates for Attachment and Infrastructure ...... 37 Table 4-7 Entitlement Matrix ...... 38

Table 5-1 Land lost and compensation costs ...... 44 Table 5-6 Arrangements for Training ...... 53 Table 6-1: Public Participation Activities during Preparation Stage ...... 56 Table 6-2: Public Opinion Survey Results ...... 58 Table 6-3: Public Participation Plan ...... 59 Table 7-1: Resettlement Cost Estimates ...... 64 Table 7-2: Resettlement Budget Plan ...... 69 Table 9-1: Project Implementation Schedule ...... 78 Table 9-2: Resettlement Implementation Schedule ...... 79 Table 10-1: Progress Report on Resettlement for LA and HD ...... 82 Table 10-2: Progress of Fund Utilization ...... 82 Table 10-3: Reporting Schedule of External Resettlement M&E ...... 84 Table 1: Unified Annual Output Values of Collective Land ...... 100 Table 2: Cultivated Land Compensation Standard of the Project ...... 101

List of Figures Figure 3-1: Age distribution of Affected People ...... 22 Figure 3-2: Education Level Distribution of Affected People...... 22 Figure 3-3: Occupation Distribution of Affected People ...... 23 Figure 3-4: Education Level Difference between Men and Women ...... 26 Figure 3-5: Occupation Difference between Men and Women ...... 27 Figure 3-6: Income Difference of Male and Female ...... 28

Figure 1-1: Road Network of Emin County (Project roads are in black line) ...... 8 Figure 1-2: Project Roads (red line) and Affected Communities ...... 8 Figure 3-1: Socioeconomic Questionnaire Survey on Affected People ...... 19 Figure 5-1: Commercial Buildings of An Agricultural Trading Center ...... 45 Figure 5-1: Layout Plan of the Baliduhui Resettlement Community ...... 51 Figure 6-1: Grievance Redress Flowchart ...... 61 Figure 7-1: Flowchart of Resettlement Fund Disbursement ...... 69 Figure 8-1: Resettlement Organizational Chart ...... 72 Figure 1: Layout Plan of the Baliduhui Resettlement Community ...... 104

Executive Summary

1. Project Overview Emin County Infrastructures and Municipal Services Project (Project) is one of components of the Xinjiang Tacheng Border Cities and Counties Development Project, which is financed by Asian Development Bank (ADB). The project includes three parts, (i) Road Component: construction of 4 new roads and 1 existing road with a total length of 10,131.10 m, including 6,907.08 m of the new roads and 3,224.02 m of one existing road, and ancillary road lighting, landscaping, traffic signs and road maintenance equipment sanitation; (ii) Water Supply Component: a total length of county water supply network of 7,803 m; (iii) Drainage Component: 10,970 m length of new drainage pipeline. Land acquisition (LA), house demolition (HD) and resettlement for construction of the 4 new roads will be involved. The pipeline for both water supply and drainage water will be constructed along the new roads and no extra land is required. This resettlement plan (RP) is prepared for the land acquisition and resettlement (LAR) of the project. In addition, a due diligence report (DDR) for the existing road is prepared in order to identify any involvement in the LAR. The project is included in the Emin Master Plan, and is planned to implement from 2015 to December 2019. The LAR is scheduled to implement from March 2015 to December 2018. Emin County Government (ECG) is the executing agency (EA), while Emin County Construction Bureau (ECCB) is the implementing agency (IA) of the project.

2. Impact Scope The LAR will affect 2 towns (Emin Town and Jiaodong Town), 2 villages (Jiaodong Village and Jiujiahu Village), and 2 communities (Communities of Aerxiatelu and Tachenglu), 404 persons will be affected, including 195 persons of ethnic minority (accounting for 48.27%). The project will acquire a total land area of 180.06 mu permanently, including (i) cultivated land 81 mu, with 32 HHs and 103 persons affected, including 10 HHs and 28 persons of ethnic minority; (ii) state-owned unused land of 8.59 mu with no APs; (iii) state-owned residential land of 77.74 mu; and (iv) homestead land of 12.73 mu with 53 HHs and 203 persons affected. A total area of house demolition is 14,783.22 m2, including 4,562.79 m2 of urban houses with 21 HHs and 79 persons (including 12 HHs 47 persons of ethnic minority) affected, and 8,571.13 m2 of rural houses with 53 HHs and 203 persons (including 16 HHs and 83 persons of livestock raisers, and 23 HHs and 111 persons of ethnic minority). One institution (Forestry Bureau of Emin County) will be affected by HD of 1,604.3 m2, and 19 persons, including 9 ethnic minority persons will be affected. This RP is prepared based on the Feasibility Study Report (FSR) and the socio-economic survey data of the project. The RP shall be updated according to the detail measurement survey and census data of affected persons based on detailed design of the project; the updated RP shall be submitted and approved by ADB prior to start of LAR activities and before the civil works contracts of the project are awarded.

3. Policy Framework and Entitlement

This RP is formulated in accordance with State-owned Land on the Housing Levy and Compensation Ordinance of the PRC (2011) , The Land Administration Law of the PRC (2004), The Decision of the State Council on Intensifying the Reform and Tightening the Land Administration (Guo Fa [2004] No. 28), Circular of the Ministry of Land and Resources on the Working Paper Concerning Developing the Unified Annual Output Value Standard of Land Expropriation and the Integrated Section Price of Land Expropriation (Guo Tu Zi Fa [2005] No. 144), Notice on the promulgation and implementation of

autonomous unified annual output value standard" (new MLR [2011] 19), and Safeguard Policy Statement (SPS) of ADB (June 2009). All the affected people will be compensated for the LAR according to the policies and regulations. Compensation for the permanent LA of the collective land includes land compensation, resettlement subsidy, and young crops fee. The compensation standards are (i) RMB 15,000 per mu for land compensation; (ii) RMB 30,000 per mu for resettlement subsidy; and (iii) RMB 1,500 per mu for young crops. Compensation for the HD includes (i) monetary compensation: the compensations standards are based on house assessment conducted by a third-party agency but are not lower than the standards listed in this RP, and the compensation will be paid to APs at one time (including transition and moving subsidies); (ii) property right exchange for both urban and rural houses: the main house in structure of brick-concrete, brick-wood, earth-wood will be exchanged in construction area of 1:1, 1:0.9, 1:0.8, respectively. Other houses and facilities will be compensated on basis of assessment reports to be conducted by a third-party agency; and (iii) provision of housing land for rural AHs: based on the project design, providing housing land to APs within a regulated area for new house construction by themselves. The compensation and resettlement on rural livestock raisers: (i) monetary compensation; (ii) property right exchange; and (iii) after the monetary compensation, providing an allotting land for housing construction and livestock raising.

4. Resettlement and Restoration Based on social and economic survey and public consultation with APs, the following measures to restore livelihood of APs are prepared including: (i) using the compensation to do some business, like housing rent, or operation of some shops; (ii) with the help of cash compensation, APs can engage in non-agricultural activities, such as transportation or business; (iii) local government will assist APs in adjusting agricultural planting structure, provide planting guidance and technical training, expand planting area of cash crops (crops are planted for sale), and develop household breeding to improve the income; (iv) the PMO will provide temporary unskilled jobs priority to APs during project construction. The PMO will organize technical training for APs, and make sure all affected labors received at least one time training on both farming and non-agricultural work.

5. Organization Structure The IA will be responsible for the project implementation, LA and coordination. The LA management office will be composed of officials of the county land administration bureau, construction bureau, and each affected sub-district office or community committee. Each unit will provide one member to the office to be responsible for LA consultation and income restoration activities.

6. Public Participation and Information Disclosure From September 23 to 30, 2013, a survey was conducted for the impact scope of the LAR of the project. During January 10-13, 2014, the PMO and the relevant staff of the RP preparation agency conducted a supplementary survey of the affected land, households and people, and a public opinion and advice survey of the APs and affected entities. Staffs from Emin Land Administration Bureau, Emin Township Jiaodong township, Jioadong Village and Jiujiahu Village are consulted to understand local socio-economic status, and exchange views on compensation standards and identify measures of livelihood restoration. The implementation process of the LAR are discussed with local governments. Representatives from the ECG, the Emin PMO, Land Administration Bureau, Civil Affairs Bureau, women’s federation, urban planning bureau and other relevant government agencies as well as affected village and township and APs attended the public consultation and meeting. The concerns of the APs and their suggestion have been included in the RP.

7. Grivances and Appeals Emin PMO has established a detailed complaint and appeal procedure. The APs can complain any problems related to the LAR in following procedures to (i) village committees/sub-district office; then (ii) Emin County Land Administration Bureau; then (iii) Emin PMO; and then (iv) the ECG. The responsible agencies must reply to any complains in a definite period. The APs may file lawsuit to the civil court at any time under Civil Procedure Law or report problems to the ADB in accordance with its Accountability Mechanism (2012)1. The APs may file appeals about any aspect of the LAR.

8. Resettlement Budget The total resettlement cost is RMB 66.76 million, including (i) permanent LA of RMB 15.72 million, accounting for 23.55% of the total cost; (ii) HD compensation 39.44 million, accounting for 59.07% (iii) RP preparation, training and monitoring of RMB 9.082 million, accounting for 13.61%; (iv) taxes and fees of RMB 2.5184 million, accounting for 3.77%; and (v) contingency in 8% of the basic cost. The IA ensures that adequate resettlement funds will be available in a timely manner to cover all necessary resettlement issues.

9. Implementation of Resettlement Plan The LAR will be implemented from March 2015 to December 2018. The project construction will be commenced only after ADB approve the updated RP and the full compensation has been paid to the APs.

10. Monitoring & Evaluation and Reporting Internal and external monitoring on implementation of the RP will be conducted. The internal monitoring is carried out by the Emin PMO, and a monitoring report, as one of key contents of project progress reports, will be submitted to ADB quarterly. Tacheng Prefecture PMO will entrust an independent monitoring agency to conduct external monitoring and evaluation and report to ADB every six months during implementation of the project. The monitoring and evaluation costs are included in the total budget of the RP.

1 http://www.adb.org/Accountability-Mechanism/default.asp 6

1. Overview

1.1. Introduction 1. Emin County Infrastructures and Municipal Services Project (Project) is one of components of the Xinjiang Tacheng Border Cities and Counties Development Project, which is financed by Asian Development Bank (ADB). The project includes three parts,(i) Road Component: construction of 4 new roads and 1 existing road with a total length of 10,131.10 m, including 6,907.08 m of the new roads and 3,224.02 m of one existing road, and ancillary road lighting, landscaping, traffic signs and road maintenance equipment sanitation; (ii) Water Supply component: a total length of county water supply network of 7,803 m; (iii) Drainage Component: 10,970 m length of new drainage pipeline. Land acquisition (LA), house demolition (HD) and resettlement for construction of the 4 new roads will be involved. The pipeline for both water supply and drainage water will be constructed along the new roads and no extra land is required. This resettlement plan (RP) is prepared for the LAR of the project. In addition, a due diligence report (DDR) for the existing road is prepared in order to identify any involvement in the LAR of the existing road. The detail project roads are presented in Table 1-1.

Table 1-1: Project Roads

No. Road Name Length (m) New/Existing Width (m) LAR/HD

3,224.02 Rehabilitation 222 NO 1 A’erxiate Road LAR doneNo HD 663.96 New construction 44 affect 2 Wenhua Road 931.11 New construction 44 Yes 3 Guihua Wu Road 1,285 New construction 28 Yes 4 Guihua Qi Road 1,961.76 New construction 24 Yes 5 Guihua Jiu Road 2,065.25 New construction 34 Yes Total 10,131.1

Source:From the feasibility study report (FSR) of the project.

2 It is currently existing width, while other width for the new roads is the proposed width. 7

Figure 1-1: Road Network of Emin County (Project roads are in black line)

Figure 1-2: Project Roads (red line) and Affected Communities 1.2. Impact Scope of Land Acquisition and Resettlement 2. All impacts on LA and HD are caused by construction of four new roads, including Gui Hua Wu Road, Gui Hua Qi Road, Guihua Jiu Road and Wenhua Road according to the feasibility study report

(FSR) of the project. 3. The LA and HD will affect 2 townships, 2 villages, and 2 communities of Emin County, and a total of 404 people will be affected, including 195 ethnic minority people, accounting for 48.72%. 4. The project will acquire a total land area of 180.06 mu permanently, including (i) cultivated land 81 mu, with 32 HHs and 103 persons affected, including 10 HHs and 28 persons of ethnic minority; (ii) state-owned unused land of 8.59 mu with no APs; (iii) state-owned residential land of 77.74 mu; and (iv) homestead land of 12.73 mu with 53 HHs and 203 persons affected. 5. A total area of house demolition is 14,783.22 m2, including 4,562.79m2 of urban houses with 21 HHs and 79 persons (including 12 HHs and 47 persons of ethnic minority) affected, and 8,571.13m2 of rural houses with 53 HHs and 203 persons (including 16 HHs and 83 persons of livestock raisers, and 23 HHs and 111 persons of ethnic minority). One institution (Forestry Bureau of Emin County) will be affected by HD of 1,604.3m2, and 19 persons, including 9 ethnic minority persons will be affected, as shown in table1-2.

Table 1-2: Summary of Project Resettlement Impacts Items Sub-total Affected villages/communities 4 Sub-total 87.9 Unused land 8.59 State-owned land(mu) Residential land 77.74 Industrial land 1.57 Sub-total 93.73 Collective land(mu) Farmland 81 Homestead land 12.73 Sub-total 14,738.22 Urban residential houses 4,562.79 HD (m²) Rural villager houses 8,571.13 Public institution 1,604.3 LA only (HH) 32 - Population (person) 103 HD only (HH) 74 Affected population - Population (person) 282 Both LA and HD (HH) 0 - Population (person) 0 Total affected households (HH) 106 Total affected people (person) 385 Public institution 1 Affected staff (person) 19 Total affected people and staff (person) 404 Source: Socio-economic survey of September 2013

1.3. Optimizing Project Design to Reduce Resettlement Impacts 6. In the engineering design phase, the impact of the LAR should be minimum, the main principles are following:  To avoid or minimize the occupation of existing and planned residential areas (rural and urban);  To avoid or minimize the acquisition of high quality arable land;  To use existing state and local roads towards to the proposed construction area;  To avoid or minimize the occupation of environmentally sensitive areas; and  To select the resettlement areas in line with the local development plan. 7. The road route selection should be combined with the master planning with existing roads, and the existing road route should be priority choice to avoid or reduce occupancy the existing buildings, and to avoid or minimize the occupation of high quality arable land. 8. The original project plans to build and rehabilitate 5 county roads in total, including the 4 new roads of Guihua Wu Road, GuiHua Qi Road Guihua Jiu Road and Wenhua Road; and 1 rehabilitation road of A’erxiate Road. A’erxiate Road has current road width of 22 m, while the proposed red line width is 44 m, and extends for 663.96 m length, which would cause the HD of 350 residential HHs and 121 small commercial shops. Guihua Wu Road has the proposed red line width is 44 m and a total length of 2.79 km, which would cause the HD of 59 residential HHs and arable land acquisition of 193 mu. 9. After field consultation with the affected village and APs, the PMO and design institute (DI) decided to optimize the design to reduce the LAR impacts. The PMO decided to repair the bad section of A’erxiate Road with existing width; Guihua Wu Road will be constructed from A’erxiate Road to Emin River with a length of 1,258 m, and its width of red line is adjusted from 44 m to 28 m. After the optimization, the HD of 491 residential HHs, 121 shops are reduced and the HD of a total residential area of 85,146.08 m2 and commercial area 4,235 m2 is avoided, as presented in Table 1-3.

Table 1-3: Comparison of the Affected Area before and after Design Optimization Before After design Item Unit design Difference optimization optimization State-owned mu 14.98 8.59 -6.39 unused land State-owned mu 5.98 1.57 -4.41 Land acquisition industrial land Residential land mu 135.69 77.74 -57.95 Homestead land mu 41.39 12.73 -28.66 Cultivated land mu 193.55 81 -112.55 Temporary occupied land mu 0 0 0 Residential m2 98,280 13,133.92 -85,146.08 House demolition house Commercial m2 4,235 0 -4,235

shops Public Institution m2 1,604.3 1,604.3 0 Sub-total m2 104,119.3 14,738.22 -89,381.08 Household HH 59 32 -27 Land occupied Population person 218 103 -115 Residential HH 417 74 -343 Population person 1,251 282 -969 House demolition Commercial person 121 0 -121 shops Public Institution unit 1 1 0 Source: The design institute and resettlement socio-economic survey (2013)

2. Impact Scope

2.1 Types of Impacts 10. Based on the feasibility study report (FSR), the main types of impacts of the project include:

(i) Land acquisition of collective and state-owned lands; (ii) House demolition of urban and rural and public institution; and

(iii) Losses of ground attachments and infrastructure.

2.2 Methodology and Procedures 11. The Emin PMO, design institute (DI) and RP preparation agency conducted a site survey to identify the project impact scope in March 2013 with Emin construction bureau. 12. In September 16-23, 2013, a training to the governmental staff involved in preparation of the Ethnic Minority Development Plan (EMDP) and the RP was held at Tacheng Prefecture Development and Reform Commission for the Xinjiang Tacheng Border Cities and Counties Development Project. Both the PRC and ADB’s policies related to LAR and indigenous peoples, and contents required for the RP and EMDP were introduced. In addition, the detail survey methodology and questions were explained to the survey staff. 13. During September 23-30, 2013, the RP preparation agency conducted a field survey of impact scope of the Project with the DI, including physical indicators of the affected population, houses, land and special facilities, as well as affected residents and rural collective economic organizations, and a case study of affected residents. The surveys were conducted in a combination of field investigation, data collection and inquiry, questionnaire survey and interview, including: Land acquisition survey: The survey team surveyed the area of the acquired land by ownership and type after the DI defined the range of land acquisition by field setting-out. House demolition survey: Location, structure and area of affected houses and buildings were surveyed. Socio-economic survey: A sampling survey of affected population, including ethnic group, age, educational level and employment status, etc.

Scattered tree survey: Scattered trees within the affected areas were counted on spot to differentiate fruit trees and other trees, and registered by species. Special facility survey: The affected water resources, electric power and telecommunication facilities were surveyed based on the existing information of the competent authorities, and verified and registered on spot

2.3 Impact Identification 14. The LAR will affect 2 towns (Emin Town and Jiaodong Town), 2 villages (Jiaodong Village and Jiujiahu Village), and 2 urban communities (Aerxiatelu and Tachenglu), 404 persons (385 urban and rural residents and 19 staff of a public institution) in total will be affected, including 195 persons of ethnic minority (EM) (accounting for 48.27%). 15. The project will acquire a total land area of 180.06 mu permanently, including (i) cultivated land 81 mu and rural homestead land of 12.73 mu, with 32 HHs and 103 persons affected, including 10 HHs and 28 persons of ethnic minority; and (ii) state-owned unused land of 8.59 mu with no APs, urban residential land of 77.74 mu and industrial land of 1.57 mu. 16. A total area of house demolition is 14,783.22 m2, including 4,562.79m2 of urban houses with 21 HHs and 79 persons (including 12 HHs 47 persons of ethnic minority) affected, and 8,571.13m2 of rural houses with 53 HHs and 203 persons (including 16HHs and 83 persons of livestock raisers, and 23 HHs and 111 persons of ethnic minority). One institution (Forestry Bureau of Emin County) will be affected by HD of 1,604.3m2, and 19 persons, including 9 ethnic minority persons will be affected. The project impacts are presented in details as shown in Table 2-1.

17. A’erxiate Road: The total length of A’erxiate Road is 3,887.98 m, including 3,224.02 m of the existing road section and 663.96 m of the new construction section. During the construction of the existing section, the operation of the shops and residents on both sides of the section will be affected. Emin County PMO will take the semi-enclosed construction, leaving enough safe passway for residents to pass away to mitigate the effects as much as possible. 18. It should be noted that, 200 mu of state-owned forest land (nursery) belonging to Emin County Forestry Bureau was designated by ECG in December 2012, for construction and urban development; no people were affected. The new construction section will need 43.82 mu land from the 200 mu. The LA was completed in April 2014. According to the requirement of ADB, Emin County PMO and RP preparation agency has conducted due diligence as presented in the DDR in Annex V. 19. Guihua Wu Road : It is a new construction road. The road construction will affect 29 HHs with 133 people, including 16 HHs with 87 people of EM due to acquiring 24.58 mu of state-owned residential land and HD of 4,498.82 m2, including brick-wood structure house of 3,485.96 m2 (accounting for 77.49%), and earth-wood of 1,012.86 m2 (accounting for 22,51%). The state-owned unused land of 8.59 mu has no affected population. 20. It should be noted that 600 mu of collective land within the scope of Guihua Wu Road was designated for the road construction and city development in December 2012 by ECG, which affected 176 HHs with 613 people. The construction of Guihua Wu Road will use 20.80 mu of the acquired land in Jiaodong Village, involved 21 HH with 95 people, including EM 4 HH with 9 people. The land acquisition was completed on December 29, 2012. In addition, a house was demolished in August 2013, affected 1 HH with 4 people. The HD was completed on August 29, 2013. According to the requirement of ADB, Emin County PMO and RP preparation agency has conducted due diligence as presented in the DDR in Annex V. 21. Guihua Qi Road: It is a new construction road. The construction will affect 27 HHs with 97

people, including 12 HH with 47 people of EM due to LAR. 30.60 mu of contracted land will be acquired permanently in Jiujiahu village, affected 17 HHs with 49 people, including 7HH with 19 people of EM. This road requires 23.73 mu of state-owned residential land. The HD area is 5,186.89 m2, including brick-concrete structure house 3,139.49 m2 (accounting for 60.53%), brick-wood structure 1,702.85 m2 (accounting for 32.83%), and earth-wood structure 344.55 m2 (accounting for 6.64%). 22. It should be noted that 600 mu of collective land within the scope of Guihua Wu Road was designated for the Guihua Qi Road’s construction and city development in December 2012, which affected 176 HHs with 613 people. The construction of Guihua Qi Road will need 2.88mu of the acquired land in Jioadong Village, affected 2 HHs with 6 people,14.32 mu of collective land was acquired. The land acquisition was completed on December 29, 2012. According to the requirement of ADB, Emin County PMO and RP agency has conducted due diligence as presented in the DDR in Annex V. 23. Guihua Jiu Road: It is a new construction road. The road construction will affect 5 HHs with 16 people, including 3 HH with 12 people of EM. 50.40 mu of cultivated land belongs to both Jiujiahu village and Jioadong village will be acquired permanently; and 29.90 mu of contracted land will be acquired in Jiujiahu village and affect 15 HHs with 54 people, including 3 HHs with 9 EM people; 16.00 mu of collective land in Jiujiahu village, with no direct APs; and 4.5 mu of collective land in Jiaodong village, with no direct APs; acquiring the state-owned residential land of 29.43 mu and 1.57mu of industrial land will also be needed by the project. The HD area is 1,319.80 m2, including brick-concrete structure house of 82.97 m2 (accounting for 6.29%), brick-wood of 1,108.20 m2 (accounting for 83.97%), earth-wood of 128.63 m2 (accounting for 9.74%). In addition, the HD area of a public institution is 1,604.2 m2, and will affect 19 staff, including 9 EM people.

24. It should be noted that 200 mu of forest land (nursery) within the scope of A’erxiate Road was designated for the Guihua Jiu Road and city construction in December 2012, with no APs.Guihua Jiu Road will take an area of 25.55 mu from the 200 mu. The LA was completed in April 2013. According to the requirement of ADB, Emin County PMO and RP agency has conducted due diligence as presented in the DDR in Annex V. 25. Wenhua Road: It is a new construction road. The road construction will affect 13 HHs with 36 people, including 4 HHs with 12 EM people. The homestead land of 12.73 mu will be acquired, and the HD area is 2,128.41 m2, including brick-concrete structure house of 1,488.29 m2 (accounting for 69.82%) and brick-wood of 640.12m2 (accounting for 30.08%). 26. It should be noted that 600 mu of collective land within the scope of Guihua Wu Road was designated for the Wenhua Road’s construction and city development in December 2012, which affected 176 HHs with 613 people. The construction of Wenhua Road occupied 45.98 mu of collective land in Jioadong Village, including 17.80 mu of contracted land and affected 6 HHs with 28 people, including 1 HH with 7 EM people; 28.18mu of collective land will be acquired. The LA was completed on December 29, 2012. According to the requirement of ADB, Emin County PMO and RP agency has conducted due diligence as presented in the DDR in Annex V. 27. The water supply and drainage pipelines: The water supply and drainage pipeline does not involve temporary land occupation. The pipepline construction will be laid along the new and reconstruction road. Based on the principle of “buried first, paving after”, there is no need to make the additional recovery

Table 2-1:Detail Impact Scope

Permanent land acquisition House Demolition

State land (mu) Collective land (mu) Residential HD Public Institution Road Affected HHs Affected HHs Affected HHs Populationof affected sta Unusedland area Homestead Residential Pop Demolition Population Demolition population population population Cultivated area Industrial EM HHs EM HHs land land land EM EM EM ulation (m m

2 2 ) ff

Gui Hua 8.59 0 24.58 0 0 0 0 0 0 4,498.82 29 133 16 87 0 0 0 0 Wu Gui Hua 0 0 0 23.73 30.6 17 49 7 19 5,186.89 27 97 12 47 0 0 0 0 Qi Gui Hua 0 0 1.57 29.43 50.4 15 54 3 9 1,319.8 5 16 3 12 1604.3 1 19 9 Jiu Wenhua 0 0 0 12.73 0 0 0 0 0 2,128.41 13 36 4 12 0 0 0

Total 8.59 1.57 77.74 12.73 81 32 103 10 28 13,133.92 74 282 35 158 1604.3 1 19 9 Source: socio-economic survey September 2013 2.4 Loss of Collective Land 28. 81 mu of collective land will be acquired permanently and affect 32 HHs with 103 people, including 60.50 mu of contracted land in Jiujiahu village,16.00 mu of collective unused land in Jiujiahu village, and 4.5 mu of collective unused land in Jiaodong village. For the affected 32 HHs, the minimum land loss rate is 1.03%, and the maximum is 11.11%. The overall rate of the land loss is 5.99%, as presented in Table 2-2. The reason for the low degree of impact is due to large landholdings. Table 2-2: Land Loss Analysis Current Acquired Land No. Road Village Name Nationality Population land land loss rate area(mu) area(mu) Gui Hua Qi Jiujiahu 1 Qi Liujing Han 3 18 1 5.56% Road Village Gui Hua Qi Jiujiahu 2 Nijiati Uygur 2 30 2 6.67% Road Village Gui Hua Qi Jiujiahu 3 Ma Aixia Hui 3 22.5 2 8.89% Road Village Gui Hua Qi Jiujiahu 4 Zake Kazak 3 22.5 2 8.89% Road Village Gui Hua Qi Jiujiahu 5 Cai Zhizhou Han 4 54.5 3 5.50% Road Village Gui Hua Qi Jiujiahu 6 Fu Xijiang Han 2 10 0.8 8.00% Road Village Gui Hua Qi Jiujiahu 7 Li Hongsheng Han 2 18 1 5.56% Road Village Gui Hua Qi Jiujiahu 8 Saikai Kazak 3 52.5 3 5.71% Road Village Gui Hua Qi Jiujiahu 9 Yang Qingfeng Han 3 9 0.8 8.89% Road Village Gui Hua Qi Jiujiahu 10 Guo jingju Han 3 30 2 6.67% Road Village Gui Hua Qi Jiujiahu 11 Ren Lazhu Mongolian 2 15 1 6.67% Road Village Gui Hua Qi Jiujiahu 12 Ma Junhe Han 5 37.5 2 5.33% Road Village

Gui Hua Qi Jiujiahu 13 Li Yuezeng Han 2 67.5 3 4.44% Road Village Gui Hua Qi Jiujiahu 14 Ren Duoduo Mongolian 3 22.5 2 8.89% Road Village Gui Hua Qi Jiujiahu 15 Hao Shufang Han 4 37.5 2 5.33% Road Village Gui Hua Qi Jiujiahu 16 Hui Zhengde Hui 3 22.5 2 8.89% Road Village Gui Hua Qi Jiujiahu 17 Gu Jiemin Han 2 15 1 6.67% Road Village Gui Hua Jiu Jiujiahu 18 Jia Keming Han 5 24 1.5 6.25% Road Village Gui Hua Jiu Jiujiahu 19 Sun Shengyun Han 4 30 2 6.67% Road Village Gui Hua Jiu Jiujiahu 20 Xu Jianmin Han 5 97.5 4 4.10% Road Village Gui Hua Jiu Jiujiahu 21 Kelin Kazak 3 22.5 2 8.89% Road Village Gui Hua Jiu Jiujiahu 22 Liu Tiecheng Han 2 15 1.5 10.00% Road Village Gui Hua Jiu Jiujiahu 23 Liu Taifeng Han 4 30 2 6.67% Road Village Gui Hua Jiu Jiujiahu 24 Chen Guangyou Han 3 45 3 6.67% Road Village Gui Hua Jiu Jiujiahu 25 Li Quanming Han 3 23 2 8.70% Road Village Gui Hua Jiu Jiujiahu 26 Zhen Hanxue Han 5 36 2 5.56% Road Village Gui Hua Jiu Jiujiahu 27 Sun Jilin Han 2 15 1 6.67% Road Village Gui Hua Jiu Jiujiahu 28 Xu Jingjin Han 5 45 2 4.44% Road Village Gui Hua Jiu Jiujiahu 29 Hui Yingqin Hui 3 30 2 6.67% Road Village Gui Hua Jiu Jiujiahu 30 Hui Yingbin Hui 3 30 2 6.67% Road Village Gui Hua Jiu Jiujiahu 31 Li Quanye Han 4 28.5 2 7.02% Road Village Gui Hua Jiu Jiujiahu 32 Xu Jianqiang Han 3 54 0.9 1.67% Road Village 33 Total 103 1010 60.5 5.99% Source: socio-economic survey September 2013 Note: 16.0 mu of collective unused land in Jiujiahu and 4.5 mu of collective unused land are not included in the table. 2.5 Impacts of State-owned Land Acquisition 29. The project will occupy state-owned land of 86.33 mu, including state-owned unused land 8.59 mu, with no APs, and state-owned residential land of 77.74 mu, the APs are counted in the APs of the HD. 2.6 Impacts of Temporary Land Acquisition 30. The road construction will be conducted on the acquired land gradually, no temporary land occupation is required. 2.7 Impacts of House Demolition

31. The HD will affect 74 HHs with 282 people, including livestock raisers of 16 HH with 83 people and 35 HHs with 158 EM people. A total of 13,133.92 m2 of residential houses will be demolished, involving brick-concrete of 4,710.75 m2, accounting for 35.87%; brick-wood of 6,937.13 m2, accounting for 52.82%; and earth-wood of 1,486.04 m2, accounting for 11.31%. Among 13,133.92 m2 of residential houses, 4,562.79 m2 of urban houses will be demolished and affect 21 HHs with 79 persons, including 12 HHs with 47 EM persons. 8,571.13m2 of rural houses will be demolished and affect 53 HHs with 203 persons, including livestock raisers of 16 HHs with 83 persons and 23 HHs with 111 EM persons, as shown in Table 2-3. Table 2-3: Affected House Demolition Demolition aream2 Type of houses Structure Sub-total Brick-concrete Brick-wood Earth-wood Principal room 3903.91 3651.59 631.56 8187.06 Deputy room 397.67 1051.46 466.49 1915.62 Affiliated house 226.2 202.58 133.09 561.87 Livestock pens 182.97 1560.73 230.9 1974.6 Simple houses 0 470.77 24 494.77 Total 4710.75 6937.13 1486.04 13133.92 Category HHs Population Total APs 74 282 Livestock raisers 16 83 EM 35 158 Source: socio-economic survey September 2013 2.8 Impacts of Public Institution 32. One public Institution (Forestry Bureau of Emin County) will be affected by the HD of 1,604.3 m2, including the office for 912 m2 (brick-concrete), meeting room for 196 m2 (brick-concrete),the storehouse for 460.3 m2 (brick-concrete) , the duty room for 36 m2 (brick-concrete), 19 staff will be affected due to the work building demolition, including 9 EM persons, as shown in Table 2-4. Table 2-4: Impacts of Public Institution

Type Structure Demolition aream2

Office Building Brick-concrete 912 Meeting roomBungalow Brick-concrete 196 StorehouseBungalow Brick-concrete 460.3 Duty roomBungalow Brick-concrete 36 Sub-total 1,604.3 Affected staff 19 EM staff 9 Source: socio-economic survey September 2013 2.9 Affected Vulnerable Groups 33. Vulnerable groups in the project refer to those individuals and their families whose living standard is lower than the minimal living standard line of Emin County (for rural people the standard line is CNY159 yuan/month/person and for urban people the line is CNY331 yuan/month/person), including orphan, aged people, handicapped people, mentally disabled persons, impoverished people,

and women headed households. 34. According to the survey, there are 2 AHs with 2 people belong to the vulnerable groups, as presented in Table 2-5. Table 2-5: Affected Vulnerable Households Household House Population No. Householders Demolition Income Source Reason Remark area (m2) Total Labor population force

1 Duan Haishan 135.30 3 2 Agriculture, subsidies Poverty All demolition

Land rent, subsidies, 2 Liu Xiucai 158.30 4 1 Poverty All demolition children support

Total 293.60 7 3 - - - Source: socio-economic survey September 2013 35. Duan Haishan, male, 53 year-old, living in a 3-member family, who is the villager of Jioadong village. His wife Qiu Yuxiang 47 yea-old, the family receives MLS subsidies (123 yuan/month) support from government. His daughter Duan Xing 22 years old, who is studying in college now. Main income of the family comes from the agriculture and subsidies, agriculture income about CNY1,5000, living in a poor live. For the construction of the road, they expressed strong support, because they had no roads before, infrastructure and sanitation conditions are very bad, the construction of roads, will make the sanitation and environmental conditions better, for the development of the city also has a positive effect, and they hope to participate in the construction of the project, to increase their income. 36. Liu Xiucai, female, Hui, 57 years old, living in a 4-member family, who is the villager of Jioadong village. Due to suffering from illness, her husband is perennial bedridden. The son works in hospital in Akesu, daughter works in Shawan County. They live in a very poor life. Husband’s illness prevents him from doing labor, so the family income mainly comes from the subsidies, the land rent and children’s support. For the construction of the road, they expressed strong support, and she hopes to participate in the construction of the project, to increase their income to make her husband to see the doctor. 2.10 Affected Ethnic Minorities 37. Among the total APs of 385 people, 186 people from 45 HHs are EM people, accounting for 48.31%, as presented in Table 2-6. 38. Affected EM people mainly engage in the farming and enjoy the local social status, and their economic status is consistent with the Han in the project area, and retains their nationality characteristics in the habits and religion. Table 2-6 Nationality and Distribution of Affected Minority People EM Uygur Kazak Hui Mongolian Affecte Village/Co Popul Road HHs EM HHs populati d Type mmunity ation popula popula popula popul on HHs HHs HHs HHs tion tion tion ation Jiaodong Guihuawu 29 133 16 87 8 39 1 8 6 32 1 8 village A erxiate ’ 17 66 11 43 1 4 5 23 0 0 5 16 community HD Tacheng Guihuaqi 4 13 1 4 0 0 0 0 1 4 0 0 community Jiaodong 6 18 0 0 0 0 0 0 0 0 0 0 village

Jiaodong Guihuajiu 5 16 3 12 0 0 3 12 0 0 0 0 village Jiaodong Wenhua 13 36 4 12 0 0 1 4 1 1 2 7 village Jiujiahu Guihuawu 17 49 7 19 1 2 2 6 2 6 2 5 village LAR Jiujiahu Guihuajiu 15 54 3 9 0 0 1 3 2 6 0 0 village Total 106 385 45 186 10 45 13 56 12 49 10 36 Source: socio-economic survey September 2013 2.11 Affected Attachments and Infrastructure 39. Ground attachments and infrastructure affected by the project are shown in Table 2-7. Table 2-7 Affected Attachments and Infrastructure

Compensation Nature Items Total Standard(yuan)

Cement poles 15 500 Individual Wire Pole Wooden poles 10 300 Individual

Well 31 1200 Individual

Vegetable cellars 2 600 Individual

Sewage pit 2 1200 Individual <5cm 40 18 Individual 5-15cm 77 35 Individual Elm 15-30cm 59 120 Individual >30cm 3 100 Individual 5cm 25 20 Individual 5-15cm 60 40 Individual Polar 15-30cm 33 50 Individual 30cm 2 150 Individual 5cm 5 20 Individual 5-15cm 5 60 Individual Willow 15-30cm 9 150 Individual 30cm 7 160 Individual 5cm 90 18 Individual Fruit trees 5-15cm 5 60 Individual Jujube 5-15cm 3 200 Individual Walnut trees 5-15cm 2 300 Individual Peach trees 5-15cm 3 200 Individual 5cm 110 20 Individual Polar 5-15cm 2 60 Individual Oak 5cm 10 30 Individual Fraxinus chinensis 5-15cm 5 100 Individual 5cm 103 80 Individual Grapes 5-15cm 18 100 Individual Source: Socio-economic survey in September 2013

3. Socioeconomic Profile of Affected Areas 3.1 Socioeconomic Status 40. Emin County is located in northwest of Tacheng Region, the northwest is bordered with the Republic of Kazakhstan, the longitude is 83°24′85°10′, latitude is 46°09′47°03′. The county is 480km far from Urumqi, the capital of Xinjiang. According to Emin County 2013 Statistical Bulletin, in 2012 the per capita GDP reached 28,933 yuan, per capita net income of farmers and herdsmen was 10,039 yuan. The total households was 59,400 HHs with a total population of 167,284 people, including minority population of 102,182 people, 61.08% of the total population, including Kazak, Han, Uygur, Hui, Mongolian and other 22 different minorities living in the region. 41. Jiaodong Township is located in the north of Emin County, neighbored with Jiaerbulake Farm and Breeding Field in the east. Bordered with Tuanjie Farm Field in the west. It has the area of 325.4 km2. The township government is located in Beijiao village, and it is 1 km far from Emin County. The township has 27 administrative villages, and 17 ethnic groups. The township has cultivated land of 169,300 mu, 9.7 mu of arable land per capita; grassland of 83,979 mu, and woodland of 4,245.7 mu. The main crops are wheat, corn, rapeseed, sugar beet. Per capita income of herdsmen is 11,181 yuan. 42. Jiaodong Village is 1km far away from Emin County, belongs to one of urban fringe villages. The village has 176 HHs with population of 613 people, total land area of 4,670 mu, 3.8 mu of arable land per capita, the collective unused land of 1,600 mu. Han, Kazak, Hui, Uygur, and other ethnic people lives in the village. The main source of income for the village is from agriculture production, and the main crops are wheat, corn and so on. 43. The community of A’erxiate Road: Located in A’erxiate Road, a total area of 1.5 square kilometers, with 1,590 HHs and the population is 6,434, including Han, accounting for 23%, minorities, accounting for 77 %, such as Kazakh, Uygur, Hui, Mongolian and others. The ommunity jurisdiction has one high school, and two kindergartens, low income families of 338 HHs with 710 people, including 21 poor HHs with 56 people, and disabled of 118 HHs. 44. The community of Tacheng Road: The community is located Tacheng Road. It has a total area of 1.4 km2. The total population is 6,586 people, 44% of Han people, and ethnic minorities of 56 %, of which 2,899 people is Han, Kazak 1,725 people, Uighurs 1,269 people, and 693 people of other nationalities. 3.2 Socioeconomic Profile of Affected People 45. A total of 106 AHs were surveyed for the socioeconomic assessment. Detailed results of the survey are presented in Table 3-1.

Figure 3-1: Socioeconomic Questionnaire Survey on Affected People

3.3 Affected population 46. The demographic profile of the APs is shown in Table 3-1. The APs include 201 males, 184 females; 199 Han people, 45 Uygur, 56 Kazak, 49 Hui, and 36 Mongolian people. Table 3-1: Demographic Profile of Suveyed Households Men Women Total Type Qty. % Qty. % Qty. %

Households - - - - 106 -

Average population - - - - 3.6 -

Age

≤6 years 9 2.34% 13 3.38% 23 5.97% 7-19 years 21 5.45% 20 5.19% 41 10.65%

20-35 years 49 12.73% 44 11.43% 94 24.42%

36-50 years 60 15.58% 53 13.77% 113 29.35%

51-60 years 30 7.79% 29 7.53% 59 15.32%

61-70 years 22 5.71% 14 3.64% 37 9.61%

≥71 years 10 2.60% 11 2.86% 22 5.71% Total 201 52.21% 184 47.79% 385 100.00%

Ethnic group

Han 101 26.23% 98 25.45% 199 51.69% Uygur 23 5.97% 22 5.71% 45 11.69% Kazak 29 7.53% 27 7.01% 56 14.55% Hui 29 7.53% 20 5.19% 49 12.73% Mongolian 19 4.94% 17 4.42% 36 9.35%

Total 201 52.21% 184 47.79% 385 100.00%

Education level

Preschool 9 2.34% 13 3.38% 22 5.71%

Illiterate or 2 0.52% 1 0.26% 3 0.78% semiliterate

Primary school 45 11.69% 53 13.77% 98 25.45%

Junior high school 97 25.19% 72 18.70% 169 43.90%

Senior high school or technical 37 9.61% 27 7.01% 64 16.62% secondary school

College or above 11 2.86% 18 4.68% 29 7.53%

Total 201 52.21% 184 47.79% 385 100.00%

Occupation

Farming 59 15.32% 51 13.25% 110 28.57%

Animal Husbandry 7 1.82% 8 2.08% 15 3.90%

Industry 5 1.30% 0 0.00% 5 1.30% Commerce 17 4.42% 7 1.82% 24 6.23%

Service Industry 14 3.64% 9 2.34% 23 5.97%

Transportation 6 1.56% 0 0.00% 6 1.56%

Teacher 1 0.26% 5 1.30% 6 1.56% Office 9 2.34% 9 2.34% 18 4.68% Student 22 5.71% 22 5.71% 44 11.43% Doctor 1 0.26% 3 0.78% 4 1.04% Retired 11 2.86% 7 1.82% 18 4.68%

Unemployment 1 0.26% 3 0.78% 4 1.04%

Workers 22 5.71% 17 4.42% 39 10.13% Other 17 4.42% 30 7.79% 47 12.21%

Preschool children 9 2.34% 13 3.38% 22 5.71%

Total 201 52.21% 184 47.79% 385 100.00% Source: Socio-economic survey in September 2013Family Sample: n=106HHsPopulation Sample: n=385 3.2.1 Age 47. The age distribution reveals that the age in 36-50 group for both men and women is in a large proportion (29.35%). In this group, except for students, the rest population is main labor force. Secondly, 20-35 age group accounted for 24.42% of the total population, the other part, 51-60 age group of the population is also the subject of the labor force, the proportion was 15.32%. Therefore, the labor force in groups of the age 20 to 60 accounts for over 69.09% of the APs.

Figure 3-1: Age distribution of Affected People

3.2.2 Education 48. Among the APs, 43.90% of the people have received junior high school education, while the people educated in primary school, and senior high school and secondary technical school accounts for 25.45%, 16.62% and 7.53% respectively. The illiterate or semiliterate accounting for 0.78% is those people who are over 60 years old. Men and women among those having received secondary or higher education are almost the same.

Figure 3-2: Education Level Distribution of Affected People

3.2.3 Occupation 49. Among the laborers, 28.57% deal with crop cultivation, 3.90% with stockbreeding, 1.3% with

industry and 6.23% with business, 4.68% of cadres personnel in state-owned institutions, 1.56% engaged in the transport sector, service for 5.97%, works for 10.13%, and retired for 4.68%.

Figure 3-3: Occupation Distribution of Affected People

3.2.4 Housing Conditions 50. The affected household has the largest house area of 283.93 m2, the minimum of 49.44 m2., and average house area is 122.19 m2 per household, as presented in Table 3-2. Table 3-2: Housing Conditions of Affected Households Standard Item Total HHs Min Max Average Deviation Room 74 2 14 5.4 6.18

2 Aream — 49.44 283.93 122.19 120.03 Source: socio-economic survey Sept. 2013 3.2.5 Land Resources 51. The affected household has the largest farmland area of 100 mu, the minimum of 10 mu, and average farmland area is 31.56 mu per household, as presented in Table 3-3. Table 3-3: Farmland Area of Affected Households

Average cultivated Item Total Households Type Minmu Maxmu land area per

household (mu)

LA 32 Arable land 9 97.50 31.56 Source: socio-economic survey Sept. 2013 3.2.6 Households Assets 52. Among the AHs, the overall possession rates of TV sets and cell phones, bikes, and motorbikes

are 100%, and the average quantities per household are 1.0 ,1.2, 1.1 and 1.0 set, respectively. The overall possession rates of wash machine, refrigerator, electric cooker, motorcycle and PCs are over 80%. It is found that the rate of having basic computer and other appliances have been popular, which indicated that households pursue quick, efficient modern life. Table 3-4: Selected Households Assets of Affected Households

Average qty. per Average qty. Item Household Possession rate household per capita

Microwave 9 8.41% 0.08 0.02 Washing machine 78 72.90% 0.7 0.2 Refrigerator 99 92.52% 0.9 0.25 PC 60 56.07% 0.6 0.15 TV set 110 100% 1 0.28 Fixed telephone 69 64.49% 0.6 0.18 Cell phone 137 100% 1.2 0.35 VCD/DVD 89 83.18% 0.8 0.23 Electric cooker 96 89.72% 0.9 0.25 Bicycle 118 100% 1.1 0.3

Electric cart 109 100% 1 0.28

Motorcycle 98 91.59% 0.9 0.25 Tractor 34 31.78% 0.3 0.09 Car 14 13.08% 0.13 0.04 Source: socio-economic survey Sept. 2013 3.2.7 Income and Expenditure 53. The affected people ara most from Jiaodong village and Jiujiahu village. The income of villagers is mainly from farming or agricultural production. Their family members also are engaged in some non-farm work including small business to increase family income. Range and average of the household income and expenditure per capita of the 106 HHs are shown in Table 3-5.

Tablez 3-5: Economic Statistics of the Sample Households in 2012

Unit：Yuan/Year/HH

Type HHs Item Min Max Average St.d Annual per capita income 3955 55000 15752 10493.21 (yuan) APs (total) 106 Annual per capita expenditure 2881 37180 11218 6547.14 (yuan) Annual per capita income 3796 46000 15013 11768.33 (yuan) EM 45 Annual per capita expenditure 2976 38793 11543 6875.96 (yuan) Source: socio-economic survey Sept. 2013

54. From Table 3-6, the average household income of villagers is mainly from farming, accounting for 35.54%. The second is from migrant work and wage, accounting for 19.94% and 16.34%.

Table 3-6: Average Household Income Sources of Affected Households in 2012

Unit：Yuan/year/HH Livestock Private Migrant Items Farming Business Wages Other Total Raising business work APs (Total) 17880 5033 4476 10033 3761 8220 910 50313 Proportion 35.54% 10.00% 8.90% 19.94% 7.48% 16.34% 1.81% 100.00% APs (EM) 17508 4096 3819 9721 3890 8081 1146 48261 Proportion 36.28% 8.49% 7.91% 20.14% 8.06% 16.74% 2.37% 100% Source: socio-economic survey Sept. 2013

55. Table 3-7 showed the composition of average household expenses of the AHs. The expenses on living and investment in agricultural production are accounted for large proportion, 29.92% and 39.87%, respectively. Table 3-7: Average Household Expenditure Pattern of Affected Households in 2012 Average Average Item household of Proportion household of EM Proportion (total) (Yuan) (Yuan) EM

Water expenses 95 0.27% 91 0.27%

Electricity expenses 901 2.54% 833 2.45%

Heating expenses 1,766 4.97% 1719 5.06%

Investment in 14,157 39.87% 13113 38.64% agriculture Living expenses 10,625 29.92% 10946 32.25%

Educational expenses 3,466 9.76% 2668 7.86%

Medical expenses 546 1.54% 496 1.46% Clothing expenses 1,086 3.06% 1149 3.39% Traffic expenses 399 1.12% 373 1.10% Communication 729 2.05% 694 2.04% expenses

Others 1,736 4.89% 1857 5.47%

Total 35,506 100.00% 33939 100.00% Source: socio-economic survey Sept. 2013

3.4 Gender Analysis

3.4.1 Gender Differences in Education 56. It is shown that 43.90% of family members of the AHs have received junior middle school education, in which men and women accounted for 25.19% and 18.70%, respectively. For the primary school education, men and women accounted for 11.69% and 13.77%, respectively, shown in Figure 3-4.

Figure 3-4: Education Level Difference between Men and Women

3.4.2 Gender Difference in Occupation and Income 57. It is shown that the proportion of women dealing with agriculture, business, industry and short-term labor, and working at government agencies or public institutions are slightly lower than those of men. In most farming households, men usually work elsewhere or locally in the slack season, and would return home for farming in the busy season.

Figure 3-5: Occupation Difference between Men and Women

58. In order to better identify the income level of the affected male and female laborers, 30 AHs were sampled randomly during the survey. The result showed that the average of annual income of male laborers was 20,556 yuan, while it was 15,124 yuan for female laborers. It is explained that men work outside for non-farm activities longer than women, while female engaged in agricultural production activities at home more than men. Table 3-8: Income Difference of Male and Female Laborers in 2012

Item Sample Min Max Average St.d

Male annual income per capita 30 5,000 42,500 20,556 10,921.01 (yuan) Female annual income per capita 30 3,200 35,000 15,124 7,505.97 (yuan) Source: socio-economic survey Sept. 2013

59. In the annual income interval of below 15,000 yuan, men’s average income differs slightly from that of women. In the annual income interval of 15,000-35,000 yuan, men’s average income is much higher than that of women. It is because male laborers mostly deal with business or high-pay jobs and earn more income, while women mostly do housework at home, and have less time and chances to earn more money.

Figure 3-6: Income Difference of Male and Female

60. Table 3-9 showed the proportion of women’s income in household total income among 30 sampling households with female labor (doing farm work mainly, and some dealing with services). The average women’s income is accounted for 30%-65% of total household income, averaging 44%. This shows that women’s economic status is improving. Therefore, great attention should be paid to the protection of women’s rights during project implementation. Table 3-9: Construction of Women’s Income to Household in 2012 Item Sample Min Max Average St.d Proportion of women’s income 56 30% 65% 44% 0.21 in household Source: socio-economic survey Sept. 2013

3.4.3 Summary 61. According to female group discussion and the household survey, in rural households, more and more women begin to earn income, and have a greater voice on important household matters, such as children’s education and housing purchase. They also assume the responsibility of taking care of children and doing housework. Women would take part in social activities like men do in leisure time. 62. Except regular housework (e.g., cooking, cleaning, shopping daily necessities), female residents also do farm work in order to secure household income and maintain livelihoods together with men. 63. Women engaged in stockbreeding mostly play a major role in the routine raising and management of livestock and poultry, while men are responsible mainly for the purchase of feeds, marketing of products, maintenance of stables and disease prevention. Of course, women engaged in

stockbreeding sometimes unavoidably do such housework as cooking and cleaning, while men sometimes work locally or elsewhere to increase household income. 64. According to the survey, women’s concerns about resettlement are essentially the same as those of men, regardless of their occupation: (i) Compensation for houses should be available timely, and the location of resettlement housing and resettlement program should be rational. (ii) Resettlement housing should be located beside roads for the convenience of going to work, doing business and going to school. (iii) The living environment for resettlement housing should be better so that they can adapt to urban life more conveniently. (iv) Jobs generated by the project should be provided to women so that they participate in the project.

4. Legal Framework and Policies 4.1 Laws Regulations and Policies Applicable to Resettlement 65. The resettlement policies of the project have been developed in accordance with the laws and regulations of the PRC, and ADB’s policies, including: ADB policies:  Safeguard Policy Statement (2009), Safeguard Requirement 2: Involuntary Resettlement  Gender Checklist: Resettlement Analysis(2003) Laws and regulations of the PRC:  Land Administration Law of the PRC (effective from January 1, 1999, amended on August 28, 2004)  Decision of the State Council on Deepening the Reform and Rigidly Enforcing Land Administration (SC [2004] No.28) (effective from October 21, 2004)  Guidelines on Improving Compensation and Resettlement Systems for Land Acquisition (MLR [2004] No.238) (effective from November 3, 2004)  Property Law of the PRC (Decree No.62 of the PRC, effective from October 1, 2007)  Regulations of Exploration and Compensation for Housing on State-owned Land ( People's Republic of China State Council Decree No. 590),effective from January 21, 2011.  Aapriasal Methods for Housing Exploration on State-owned Land, [ 2011 ] No. 77, Ministry of Housing and Urban-rural Construction of the PRC. Policies of XUAR:  Measures of XUAR for the Implementation of the Land Administration Law of the PRC (XUAR People’s Congress [1999] No.913, effective from October 1, 1999)  Notice on the Uniform AAOV Rates for Land Acquisition of XUAR (XPPH [2001] No.500] of the XUAR Development Planning Commission and Department of Finance  Reply on the Uniform AAOV Rates for Land Acquisition of XUAR (XG [2010] No.323)  Notice on the Implementation of the Reply of the XUAR Government on Approving the Uniform AAOV Rates for Land Acquisition (XFR [2011] No.161)  Notice on Implementation of Autonomous Unified Annual Output Value Standard " (new MLR [2011] No. 19)  Xinjiang Uygur Autonomous Region to implement "Regulations of Exploration and Compensation for Housing on State-owned Land " approach ( Xinjiang Uygur Autonomous Region People's Government Order No. 187 4.2 ADB’s Policy Requirement on Involuntary Resettlement 66. The objectives of ADB's Involuntary Resettlement Policy are (i) If possible, involuntary resettlement should be avoided; (ii) If resettlement is unavoidable, all feasible options should be explored and the scope of resettlement should be as small as possible; (iii) Ensure that the

displaced persons have the same economic and social conditions before and after the project; (iv) Improve the living standard of displaced poor and other vulnerable groups. 67. Involuntary resettlement is an important part of the project design and resettlement plans. Planning and implementation should take into account the following basic principles: (1) Screen the project early on to identify past, present, and future involuntary resettlement impacts and risks. Determine the scope of resettlement planning through a survey and/or census of displaced persons, including a gender analysis, specifically related to resettlement impacts and risks. (2) Carry out meaningful consultations with affected persons, host communities, and concerned nongovernmental organizations. Informally displaced persons of their entitlements and resettlement options. Ensure their participation in planning, implementation, and monitoring and evaluation of resettlement programs. Pay particular attention to the needs of vulnerable groups. Support the social and cultural institutions of displaced persons and assist the local population in the resettlement area (3) Improve or at least remain, the livelihoods of all displaced persons through (i) land-based resettlement strategies when affected livelihoods are land based where possible or cash compensation at replacement value for land when the loss of land does not undermine livelihoods, (ii) prompt replacement of assets with access to assets of equal or higher value, (iii) prompt compensation at full replacement cost for assets that cannot be restored, and (iv) additional revenues and services through benefit sharing schemes where possible. (4) Provide physically and economically displaced persons with needed assistance, including the following: (i) if there is relocation, secured tenure to relocation land, better housing at resettlement sites with comparable access to employment and production opportunities, integration of resettled persons economically and socially into their host communities, and extension of project benefits to host communities; (ii) transitional support and development assistance, such as land development, credit facilities, training, or employment opportunities; and (iii) civic infrastructure and community services, as required. (5) Improve the standards of living of the displaced poor and other vulnerable groups, including women, to at least national minimum standards. In rural areas provide them with legal and affordable access to land and resources, and in urban areas provide them with appropriate income sources and legal and affordable access to adequate housing. (6) Develop procedures in a transparent, consistent, and equitable manner if land acquisition is through negotiated settlement to ensure that those people who enter into negotiated settlements will maintain the same or better income and livelihood status. (7) Ensure that displaced persons without titles to land or any recognizable legal rights to land are eligible for resettlement assistance and compensation for loss of non-land assets. (8) Prepare a resettlement plan elaborating on displaced persons’ entitlements, the income and livelihood restoration strategy, institutional arrangements, monitoring and reporting framework, budget, and time-bound implementation schedule. (9) Disclose a draft resettlement plan, including documentation of the consultation process in a timely manner, before project appraisal, in an accessible place and a form and language(s) understandable to affected persons and other stakeholders. Disclose the final resettlement plan and its updates to affected persons and other stakeholders. (10) Conceive and execute involuntary resettlement as part of a development project or program. Include the full costs of resettlement in the presentation of the project’s costs and benefits. For a project with significant involuntary resettlement impacts, consider implementing

the involuntary resettlement component of the project as a stand-alone operation. (11) Pay compensation and provide other resettlement entitlements before physical or economic relocation. Implement the resettlement plan under close supervision throughout project implementation. (12) Monitor and assess resettlement outcomes, their impacts on the standards of living of displaced persons, and whether the objectives of the resettlement plan have been achieved by taking into account the baseline conditions and the results of resettlement monitoring. Disclose monitoring reports. 4.3 Differences between ADB and PRC Policies 68. Generally speaking, there are many similarities between the ADB’s involuntary resettlement policies and the PRC’s LAR policies, which include:  Both of them address importance to avoid or reduce resettlement impacts during the planning and design stage of a project;  Both of them address importance of the restoration and improvement of the livelihood of APs;  Both of them address importance of the openness and transparency of the resettlement policies;  Both of them address importance of the participation and awareness of the public during resettlement;  Both of them require that the formulation and implementation of the resettlement compensation standard must be in accordance with relevant national laws, regulations and policies. 69. However, there are still some differences in some aspects between ABD’s involuntary resettlement policies and the PRC’s LAR policies, which include:  ADB addresses more importance of the planning prior to the implementation of resettlement, and it requires that a feasible RP to be prepared in accordance with ADB’s involuntary resettlement policies;  The ADB’s resettlement policies ensure that displaced persons without titles to land or any recognizable legal rights to land are eligible for resettlement assistance and compensation for loss of non-land assets at replacement costs. However, the LAR policies of the PRC provide a different compensation policy to unlicensed structures;  ADB has specific and clear requirements on public participation and public opinion polls surveys, such as consultation and information on compensation standards must be published;  ADB policy requires that the compensation should be sufficient to any losses and restore long-term revenue potential. Chinese standards are based on the average annual output value.  ADB addresses more importance of the special care extended to the vulnerable people during resettlement; and  ADB addresses more importance of monitoring and evaluation during and after resettlement implementation. 70. Based on the above analysis, during preparation for the LAR, this project have taken full account of the relevant policies of ADB and the following measures:

 The preparation of the Project and RP must be based on concrete social economic survey, physical impact survey, detail social analysis;  Special cares must be given to vulnerable people including poor, women, during preparation and implementation of the LAR;  Make compensation at replacement value to buildings without titles to land constructed before the cut-off date;  Early and meaningful consultation with APs;  After compensation to APs for land loss, the further technical training, public employment, job support should be provided to APs to restore their sustainable livelihoods;  Publish the RP and resettlement information booklet (RIB) in accordance with requirements of ADB; and  Establish internal and external monitoring systems for the LAR and conduct monitoring and evaluation during and after implementation of the RP. 71. With the above measures, the ADB’s resettlement policies and the PRC’s LAR policy gaps will be bridged and the smooth implementation of the LAR will be guaranteed. 4.4 Eligibility and Beneficiaries 72. The cut-off date for eligibility for the compensation is January 30, 2015 on which Emin County Government confirms the RP. Any newly claimed land, newly built house or settlement in the project area by the APs after this date will not be entitled to the compensation or subsidization. 4.5 Compensation Rates

4.5.1 Compensation Rates for State-owned Land 73. The project is of construction of public utilities, so the state-owned farm land and unused land will be allocated by transferring land use right after payment for relevant fees, based on the document [(2001) No. 500] of Development Planning Commission and Finance Department of Xinjiang Uygur Autonomous Region. In order to receive the land use right, three fees are required including (i) new construction use fee (CNY14/m2); (ii) urban state-owned land compensation fee (CNY8-15 /m2, it is CNY15 /m2 for the Emin project; and (iii) non-agricultural construction allocated unused land management fee (CNY50/mu). 74. For state-owned of public institution land and state-owned homestead land, according to the regional level of land use right type, land use and the use of life purpose, reference Emin county land standard (2013) to compensate, as shown in table 4-1. Table 4-1 The Standard of Compendation for Arable Land in Emin County Unit: Yuan/m2 Land Level Grade I Grade II Grade III

Commercial Land 480 310 190 Residential Land 290 210 145 Industrial Land 150 120 90 Source: Socio-economic survey in September 2013

4.5.2 Collective Arable Land Compensation Standards 75. For collective farmland, the PMO has developed compensation standards and methods for the corresponding arable land acquisition. APs according to their own needs can choose one of compensation ways, including: (i) monetary compensation, according to land compensation standards of Xinjiang Region; (ii) residential housing compensation, provision of residential housing as compensation for farmland loss; and (iii) commercial housing compensation, provision of commercial housing as compensation for farmland loss. (1) Monetary compensation 76. Provisions "agreed autonomous unified annual output value of land approved" (Deal Han [2010] No. 323) of arable land compensation standard file compensated in accordance with the autonomous region, as shown in Table 4-2. Table 4-2: Unified Annual Output Values of Collective Land Degree Grade I collective land Grade II collective land Grade III collective land Annual Output Value 1,500 800 600 (yuan/mu) 1. This table standard applies to arable cultivation of food crops. 2. The annual output value of farmland planted specialty crops, vegetable, orchard farmland Note should be higher than the first-class standard table; cotton fields should be paid at maximum of 1.5 times; orchard may not exceed two times; vegetable may not exceed three times; grapes ground shall not exceed 4 times. Other crops actual annual output estimates

77. The project land acquisition compensation standards are determined as follows and presented in Table 4-3: (i) Depending on the different planting crops, the base compensation for land acquisition determined as following: Cultivated land compensation basis is 1,500 yuan/mu (ii) Land compensation fee unified calculated at 10 times of the compensation basis for land acquisition, it is: Land compensation fee: 1,500 (basis) × 10 = 15,000 yuan/mu (iii) Resettlement fee unified calculated at 20 times of the compensation basis for land acquisition, it is: Resettlement fee1,500 (basis) × 20 = 30,000 yuan/mu (iv) Young crops will be compensated by actual presence on the acquired land, if no crops, will not be compensated, but if it has, 1,500 yuan/mu will be paid as a standard.

Table 4-3: Cultivated Land Compensation Standard of the Project Compensation standard (yuan/mu) Type Land Resettlement Young corps Total compensation subsidy Cultivated land 15,000 30,000 1,500 46,500 (Grade I) Source：Supplied by Emin County construction bureau and land and resource bureau in September 2013

78. All land resettlement subsidies, young crop compensation fees and ground attachments to the

land will be paid directly to affected households, while the land compensation will be paid to the rural collective economic organizations in accordance with Article 26 of the "Regulations for the Implementation of Land Administration Law". (2) Compensation with Residential Housing 79. For APs who choose residential housing as compensation for the land acquisition, one mu of acquired farmland can be compensated with 100 m2 construction area of a residential apartment. According to this replacement relation, if an acquired farmland area is less than the construction area of a residential apartment, APs need to pay for the construction area of the residencial apartment over the acquired farmland area in local market price. For example, if an AH losed 0.9 mu farmland, they can be compensated with an apartment of 90 m2. However, if no apartment with 90 m2, or they like 100 m2 apartment, they have to pay for 10 m2 apartment in local market price. However, if they like 80 m2 apartment, they will be compensated with an apartment with 80 m2 and resettlement subsidy and young crop compensation for 0.1 mu. There are different sizes of residential apartments in order to meet AHs with different areas of farmland loss. (3) Compensation with Commercial Housing 80. For APs who choose commercial housing as compensation for the land acquisition, one mu of acquired farmland can be compensated with 50 m2 construction area of a commercial housing. The commercial housing is used for operation of business in resettlement community. According to this replacement relation, if an acquired farmland area is less than the construction area of a commercial housing unit, APs need to pay for the construction area of the commercial housing unit over the acquired farmland area in local market price. For example, if an AH losed 0.8 mu farmland, they can be compensated with an commercial unit of 40 m2. However, if no commercial unit with 40 m2, or they like 50 m2 apartment, they have to pay for 10 m2 commercial unit in local market price. However, if they like 30 m2 commercial unit, they will be compensated with a commercial unit with 30 m2 and resettlement subsidy and young crop compensation for 0.2 mu. There are different sizes of commercial housing units in order to meet AHs with different areas of farmland loss.

4.5.3 Compensation Standard for collective homestead 81. The compensation standards for collective homestead will take the benchmark premium compensation for the land in the area of Emin County in 2013 as reference, as shown in Table 4-1.

4.5.4 Compensation Standard for Residential House Demolition 82. The compensation for residential HD will be in accordance with "Ordinance for House Acqusition on State-owned Land and Compensation" promulgated by Xinjiang Uygur Autonomous Region People's Government in January 1, 2014. The housing compensation standards (i) will take the market price of similar real estate in the first half of 2013 as reference; (ii) full consultation with APs and consideration of any changes of the real estate market price; (iii) the final compensation price will be determined by the on-site assessment of a real estate assessment and survey company after to determine; and (iv) the compensation will include not only compensation for housing structure but also the state-owned residential land and homestead compensation. The compensation standards are shown in Table 4-4.

Table 4-4: Compensation Standard of Residential House Demolition Type of houses Structure Unit Standard Remark

Compensation on house

Brick-concrete yuan/m2 3,500

2 Main house Brick-wood yuan/m 3,100 2 Earth-wood yuan/m 2,800 2 Brick-concrete yuan/m 2,000 2 Attached house Brick-wood yuan/m 1,800 2 Earth-wood yuan/m 1,600 2 Brick-concrete yuan/m 1,500 2 Affiliared house Brick-wood yuan/m 1,200 2 Earth-wood yuan/m 1,000 2 Brick-concrete yuan/m 1,200 2 Livestock pens Brick-wood yuan/m 1,100 2 Earth-wood yuan/m 1,000 2 Brick-wood yuan/m 400 Simple houses 2 Earth-wood yuan/m 200

Conpensation for Land yuan/m2 State-owned Grade I 290 2 Only compensate for the residential land Grade II yuan/m 210 2 vacant land in yard. and homestead Grade III yuan/m 145 Other Compensation Moving Subsidy HH 1,000

Temporary transitional subsidy HH/Month 1,250 Calculated in 18 months

Source: Emin County Housing Levy Office in September 2013

4.5.5 Compensation Standard for Public Institution 83. The compensation standards for HD of a public institution are shown in Table 4-5. Full consultation with the affected institution and the on-site assessment of a real estate assessment and survey company will be conducted.

Table 4-5: Compensation Standard for Pu blic Institution Type of Houses Structure Unit Standard (yuan) Remark

Compensation of houses Office building Brick-concrete yuan/m2 3,200

(Meeting room,Warehouse, Brick-concrete yuan/m2 2,000

duty room) bungalow Moving subsidy HH yuan/m2 1,000

Temporary 2 HH/Month yuan/m 1,250 transitional subsidy Conpensation for Land 2 Grade I yuan/m 150 State-owned land 2 Only compensate for the Grade II yuan/m 120 (Industrial land) 2 vacant land in yard. Grade III yuan/m 90 Others Moving subsidy HH 1,000

Temporary transitional subsidy HH/month 1,250 Calculated in 18 months

Source： From Emin County Housing Levy Office in September 2013

4.5.6 Compensation Rates for Atttachments 84. Compensation standards of attachments and special facilities affected by the project are shown in Table 4-6. Table 4-6: Compensation Rates for Attachment and Infrastructure

Compensation Nature Items Total Standard(yuan)

Cement poles 15 500 Individual Wire Pole Wooden poles 10 300 Individual

Well 31 1200 Individual

Vegetable cellars 2 600 Individual

15-30cm 9 150 Individual 30cm 7 160 Individual 5cm 90 18 Individual Fruit trees 5-15cm 5 60 Individual Jujube 5-15cm 3 200 Individual Walnut trees 5-15cm 2 300 Individual Peach trees 5-15cm 3 200 Individual 5cm 110 20 Individual Polar 5-15cm 2 60 Individual Oak 5cm 10 30 Individual Fraxinus chinensis 5-15cm 5 100 Individual 5cm 103 80 Individual Grapes 5-15cm 18 100 Individual Source： From Emin County Housing Levy Office

4.6 Entitlement Matrix Table 4-7: Entitlement Matrix Type of Impact APs Entitlements Compensation Policy and Rates Impact Scope Rights: (i) land compensation will be paid to village collective economic organizations, while both resettlement subsidy and crop Permanent compensation will Land be paid to the Acquisition of APs when chose Cultivated the monetary Compnesation Standards: (i) Land compensation standard is 15,000 yuan/mu; Land of 81 compensation; (ii) resettlement subsidy standard is 30,000 yuan/mu; and crop compensation is mu, including Affected 32 APs can chose 1,500 yuan/mu. The total is 46,500 yuan/mu; (ii) Residential housing 60.50 mu of HHs with residential compensation is based on one mu of acquired farmland will be compensated with Permanent contracted 103 people housing as 100 m2 a residential housing apartment; and (iii) Commercial housing Land land, 16 mu of in both compensation or compensation is based on one mu of acquired farmland will be compensated with Acquisition collective Jiujiahu commercial 50 m2 a commercial housing unit. of Cultivated unused land village and housing as Land in Jiujiahu Jiaodong compensation for Compensation Methods: (i) Monetary compensation; (ii) Compensation with village, and village farmland loss; (iii) residential housing apartments; and (iii) Compensation with commercial housing 4.5mu of during project units. collective construction, the unused land PMO will provide in Jiaodong unskilled job village. priority to APs, so that the APs will generate cash income; and (iv) the PMO will provide technical training for APs, inviting the technical staffs from agricultural

Type of Impact APs Entitlements Compensation Policy and Rates Impact Scope sector and the labor and social security bureau to carry out trainings on farming and non-agricultural production, and make sure all APs received the training at least 2 times.

of residential compensation for 2 Earth-wood yuan/m 2800 HD of houses, the HD; (ii) 74 HHs with 2 Residential including voluntarily chose Brick-concrete yuan/m 2000 282 people houses brick-concrete to resettlement Deputy 2 of 2 Brick-wood yuan/m 1800 (including 4,710.75 m2 methods, room communities 2 livestock brick-wood including (a) Earth-wood yuan/m 1600 and 1 village raisers 6,937.13 m2 monetary 2 Brick-concrete yuan/m 1500 earth-wood compensation, Affiliated 2 1,486.04 m2 (b) property right Brick-wood yuan/m 1200 house replacement, (c) 2 Earth-wood yuan/m 1000 self-construction 2 Brick-concrete yuan/m 1200 of house on new Livestock 2 housing land; and Brick-wood yuan/m 1100 pens (d) buy cottages 2 Earth-wood yuan/m 1000 in a planned

Type of Impact APs Entitlements Compensation Policy and Rates Impact Scope 2 area; (iii) for APs Brick-wood yuan/m 400 Simple who like to live 2 houses Earth-wood yuan/m 200 in cottages, after receiving Conpensation for Land monetary yuan/m2 Only compensation, State-owned Grade one 290 2 compensate they can build residential yuan/m Grade two 210 for the their cottages on land and 2 yuan/m vacant land a allocated land homestead Grade three 145 in yard. in the planning area; (iv) for APs Other Compensation who like to Moving Subsidy yuan/HH 1,000 engage in aquacultural Calculated industry, after Transitional subsidy yuan/HH/Month 1,250 in 18 receiving months

monetary compensation, they can build their aquacultural area on a allocated land in the planning area; and (v) receive moving subsidy, and transition subsidy.

Type of Standard Structure Unit Remark Houses yuan Compensation of houses Office yuan/m2 Brick-concrete 3,200 building (i) assess the (Meeting market price of room, affected building Warehouse, Brick-concrete yuan/m2 2,000

to get duty room) compensation; (ii) bungalow moving and Moving yuan/HH 1,000 transition subsidy House subsidies; and 1,604.3 m2 of Leader of Transition yuan/ Demolition (iii) voluntarily 1,250 brick-concrete Forestry subsidy HH/Month of Public choose building Bureau Institution resettlement Conpensation for Land options, including yuan/m2 Only State-owned Grade I 150 (a) cash 2 compensate land Grade II yuan/m 120 compensation, for the (Industrial 2 (b) build new yuan/m vacant land land) Grade III 90 buildings on the in yard. allocated land.

Vulnerable 2 HHs with 2 2 HHs with 2 Besides the rights Same as above Groups people people above, they can

Type of Impact APs Entitlements Compensation Policy and Rates Impact Scope receive (i) during project construction, provide unskilled job priority to them; (ii) priority to get the training on farming and non-agricultural production provided by agricultural sector and the labor and social security bureau; (iii) priority to choose the house of floor location and house pattern; and (iv) establishment of a special fee to support vulnerable groups in particular 5,500 yuan, giving some special help to vulnerable groups. Besides the rights above, they can receive (i) during project 35 HHs with construction, 158 people provide unskilled Ethnic 45 HHs with by HD; 10 job priority to Minority Same as above 186 people HHs with 28 them; (ii) priority Group people by to get the LA training; and (iii) priority to choose the house of floor location and house pattern. Besides the rights in first column, they can receive (i) priority access to project non-technical jobs employment; (ii) labor and Women 184 people 184 people Same as above training priorities, in order to ensure their economic status is not compromised; and (iii) access to relevant information and

Type of Impact APs Entitlements Compensation Policy and Rates Impact Scope be able to participate in consultation related to LAR issues. (i) Ground attachment (power poles and fruit trees) compensation will be paid to the owners according to their Ground Public replacement Attachments Property facilities and costs; and (ii) the and Public owners trees compensation will Facilities be determined according to the replacement cost and restoration shall be in accordance with the original scale and standards.

Compensation Nature Items Total Standard(yuan) All special Cement 15 Individual facilities affected poles 500 Wire Pole by the project are Wooden 10 Individual acquired poles 300 reconstruction Well 31 and rehabilitation. 1200 Individual The PMO will (i) Vegetable cellars 2 Individual pay the 600 compensation to Sewage pit 2 Individual 1200 owners and owners are <5cm 40 18 Individual What type of responsible for 5-15cm 77 35 Individual special reconstruction of Elm 15-30cm 59 120 Individual facilties will the special Special Construction be affected…, facilities; or (ii) >30cm 3 100 Individual Facilities institution how about include the cost 5cm 25 20 Individual temporary for restoration of impacts the facilities in the 5-15cm 60 40 Individual Polar project 15-30cm 33 50 Individual construction 30cm 2 150 Individual budget and civil contractors are 5cm 5 20 Individual responsible ofr 5-15cm 5 60 Individual the restoration. Willow The owners can 15-30cm 9 150 Individual select one of 30cm 7 160 Individual ways after full 5cm 90 18 Individual consultation with Fruit trees the PMO. 5-15cm 5 60 Individual Jujube 5-15cm 3 200 Individual Walnut 5-15cm 2 300 Individual trees

Type of Impact APs Entitlements Compensation Policy and Rates Impact Scope Peach trees 5-15cm 3 200 Individual 5cm 110 20 Individual Polar 5-15cm 2 60 Individual Oak 5cm 10 30 Individual Fraxinus 5-15cm 5 100 Individual chinensis 5cm 103 80 Individual Grapes 5-15cm 18 100 Individual

5. Resettlement Measures 5.1 Objectives of Resettlement 85. The objective of the project resettlement is to restore the AHs’ annual net income per capita to the pre-resettlement level and further improved with local economic development. 5.2 Principles for Resettlement Recovery Plan 86. According to the applicable laws and regulations of the PRC and ADB’s policy requirements on Involuntary Resettlement, the following basic principles will apply to the resettlement work of the Project: (1) Implement resettlement and the applicable compensation policies properly to improve or at least restore the production level and standard of living of the affected residents; (2) The affected people shall be fully consulted for resettlement programs; (3) The planning layout shall be determined on the principle of “facilitating production and life”; and (4) Resettlement shall be combined with the local urban development, resources development, economic development and environmental protection programs. Feasible measures shall be designed to restore and improve the displaced persons’ production level and standard of living, and create necessary conditions for their self-development. 5.3 Summary of Restoration Program for Acquisition of Cultivated Land 87. According to the analysis of land lost rate from Chapter 2.4, among the 32 AHs, the minimum loss rate is 1.03%, and the maximum is 11.11%, the average loss rate of overall loss is 5.99%. Considering the villagers’ long-term livelihoods, the PMO conducted an analysis of land loss and compensation as presented in Table 5-1. The results show that AHs only lose a small part of land, which almost has minimal effects on their current farming income. According to the estimate of widespread corn planting earnings, the annual net income can reach 700 yuan/mu. After calculation, 42,400 yuan of 32 AHs as the annual net income will be lost because of the land acquisition. In which 1,323 yuan as an average annul income will be lost for per family, 411 yuan as an average annul income will be lost for per person. For the land acquisition, 907,500 yuan of land compensation will be paid to affected village economic organizations, while 1.815 million yuan of resettlement subsidy will be paid to 32 AHs, and 90,800 yuan young crops compensation be paid to 32 AHs too. Therefore, all compensation fees are 66 times of the annual revenue loss, and AHs can receive the compensation equal to 45 times of the annual revenue loss, see Table 5-1. Table 5-1: Land lost and compensation costs

A: annual Land compensation (10,000 yuan) net loss Ratio of Ratio of AH (10,000 Land Resettlement B: B/A C/A Young crops C: Total yuan/year) compensation subsidy Subtotal

32 4.24 90.75 181.50 9.08 190.58 281.33 45 66 Note The acquired land that owned by collective organization of Jiujiahu Village and Jiaodong Village is not included in this table.

88. In order to improve or restore their original production, living and income levels as soon as possible, in addition to pay the land compensation to the AHs, the PMO also developed an income

restoration plan on the basis of full consultation for the APs and in accordance with the status of the AHs. 89. Based on the survey of the 32 AHs, 100% of the AHs choose property compensation, e.g . receiving new residential or commercial (or business) housing as compensation for the land acquisition. The restoration measures for AHs are the following (see Table 5-2) (1) APs will engage in commercial activities or house rental business via the property (housing) compensation to increase income. With infrastructure improvement and economic development of Emin County, the population from local county and the business people from other places will continue to increase, so the demand for residential houses is larger and larger, therefore, the AHs can rent their compensation houses to increase income. From the interview, it is noted that the current rental price of residential houses is 1,200 yuan/month; AHs also can choose the commercial houses as compensation, they can engage in commercial activities or rent the commercial house to increase income; it is known that the commercial house releasing price is 1.87 yuan/m2/day. Description of commercial houses (under construction of an agricultural trading center): The center is located in the south side of Arxiate Road, east of Jiaerbulake Road, north of Wenhua Road, west of No. 5 Planning Road. Construction of the center started in May 2013 with a total construction area of 286,000 m2 and 37.63 mu for green space. The main construction area of wholesale, and retail market parts have completed, and the outside decoration is ongoing. About 1,940 units of shops will be operated in the center from September 2015.

Figure 5-1: Commercial Buildings of An Agricultural Trading Center

(2) APs will engage in non-agricultural activities via the cash compensation. With the improvement of urban functions and the increase of urban scale, Emin County's commercial and service industry has been developed fast, and more and more people are engaging in these sectors. So the AHs can use cash compensation for commercial and service industry investment. For example: With the increase of urban area, and the improvement of road condition, the demand for taxi is continually increased, and the affected villagers can use the compensation money to buy a car for taxi. They can also improve the income by renting the commercial houses with the cash compensation or engage in commercial activities, such as running a grocery store, or running a restaurant. (3) For APs who like to engage agricultural or animal husbandry production, they can adjust agricultural structure with guidance of local government departments, and receive training on planting and breeding technology, to expand economic crop planting acreage, and to develop the family breeding stocks. With the help of government and the technical training, the APs can

engaged in greenhouses business, and plant vegtables to increase income with the land compensation; and APs can also develop sheep, cattle, pigs and other large-scale animal husbandry to increase incomes. 90. Throughout the production restoration process, the PMO will organize the APs for free technical training, such as some economic crops planting and farming as well as some other types of industries. Table 5-2: Restoration Program of Affected Communities Original Responsible Item Interest Notes investment agency 1,200 yuan/ With infrastructure It will take month of improvement and economic 10,000 yuan rental, it can development of Emin County, for simple make all the population from local decoration, investment county and the business Residential 5,000 yuan to return at the people from other places will

house leasing purchase first year, and continue to increase, so the simple from second demand for residential furnitures, so year, annual houses is larger and larger, 15,000 yuan rental income therefore, the AHs can rent in total of 14,000 their compensation houses to House yuan increase income leasing If the floor area is 50m2, The AHs can use cash the annual compensation for commercial rental is and service industry It will take 34,100 yuan, investment. They can also Commercial 10,000 yuan and the net improve the income by house leasing for simple income will be renting the commercial decoration 24,100 yuan houses with the cash after compensation or engage in deducting the commercial activities, investment in the first year Annual income is One time Emin County is a tourist city, about 50,000 investment which is near from Tacheng Labor and yuan, the for city, convenient transportation social tourist season transportation conditions are ripe to engage security and the Transportation or taxi is in the transportation. So the department harvest large, a car industry faster and higher is season can investment returns. But is Requires responsible reach daily needs 80,000 appropriate training driving for the Investment income of yuan skills training and to run more than employment business 500 yuan guidance; AHs engage in this can The PMO is Annual choose the commercial responsible income can houses as compensation, to Grocery shop 45,000 yuan for reach 20,000 open shops; the PMO canm coordinating yuan coordinate to help AHs apply the relevant for a business license procedures Annual The AHs engage in this can Restaurant 40,000 yuan income can chose the commercial houses

reach 25,000 as compensation, to run yuan ethnic food business in general, to meet the daily needs of nearby residents Conditions for this program: (i) Farmland. After land acquisition, AHs’ land area will be reduced. Each greenhouse needs 0.2 to 0.5 mu farmland. is the AHs still Labor and 25,000 yuan have 55 mu farmland in social To plant for the first The net average (see Table 2-2), so it security vegetables Vegetable year, and income can can meet the needs for department with greenhouse later 5,000 to reach 21,000 greenhouse vegetables. is greenhouse 10,000 yuan yuan per year (ii) Technical Assistance. Due responsible per year to the AHs have not for training previously greenhouse cultivation techniques, they hope to get trained. The training will be conducted before the land acquisition and free to AHs. Suppose that a sheep can birth two times, 2-5 lambs per time, average production for The initial per sheep is investment Conditions for this program: Labor and four lambs a may need to (i) Farming space. Need an social year, 20 purchase area space for breeding security sheep cattle animal husbandry. The AHs departments produced 80 breeding, have large patio areas. (ii) is in charge lambs, it pre-need to Breeding technology. The of training, usually needs invest 500 project will train AHs sheep Animal Family four months Develop yuan/sheep, multiple births techniques. (iii) husbandry livestock to raise the livestock and have to Sources to sell studsheep. bureau will breeding with lams, each breeding raise 20 Emin County Animal help resolve high tech. sheep in sheep which Husbandry Bureau can help the source of fattening can give AHs to find the studsheep studsheep; during the births it takes sources; and (iv) Breeding PMO help forage and about 10,000 funding sources. AHs can use solve the other inputs , yuan, a total LA compensation to breed funding per lamb investment is sheep, or the PMO will help problem needs 300 around AHs to apply small loans (small loans) yuan, 20,000 yuan. investment can reach 6000 yuan, each fattening sheep meat production

about 20-25kg, according to the current mutton market price 45 yuan / kg, per sheep about 600 yuan net profit is considerable

91. Meanwhile, during the project construction process, the IA will provide some help and support and restoration measures for resettlement, including: (1) During the project, the IA will give priority to the affected persons to involve in the project labor; for example: Construction contractor provides the needed numbers and the working types before starting construction to local government and to discuss the training programs, so that more APs can benefit from it. According to the opinions survey, 90% of the APs want to participate in this project during their slack time. After Emin County road construction completed, the road area, and green area will be increased, and the road maintenance equipments are improved, which requires more road maintenance workers, and green area management workers, lighting conservation and management of workers, equipment and vehicle drivers. According to the procurement of project construction content and devices, according to preliminary estimates the project implementation and operation period will creat 310 jobs, the project is expected to generate jobs as shown in Table 5-3. Table 5-3: The number of Jobs to Be Generated from the Project Sub-component Jobs Water supply Water drainage Type Road component component component Technical 10 4 4 Temporary jobs Non-technical 200 32 30 Sub-total 210 36 34 Technical 6 2 2 Permanent jobs Non-technical 10 5 5 Sub-total 16 7 7

Source: feasibility report prepared unit

(2) Throughout the production restoration process, all the APs will be organized to take technical training, such as some economic crops, and invite the technical staffs from agricultural sector and the labor and social security departments to train the affected people on farming technical and other aspects. Each affected household can receive at least once training on farming and non-agricultural production training, through these measures to improve skills to increase income of affected persons to restore the livelihoods.

5.4 Resettlement Program for Displaced Households

5.4.1 Resettlement program for residential households

92. The households affected by HD may chose cash compensation or property right exchange or purchase commercial housing. They may chose a resettlement option based on affordability and individualized needs. 93. Property right exchange: A house will be appraised by a real estate appraisal agency based on location, house structure, house size, floor and decoration, and by reference to local market price. The real estate appraisal agency will listen to an AH’s comments before fixing its house’s appraised price; if the AH agrees with property right exchange, its house will be exchanged based on approved (licensed) floor space at the following rates: 1:1 of the house construction size of the acquired house in masonry concrete structure (licensed main rooms), 1:0.9 of the size of the acquired house in masonry timber structure (licensed main rooms) and 1:0.8 of the size of the acquired house in earth timber structure (licensed main rooms); other houses (unlicensed) and facilities will be compensated for at replacement cost after agreed appraisal. For attachment structures (non-main rooms), APs can be compensated by money only, and then repurchase more residential house area with the compensation and transition fees in 2,380 yuan/m2; APs can replace the resettlement house with their homestead land. The replacement method is that the open area is no more than 300 m2 (including 300 m2), the replacement rate is 4:1, which means that 4 m2 open area can replace 1 m2 resettlement house. The open area is more than 300 m2, the replacement rate is 5:1, which means that 5 m2 open area can replace 1 m2 resettlement house. The resettlement housing offered is in the form of new multi-storied buildings, and will be offered first to whoever moves first. The size of resettlement housing under property swap includes shared size. If the building area of the resettlement apartment is greater than that of the demolished house, the price for extra area should be paid as ordinary commercial house price. 94. Among the 58 households affected by HD (not including livestock breeding households), 32.76% have chosen property right exchange. Their houses are mostly in earth timber and masonry timber structures, and out of repair, without central heating, water supply and drainage systems. Their surrounding environment and roads are poor, making traffic inconvenient. They will be eligible for improved housing with similar floor space. 95. Case: If an AH choses property right exchange, their main residential house will be exchanged based on construction area structure, while other houses (vice room) and other facilities will be compensated at appraised price. For example, for a household with three persons, if the size of main residential house in masonry concrete structure is 80 m2, and the size in masonry timber structure (vice rooms) is 30 m2, it will exchange a new house with 107 m2 and with three bedrooms and two living rooms at the ratio of 1:1 for masonry concrete structure, and 1:0.9 of the size of the acquired house in masonry timber structure. In addition, the resettlement housing will be provided with water supply, drainage and central heating facilities, and have a better environment and better structures. 96. Cash compensation: A house will be appraised by a real estate appraisal agency based on location, house structure, construction size, floor and decoration, and by reference to market price; the cash compensation would be fully paid at one time after sign the contract. After getting cash compensation. AHs can purchase commercial houses or by a second house, or do investment according to their individualized needs.

97. Among the 58 households affected by HD (excluding livestock breeding households), 34.48% have chosen cash compensation, because they mostly have already purchased commercial houses in Emin County, they will use compensation for other investments. 98. Case: For example, for a household with three persons, if their house size in masonry concrete structure ( main rooms) is 70 m2, the size in masonry timber structure (main room) 30 m2, and the size in masonry timber structure attachment rooms) is 50 m2, and the househead area in yard is 180 m2, this household will receive the following compensation: (i) compensation for houses of the main residentail house area (main rooms): 338,000 yuan; (70 m2 x 3500 yuan/m2 + 30 m2x3100 yuan/m2) (ii) compensation for wing houses in masonry timber structure (vice room): 90,000 yuan; (50m2x1800yuan/m2) (iii) compensation for state-owned housing land: 26,100 yuan; 180m2x145yuan/m2 and (iv) moving subsidy: 1000 yuan, totaling 455,100 yuan. 99. Based on real estate prices of Emin County in the first half of 2013, the average price of new commercial houses of multi-storied buildings is 4,000 yuan/m2. With the compensation, each AH may urchase a 105 m2 commercial house with three bedrooms, two living rooms and one bathroom, and has a remaining sum of 35,100 yuan, which may be used for other investments, such as a commercial store. Commercial housing will be provided with water supply, drainage and central heating facilities, and have a better environment and better structure 100. After the cash compensation, to allocation land, and self construction of unified planning: if APs do not want to live in apartment, want to live in flat house, it would be designed together according to the existing situation and APs’ needs; According to the planned design, to allocate an area for these APs to construct their own house, and a one-time cash compensation will be paid, and they can construct as their own wishes within that area. 101. Introduction to resettlement communities—Since the households affected by HD are located in two separate areas, the PMO plans to construct two resettlement communities: (1) Balidushi community is located Wenhua Road, and adjacent to an constructing agricultural trading center, with beautiful environment, which is convenient for residents for leisure life and is planned to be constructed as a large residential community. Currently the buildings are under construction, which is expected to deliver the houses in December 2015. With a planned land area of 29.37 hectares, including a public building area of 50,000 m2. The community is planned to accommodate 3,000 households with 11,100 persons. The community will be constructed in strict conformity with the Building Codes for urban residential district planning and design, and has such public facilities as nursery, kindergarten, primary school, health center, cultural activity station, savings office, postal office, community service center, property management and commercial services. There are two types of room layouts – (i) two bedrooms and two living rooms, and (ii) three bedrooms and two living rooms. 5 housing sizes are available – 86, 118.4, 115.8, 127.2 and 171 m2.

Figure 5-2: Layout Plan of the Baliduhui Resettlement Community

Figure 5-2: Apartment Buildings of Baliduhui Resettlement Community

(2) Flat house resettlement area is located on both sides of the Ejia Road of Emin County, adjacent to the planned No.5 Road, 3.3 km away from the county, with convenient transportation, only 3km far away from the Emin County High School, 3.5 km from the county hospital. According to the planned design, APs will construct their own houses on allocate land areas once receiving the house compensation cash at a one-time. 5.5 Resettlement program for livestock breeding households 102. For the affected livestock breeding households, the only difference in house structure is that livestock breeding households have erected simple sheds in masonry timber and earth timber structures in courtyards for livestock breeding. Since the AHs vary greatly (e.g., those raising cattle, sheep, dogs, quails and pigs), the PMO has offered four resettlement options to the livestock breeding households in consideration of their needs: (1) Cash compensation (consistent with the compensation rates for residential houses): The compensation price for a demolished house will be paid up at a time based on appraisal. After

receiving house compensation, the AHs may choose a resettlement mode based on affordability and individualized needs, such as purchasing commercial housing or secondhand housing or making other investments. (2) Property right exchange: If any livestock breeding household does not want to pursue stockbreeding but wishes to obtain resettlement housing, it may exchange for resettlement housing in a resettlement community in the same way as above residential households. Resettlement housing will be offered first to whoever moves first. If the building area of the resettlement apartment is larger than the demolished house, the price for extra area should be paid as ordinary commercial house price (3) Unified planning and construction: The PMO will plan and construct a central resettlement community for livestock breeding households based on their current conditions and needs in a unified manner. After completion, the AHs may move directly into it. (4) Unified planning and self-construction: The PMO will plan a central resettlement community for stockbreeding households based on their current conditions and needs in a unified manner. The boundary line and scheme for house construction will be defined for each AH. After receiving cash compensation, each AH will construct its house by itself. 103. Introduction to resettlement community for stockbreeding households: The resettlement site for livestock breeding households is in Ejia Road, adjacent to the planned No.5 Road, only 2.5 km to the county, with convenient transportation, people can easily hang out, go to school, or take medical care, only 2 km far away from the Emin County High School, 2.5 km from the county hospital. The land is state-owned and unused land. According to the government unified planning, AHs will construct the hosue as their own wishes within that area. 104. For environmental considerations, the livestock breeding households will be resettled separately from their livestock. The resettlement community located 1.5 km distance between the resettlement community and the planned livestock breeding and feeding area. Breeding shed will construct in allocated land according the original size. 105. Among the 16 affected livestock breeding households, 6 HHs (37.50%) have chosen unified planning for self-construction after receiving cash compensation, 3 HHs (18.75%) have chosen cash compensation and will use it for other investments, and 7 HHs (43.75%) have chosen property right exchange and will use remaining compensation to do other small business. The existing houses of the AHs are mostly in earth timber and masonry timber structures, and out of repair, without central heating, water supply and drainage systems. Their surrounding environment and roads are poor and inconvenient. Their stables are simple sheds in masonry timber and earth timber structures in courtyards, and their size of stockbreeding is small. Their stables are close to flood drainage channels, and wastewater and livestock feces are drained into the channels, resulting in serious environmental and groundwater pollution, and likely to result in infections. In the newly planned resettlement area, humans will be separated from livestock, and their living environment and housing quality will be improved greatly. 5.6 Restoration Program for Enterprises 106. Forestry Bureau of Emin County was affected by the HD of 1,604.3 m2 and affect 19 people (including managers and employees). It is found that Forestry officials like cash compensation, because after the HD, the forestry bureau still has remaining land for constructing offices. They can start to build on their owned land by themselves. 5.7 Training 107. In addition to cash compensation, a special training program is developed for the AHs. 385 person-times will be trained in total, and at least two person-times of each AH will be trained. At least

40% of person -times of training will be provided to women. (1) Scope of training: According to the industry and market demands of Emin and surrounding areas, vocational skills training will be conducted with focus on crop cultivation, livestock breeding and services such as repair, electric welding, tailoring, etc. Table 5-2: Arrangements for Training No Type of Target Expected training Person-times Female Time training groups costs (10,000 yuan) Farming 1 AHs 1.5 35 14 2015.2 technics Livestock Livestock 2 1.5 20 8 2015.3 breeding breeding HHs Business 3 AHs 1.5 30 12 2015.11 training Skill traiing Machine repair, electric, 2015.12 – 4 AHs 1.02 40 16 welding, 2018.2 tailoring, cooking

Total 5.52 125 50

(2) Forms of training: The forms of training include vocational skills training, single-skill training and on-the-job training, in which vocational skills training will be conducted by training institutions and employers under the leadership of the department in charge of labor and social security, with focus on farming, stockbreeding and crop cultivation skills.

(3) Organizational structure: Emin County government has established the Project Leading Group, and the training working team will be affiliated to the Emin PMO, which will be located at the Emin Labor and Social Security Bureau. (4) Funding: The training budget of the project is 55,200 yuan, which is part of the special budget for ethnic minorities and vulnerable groups totalling 12,280 yuan. The training budget include organizational, teaching material, printing, examination and practice costs, and trainer remuneration, which will be paid by the training working team of the Subproject. 5.8 Supporting Program for Vulnerable Groups 108. All the 2 vulnerable AHs not only can get the fixed compensation for LAR and policies of Emin County for vulnerable people, but also can enjoy some other policies: (1) has priority to select resettlement housing floor, location, dwelling. (2) providing them technical training, and employment information and guidance to increase employment opportunities. (3) during the construction project, unskilled labor would provided to them in priority. (4) set up a special budget for helping vulnerable groups 5,500 yuan in the resettlement budget, to give special help to vulnerable groups.

5.9 Protection of Women’s Rights 109. Women will participate fully in resettlement activities through information disclosure and village meeting, and enjoy the same rights as men in compensation, employment and training. In addition, the following measures will be taken to help women restore income: (1) At the construction stage, it should be ensured that a certain number of women receive unskilled jobs generated by the Subproject, and women and men will receive equal pay for equal work; (2) Skills training, including training on stockbreeding and crop cultivation, and non-farm work will be first made available to affected female laborers (at least 40% of trainees) so that their economic status is not reduced; (3) At the operation stage, cleaning, landscaping and environmental sanitation jobs will be offered to affected women to ensure their income restoration; and (4) Affected women will receive relevant information, and participate in public consultation and resettlement. 5.10 Ethnic Minority Development

110. The population affected by HD includes 45 minority households with 186 persons, mainly being Uygur and Hui people. The minority population will enjoy the same rights to compensation for LA, HD and resettlement as the Han people, and have priority in employment and training. A separate Ethnic Minority Development Plan (EMDP) has been developed to promote the development of ethnic minorities and enhance their participation in the project. 5.11 Restoration of Infrastructure and Ground Attachments

111. Affected infrastructure and ground attachments will be restored by proprietors as soon as possible after receiving compensation from the owner of the project. Infrastructure that is essential (e.g., piped water, electricity) should have temporary services provided. Restoration measures must be planned in advance, and suited to practical conditions, so as to be safe, efficient, timely and accurate, with minimum adverse impact on nearby residents.

6. Public Participation and Grievance Redress 112. According to relevant policies and regulations of the PRC, regional and municipal and county on LAR, it is very necessary to conduct public consultation and encourage active participation of APs in project preparation and implementation stages in order to protect the lawful rights and interests of the APs, reduce grievances and disputes, and realize the resettlement objectives properly. Consultation has been fully highlighted during preparing RP, and organizing implementation.

6.1 Consultation at Preparation Stage

6.1.1 Completed Public Participation Activities 113. As to all significant topics for discussion involved in the planning stage of resettlement, the PMO has organized meetings and discussions with design institute (DI), consultant agency, local communities and APs to disclose information and conduct public consultation in various ways from March 2013 to January 2014. Including (1) Design optimization discussion in order to minimize land acquisition and resettlement impacts; (2) Impact survey based on the FSR to get detailed information on population, houses, land, special facilities, APs, shops and enterprises in the project area; (3) Consultation with the managers of Jiujiahu Village and Jiaodong Village, to get the socio-economic background of them and discuss the LA options and the compensation standards with the villagers; and (4) Opinion survey on APs. 114. The public participation and consultation provided a basis for the improvement of the RP. During consultation, Uygur or Kazak language translator is arranged for the ethnic groups who can’t speak Han language. 115. These meetings and surveys played an important role in developing rational compensation rates, restoration programs and training programs. It has been found that the AHs’ main concerns are: (1) Since the LA area is not large, the LA will have little impact of their income condition. They only concern whether the compensation can be paid timely and whether crop cultivation training and livestock breeding technical training can be conducted. (2) The house demolition prospect: the APs’ first concern is the compensation standards, then is the resettlement sites, and finally is life issues during the transition period. (3) For the removal from the demolished houses to the apartment building are acceptable, that is regarded as an opportunity to improve their living conditions. (4) Women believe that after relocated to the apartment building, the heating problem in winter has been resolved, which can reduce the pressure on women's labor and the heating costs. (5) Due to the construction of the road, inconvenience to daily travel would be a problem, the construction process may cause noise, dust, construction waste; and have to take measures to deal with or mitigate pollutions. (6) The road construction period and dates should be published promptly to inform the

residents living nearby, let them know the inconvenience in advance. 116. Based on the above discussions, the PMO: (1) has developed land acquisition compensation standards, and will inform to the APs in advance. After the agreement is signed, the land compensation will be paid timely. (2) discussed with Emin County People's Government about APs most concerned issues, such as the resettlement work, and discussed with the labor and social security bureau about the relevant training issues for AHs. (3) discussed the resettlement plan with Emin house demolition department and resettlement house construction units. On the one hand, the house demolition department will further explain the policies on house demolition and compensation standards to the affected households; on the other hand, resettlement house construction units should regularly announce the resettlement house construction situation to the affected households. Life issues during the transition period for affected households concern, resettlement housing construction is urged to be completed as soon as possible, and transition costs should be given to the affected families, to give some help for vulnerable groups to ensure they can go smoothly during the transition period as well as the restoration period. Some important issues during the project preparation consultation/meeting are listed in Table 6-1. Table 6-1: Public Consultation Activities during Project Preparation Stage # of persons/ Location Date Participants Key Topics female Jiaodong  Introducing the Village, background and Jiujiahu Village, APs, PMO, community purpose of the project; March to 60(male35 Tacheng Road officials, DI, RP  how to minimize the May 2013 female25) Community, preparation agency cultivated LA and HD Arxiate Road impacts Community APs, PMO, community  proposed Jiaodong officials, DI, RP compensation rates; Village, January 50/male26 preparation agency  revenue sources of Jiujiahu Village 11, 2014 female24 and L&R Bureau, and the villagers

LA department  construction progress  location of Jiaodong Village APs, PMO, community resettlement site Jiujiahu Village January officials, RP 60/male32  needs of trainings; Arxiate Road 12, 2014 preparation agency female28  income restoration Community and LA department measures  design for January APs, PMO, RP 30/male18 resettlement houses; PMO 13, 2014 preparation agency female12  the construction progress;  management of stock APs, PMO, RP Animal breeding zones January preparation agency, 10/male 6 Husbandry  construction planning 13, 2014 L&R Bureau, and LA female 4 Bureau for livestock breeding department zones APs, PMO, community  discuss the draft January 80/male 42 PMO officials, RP report on resettlement 11-15, 2014 female 38 preparation agency,  discuss future

# of persons/ Location Date Participants Key Topics female L&R Bureau, and LA counseling plans department  future information disclosure plan

6.1.2 Opinion Survey Results 117. The respondents include the 85 rural AHs affected by LA and 30 urban residential households. The survey showed that most of them know that the project is about to be constructed and support for it, and most of them thought the road condition and lacking of facilities has badly impacted their life. 37.66% thought this will improve their living environment, and 20.84% thought it will improve their working environment, 35.22% thought it will generate more job opportunities; 92.63% are aware or somewhat aware of the compensation and resettlement policies for LA and HD; 98.31% would file an appeal when their lawful rights and interests are infringed on during resettlement. See Table 6-2.

Table 6-2: Public Opinion Survey Results

Option 1 Option 2 Option 3 Option 4 Option 5 No. Question Result Result Result Option Resul Option 1 Result (%) Option 2 Option 3 Option 4 (%) (%) (%) 5 t (%) Do you know that the Not quite 1 project is about to be Yes 88.74 6.48 Unclear 4.78 clear — — — — constructed? Do you support the 2 Yes 98.44 No 1.56 project? — Don’t care — — — — Improve traffic conditions Improving Which benefits will the residents travel living 3 61.59 38.41 No benefit road construction have? to promote environmen — — — — — urban t development How do current road 4 conditions affect your None 18.21 Not serious 7.30 Serious 39.15 Very serious 35.34 — — lives and work? Improving Improving Generating What benefits will the Improving living working mental and 5 37.66 20.84 job 35.22 6.28 project have for you? environment environm physical — — opportunities ent health Potentially Affecting Reducing Other What adverse impacts will No adverse leading to 6 41.03 traffic 45.26 5.57 income due to 8.14 adverse the project have on you? impact property — safety LA impacts losses Are you aware of the compensation and Somewha 7 Yes 79.05 13.58 No 7.37 resettlement policies for t — — — — LA and HD? Will you file an appeal when your lawful rights 8 Yes 98.31 Don’t 1.69 and interests are infringed know — — — — — — on during resettlement?

6.2 Public Participation and Consultation Plan 118. With the progress of project preparation and implementation, the Emin PMO, affected village committee, and communities will conduct further public participation, including the LA compensation standard, and the scope of training for the APs, disclosing construction issues, soliciting comments and expectations from the APs during implementation, disclosing the compensation rates and appeal channel, etc., and learning RP implementation progress and the APs’ livelihood restoration. See Table 6-3. Table 6-3: Public Participation Plan Participan Purpose Mode Time Agencies Topic ts Disclosure of Disclosure of Distribution 2015.1 PMO All APs compensation rates, the RIB and appeal channel, Disclosure of ADB website 2015.1 ADB the RP PMO and L&R Bureau, LA Disclosure of LA area, LA Bulletin board, village 2015.2 department and All APs compensation rates announcement meeting officers of and LA schedule affected Villages PMO and L&R Announcement Bureau, LA of Bulletin board, village Compensation fees 2015.3 department and All APs compensation meeting and mode of payment officers of program for LA affected Villages Finding out anything omitted to determine PMO and L&R DMS results the final impacts Bureau, LA verification Preparing a detailed list Field investigation 2015.2-3 department and All APs based on final of lost land and officers of design properties, and the affected Villages sample compensation agreement PMO and L&R Discussing the final Determination Bureau, LA income restoration of Resident meeting 2015.2 department and All APs program and the compensation officers of program for use of plan affected Villages compensation fees PMO and L&R Notification of Bureau, LA Notification of compensation Resident meeting 2015.2 department and All APs compensation fees and amounts and officers of date of payment date of payment affected Villages PMO and L&R Discussion of detail Skill training Affected Resident meeting 2015. 8 Bureau, Village training requirements arrangement Labors Committees and timeframe PMO, Persons Discussion of Construction affected resettlement building Resettlement Resident meeting 2015. 9 Bureau, by house structure, construction Transportation demolitio schedule, facilities in

Participan Purpose Mode Time Agencies Topic ts Bureau and n resettlement Village communities, public Committees transportation, etc. PMO and L&R Learning RP Bureau, LA Monitoring for 2015.6-2019. Random implementation Family survey department and APs 12 sampling officers of progress and the APs’ livelihood restoration affected Villages

6.3 Appeal Procedure 119. Since public participation is encouraged during the preparation and implementation of the RP, no substantial disputes are anticipated. However, unforeseeable circumstances may arise during this process. In order to address issues effectively, and ensure the successful implementation of project construction and land acquisition, a transparent, accessible and effective grievance redress mechanism has been established. The system has shown in figure 6-1. The basic grievance redress system is as follows: Stage 1: If any AP is dissatisfied with any land acquisition and resettlement of any other safeguards related problems, he/she may file an oral or written appeal with the village or community committee/sub-district office orally or in writing. In case of an oral appeal, the village or community committee/sub-district office shall handle such appeal and keep written records. Such appeal should be solved within 2 weeks. Stage 2: If the AP is dissatisfied with the disposition of Stage 1, he/she may file an appeal with Emin County Land and Resources Bureau or the LA and HD management office (depending upon the issue) after receiving such disposition, which shall make a disposition within 2 weeks. Stage 3: If the AP is still dissatisfied with the disposition of Stage 2, he/she may file an appeal with the Emin PMO receiving such disposition, which shall make a disposition within 2 weeks. Stage 4: If the AP is still dissatisfied with the disposition of Stage 3, he/she may apply for administrative reconsideration with Emin County Government after receiving such disposition within 3 months. 120. Alternatively, he/she may file an action in a civil court in accordance with the Civil Procedure Law of the PRC at any time irrespective of the use and progress of the GRM process. 121. At each stage, when the responsible agencies receive the appeal, it will be also copied to the PMO for discussion, so that the grievance can be redressed at lower levels. All grievances (and their resolution) at each stage will be recorded and kept. The PMO will report the grievances and their resolution) to ADB in semiannual monitoring reports. 122. Alternatively, the aggrieved person(s) may submit a complaint to the ADB’s Project Team to try to resolve the problem. If good faith efforts are still unsuccessful, they may submit their complaint to ADB's Accountability Mechanism (2012).3 The first step requires good faith efforts to resolve the problem with the ADB Project Team. 123. APs may file an appeal on any aspect of resettlement, including compensation rates, etc. The

3 http://www.adb.org/Accountability-Mechanism/default.asp.

above means of appeal, and the names, locations, persons responsible and telephone numbers of the appeal accepting agencies will be communicated to the APs at a meeting, through an announcement or the RIB, so that the APs know their right of appeal. Mass media will be used to strengthen publicity and reportage, and comments and suggestions on resettlement from all parties concerned will be compiled into messages for disposition by the resettlement organization at all levels. (3) All agencies will accept grievances and appeals from the APs for free, and costs so reasonably incurred will be disbursed from the contingency costs. During the whole construction period of the Project, these appeal procedures will remain effective to ensure that the APs can use them to address relevant issues.

County legal authority County PMO

ADB County disciplinary inspection Emin CLRB/PMO authority

External monitoring County appeal accepting Affected sub-district offices

authority

Affected household/ village committee/

town government Figure 6-1: Grievance Redress Flowchart

6.4 Appeal Contact Information 124. In order that the APs can get feedback on their grievances timely, contacts have been appointed for different appeal accepting agencies and their contact information disclosed.

Head of Jiujiahu Village committee: Yang Zhongtu Tel13565780786 Responsible person for Jiaodong Village committeeYin Boxiong Tel13779229366 Responsible person for Jiaoqu township government: Liu Zhonglei Tel13579798123 Responsible person for Emin County L&R BureauWang Jingwen Tel13809970667 Responsible person for Emin County PMOLi Changbin Tel13999488111 Responsible person for Emin County Construction BureauZhang Xinqiang Tel13999484875 Responsible person for LA and compensation leading groupWang Yanzhou

Tel15709019888 Head of the Emin County letters and visits departmentSun Yibing Tel13899371199 Head of the Emin County disciplinary inspection department: Ma Yongqiang Tel13679988884 Head of the Emin County legal department: Tuoliu Tel13899391521 External M&E agency: to be determined

7. Resettlement Budget

7.1 Resettlement Budget

125. All costs incurred during LAR will be included in the general budget of the project, all resettlement costs will be from domestic funds, which is 66.76 million yuan in total, as detailed in Table 7-1.  State-owned land occupation: 11.9543 million yuan in total (17.91% of total costs) including State-owned residential land;

 Acquisition of collective land: 3.7665 million yuan in total (5.64% of total costs), including land compensation, resettlement subsidy, and young corps;

 Residents Housing Demolition: 35.0247 million yuan in total for house demolition (52.46% of total costs), including house structure compensation, relocation subsidy, temporary transition fees.

 Enterprises House demolition: 4.3265 million yuan in total for the house demolition (6.48% of total costs), including corporate housing structure compensation, relocation assistance, temporary transition fees

 Attachments and infrastructure: 86,700 yuan (0.13% of total costs);

 Other costs: including survey and design fees, construction management fee, external monitoring and evaluation, implementation management fees, skills training costs, Special support fee for vulnerable groups and contingencies, totaling 9.0828 million yuan (13.61% of total costs);

 Stipulated fees for land acquisition: totaling 2.5184 million yuan (3.77% of total costs)

Table 7-1: Resettlement Cost Estimates Compensation Amount (10,000 No. Item Unit Quantity. Percent Remarks rate (yuan/unit) yuan)

1 LA of state-owned land 1,195.43 17.91% Compensation for urban state-owned outside built-up m2 15 5726.67 8.59 land area

m2 210 42,520 892.92 second degree Residential land m2 145 19,620 284.49 third degree

Industrial land m2 90 1,048 9.43 third degree

2 LA of collective land 376.65 5.64%

cultivated land mu 81

Land compensation fee mu 15,000 81 121.50

Resettlement subsidy mu 30,000 81 243.00

Young crops fee mu 1,500 81 12.15

3 Residential house demolition 3,502.47 52.46%

Brick and concrete structure m2 3,500 3,903.91 1,366.37 Main Brick and wood structure m2 3,100 3651.59 1131.99 house Civil engineering structure m2 2,800 631.56 176.84 Side Brick and concrete structure m2 2,000 397.67 79.53 house

Compensation Amount (10,000 No. Item Unit Quantity. Percent Remarks rate (yuan/unit) yuan)

Brick and wood structure m2 1,800 1051.46 189.26

Civil engineering structure m2 1,600 466.49 74.64

Brick and concrete structure m2 1,500 226.2 33.93 Affiliat ed Brick and wood structure m2 1,200 202.58 24.31 House Civil engineering structure m2 1,000 133.09 13.31

Brick and concrete structure m2 1,200 182.97 21.96

Sheds Brick and wood structure m2 1,100 1560.73 171.68

Civil engineering structure m2 1,000 230.9 23.09

Simpl Brick and wood structure m2 400 470.77 18.83 e house Civil engineering structure m2 200 24 0.48

Other subsidies

Moving subsidy household 1,000 75 7.50 Assumes 18 months; it would household/ be calculated Transitional allowance 1,250 75 168.75 month according to the actual transition period 4 Enterprises storage space 432.65 6.48%

Compensation Amount (10,000 No. Item Unit Quantity. Percent Remarks rate (yuan/unit) yuan)

Brick and concrete structure office 2 m 3,200 912 291.84 building (second floor) Brick and concrete structure (conference room, storage house, duty m2 2,000 692.3 138.46 room) flat house Moving subsidy household 1,000 1 0.10

household/ Assume 12 Temporary transitional allowance 1,250 1 1.50 month months Total of compensation fees for 8.67 0.13% attachments

5 Basic Cost: Subtotal of Items 1-5 5,515.87 82.62%

6 Other costs 908.28 13.61% Based on the percentage of land acquisition 7 Survey, design and research costs 3.00% 5,515.87 165.48 and resettlement compensation fee Based on the percentage of land acquisition Implementation management costs 3.00% 5,515.87 165.48 and resettlement compensation fee Based on the percentage of land acquisition Skills training costs 0.10% 5,515.87 5.52 and resettlement compensation fee Based on the Special support for vulnerable groups 0.01% 5,515.87 0.55 percentage of

Compensation Amount (10,000 No. Item Unit Quantity. Percent Remarks rate (yuan/unit) yuan) land acquisition and resettlement compensation fee Based on the percentage of House resettlement assessment fee House 0.50% 3,935.12 19.68 demolition compensation Based on the percentage of land acquisition External M&E costs 2.00% 5,515.87 110.32 and resettlement compensation fee Based on the percentage of land acquisition Contingencies 8.00% 5,515.87 441.27 and resettlement compensation fee 8 Stipulated fees for land acquisition 251.84 3.77%

New construction land use fee m2 14 59,726.67 83.62 Non-agricultural construction allocated unused land management mu 50 8.59 0.04 fee Farm land reclamation costs mu 3,000 81.00 24.30

Farm land occupation fees m2 15 54,000.00 81.00 4% of LA Land acquisition management fees compensation 4.00% 1,572.08 62.88 fees

Compensation Amount (10,000 No. Item Unit Quantity. Percent Remarks rate (yuan/unit) yuan)

Total 6,676.00 100.00%

7.2 Annual Investment Plan 126. All resettlement funds of the project are from local counterpart funds. Before or during project construction, the civil works and resettlement plan will be implemented in stages in order not to affect the production and livelihoods of the AHs. See Table 7-1. Table 7-2: Resettlement Budget Plan Year 2015 2016 2017 2018 Cost (10,000 667.55 2670.18 2670.18 667.55 yuan) Percent (%) 10% 40% 40% 10%

7.3 Disbursement Flow and Plan of Resettlement Funds

7.3.1 Disbursement flow 127. During the implementation of the project, compensation fees will be paid to the affected entities or individuals according to the rates identified by Emin PMO. The disbursement flow is as follows:

Fiscal Budget Domestic Bank Loan

Emin County PMO

Public Institutions Affected HD by Proprietors ofAttachments Households affected by Households affected by LA Village Committee Village

Figure 7-1: Flowchart of Resettlement Fund Disbursement

7.3.2 Disbursement plan 128. The land acquisition compensation fee, prior levy management fees will be charged by the Municipal Land and Resources Bureau, land compensation will be paid to village committees, while resettlement fees and compensation for young crops will be directly paid to affected farmers; infrastructure and appurtenances compensation by the implementation of the agency will be paid directly to the relevant units. 129. To ensure that the resettlement funds are available timely and fully, and the APs’ production, livelihoods and income are restored, the following measures will be taken by Emin PMO:  All costs related to LARcompensation will be included in the general budget of the project.

 Land compensation fees and resettlement subsidies and young crops compensation will be paid up before LA so that all APs can get paid.

 In order to ensure the successful implementation of LA and resettlement, financial and supervisory agencies will be established at all levels to ensure that all funds are disbursed timely and fully.

130. The budget is a cost estimate of resettlement. Depending on practical changes within the affected areas, and due to the practical impacts of detailed measurement survey (DMS), modifications to compensation and inflation, etc., resettlement costs may be increased, but the County PMO will ensure the payment of compensation. The budget incorporates contingencies, and will be applied and revised as necessary.

8. Organizational Structure and Responsibilities

8.1 Resettlement Implementing Agencies

131. The agencies responsible for the planning, management, implementation and monitoring of the project’s resettlement activities are:  Emin County ADB Loaned project management Leading Group (Emin PMLG)  Emin Project Management Office (Emin PMO) (EA)  Emin Construction Bureau (Emin CB) (IA)  Emin Land and Resources Bureau (Emin LRB)  Jiaoqu Township  JiuJiahu village  Jiaodong village  Design Institute (DI)  External M&E agency

Emin PMLG: leading, organizing and coordinating LA and resettlement activities, reviewing the RP, and implementing internal supervision and inspection. Emin County LA and compensation management group: responsible for supervision of the LA for project and the compensation payment conditions. Emin PMO: directing the development of resettlement policies and the RP, and LA implementation. Emin CB: assisting in the preparation of the RP, and conducting resettlement activities in coordination with the land and resources bureau, sub-district offices and affected community committees as the IA Emin LRB: handling, reviewing and approving LA formalities, and responsible for the coordination, management, supervision and arbitration of LA and resettlement Jiaoqu Township: Cooperate with PMO to do the investigation, and sign and acquisition agreement with the L&R Bureau, Cooperate with the land department to implement the land acquisition and resettlement work. Jiaodong village, Jiujiahu village, Aerxiatelu Community and Tachenglu Community: Responsible for providing land contract information with the investigation, providing vulnerable groups affected by the work. Committee responsible for mobilizing publicity, accompanied by the relevant technical staff to complete the measurement, the agreement signed by the negotiations, provide a list of affected vulnerable groups. DI: conducting project design and defining the range of LA. External M&E agency: responsible for the implementation of the resettlement plan for independent monitoring and assessment, submitted external monitoring reports to the PMO.

8.2 Organizational Chart

Emin County Leading

Emin County L&R

Bureau

Emin County PMO Internal Design

Emin County LA and CMG

Emin County CB External M&E Sub-district Agency Office

Community

Figure 8-1: Resettlement Organizational Chart

8.3 Organizational Qualifications and Staffing

132. The resettlement staffs of Emin County are from functional departments of ECG. They have rich working experience and have participated in LA and resettlement in a number of local municipal projects, and will play a good organizing and coordinating role in the implementation of the project. The Project Leading Group is composed of the following persons:

Leader: Tian Xinzhi Deputy Leader of County Government Deputy leader: Li Changbin Chief of county DRC Members: Bahatibieke Director of Government Office Zhou Hengxiang Director of Finance Bureau Zhang Xinqiang Director of Housing and Urban Construction Bureau Wang Jingwen Director of Land and Resources Bureau Wang Yanzhou Responsible for LA and Compensation Leading Group Wang Qingzhong Director of Forestry Bureau

133. The Leading Group office is located in Emin Development and Reform Commission, Director of the Office is Li Changbin, and deputy director is Geng Chuanyong (Chief of county DRC), and staffs of

leadership team are from the unit deployed. 134. The primary duties of the leading group is responsible for deploying, directing, coordinating the county ADB loaned project related work; Leading Group Office main responsibility is to strengthen cooperation with relevant regional counterparts convergence of the various stages of project coordination and management, to ensure the smooth implementation of the project. Development and Reform Commission is responsible for pre-project review of reporting, project coordination and guidance work, finance department is responsible for supervision of the use of project funds, debt service work, houses construction department is responsible for project implementation, technical guidance and quality supervision work.

8.4 Division of Responsibilities among Agencies

8.4.1 Emin Project Leading Group  Responsible for project leadership, organizing, coordination and policy-making, examining the RP, implementing internal supervision and inspection, and making decisions on major issues arising from resettlement.

8.4.2 Emin PMO  Entrusting the design agency to define the subproject area;  Organizing the socioeconomic survey;  Organizing and coordinating the preparation of the RP;  Implementing the policies in the RP;  Coordinating the implementation of the RP according to the construction schedule;  Disbursing funds and supervising the use thereof;  Directing, coordinating and supervising resettlement activities and their progress;  Organizing and implementing internal monitoring, selecting an external M&E agency, and coordinating with external M&E agencies;  Reviewing monitoring reports;  Coordinating and handling conflicts and issues arising from implementation;  Coordinating and handling disputes and appeals;  Reporting resettlement progress, fund use and implementation quality to ADB regularly.

8.4.3 Emin CB  Organizing the socioeconomic survey;  Conducting the DMS and baseline survey;  Organizing public participation activities;  Negotiating resettlement programs and organizing the preparation of the RP;  Applying for the license for planning of land use and the license for land used for construction;  Implementing measures for LA;

 Implementing the state policies and regulations on construction land management;  Developing resettlement and compensation programs according to the policies, and submitting them to competent authorities for approval;  Handling the land use approval formalities;  Implementing the RP;  Entering into compensation and resettlement agreements with the affected economic organizations together with L&R bureau;  Entering into compensation agreements for temporary land occupation;  Entering into compensation and resettlement agreements with the affected households and entities;  Reviewing resettlement implementation;  Managing information on LA, HD and resettlement;  Training staff;  Coordinating and handling conflicts and issues arising from implementation;  Coordinating and handling disputes and appeals;  Reporting LA, HD and resettlement information to the Emin PMO.

8.4.4 Jiaoqu Township 135. Led by the leaders in charge, and composed of party office, land management and other units and various community key officials. Its main responsibilities are:  Participating in the survey of the Subproject, and assisting in the preparation of the RP;  Organizing public participation, and propagandizing the resettlement policies;  Implementing, inspecting, monitoring and recording all resettlement activities within its jurisdiction;  Handling LA formalities;  Responsible for the disbursement and management of land compensation fees;  Supervising LA house reconstruction and resettlement;  Reporting LA and resettlement information to the county land and resources bureau;  Coordinating and handling conflicts and issues arising from its work.

8.4.5 Communities and Village Committees 136. Composed of key officials of committee. Its responsibilities are:  Participating in the socioeconomic survey and DMS;  Organizing public consultation, and propagandizing the policies on LA ;  Paying and managing relevant funds;  Reporting the APs’ comments and suggestions to the competent authorities;  Reporting the progress of resettlement implementation;

 Providing assistance to displaced households with difficulties  Cooperate with other higher-level units with land acquisition related work

8.4.6 Design Institute  Reducing the impacts of the Subproject through design optimization; and  Identifying the range of LA.

8.4.7 External Monitoring and Evaluation Agency  During the implementation of the resettlement plan, to track, monitoring and evaluation the implementation activities, and track and monitoring resettlement regularly twice a year.  Monitoring progress, quality, funding for resettlement, and give advice;  Verify the Data and conclusions of the internal monitoring reports,  Submit monitoring and evaluation report every six months to Emin PMO.

8.5 Measures to Strengthen Institutional Capacity 137. In order to implement resettlement successfully, the APs and resettlement staff must be trained under a program developed by the Emin PMO. 8.5.1 Training Program for Resettlement Management Staff

138. A staff training and human resources development system for the county, sub-district and community-level resettlement agencies will be established. Training will be conducted in such forms as expert workshop, skills training course, visiting tour and on-site training. The scope of training includes:  Principles and policies of resettlement  Resettlement project planning management training  Resettlement implementation planning and design  Resettlement implementation progress control  Resettlement financial management  Resettlement quality control  Management information system  Resettlement M&E  Resettlement project management 8.5.2 Measures for Improving Resettlement Agencies

(1) Define the responsibilities and scope of duty all resettlement agencies, and strengthen supervision and management; (2) Provide adequate financial and technical support, and improve technical equipment, such as PC, monitoring equipment and means of transportation, etc.; (3) Select staff strictly, and strengthen operational training for administrative staff and technicians to improve professional proficiency;

(4) Select female officials appropriately and give play to women’s role in resettlement implementation; (5) Establish a database and strengthen information feedback to ensure a smooth information flow, and leave major issues to the Project Leading Group; (6) Strengthen the reporting system and internal monitoring, and solve issues timely; and (7) Establish an external M&E mechanism and an early warning system.

9. Resettlement Implementation Schedule 139. According to the project implementation schedule, the project will be planned and implemented for 5 years from 2015 to 2019; land acquisition will begin in January 2015 and end in December 2018. The basic principles for resettlement implementation are as follows:  LA shall be completed at least one month prior to the commencement of civil construction.  During the LAR, the APs shall have opportunities to participate in the project. Before the commencement of civil construction, the scope of LA will be disclosed, the RIB distributed and public participation activities conducted properly.  All compensation shall be paid to the affected proprietors directly and fully within 3 months of approval of the compensation and resettlement program for LA. No entity or individual should use such compensation funds on their behalf, nor should such compensation be discounted for any reason.

9.1 Work before Resettlement Implementation

(1) Verification of the scope of LAR 140. The scope of the LA will be defined according to the project detailed design and layout. And the resettlement work will be assigned to Jiaoqu Township and North Jiaoqu Village via meetings, and then inform to the village committee. The Emin PMO will survey and register land, houses and attachments, and their ownership within the defined project scope.

(2) Field investigation of the range of LAR 141. The Emin PMO will organize relevant staff of Emin LRB, village to visit the affected areas, investigate and register land, houses, attachments, facilities and equipment, etc., judge the nature and ownership of infrastructure, and keep detailed records.

(3) Updating the RP and preparing the budget 142. Before the beginning of land acquisition, and civil works, the RP will be updated based on the detailed design and detailed measurement survey (DMS) with census of affected persons, and submitted to ADB for approval. According to the survey findings, Emin County PMO will prepare the RP and budget according to the applicable policies and regulations.

(4) Contract signing 143. Under the coordination and direction of Emin PMO, Emin CB will enter into land acquisition agreements with Emin LRB, and pay the contract price. 144. The compensation agreement for land acquisition will be signed based on the compensation rates specified in the RP, and in accordance with the state, provincial and municipal laws and regulations on resettlement. Emin PMO, LRB, and township government will negotiate with the affected village committees, residents, enterprises and stores about compensation and resettlement respectively. After consensus, Emin LRB and PMO will sign the compensation agreement for land acquisition immediately. A copy of such agreement should be submitted. Emin PMO will supervise and witness the whole process.

9.2 Work during Resettlement Implementation

(1) Disbursement of compensation payments 145. The APs will receive compensation timely after signing agreements.

(2) Land use license 146. The EA should endeavor to obtain all land use licenses timely. LA certificates must be obtained before the payment of compensation and the acquisition of land, houses and private properties.

(3) Internal supervision, and external M&E 147. Internal supervision is the responsibility of the IA, which will submit a progress report to the EA and ADB quarterly. External M&E is the responsibility of the EA, which will entrust this task to an externalmonitoring agency who will submit a M&E report to Emin PMO and Emin CB semiannually, and Emin PMO will forward the reports to ADB in a timely manner. The purpose of external M&E is to access whether APs’ incomes and living standards have been fully restored or improved after the LA. If the target is not achieved as the RP, further measures should be suggested and taken.

9.3 Work after Resettlement Implementation

(1) Continuing with internal supervision and external M&E 148. After the completion of resettlement, the external monitor agency should preparethe internal monitoring report and external monitoring report, until to the end of the project..

(2) Filing and documentation 149. After the completion of the resettlement work, the responsible person should write a supplementary report. Emin CB to review and archiving. 150. Prepared resettlement implementation activities progress in accordance with the project construction and land acquisition compensation, develop the overall progress of the resettlement plan. Specific implementation time may appropriate adjustments during overall implementation of the project , which has shown in Table 9-1. Table 9-1: Project Implementation Schedule NO. Contract Start Year

EM1 Arxiate Road 2015

EM 2 Wenhua Road 2016

EM 3 Planned Road No.5 2016

EM 4 Planned Road No.7 2017

EM 5 Planned Road No.9 2018

Table 9-2: Resettlement Implementation Schedule Responsible No. Resettlement Tasks Target Deadline Agency Consultation and Disclosure

1 Disclosure of RIB PMO 106HHs 2015.1

Aerxiate Road Tacheng Road Draft RP circulation and 2 PMO Community 2015.1 endorsement Jiaodong Village Jiujiahu Village

3 Posted RP on the ADB Website ADB 2015.1

Relevant documents and 4 PMO 2014.9-2019.12 commnets

B: DMS and update RP

PMO, 5 Check RP based on DMS 2015.2-3 LRBLevy Office Updating RP based on the 6 PMO 2015.2 revised DMS C: Sign the LA and resettlement compensation agreement Sign the LA agreement with PMO LRB, Levy 7 2015.3—2017.10 APs Office

8 Pay the land compensation PMO 2015.3—2017.10

DResettlement and

rehabilitation

9 Trainings to the APs PMO,LSSB 2015.5-2018.12

E: Capacity Building

Responsible No. Resettlement Tasks Target Deadline Agency Organize the personnel PMO 10 2014.12 trainings

11 Establish the appeal committee PMO 2014.12

F: Monitoring & Evaluation

External 12 Baseline survey 2015.04 monitoring Establish an internal monitoring PMO 13 2014.12 system Sign the external monitoring 14 PMO 2015.3 contract

15 Internal monitoring report PMO Quarterly 2015.04- 2018.12 Semi-annual 2015.4- 2018.12 External reports 16 External monitoring report External Annual 2018.12-2019.12 reports Complete the external 17 External 2019.12 monitoring report

10. Monitoring and Evaluation 151. In order to ensure the successful implementation of the RP and realize the objectives of resettlement properly, land acquisition, property demolition and resettlement activities of the project will be subject to periodic M&E according to ADB’s resettlement policy requirements, including internal and external monitoring.

10.1 Internal Monitoring

10.1.1 Purpose 152. The purpose of internal monitoring is to enable all resettlement agencies to function properly during project implementation, conduct internal supervision and inspection on the whole process of resettlement preparation and implementation, learn resettlement progress, and ensure that the land acquisition, house demolition and resettlement work can be completed on schedule according to the RP, and promote successful project construction.

10.1.2 Organization and staff 153. The internal resettlement monitoring agencies are Emin PMO and other relevant authorities (e.g., Emin LRB and CB). These agencies will have a leader who is responsible specifically for the resettlement work. Such leaders should have rich resettlement experience and authority, and be able to coordinate all departments involved in the resettlement work. The members of such agencies should have knowledge on resettlement and social issues so as to perform their duties.

10.1.3 Scope of Internal Monitoring 154. The Emin PMO will develop a detailed internal monitoring plan for land acquisition and resettlement, including: (1) Payment, use and availability of compensation fees for land acquisition, house demolition, and implementation progress and quality of production and development options of APs; (2) Investigation, coordination of and suggestion on key issues of the resettlement and implementing agencies during LAR; (3) Issues during transition period; (4) House construction and relocation progress and issues; (5) Restoration of the household income of APs; (6) Restoration of vulnerable groups; (7) Payment, use and availability of compensation; (8) Restoration and reconstruction of infrastructure, ground attachments and special facilities (9) Level of public participation and consultation during LA and resettlement; (10) Resettlement training and its effectiveness; and (11) Working mechanism, training, working hours and efficiency of local resettlement offices.

10.1.4 Internal monitoring reporting 155. The Emin PMO will submit a quarterly progress report to ADB. Such report should indicate the statistics of the past 3 months in tables, and this should reflect the progress of land acquisition, resettlement and use of compensation funds through comparison with the budgeted amount and schedule. Table 10-1 and Table 10-2 provide some formats.

Table 10-1: Progress Report on Resettlement for LA and HD ______, ______community, ______sub-district

Cut-off date: MM/DD/YY

Date of completion: MM/DD/YY

Actually Percentage of Item Unit Planned Accumulated completed completion Permanent land acquisition mu Temporary land occupation mu Payment of land 10,000

compensation fees yuan Training Person Employment Person House demolition m2 Payment of house 10,000

compensation fees yuan AHs completed resettlement HH

Reported by: ______Signature (person responsible): ______Official seal:

Table 10-2: Progress of Fund Utilization ______, ______Township, ______District (County)

Cut-off date: MM/DD/YY

Date of completion: MM/DD/YY

Required Compensation Adjusted Percentage of Affected entity Description Unit/ qty. investment received compensation compensation (yuan) (yuan) Village 1 Village 2 Collective Displaced

household Enterprise

Reported by: ______Signature (person responsible): ______Official seal:

10.2 External Monitoring

156. According to ADB’s policies, the Tacheng Prefecture PMO will employ a qualified, independent and experienced resettlement agency as the external resettlement M&E agency. 157. The external M&E agency will conduct follow-up M&E of resettlement activities periodically, monitor resettlement progress, quality and funding, and give advice. It will also conduct follow-up monitoring of the APs’ production level and living standard, and submit semiannual M&E reports to the Emin PMO and then Emin PMO will submit the report to ADB.

10.2.1 Scope and Methodology of External Monitoring

(1) Baseline survey 158. The external M&E agency will conduct a baseline survey on the villages affected by LA to obtain baseline data on the sample AHs’ production level and living standard. Subsequent production level and living standard surveys will be conducted annually to track variations of the APs’ production level and living standards of AHs. This survey will be conducted for all AHs (because the AHs are not many) and other necessary information will be acquired from random interview and field observation. An analysis and an evaluation will be made on this basis.

(2) Periodic M&E 159. During the implementation of the RP, the external M&E agency will conduct periodic follow-up resettlement monitoring semiannually, and annually within two years after completion of the RP implementation, of the following activities by means of field observation, panel survey and random interview:  Timely payment and amount of compensation  Training  Support measures for vulnerable groups and ethnic minority people  Restoration and reconstruction of infrastructure, ground attachments and special facilities  Restoration for production and incomes  House demolition, transition and relocation to new housing  Adequacy of compensation for lost properties  Compensation for lost working days  Timetables of the above activities (applicable at any time)  Resettlement network organization  Compensation fee for collective land acquisition and resettlement earnings  Job opportunities generated by the project.

(3) Public consultation 160. The external M&E agency will attend public consultation meetings held during resettlement implementation to evaluate the effectiveness of public participation.

(4) Grievance redress 161. The external M&E agency will visit the affected village periodically, and inquire with the Emin PMO, township government and village committees that accept grievances to assess how well grievances have been handled. It will also meet complainants and propose corrective measures and

advice for existing issues so as to make the resettlement process more effectively. 162. The external monitor will also verify the data and findings of the internal monitoring reports.

10.2.2 External monitoring reporting 163. The external M&E agency will submit a monitoring and evaluation report to Tacheng Prefecture PMO and Emin PMO as following schedule. Table 10-3: Reporting Schedule of External Resettlement M&E Resettlement report Date 1 Baseline survey March 2015 2 M&E Report (No.1) March 2015 3 M&E Report (No.2) September 2015 4 M&E Report (No.3) March 2016 5 M&E Report (No.4) September 2016 6 M&E Report (No.5) March 2017 7 M&E Report (No.6) September 2017 8 M&E Report (No.7) March 2018 9 M&E Report (No.8) September 2018

Appendix 1: Applicable Laws, Regulations and Policies Applicable provisions of the Land Administration Law of the PRC Ownership and right of use of land Article 8 Land in urban districts shall be owned by the State. Land in the rural areas and suburban areas, except otherwise provided for by the State, shall be collectively owned by peasants including land for building houses, land and hills allowed to be retained by peasants. Article 22 The amount of land used for urban construction shall conform to the standards prescribed by the State so as to make full use of the existing land for construction purposes, not to occupy or occupy as less agricultural land as possible. Urban general planning and the planning of villages and market towns should be in line with the general plans for land use. The amount of land for construction use in the urban general planning and the planning of villages and market towns shall not exceed the amount of land used for construction purposes in cities, villages and market towns fixed in the general plans for the utilization of land. The land for construction purposes in cities, villages and market towns within the planned areas of cities, villages and market towns shall conform to the city planning and the planning of villages and market towns. Article 24 People's governments at all levels shall strengthen the administration of plans for land use and exercise control of the aggregate land for construction purposes. Article 26 Revision of the general plans for land use shall be approved by the original organ of approval. Without approval, the usages of land defined in the general plans for the utilization of land shall not be changed. Whereas the purpose of land use defined in the general plans for the utilization of land needs to be changed due to the construction of large energy, communications, water conservancy and other infrastructure projects approved by the State Council, it shall be changed according to the document of approval issued by the State Council. If the purpose of land defined in the general plans for the utilization of land needs to be changed due to the construction of large energy, communications, water conservancy and other infrastructure projects approved by provinces, autonomous regions and municipalities, it shall be changed according to the document of approval issued by the provincial level people's governments if it falls into their terms of reference.

Protection of cultivated land Article 31 The State protects the cultivated land and strictly controls the conversion of cultivated land into non-cultivated land. The State fosters the system of compensations to cultivated land to be occupied. In the cases of occupying cultivated land for non-agricultural construction, the units occupying the cultivated land should be responsible for reclaiming the same amount of land in the same quality as that occupied according to the principle of "reclaiming the same amount of land occupied. Whereas units which occupy the cultivated land are not available with conditions of reclamation of land or

the land reclaimed is not up to requirements, the units concerned should pay land reclamation fees prescribed by provinces, autonomous regions and municipalities for reclaiming land for cultivation the land reclaimed. Article 32 The local people's governments at and above the county level may demand units which occupy cultivated land to use the topsoil of the land occupied for use in the newly reclaimed land, poor land or other cultivated land for soil amelioration. Article 33 People's governments of all provinces, autonomous regions and municipalities shall strictly implement the general plans for the utilization of land and annual plan for the use of land, adopt measures to ensure not to reduce the total amount of cultivated land within their jurisdictions. Whereas reductions occur, the State Council shall order it to organize land reclamation within the prescribed time limit to make up for the reduced land in the same quantity and quality and the land administrative department of the State Council shall, together with agricultural administrative department, examine and accept it. Article 36 Land shall be used sparingly for non-agricultural construction purposes. Whereas wasteland can be used, no cultivated land should be occupied; whereas poor land can be used, no good land should be occupied. Article 41 The State encourages land consolidation. People's governments of counties and townships (towns) shall organize rural collective economic organizations to carry out comprehensive consolidation of fields, water surface, roads, woods and villages according to the general plans for the utilization of land to raise the quality of cultivated land and increase areas for effective cultivation and improve the agricultural production conditions and ecological environment. Local people's governments at all levels shall adopt measures to ameliorate medium-and low-yielding land and consolidate idle and scattered and abandoned land. Article 42 Whereas land is damaged due to digging, cave-in and occupation, the units or individuals occupying the land should be responsible for reclamation according to the applicable provisions of the State; for lack of ability of reclamation or for failure to meet the required reclamation, land reclamation fees shall be paid, for use in land reclamation. Land reclaimed shall be first used for agricultural purposes.

Land for construction purposes Article 43 Any unit or individual that need land for construction purposes should apply for the use of land owned by the State according to law, except land owned by peasant collectives used by collective economic organizations for building township enterprises or building houses for villagers or land owned by peasant collectives approved according to law for use in building public facilities or public welfare facilities of townships (towns). The term "apply for the use of land owned by the State according to law " used in the preceding paragraph refers to land owned by the State and also land originally owned by peasant collectives but having been acquired by the State. Article 44 Whereas occupation of land for construction purposes involves the conversion of agricultural land into land for construction purposes, the examination and approval procedures in this regard shall be required.

For projects of roads, pipelines and large infrastructure approved by the people's governments of provinces, autonomous regions and municipalities, land for construction has to be approved by the State Council whereas conversion of agricultural land is involved. Whereas agricultural land is converted into construction purposes as part of the efforts to implement the general plans for the utilization of land within the amount of land used for construction purposes as defined in the general plans for cities, villages and market towns, it shall be approved batch by batch according to the annual plan for the use of land by the organs that approved the original general plans for the utilization of land. The specific projects within the scope of land approved for conversion shall be approved by the people's governments of cities or counties. Land to be occupied for construction purposes other than those provided for in the second and third paragraphs of this article shall be approved by the people's governments of provinces, autonomous region and municipalities whereas conversion of agricultural land into construction land is involved. Article 45 The acquisition of the following land shall be approved by the State Council:

1. Basic farmland; 2. Land exceeding 35 hectares outside the basic farmland; Acquisition of land other than prescribed in the preceding paragraph shall be approved by the people's governments of provinces, autonomous regions and municipalities and submitted to the State Council for the record. Acquisition of agricultural land should first of all go through the examination and approval procedure for converting agricultural land into land for construction purposes according to the provisions of Article 44 of this law. Whereas conversion of land is approved by the State Council, the land acquisition examination and approval procedures should be completed concurrently with the procedures for converting agricultural land to construction uses and no separate procedures are required. Whereas the conversion of land is approved by people's governments of provinces, autonomous regions and municipalities within their terms of reference, land acquisition examination and approval procedures should be completed at the same time and no separate procedures are required. Whereas the terms of reference have been exceeded, separate land acquisition examination and approval procedures should be completed according to the provisions of the first paragraph of this article. Article 46 For acquisition of land by the State the local people's governments at and above the county level shall make an announcement and organize the implementation after the approval according to the legal procedures. Owners or users of the land acquired should, within the time limit specified in the announcement, go through the compensation registration for acquired land with the land administrative departments of the local people's governments on the strength of the land certificate. Article 47 In acquiring land, compensation should be made according to the original purposes of the land acquired. Compensation fees for land acquired include land compensation fees, resettlement fees and compensation for attachments to or green crops on the land. The land compensation fees shall be 6-10 times the average output value of the three years preceding the acquisition of the

cultivated land. The resettlement fee shall be calculated according to the number of agricultural population to be resettled. The number of agricultural population to be resettled shall be calculated by dividing the amount of cultivated land acquired by the per capital land occupied of the unit whose land is acquired. The resettlement fees for each agricultural person to be resettled shall be 4-6 times the average annual output value of the three years preceding the acquisition of the cultivated land. But the maximum resettlement fee per hectare of land acquired shall not exceed 15 times of the average annual output value of the three years prior to the acquisition. The standards for land compensation and resettlement fees for land acquired shall be determined by various provinces, autonomous regions and municipalities in reference to the land compensation fees and resettlement fees for cultivated land acquired. The standards for compensating for ground attachments and green crops on the land acquired shall be determined by various provinces, autonomous regions and municipalities. In acquiring vegetable fields in suburban areas, the units using the land should pay new vegetable field development and construction fund. Whereas the land compensation fees and resettlement fees paid according to the provisions of the second paragraph of this article are not enough to maintain the original level of living, the resettlement fees may be increased with the approval of the people's governments of provinces, autonomous regions and municipalities. But the combined total of land compensation fees and resettlement fees shall not exceed 30 times the average output value of the three years prior to the acquisition. In special circumstances, the State Council may raise the standards for land compensation and resettlement fees for land acquired according to the social and economic development level. Article 48 After the plan for land compensation and resettlement fees is finalized, related local people's governments shall make an announcement and hear the opinions of the rural collective economic organizations and peasants whose land has been acquired. Article 49 Rural collective economic organizations shall make public to its members the receipts and expenditures of the land compensation fees for land acquired and accept their supervision. It is forbidden to embezzle or divert the land compensation fees and other related expenses. Article 50 Local people's governments at all levels shall support rural collective economic organizations and peasants in their efforts toward development and operations or in starting up enterprises. Article 52 In the process of the feasibility study for construction projects, land administrative departments may examine the related matters concerning the land for construction purposes and put forward their proposals according to the general plans for the utilization of land, the annual plan for the use of land and standards for land used for construction purposes. Article 53 Whereas a construction project approved needs land owned by the State for construction purposes, the construction unit should file an application with land administrative department of the people's government at and above the county level with the power of approval on the strength of related documents required by law and administrative decrees. The land administrative department shall examine the application and submit it to the people's government at the same level for approval.

Article 54 A paid leasing should be go through in use of land owned by the State by a construction unit. But the following land may be obtained through government allocation with the approval of the people's governments at and above the county level according to law: 1. Land for use by government organs and for military use;

2. Land for building urban infrastructure and for public welfare undertakings; 3. Land for building energy, communications and water conservancy and other infrastructure projects supported by the State; 4. Other land as provided for by the law and administrative decrees. Article 55 Construction units that have obtained State-owned land by paid leasing can use the land only after paying the land use right leasing fees and other fees and expenses according to the standards and ways prescribed by the State Council. Starting from the date when this law comes into effect, 30% of the leasing fees for new construction land shall be handed over to the central finance, with the rest 70% to be retained by related local people's governments, for the development of land for cultivation. Article 56 In using State-owned land, construction units should use the land according to the provisions of the contract for compensated use of leased land use right or according to the provisions of the documents of approval concerning the allocation of land use right. The change of the land to construction purposes should get the consent from the land administrative departments of the related people's governments and be submitted to the people's governments that originally give the approval for the use of land. In changing the purpose of land within the urban planned areas, the consent should be obtained form the related urban planning administrative departments before submission for approval. Article 57 In the case of temporary using State-owned land or land owned by peasant collectives by construction projects or geological survey teams, approval should be obtained from the land administrative departments of local people's governments at and above the county level. Whereas the land to be temporarily used is within the urban planned areas, the consent of the urban planning departments should be obtained before being submitted for approval. Land users should sign contracts for temporary use of land with related land administrative departments or rural collective organizations or villagers committees depending on the ownership of the land and pay land compensation fees for the temporary use of the land according to the standard specified in the contracts. Users who use the land temporarily should use the land according to the purposes agreed upon in the contract for the temporary use of land and should not build permanent structures. The term for the temporary use of land shall not usually exceed two years. Article 58 In one of the following cases, the land administrative departments of related people's governments shall recover the land use right of State-owned land with the approval of the people's governments that originally gives the approval or the people's governments with the power of approval: 1. Use land for the sake of public interests; 2. Use land for adjustment in re-building old city districts in order to implement urban construction plans;

3. When the term for the land use right expires according to what is agreed upon in the contract for compensated use of land, the land user has failed to apply for extension or failed to get approval for extension; 4. The use of land originally allocated has been stopped due to cancellation or removal of units; 5. Roads, railways, airports and mining sites that have been approved to be abandoned. Proper compensation should be given to land use right users whereas the use right of State-owned land is recovered according to the provisions of 1 and 2 of the preceding paragraph. Article 62 One rural household can own one piece of land for building house, with the area not exceeding the standards provided for by provinces, autonomous regions and municipalities. Construction of rural houses should conform to the general plans for the utilization of land of townships (towns) and the original land occupied by houses and open spaces of villages should be used as much as possible for building houses. The use of land for building houses should be examined by the township (town) people's governments and approved by the county people's governments. Whereas occupation of agricultural land is involved the examination and approval procedure provided for in Article 44 of this law is required. The application for housing land after selling or leasing houses shall not be approved. Article 63 The land use right of peasant collectives shall not be leased, transferred or rented for non-agricultural construction, except in the case of legal transfer of the land that conforms to the general plan for the utilization of land and legally obtained by enterprises due to bankruptcy or acquisition. Article 64 Buildings or structures put up before the general plan for the utilization of land and unconformable to the general plans are not allowed to be rebuilt or expanded. Article 65 In one of the following cases, the rural collective economic organizations may recover the land use right with the approval of the people's government that gives the approval for the use of land: 1. Land needed for building public facilities and public welfare undertakings of townships (towns) and villages; 2. Land not used according to the purposes approved; 3. Land not used any more due to cancellation or removal of the original units. Proper compensation shall be given to land users in the case of recovering the land owned by peasant collectives provided for in item 1 of the preceding paragraph.

Regulation on Expropriation and Compensation of Houses on State-owned Land Article 8 In order to meet the public interests such as safeguarding the state security and promoting national economic and social development, the house expropriation is definitely needed for any of the following conditions. Then the city or county people’s government can make the decision of house expropriation.

(1) the need of national defense and foreign affairs; (2) the need of infrastructure construction for energy, transport, and water conservancy organized and implemented by the government; (3) the need of public affairs for science and technology, education, culture, health, sports, environmental and resources protection, disaster prevention and mitigation, cultural relic protection, social welfare, and municipal utilities organized and implemented by the government. (4) the need for low-income house organized and implemented by the government; (5) the need for reconstruction of the dangerous houses and poor infrastructure district in accordance with the relevant provisions of the urban and rural planning organized and implemented by the government; (6) the need for other public interests needs set by laws, administrative rules and regulations. Article 10 The house expropriation departments makes an initial draft for expropriation and compensation and submit to city or county people's government. The city or county people's governments shall organize relevant departments to demonstrate and publish the expropriation and compensation draft to ask for public opinion, the period of which should not be less than 30 days. Article 12 Before the city or county people's government makes the decision of house expropriation, the government should make a social stability risk assessment. If the amount of house expropriation is large, it should be discussed and decided by the executive meeting of the government. Before the decision of house expropriation is made, the fund of expropriation and compensation should be in full amount in place, be deposited in special account and used only for this purpose. Article 13 After the decision of house expropriation was made, the city or county people’s government should announce it in time. The announcement should include the house expropriation and compensation plan, the rights for the administrative reexamination and administrative proceedings and so on. The city or county people's governments and the house expropriation department should do well in propagating and explaining the house expropriation and compensation. The house is expropriated legally, at the same time, the use rights for state-owned land is also taken back. Article 16 After the range of house expropriation is determined, it is banned to newly build, expand, rebuild houses and to change the use of houses for more unreasonable compensation; no compensation will be paid to the implementation against the regulations. The house expropriation department should inform the relevant departments the above-mentioned behavior in written form to suspend relevant procedures. The written form should make the period of suspension clear, which should be no longer than one year. Article 17 The compensation to the expropriate by the city or county government that make the decision of house expropriation should include the following:

(1) Compensation for the value of expropriated house; (2) The compensation for moving house and temporary shelters caused by house expropriation; (3) The compensation for production shut-down or business shut-down caused by house expropriation. The city or county people's government should formulate subsidies and incentive measures to subsidize and reward the expropriated household. Article 19 The compensation of the expropriated house should not be lower than the market price of the similar house on the publish date of the house expropriation decision. The value of expropriated house is decided by the qualified house evaluation organs according to the formulations of expropriated house evaluation. Article 21 The expropriated household/entity can choose monetary compensation or choose house property right exchange. Article 25 Based on the provisions of this regulation, the house expropriation department and the expropriate sign compensation agreement on compensation method, compensation amount, payment period, the location and area of the house for property right exchange, moving fee, temporary relocation fee or temporary shelter house, production shut-down and business shut-down loss, time limit for removal, the transition way and transition period, and so on. After the signing of the agreement, if one party does not fulfill the appointed obligation in the agreement, the other party can lodge a lawsuit according to law. Article 26 If the house expropriation department and the expropriate can not reach a compensation agreement during the signing period defined by the house expropriation plan, or the owner of the expropriated house is not clear, the house expropriation department reports to the city or county people’s government to make compensation decision and shall make public announcement in the house expropriation range according to the provisions of this regulation and the house expropriation plan. The compensation decision should be fair, including the relevant compensation agreement in Item 1, Article 25 of this regulation. If the expropriate refuses to accept the compensation decision, he can apply for administrative the administrative reexamination or lodge a lawsuit according to law. Article 27 The implementation of house expropriation shall compensate first and then move. After the city or county people's government that makes the house expropriation decision compensates the expropriated household/entity, the expropriated household/entity should finish moving within the deadline defined by the compensation agreement or compensation decision. No unit or individual can force the expropriate to move by violence, threat or illegal ways such as cutting off water supply, heat supply, gas supply, power supply and traffic, and the construction unit is banned to take part in the removal activity. Article 29 The house expropriation department shall establish house expropriation and compensation files according to laws, and publish compensation for each household for the expropriate in the house expropriation range.

Regulations of XUAR for the Implementation of the Land Administration Law of the PRC Chapter 1 General Provisions Article 2 These Regulations shall be complied with by all those who engage in land protection, development, utilization, supervisory and administrative activities within the jurisdiction of Xinjiang Uygur Autonomous Region. Article 6 State-owned land shall be used on a compensated basis according to law, and shall not be invaded, traded or transferred illegally by any entity or individual in any form. Governments at all levels shall take stops to plan, strictly manage, conserve and develop land resources, and prohibit illegal land occupation.

Chapter 2 Land ownership and use rights Article 8 Users of state-owned land and owners or users of collective land must apply for land registration with the administrative authority for land of a county-level or above government, and obtain a permit to use state-owned land or certificate of ownership or permit to use collective land.

Chapter 4 Farmland protection and land reclamation Article 20 A compensation system for farmland occupation is practiced in Xinjiang Uygur Autonomous Region. Anyone who occupies farmland for nonagricultural construction with approval must be reclaim farmland of the same amount and quality as the occupied farmland or obtain it by land consolidation; where conditions do not permit farmland reclamation, farmland reclamation fees shall be paid at a rate of 15,000-45,000 yuan per hectare based on the rating of the occupied farmland to be used specifically for farmland reclamation. Article 21 Anyone who occupies basic farmland with legal approval and has to pay farmland reclamation fees shall pay such fees at 1.5 times the rate for ordinary farmland reclamation. Article 25 The following types of land shall not be reclaimed: (1) Prohibited areas identified in overall land utilization plans; (2) Natural hay fields, artificial pastures, fenced pastures and high-grade pastures; (3) Woodland and river or lake flat; (4) Sloping land with a gradient of over 25 degrees and desert land exposed directly to sandstorm; and (5) Areas whose ownership is disputed.

Chapter 5 Land for Construction Article 31 The examination and approval procedures for converting agricultural land to construction uses shall be gone through in accordance with the following provisions in case land is occupied by state construction. (1) In the range of the land for village and town construction defined in the overall planning of

township land utilization, the use of the land collectively owned by farmers and herdsmen for construction of township and village enterprises, rural common facilities, public utilities, rural roads, water conservancy projects and other facilities is subject to the approval of autonomous prefecture or municipal people’s government or administrative office according to the control quotas defined by the yearly plan for land use. (2) In the range of the land for village and town construction defined in the overall planning of land utilization, the use of the land for implementation of the planning is subject to the approval of the People’s Government of the autonomous region or shall comply with the provisions of the laws and regulations approved by the State Council. Article 35 Land expropriated for state construction shall be compensated according to the following standards: (1) 8 to 10 times the annual output value of local cultivated land shall be compensated for expropriated basic farmland; (2) 7 to 9 times the annual output value of local cultivated land shall be compensated for expropriated irrigable land and fish pond other than basic farmland; (3) 7 to 8 times the annual output value of local cultivated land shall be compensated for expropriated dry cultivated land other than basic farmland; (4) 6 to 7 times the annual output value of local cultivated land shall be compensated for expropriated forest land, artificial grassland, house site, rural road, threshing floor and other lands; (5) 6 times the annual output value of local grassland shall be compensated for expropriated natural grassland; The land as sated in Point (1), (2), (3) and (4) expropriated for construction of major transport, water conservancy and other projects approved by the state or the autonomous region shall be compensated 6 times the annual output value of local cultivated land. The output values of all types of cultivated lands and grasslands shall be determined to the average annual production value of the three years before requisition. Article 36 The young crops and their attachments on expropriated land shall be compensated to the following standards: (1) Common young crops shall be compensated to their average output value of in the last three years. Young root crops shall be compensated to 2 to 3 times their average output value of in the last three years. (2) The buildings, structures, other facilities and forest trees on expropriated land shall be compensated according to the actual losses under the relevant stipulations. (3) For the relocation of the tombs on expropriated land, the local people’s government makes an announcement on and time limit of and reimbursement for rebury in pursuance of the relevant prescriptions. Unclaimed tombs and those having not been relocated within the time limit will be removed by the associated department as organized by the local people’s government.

Article 37 The relocation subsidy for expropriated arable land shall be paid under the Land Administration Law of the PRC, Article 47, Clause 2. The relocation subsidy may be appropriately increased provided that the per capita arable land is less than 0.1 hectare before land requisition. However, the total sum of the land compensation and relocation subsidy for expropriated land shall not exceed 30 times its average annual output value before land requisition. The relocation subsidy for expropriated fish pond shall be paid with reference to that for adjacent cultivated land. The relocation subsidy for expropriated forest and grass lands shall be determined with reference to that for cultivated land requisitioned. No relocation subsidy shall be paid for the requisition of house sites, rural roads and threshing floor. Article 39 The compensation for expropriated rural land of collective economic organization is owned by the rural collective economic organization. The compensation for the attachments and young crops on the land is owned by their respective owners. The collective economic organization expropriated of land shall make the incomings and outgoings of the compensation for land requisition to its members and subject itself to supervision. Misappropriation and peculation of the compensation for the land requisition and other related funds are prohibited. Article 40 When the people expropriated of land are to be resettled by a rural economic organization, the resettlement subsidy shall be paid to the organization, which manages and uses the money according to laws. If they are to be resettled by other organization, the resettlement subsidy shall be paid to the corresponding resettling organization. In case no unified resettlement is required, the resettlement subsidy shall be paid to the individuals to be resettled or used for pay their insurance expense with their approval. The resettlement subsidy shall be earmarked its specified purposes only without peculation. Municipal, county and township governments shall enhance the supervision of the use of resettlement subsidy. Article 46 The areas of the house sites of rural villagers shall follow the following standards (by county for per capita cultivated land). (1) The area of the house site of each household shall not be greater than 200m2 if the per capita cultivated land is less than 0.04 hectare. (2) The area of the house site of each household shall not be greater than 300m2 if the per capita cultivated land is 0.04 to 0.07 hectare. (3) The area of the house site of each household shall not be greater than 400m2 if the per capita cultivated land is 0.07 to 0.1 hectare. (4) The area of the house site of each household shall not be greater than 500m2 if the per capita cultivated land is 0.1 to 0.14 hectare. (5) The area of the house site of each household shall not be greater than 600m2 if the per capita cultivated land is 0.14 to 0.34 hectare. (6) The area of the house site of each household shall not be greater than 800m2 if the per capita cultivated land is over 0.34 hectare.

The above standards for the areas of house sites may be appropriately raised up to twice if unused lands are used for building houses.

"Autonomous notice on the promulgation and implementation of a unified annual output value standard " (Xinjiang MLR [2011] No.19) Yili Kazak Autonomous Prefecture Land and Resources Bureau, Development and Reform Commission, the Financial Bureau, around the City Land Resources Bureau, Development and Reform Commission, the Financial Bureau: Autonomous land unified annual output value standard has been approved by the regional government, are hereby promulgated. After January 1, 2011, land for construction of new reporting, involving imposition of collective farmland, garden compensation standards here. Former Autonomous Region Development Planning Commission, Ministry of Finance "On Land and Resources issued the autonomous system of land management administrative fees notice" ( New Price house 500 [2001]) Note A, and table Note C adjusted accordingly Please do a good job around the convergence of old and new compensation standards work, increase efforts to explain the policy advocacy, and effectively safeguard the interests of landless farmers and herdsmen. Accessories: autonomous land unified annual output value standard

Collective land compensation standard First grade collective Second grade collective Degree Third grade collective land land land Compensation standard 1500 800 600 (yuan/mu) 1 This table standard applies to arable cultivation of food crops. 2, the annual output value of farmland planted specialty crops, vegetable, orchard farmland should be higher than the first-class standard table; cotton fields should be Note paid at maximum of 1.5 times; orchard may not exceed two times; vegetable may not exceed three times; grapes ground shall not exceed 4 times. Other crops actual annual output estimates Standard of resettlement subsidy Per capita arable area Times of resettlement subsidy standard (mu)

>3.0 mu 12—13 2.0—3.0 14—16 1.0—2.0 17—20 30 times of the sum of land compensation fees and <1.0 mu resettlement subsidy Note: The land compensation and resettlement subsidies multiples of two and 20 times the compensation shall not be less than the base. Land compensation fee is generally 8 times.

Table Notes to Document [XJJF (2001) No.500] Appendix 1 Table 1.1 Calculation bases of farmland compensation Unit: Yuan/mu I II III Grade (High-yield) (High-yield) (High-yield)

Level 1500 800 600 1. These rates apply to farmland on which cereal crops are grown; 2. For farmland on which special crops are grown, vegetable plots and orchards, annual Notes output values shall be higher than that of Grade I farmland; that of cotton land may be up to 1.5times, that of orchards up to 3 times, that of grape land up to 2 times, and that of other cash crops measured at actual annual output value. Note: the amount of land compensation and resettlement subsidy can’t lower 20 times than compensation standard; land compensation is 8 times.

Table 1.2 Calculation bases of pasture land compensation Unit: Yuan/mu Grade I II III Base amount Excellent/good Medium Inferior Level 1 328 262 120 2 262 148 88 3 136 96 63 4 80 69 50

Table 1.3 Standard of resettlement subsidy Per capita arable area Multiple of average annual (mu) output value of the past 3 years

>3.5 mu 4—5 3.0—3.5 6—7 2.5—3.0 8—9 2.0—2.5 10—12 1.5—2.0 13—15 1.0—1.5 16—18 0.5—1.0 19—20 30 times of the sum of land compensation fees and <0.5 mu resettlement subsidy

Table 1.4 Standard of compensation fees for urban state-owned land Unit: Yuan/m2 Entity Within built-up area Out of built-up area Urumqi Municipality 30 20

Karamay, Shihezi, Kuytun, Changji, Bole, Yining, Tacheng, Korla, Altay, Turpan, Hami, Aksu, Artux and 20 10 Hetian Municipalities

Other counties (cities) 15 8 Other townships 6 2

Table 1.5 Compensation rates for timber and commercial forests

Item / species Unit Tree specification (breast diameter, cm) Compensation rate (Yuan)

/ <5cm 10-15. / 5-15cm 15-25 Broad-leaf forest / 13-30cm 25-35 / >30cm 45 / <5cm 20-30

Coniferous / 5-15cm 30-50 forest / 13-30cm 50-70 / >30cm 90 / <5cm 20-40 / 5-15cm 40-60 Fruit tree / 13-30cm 60-100 / >30cm 120 / Not bearing fruit below 3 years 30-70 Grape / Bearing fruit above 3 years 70-110 Note: The forest compensation fees of Zhengbo Reserve are higher by 50%.

Table 1.6 Compensation rates for scrub forests Close canopy (%) Rate (Yuan/mu) 20—40 300 40—60 500 >60 600

Table 1.7 Rates of management fees for temporary land uses Nature of land Land type and area Rate Remarks

Land for infrastructure Any period less than one construction projects, such year shall be counted as as energy, traffic, water 20 Yuan/year*mu one year, and more than resources, communication one year but less than two and investigation years as two years.

Operating temporary land Within built-up area 1-2 Yuan/month*m2 uses Out of built-up area 0.1-0.5 Yuan/month*m2 Within built-up area 0.3-0.5 Yuan/month*m2 Other temporary land uses Out of built-up area 0.1-0.3 Yuan/month*m2

Appendix 2: Resettlement Information Booklet (RIB)

(Name of affected person)

In order to relieve traffic congestion, and improve road safety and the county town’s overall image, Emin County Government (executing agency) plans to use part of an ADB loan to implement a municipal infrastructure in Emin County, which is one of components of the ADB-financed Xinjiang Tacheng Border Cities and Counties Development Project. The Project will affect your family (entity) to some extent. This booklet is provided to you so that you understand the basic information of the Project, state policies on land acquisition, house demolition and resettlement, and possible impacts on you.

I. Composition of the Project

Emin construction beruau is the IA for this project. It includes three parts,(i) Road Component: including 5 construction of new roads and existing road, the total length of the road is 10,131 m, including 6,907 m of the 4 new roads and 3,224 m of one existing road; and ancillary road lighting , landscaping , traffic signs and road maintenance equipment sanitation also can be included; (ii) Water Supply Conponent:the total length of county water supply network is 7,803 m, including 50 valve wells, and 70 hydrant wells; and (iii) Drainage Component: including 10,970 m of new drainage network.

II. Impacts of the Project

The LA and HD will affect Emin Town and Jiaodong Town, Jiaodong Village and Jiujiahu Village, and communities of Aerxiatelu and Tachenglu. 404 persons will be affected by LA and HD, including ethnic minority for 195 persons (accounting for 48.27%).

III. Compensation rates

A. Compensation for Land Acqusition Collective land compensation (arable land) has several options, the APs can chose following options with individual need: (1) cash compensation according with autonomous regulations related to arable land acquisition; (2) property exchange; and (3) commercial resettlement house as compensation (1) Monetary Compensation Collective land compensation (arable land) standard is made in accordance with the "Notice on Promulgation and Implementation of a unified annual output value standard of Xinjiang Autonomous Region Land " (issued by Xinjiang MLR [2010] No. 323), as shown in Table 1 and Table 2. Table 4: Unified Annual Output Values of Collective Land Degree Collective Land Grade I Collective Land Grade II Collective Land Grade III Annual Output 1,500 800 600 Value (yuan/mu) Note 1. This table standard applies to arable cultivation of food crops. 2. The annual output value of farmland planted specialty crops, vegetable, orchard farmland should be higher than the first-class standard table; cotton fields should be paid at maximum of 1.5 times; orchard may not exceed two times; vegetable may not exceed three times; grapes ground shall not exceed 4 times. Other crops actual annual output estimates

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The project land acquisition compensation standards are determined and presented in Table 2: Table 5: Cultivated Land Compensation Standard of the Project

Compensation standardyuan/mu Type Land Resettlement Young corps Total compensation subsidy

Cultivated land 15,000 30,000 1,500 46,500 SourceSupplied by Emin County construction bureau and land and resource bureau in September 2013 All land resettlement subsidies, young crop compensation fees and ground attachments to the land will be paid directly to affected households, while the land compensation will be paid to the rural collective economic organizations in accordance with Article 26 of the "Regulations for the Implementation of Land Administration Law". (2) Compensation with Residential Housing For APs who choose residential housing as compensation for the land acquisition, one mu of acquired farmland can be compensated with 100 m2 construction area of a residential apartment. According to this replacement relation, if an acquired farmland area is less than the construction area of a residential apartment, APs need to pay for the construction area of the residencial apartment over the acquired farmland area in local market price. For example, if an AH losed 0.9 mu farmland, they can be compensated with an apartment of 90 m2. However, if no apartment with 90 m2, or they like 100 m2 apartment, they have to pay for 10 m2 apartment in local market price. However, if they like 80 m2 apartment, they will be compensated with an apartment with 80 m2 and resettlement subsidy and young crop compensation for 0.1 mu. There are different sizes of residential apartments in order to meet AHs with different areas of farmland loss. (3) Compensation with Commercial Housing For APs who choose commercial housing as compensation for the land acquisition, one mu of acquired farmland can be compensated with 50 m2 construction area of a commercial housing. The commercial housing is used for operation of business in resettlement community. According to this replacement relation, if an acquired farmland area is less than the construction area of a commercial housing unit, APs need to pay for the construction area of the commercial housing unit over the acquired farmland area in local market price. For example, if an AH losed 0.8 mu farmland, they can be compensated with an commercial unit of 40 m2. However, if no commercial unit with 40 m2, or they like 50 m2 apartment, they have to pay for 10 m2 commercial unit in local market price. However, if they like 30 m2 commercial unit, they will be compensated with a commercial unit with 30 m2 and resettlement subsidy and young crop compensation for 0.2 mu. There are different sizes of commercial housing units in order to meet AHs with different areas of farmland loss. For collective and state-owned residential homestead land, the reference Emin county area in 2013 benchmark premium to compensate for the land, the specific compensation standards in Table 3.

Table 3： Emin County Land benchmark premium Unit:yuan/m2

grade I II III

Commercial land 480 310 190

Residential land 290 210 145

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Industry land 150 120 90 Sourceprovided by L&R bureau in September 2013

B. Residential of housing compensation standards House demolition compensation will be paid in accordance Xinjiang Uygur Autonomous Region People's Government promulgated the Ordinance on state-owned land on the housing levy and Compensation issued in January 1, 2014; house demolition compensation standard will be fixed by real estate assessment according to the market price of first half of 2013, consultation with the demolition compensation factor as the real estate market price fluctuations, the final price will be compensation for the demolition of housing after real estate valuation mapping company on-site assessment; house demolition compensation includes not only compensation for house structure also includes the state-owned residential land and homestead compensation. Specific compensation standards shown in Table 4.

Table 4 residential house compensation standard

Type Structure Unit standardyuan Note

house compensation

Brick and concrete 2 Yuan/m 3500 structure

Brick and wood 2 Yuan/m 3100 Main house structure

Civil engineering 2 Yuan/m 2800 structure Brick and concrete 2 2000 structure Yuan/m

Brick and wood 2 Yuan/m 1800 Side house structure

Civil engineering 2 Yuan/m 1600 structure Brick and concrete 2 1500 structure Yuan/m

Brick and wood 2 Yuan/m 1200 Affiliated House structure

Civil engineering 2 Yuan/m 1000 structure Brick and concrete 2 1200 structure Yuan/m

Brick and wood 2 Yuan/m 1100 Sheds structure

Civil engineering 2 Yuan/m 1000 structure Brick and wood Simple house 2 400 structure Yuan/m

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Type Structure Unit standardyuan Note

Civil engineering 2 Yuan/m 200 structure Land compensation

State-owned First degree Yuan/m2 290

residential land Second degree Yuan/m2 210 Only for the open area in yard and steady land Third degree Yuan/m2 145 Other subsidy Moving fee Household 1000

Transition fee household/minth 1250 Pay for 18 months

Source ：Emin LAR The households affected by HD may chose cash compensation or property right exchange or purchase commercial housing. They may chose a resettlement option based on affordability and individualized needs. (1) Property right exchange: A house will be appraised by a real estate appraisal agency based on location, house structure, house size, floor and decoration, and by reference to local market price. The real estate appraisal agency will listen to an AH’s comments before fixing its house’s appraised price; if the AH agrees with property right exchange, its house will be exchanged based on approved (licensed) floor space at the following rates: 1:1 of the house construction size of the acquired house in masonry concrete structure (licensed main rooms), 1:0.9 of the size of the acquired house in masonry timber structure (licensed main rooms) and 1:0.8 of the size of the acquired house in earth timber structure (licensed main rooms); other houses (unlicensed) and facilities will be compensated for at appraised price. APs can repurchase the residential house area with demolished attachments compensation and transition costs, repurchase housing area is in 2,380 yuan/m2; APs can replace the resettlement house with available open space (owned residential land, homestead), replacement method is that the open area is no more than 300 m2 (including 300 m2), the replacement rate is 4:1, which means that 4 m2 open area can replace 1 m2 resettlement house. The open area is more than 300 m2, the replacement rate is 5:1, which means that 5 m2 open area can replace 1 m2 resettlement house. The resettlement housing offered is in the form of new multi-storied buildings, and will be offered first to whoever moves first. The size of resettlement housing under property swap includes shared size. If the building area of the resettlement apartment is greater than that of the demolished house, the price for extra area should be paid as ordinary commercial house price. (2) Cash compensation: A house will be appraised by a real estate appraisal agency based on location, house structure, construction size, floor and decoration, and by reference to market price; the cash compensation would be fully paid at one time after sign the contract. After getting cash compensation. AHs can purchase commercial houses or by a second house, or do investment according to their individualized needs. (3) After the cash compensation, to allocation land, and self construction of unified

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planning: if APs do not want to livecin apartment, want to live in flat house, it would be designed together according to the existing situation and APs’ needs; According to the planed design, to allocate an area for these APs to construct their own house, and a one-time cash compensation will be paid, and they can construct as their own wishes within that area. Balidushi community is located Wenhua Road, and adjacent to an constructing agricultural trading center, with beautiful environment, which is convenient for residents for leisure life and is planned to be constructed as a large residential community. Currently the buildings are under construction, which is expected to deliver the houses in December 2015. With a planned land area of 29.37 hectares, including a public building area of 50,000 m2. The community is planned to accommodate 3,000 households with 11,100 persons. The community will be constructed in strict conformity with the Building Codes for urban residential district planning and design, and has such public facilities as nursery, kindergarten, primary school, health center, cultural activity station, savings office, postal office, community service center, property management and commercial services. There are two types of room layouts – (i) two bedrooms and two living rooms, and (ii) three bedrooms and two living rooms. 5 housing sizes are available – 86, 118.4, 115.8, 127.2 and 171 m2.

Figure 1: Layout Plan of the Baliduhui Resettlement Community

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Figure 2: Apartment Buildings of Baliduhui Resettlement Community

Flat house resettlement area is located on both sides of the Ejia Road of Emin County, adjacent to the planned No.5 Road, 3.3 km away from the county, with convenient transportation, residents can easily hang out, go to school, or take medical care, only 3km far away from the Emin County High School, 3.5 km from the county hospital. According to the planed design, APs will construct their own houses on allocate land areas once receiving the house compensation cash at a one-time. C. Resettlement program for Livestock breeding households The PMO has offered four resettlement options to the livestock breeding households in consideration of their needs: (1) Cash compensation (consistent with the compensation rates for residential houses): The compensation price for a demolished house will be paid up at a time based on appraisal. After receiving house compensation, the AHs may choose a resettlement mode based on affordability and individualized needs, such as purchasing commercial housing or secondhand housing or making other investments. (2) Property right exchange: If any livestock breeding household does not want to pursue stockbreeding but wishes to obtain resettlement housing, it may exchange for resettlement housing in a resettlement community in the same way as above residential households. Resettlement housing will be offered first to whoever moves first. If the building area of the resettlement apartment is larger than the demolished house, the price for extra area should be paid as ordinary commercial house price (3) Unified planning and construction: The PMO will plan and construct a central resettlement community for livestock breeding households based on their current conditions and needs in a unified manner. After completion, the AHs may move directly into it. (4) Unified planning and self-construction: The PMO will plan a central resettlement community for stockbreeding households based on their current conditions and needs in a unified manner. The boundary line and scheme for house construction will be defined for each AH. After receiving cash compensation, each AH will construct its house by itself.

D. Enterprises compensation standard Enterprises final demolition compensation price will be fixed after real estate appraisal on-site assessment by mapping company. Then consult with the APs. Enterprises, house demolition compensation standards shown in Table 5

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Table 5: Enterprises compensation standard Compensation Type Structure Unit Note standardyuan House compensation Office two floors Brick and concrete Yuan/m2 3200 meeting room, storage room, duty Brick and concrete Yuan/m2 2000 roomflat house Moving subsidy HH Yuan/m2 1000

Transition fees HH/M Yuan/m2 1250

Land compensation First degree Yuan/m2 150 State owned land 2 Only for the open area in Second degree Yuan/m 120 industrial land yard Third degree Yuan/m2 90 Other cost Moving subsidies household 1000 Temporarily paid 18 Transition fee household/month 1250 months Source: HD E. Compensation Rates for Attachment and Infrastructure Special facilities affected by the project are shown in Table6.

Table 6: Compensation Rates for Attachment and Infrastructure Item Total Compensation standard Cement poles 15 500 Wire Pole Wooden poles 10 300 Well 31 1200 Vegetable cellars 2 600 Sewage pit 2 1200 <5cm 40 18 5-15cm 77 35 Elm 15-30cm 59 120 >30cm 3 100 5cm 25 20 5-15cm 60 40 Polar 15-30cm 33 50 30cm 2 150 5cm 5 20 5-15cm 5 60 Willow 15-30cm 9 150 30cm 7 160 Fruit trees 5cm 90 18

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5-15cm 5 60 Jujube 5-15cm 3 200 Walnut trees 5-15cm 2 300 Peach trees 5-15cm 3 200 5cm 110 20 Polar 5-15cm 2 60 Oak 5cm 10 30 Fraxinus chinensis 5-15cm 5 100 5cm 103 80 Grapes 5-15cm 18 100 Source： From Emin County Housing Levy Office IVEntitlement Matrix The project affected people's rights and livelihood rehabilitation measures are shown in Table 7. Table 7 Entitlement Matrix

Type of Impact APs Entitlements Compensation Policy and Rates Impact Scope Rights: (i) land compensation will be paid to village collective economic organizations, while both resettlement subsidy and Permanent crop Land compensation Acquisition of will be paid to Cultivated the APs when Land of 81 chose the Compensation Standards: (i) Land compensation standard is 15,000 yuan/mu; mu, including Affected 32 monetory resettlement subsidy standard is 30,000 yuan/mu; and crop compensation is 1,500 Permanent 60.50 mu of HHs with compensation; yuan/mu. The total is 46,500 yuan/mu; (ii) Residential housing compensation is based Land contracted 103 people (ii) on one mu of acquired farmland will be compensated with 100 m2 a residetnail Acquisition land, 16 mu of in both APs can chose housing apartment; and (iii) Commercial housing compensation is based on one mu of of collective Jiujiahu residential acquired farmland will be compensated with 50 m2 a commercial housing unit. Cultivated unused land village and housing as Land in Jiujiahu Jiaodong compensation Compnesation Methods: (i) Monetory compensation; (ii) Compensation with village, and village or commercial residetnail housing apartments; and (iii) Compensation with commercial housing units. 4.5mu of housing as collective compensation unused land for farmland in Jiaodong loss; (iii) during village. project construction, the PMO will provide unskilled job priority to APs, so that the APs will generate cash income; and (iv) the PMO will

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Type of Impact APs Entitlements Compensation Policy and Rates Impact Scope provide technical training for APs, inviting the technical staffs from agricultural sector and the labor and social security bureau to carry out trainings on farming and non-agricultural production, and make sure all APs received the training at least 2 times.

Measures to restore the livelihood of APs include: (i) with the help of cash compensation, APs can engage in non-agricultural activities, such as transportation or business; (ii) adjusting the agricultural structure, via the guidance and technical training from government, to expand the acreage of cash crops, and (iii) develop family breeding to improve the economic income. Righs: (i) Type of Standard Structure Unit Remark 13,133.92 m2 consult to houses yuan of residential determine a Compensation on house HD of houses, third-party 74 HHs with Residential including housing Brick-concre 2 282 people yuan/m 3500 houses brick-concrete appraisal te of 2 Principal (including 4,710.75 m2 company to yuan/m2 communities room Brick-wood 3100 livestock brick-wood assess market and 1 village Earth-wood yuan/m2 2800 raisers 6,937.13 m2 prices of Brick-concre yuan/m2 earth-wood compensation 2000 1,486.04 m2 for the HD; (ii) Deputy room te 2 voluntarily Brick-wood yuan/m 1800

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Type of Impact APs Entitlements Compensation Policy and Rates Impact Scope 2 chose to Earth-wood yuan/m 1600 resettlement Brick-concre yuan/m2 methons, 1500 te including (a) Affiliared 2 Brick-wood yuan/m 1200 monetary house 2 compensation, Earth-wood yuan/m 1000 (b) property Brick-concre yuan/m2 right 1200 te replacement, Livestock 2 Brick-wood yuan/m 1100 (c) pens 2 self-constructi Earth-wood yuan/m 1000

on of house on 2 Brick-wood yuan/m 400 new housing Simple 2 land; and (d) houses Earth-wood yuan/m 200 buy cottages in a planned Conpensation for arable Land yuan/m2 area; (iii) for State-owned Grade one 290 APs who like 2 Only compensate residential yuan/m Grade two 210 for the vacant land to live in land and Grade yuan/m2 in yard. cottages, after homestead 145 receiving three monetary Other Compensation compensation, Moving Subsidy yuan/HH 1,000 they can build their cottages yuan/HH/Mo Calculated in 18 on a allocated Transitional subsidy 1,250 land in the nth months

planning area; (iv) for APs who like to engage in aquacultural indusrtry, after receiving monetary compensation, they can build their aquacultural area on a allocated land in the planning area; and (v) receive moving subsidy, and transition subsidy.

(i) assess the Type of Standard Structure Unit Remark market price of Houses yuan affected building Compensation of houses to get House 2 1,604.3 m2 of Leader of compensation; Brick- yuan/m Demolition Office building 3,200 brick-concrete Forestry (ii) moving and concrete of Public building Bureau transition (Meeting room, Institution Warehouse, Brick- subsidies; and yuan/m2 2,000 (iii) voluntarily duty room) concrete choose to bungalow resettlement, Moving yuan/HH 1,000

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Type of Impact APs Entitlements Compensation Policy and Rates Impact Scope including (a) subsidy cash Transition yuan/ compensation, 1,250 subsidy HH/Month (b) build new buildings on the Conpensation for arable Land allocated land. 2 Grade I yuan/m 150 Only State-owned 2 compensate for land (Industrial Grade II yuan/m 120 the vacant land land) 2 Grade III yuan/m 90 in yard.

Besides the rights above, they have the more right of (i) during project construction, provide unskilled job priority to them; (ii) in priority to get the training on farming and non-agricultural production provided by agricultural sector and the labor and social Vulnerable 2 HHs with 2 2 HHs with security bureau; Same as above Groups people 2 people (iii) have the priority to choose the house of floor location and house pattern; and (iv) establishment of a special fee to support vulnerable groups in particular 5,500 yuan, giving some special help to vulnerable groups. 35 HHs with Besides the 158 people rights above, Ethnic 45 HHs with by HD; 10 they have the Minority Same as above 186 people HHs with 28 more right of (i) Group people by during project LA construction,

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Type of Impact APs Entitlements Compensation Policy and Rates Impact Scope provide unskilled job priority to them; (ii) in priority to get the training; and (iii) have the priority to choose the house of floor location and house pattern. Besides the rights in first column, they have the more right of (i) have priority access to project non-technical jobs employment; (ii) enjoy the labor and training priorities, in order to ensure Women 184 people 184 people Same as above their economic status is not compromised; and (iii) ensure that the resettlement process access to relevant information and be able to participate in consultation related to LAR issues. (i) Ground attachment Compensation Nature Items Total (power poles and fruit trees) Standard(yuan) compensation Cement will be paid to 15 500 Individual the owners poles Wire Pole according to Wooden their 300 Ground 10 Individual Public replacement poles Attachment Property facilities and costs; and (ii) s and Public owners trees the Well 31 Facilities 1200 Individual compensation Vegetable cellars 2 Individual will be 600 determined Sewage pit 2 Individual according to the 1200 replacement <5cm 40 18 Individual cost and restoration shall Elm 5-15cm 77 35 Individual be in 15-30cm 59 120 Individual accordance with

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Type of Impact APs Entitlements Compensation Policy and Rates Impact Scope the original >30cm 3 100 Individual scale and standards. 5cm 25 20 Individual 5-15cm 60 40 Individual Polar 15-30cm 33 50 Individual

30cm 2 150 Individual

5cm 5 20 Individual

5-15cm 5 60 Individual Willow 15-30cm 9 150 Individual

30cm 7 160 Individual

5cm 90 18 Individual Fruit trees 5-15cm 5 60 Individual

Jujube 5-15cm 3 200 Individual

Walnut 5-15cm 2 300 Individual trees

Peach 5-15cm 3 200 Individual trees

5cm 110 20 Individual Polar 5-15cm 2 60 Individual

Oak 5cm 10 30 Individual

Fraxinus 5-15cm 5 100 Individual chinensis

5cm 103 80 Individual Grapes 5-15cm 18 100 Individual

All special facilities affected by the project are acquired reconstruction and rehabilitation. The PMO will (i) pay the compensation Special Construction to owners and Facilities institution owners are responsible for reconstruction of the special facilities; or (ii) include the cost for resoration of the facilities in the project construction

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Type of Impact APs Entitlements Compensation Policy and Rates Impact Scope budget and civil contractors are responsible ofr the restoration. The owners can select one of ways after full consultation with the PMO.

V. Appeal Procedure

If you have any complains and problems during the LAR implementation, please follow procedures below and contact relevant persons listed below: Stage 1: If any AP is dissatisfied with any land acquisition and resettlement of any other safeguards related problems, he/she may file an oral or written appeal with the community committee/sub-district office orally or in writing. In case of an oral appeal, the community committee/sub-district office shall handle such appeal and keep written records. Such appeal should be solved within 2 weeks. Stage 2: If the AP is dissatisfied with the disposition of Stage 1, he/she may file an appeal with Emin City Land and Resources Bureau or the LA and HD management office (depending upon the issue) after receiving such disposition, which shall make a disposition within 2 weeks. Stage 3: If the AP is still dissatisfied with the disposition of Stage 2, he/she may file an appeal with the Emin PMO receiving such disposition, which shall make a disposition within 2 weeks. Stage 4: If the AP is still dissatisfied with the disposition of Stage 3, he/she may apply for administrative reconsideration with Emin County Government after receiving such disposition within 3 months.

Alternatively, he/she may file an action in a civil court in accordance with the Civil Procedure Law of the PRC at any time irrespective of the use and progress of the GRM process. At each stage, when the responsible agencies receive the appeal, it will be also copied to the PMO for discussion, so that the grievance can be redressed at lower levels. All grievances (and their resolution) at each stage will be recorded and kept. The PMO will report the grievances and their resolution) to ADB in semiannual monitoring reports. Alternatively, the aggrieved person(s) may submit a complaint to the ADB’s Project Team to try to resolve the problem. If good faith efforts are still unsuccessful, they may submit their complaint to ADB's Accountability Mechanism (2012).4 The first step requires good faith efforts to resolve the problem with the ADB Project Team. APs may file an appeal on any aspect of resettlement, including compensation rates, etc. The above means of appeal, and the names, locations, persons responsible and telephone numbers of the

4 http://www.adb.org/Accountability-Mechanism/default.asp. 113

appeal accepting agencies will be communicated to the APs at a meeting, through an announcement or the RIB, so that the APs know their right of appeal. Mass media will be used to strengthen publicity and reportage, and comments and suggestions on resettlement from all parties concerned will be compiled into messages for disposition by the resettlement organization at all levels. All agencies will accept grievances and appeals from the APs for free, and costs so reasonably incurred will be disbursed from the contingency costs. During the whole construction period of the Project, these appeal procedures will remain effective to ensure that the APs can use them to address relevant issues.

County legal authority County PMO

ADB County disciplinary inspection Emin CLRB/PMO authority

External monitoring County appeal accepting Affected sub-district offices authority

Affected household/ village committee/ town government

In order that the APs can feed back their grievances timely, contacts have been appointed for different appeal accepting agencies and their contact information disclosed. Head of Jiujiahu Village committee: Yang Zhongtu Tel13565780786

Responsible person for Jiaodong Village committeeYin Boxiong

Tel13779229366 Responsible person for Jiaoqu township government: Liu Zhonglei Tel13579798123

Responsible person for Emin County L&R BureauWang Jingwen

Tel13809970667

Responsible person for Emin County PMOLi Changbin

Tel13999488111

Responsible person for Emin County Construction BureauZhang Xinqiang

Tel13999484875

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Responsible person for LA and compensation leading groupWang Yanzhou

Tel15709019888

Head of the Emin County letters and visits departmentSun Yibing

Tel13899371199 Head of the Emin County disciplinary inspection department: Ma Yongqiang Tel13679988884 Head of the Emin County legal department: Tuoliu Tel13899391521 External M&E agency: uncertain.

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Appendix 3: Terms of Reference of External Monitoring and Evaluation

1. Objective According to ADB policy requirements, Tacheng Prefecture PMO will hire a qualified, and experienced in ADB loaned project external resettlement monitoring agency. External monitoring and evaluation agencies regularly focus on the implementation of the resettlement activities and track the progress of resettlement, quality, financial monitoring and giving advice. tracking and monitoring the production ability and living standards of resettlement people, submit monitoring and evaluation reports to the Xinjiang PMO and Tacheng Prefecture PMO.

2. Content and methods of external monitoring

(1) Baseline survey

External monitoring agency will conduct baseline survey on affected people, to obtain production and living standards (life, production and income levels) of APs as baseline material. Production and living standards survey conducted once every six months, to track changes in production and living standards. Using follow-up survey of a representative sample (due to less number of affected households, the sample is 100% of affected households by land acquisition ), random interviews and field observations and other methods, to take the necessary relevant information. On the basis of statistical analysis to assess.

(2) Regular monitoring and evaluation

During the implementation of the resettlement program, external monitoring agency conducted twice a year on a regular basis of tracking and monitor of resettlement, through on-site observation, follow-up survey sample households and casual interviews of resettlement monitoring of the following activities:  Timely payment and amount of compensation  Training  Support measures for vulnerable groups and ethnic minority people  Restoration and reconstruction of infrastructure, ground attachments and special facilities  Restoration for production and incomes  House demolition, transition and relocation to new housing  Adequacy of compensation for lost properties  Compensation for lost working days  Timetables of the above activities (applicable at any time)  Resettlement network organization  Compensation fee for collective land acquisition and resettlement earnings  Job opportunities generated by the project. (3) Public consultation

External monitoring agency will participate in the implementation of the resettlement during the public consultations. By participating in these consultative meetings, to evaluate the effectiveness of public participation.

(4) Complained issues

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External monitoring agencies regularly visit the affected villages, and visit the units who accept the complaint, such as Emin County PMO, township, village and implementing agencies, to know the way of handling of the complaints. Meanwhile, can meet the resettlement that complain about procedures, and offer suggest for improvements and suggestions. in order to make the resettlement implementation process more effectively. In addition, the data and conclusions of internal monitoring report will be verified from the external monitoring.

3. Monitoring Agency External monitoring and evaluation agency should be approved by Xinjiang PMO and the Asian Development Bank.

4. Organization resettlement monitoring and evaluation Xinjiang PMO should be entrusted to external monitoring agency, to be responsible for investigating, monitoring and evaluation data collection and computational analysis, and check the results. External monitoring agency should be set up "Project Resettlement Working Group on Monitoring and Assessment", whose main task is to monitor and assessment and resettlement projects, preparation of monitoring and evaluation framework, monitor the target, check the site investigation, monitoring and laboratory analysis; prepared resettlement monitoring and evaluation reports in accordance with ADB's policy. Xinjiang PMO and implementing agencies should be assistance, during working on-site of monitoring and investigation.

5. Monitoring indicators Baseline survey and follow-up monitoring and post-project evaluation will include the following points, and is not limited to targeted households socio-economic indicators:

i. Educated degree of adults in different sexes ii. Occupational area of adults in different sexes iii. Land area of different types iv. Sources of income v. Different types of expenses vi. The main asset ownership vii. Cropping patterns (different types of area) 6. External monitoring report External monitoring and evaluation agency should submit external monitoring reports to the ADB and the Xinjiang Autonomous Region PMO as following schedule. Reporting Schedule of External Resettlement M&E

Resettlement report Date

1 Baseline survey March 2015

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2 M&E Report (No.1) March 2015

3 M&E Report (No.2) September 2015

4 M&E Report (No.3) March 2016

5 M&E Report (No.4) September 2016

6 M&E Report (No.5) March 2017

7 M&E Report (No.6) September 2017

8 M&E Report (No.7) March 2018

9 M&E Report (No.8) September 2018

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Appendix 4: Minutes of Public Participation and Interview 1. Villagers seminars

Timemorning , January 12, 2014 Location Jiaodong village meeting room,Emin County Participants: Wang Yonglai (Emin County Construction Bureau deputy director), Yin Boxiong(North Jiaodong village Director), preparation of resettlement unit staff, representatives of the North Jiaodong Village of 20 people, including 8 ethnic minorities (4 males, 4 females) The main issues and content: 1. Wang Yonglai introduced the basic situation and seminars of ADB road project purpose to the villagers' representatives and hope residents actively speak. 2. Participate in seminars on behalf of all residents, whether or Han Chinese ethnic minorities, are on the project, said the high degree of recognition and extensive support. 3. The Resident Representative said the compensation standards should be announced before the land acquisition. And a detailed survey should be carried out. they support the project, on expropriation of land they don’t have any comments, and want their land to be able to imposed, because of water scarcity, less land can used for plant, general are abandoned land; source of income is single, in addition to growing, temporary work is anther income resource; they wanted to do business and other inputs to increase revenue, no funding, so the old hope of land expropriation compensation; in March 2012 and July 2013 have been levied once the land is due to expansion of urban development in the North need to be imposed, the compensation given standard can also hope that the compensation standards imposed able higher; 4. Residents said they will actively cooperate with the land acquisition work with PMO, because according to the route, currently the acquisition land is essentially abandoned land, but want to give reasonable compensation and resettlement. 5. Emin County resident representatives show current access road is not perfect, after completion of the project for the county 's environment has greatly improved , but also to improve the people's travel conditions and will increase the relative investment opportunities too. 6. Some residents expressed that after the project started, they can be involved in the project ,can get employment opportunities when slack, playing temporary workers to increase their income; during the construction phase of construction should be published announcements, and tell villagers the construction period. 7. Women representatives also hope that they can be involved in the project. Some job opportunities should also be considered to give women, so as to reflect the gender-equal society, they also want to build the project, the government can provide sanitation and greening management work during operation time, during the construction, they can run small restaurants, such opportunities to increase income, women can fully reflected the top half of the sky; If the project can provide some training opportunities for women would be better, such as food service, manual training production, planting and breeding industry, etc., so that they can at home while doing housework while the children wait on.

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2. Villagers seminars Timeafternoon , January 12, 2014 Location4th floor of Emin County construction bureau Participants: Zhang Haijiang (Emin County Construction Bureau deputy director), Zhang Xueli (NDRC Project Office Director), preparation of resettlement unit staff, representatives of the Tuanjie Street Community, wenhuajie community, the residents of the community on behalf of Industrial Street 46 people, including 16 ethnic minorities (9 males, 7 females) The main issues and content: 1. Zhang Haijiang introduced the basic situation and seminars of ADB road project purpose to the villagers' representatives and hope residents actively speak. 2. Participate in seminars on behalf of all residents, whether or Han Chinese ethnic minorities, are on the project, said the high degree of recognition and extensive support. 3. Emin County resident representatives show current access road is not perfect, after completion of the project for the county 's environment has greatly improved , but also to improve the people's travel conditions, and will increase the relative investment opportunities too. 4. Some residents believe that the construction of the road is livelihood projects, and therefore should be placed on construction quality, best to stay out of the way enough sidewalks and non-motorized vehicles, motorized and non-motorized vehicles designed to be a reasonable hope that the road is completed, the motor vehicle speed should be to take measures to speed the establishment of speed humps in schools and densely populated areas. 5. Women representatives also hope that they can be involved in the project, as to reflect the gender-equal society , they also want to build the project, the government can provide sanitation and greening management work during operation time. 6. Some residents and businesses are along the street, they hope the new road has good qualities and the construct period can be shortened.

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3. Agency interviews Timemorning , January 7, 2014 LocatedEmin CB Participants: representatives of DRC, CB, PMO, L&RB, LAR, WF, PAB,FB, and , preparation of resettlement unit staff, The main issues and content: 1. Deputy Secretary for the Bureau of Lili Gang describes the contents of the ADB road construction projects and the purpose of this discussion, and hopes all relevant units to cooperate and support 2. Representatives from all relevant units are on the implementation of the project put forward their views on the comments. 3. LRB staff said they would actively work to meet the needs of the project; Resettlement prepared staff hope the LRB provide some of the criteria of this project and previous projects related to land compensation fees and charges and related procedures. 4. Collective land compensation (arable land) standard is made in accordance with the "autonomous land notice on the promulgation and implementation of a unified annual output value standard" (issued by Xinjiang MLR [2010] No. 323) required documents arable land compensation standard file compensated in accordance with the autonomous region, the land compensation standard is: land compensation 15,000 yuan / mu, resettlement subsidy 30000 yuan / mu, young crop compensation according to the ground to calculate the actual presence of crops, no crops will not be compensated, have grown as the compensation standard is 1500 yuan / mu; expropriation of all arable land resettlement subsidies, young crops and ground attachments directly affected by land acquisition compensation to households; land compensation in accordance with Article 26 of the "regulations for the Implementation of Land Administration Law": "the land compensation paid to the rural collective economic organizations," so the land compensation fee will direct compensation to the village collective , jointly negotiated by the village collective villagers land compensation purposes 5. The second acquisition of farmland PMO developed a corresponding arable land requisition compensation standards and methods, the affected people according to their own needs, choose a different way of compensation, including: (a) in accordance with “autonomous land notice on the promulgation and implementation of a unified annual output value standard" (issued by Xinjiang MLR [2010] No. 323) files, conduct cash compensation; (2) to give residential housing in-kind compensation; (3) to give commercial space property Compensation. 6. Property swap: A house will be appraised by a real estate appraisal agency based on location, building structure, building size, floor and decoration, and by reference to market price. The real estate appraisal agency will listen to an AH’s comments before fixing its house’s appraised price; if the AH agrees with property swap, its house will be exchanged based on approved (licensed) floor space at the following rates: 1:1 of the size of the acquired house in masonry concrete structure (licensed main rooms), 1:0.9 of the size of the acquired house in masonry timber structure (licensed main rooms) and 1:0.8 of the size of the acquired house in earth timber structure (licensed main rooms); other houses (unlicensed) and facilities will be compensated for at appraised price. APs can repurchase the residential house area with demolished attachments compensation and transition costs, repurchase housing area is 2380 yuan / m2; APs can replace the resettlement house with available open space (owned residential land, homestead), replacement method is that the open area is no more than 300 m2 (including 300m2), the replacement rate is 4:1, which means that 4 m2 open area can replace 1 m2 resettlement house. the open area is more than 300 m2, the replacement rate is 5:1, which means that 5 m2 open area can replace 1 m2 resettlement house. The resettlement housing offered is in the form of new multi-storied buildings, and will be offered first to whoever moves first. The size of resettlement housing under property swap includes shared size. If the building area of the resettlement apartment is greater than that of the demolished house, the price for extra area should be paid as ordinary commercial house price. Cash compensation The compensation price for a demolished house will be paid up at a time based on appraisal.

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4. Households (vulnerable groups) interviews

Locationvillager’s house in Jiaodong village

Participants: wang yonglai (Emin county construction bureau), , preparation of resettlement unit staff

IntervieweeZhang Shanshana farmer of North Jiaodong Villagevulnerable groups

Basic conditions Zhang Shanshan, female, 46 years old , Han nationality, a farmer of Jiaodong village, and she is a housewife, it has five people in her family, her husband named Zhao Lizhong, 53 years old, engages in farming, they have 2 sons, they work outside, the older one is 28 years old, the younger one is 25 years old; they have to support their mom(Zhao Yulan, the owner of the household), she is 78 years old. Suffering from Parkinson's disease; family economically more favorable, the main source of income by Zhao Yulan monthly salary of 4,000 yuan, 1,200 yuan a month her mother retirement pay, farming annual income of about 20,000 yuan, as well as child support to sustain their livelihoods this family are very supportive for this project, and expressed the hope to get reasonable compensation and resettlement, and hope during the project started, allowing his daughter to participate in this project, temporary work, to increase family income and improve the quality of life; The attitude of the project: 1. very supportive for the road projects, road component is a good for development, but the government should consider twice about the demolition compensation and resettlement, and then to prepare a ressonable plan. 2. Road condition is poor now, I hope the road repaired after environmental health and other aspects can be improved. 3. After roads repaired, the villagers travel will be very convenient..

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Appendix 5: Due Diligence Report on Emin Road Component

1 Overview of the Project

In accordance with "Emin urban land use planning (2010-2020)" and urban development need of Emin County, collective land (arable land) of 600 mu in Jiaodong Village, Jiaoqu Township and state-owned forest land of Forestry Bureau of 200 mu in Emin County were acquired in December 2012, including new construction section of A’erxiaore road (length of 663.96m) acquires 43.82 mu of state-owned forest land, Guihua 5th road acquires 20.80 mu of Jiaodong villagers’ land, Guihua 7th road acquires 2.88 mu of Jiaodong villagers’ land and 14.32 mu of village collective land, Guihua 9th road acquires 25.55 mu of state-owned forest land, Wenhua Road acquires 17.80 mu of Jiaodong villagers’ land and 28.18 mu of village collective land, the rest of land is acquired for urban development construction. In August 2013, as per the construction need of Emin county farmers’ market, PMO acquired the housing of 1 Jiaodong villager in Guihua 7th road sphere with totally demolition area of 276.93 m2. Accordance with the requirements of the Asian Development Bank, Emin County PMO prepared due diligence reports on land acquisition and resettlement, compensation, and the case was investigated and payment.

2 Due Diligence report prepared

The report prepared together by Emin County PMO and RP preparation agency. In January 2014, Preparation team visited Emin County Construction Bureau, LRB, the Jiaoqu Township and Jiaodong Village etc. to collect the land acquisition, compensation and resettlement agreement and other relevant materials, and interviewed part of the affected households. The main contents of this report are: understand the actual situation of LA and the process of LA and compensation payment, to know public participation and complaint cases, assessment of payment of compensation for land acquisition, ultimately draw relevant conclusions.

3 Project Impact

Emin County was in accordance with the "urban land use planning (2010-2020)" requirements and the need of city development, a total collection of Jiaoqu Township Jiaodong village collective land as 600 mu and Emin County Forestry state-owned forest land as 200 mu have been acquired, affecting 176 households of 613 people, of which new construction section of A’erxiaore road, Guihua 5th road, Guihua 7th road, Guihua 9th road and culture road have occupied as 153.35 mu in total (A’erxiaore road as 43.82 mu, Guihua 5th road 20.80 mu, Guihua 7th road 17.2 mu, Guihua 9th road 25.55 mu, culture road 45.98 mu), account of 19.17% of total acquired land. By December 29, 2012, Emin county city management office has signed land acquisition compensation agreements with Jiaodong Village and Emin County Forestry Bureau. On August 29, 2013, Emin county LA office acquired 1 villager’s housing in Jiaodong Village for constructing Guihua 7th road, and signed agreement with the AH. After investigation, all 29 AHs with cultivated land of 83.98 mu in Jiaodong Village had planted maize; State-owned land of FB with 69.37 mu in Emin County was a seedling nursery. Affected data is shown in Table 1.

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Table 1: Affected Data Acquired Family land for Nationa Members owned Land loss No. Road Area AH head Road Remark lity of HH arable rate construction land(mu) (mu) Wenhua Jiaodong 1 Li Fugang Han 5 19.00 3.00 15.79% Road Village Wenhua Jiaodong 2 Hou Dazhi Han 3 11.40 2.40 21.05% Road Village Wenhua Jiaodong Yang 3 Hui 7 26.60 3.00 11.28% Road Village Huiming Wenhua Jiaodong Zhai 4 Han 4 15.20 3.20 21.05% Road Village Xiaolin Wenhua Jiaodong 5 Li Zhikuan Han 5 19.00 3.00 15.79% Road Village Wenhua Jiaodong Zhang 6 Han 4 15.20 3.20 21.05% Road Village Mengming Wenhua Jiaodong village village 7 28.18 Road Village collective collective Sub-total 6 HH 28 106.40 45.98 43.21% Guihua Jiaodong Meng 7 Han 4 15.20 1.08 7.11% 7th Road Village Zhibao Guihua Jiaodong Wang 8 Han 2 7.60 1.80 23.68% 7th Road Village Xiuzhen Guihua Jiaodong village village 9 14.32 7th Road Village collective collective Sub-total 2 HH 6 22.80 17.20 75.44% Guihua Jiaodong Yin 11 Han 4 38.00 1.00 2.63% 5th Road Village Quannian Guihua Jiaodong Yan 12 Han 4 7.60 0.80 10.53% 5th Road Village Jianjun Guihua Jiaodong Qi 13 Han 2 15.20 1.00 6.58% 5th Road Village Fengxue Guihua Jiaodong Zhao 14 Han 4 15.20 1.00 6.58% 5th Road Village Guohua Guihua Jiaodong Zhang 15 Han 3 11.40 1.00 8.77% 5th Road Village Xianzhi Guihua 5th Jiaodong Mongo- 16 Niu Cunzhi 4 15.20 1.00 6.58% Road Village lian Guihua 5th Jiaodong 17 Qin Jike Han 4 15.20 1.00 6.58% Road Village Guihua 5th Jiaodong Quan 18 Han 4 15.20 1.00 6.58% Road Village Wencan Guihua 5th Jiaodong Ma 19 Han 7 26.60 1.00 3.76% Road Village Zhanying Guihua 5th Jiaodong 20 Ma Zhanfu Han 7 26.60 1.00 3.76% Road Village Guihua 5th Jiaodong 21 Zhao Lixin Han 7 26.60 1.00 3.76% Road Village Guihua 5th Jiaodong Shao 22 Han 10 38.00 1.00 2.63% Road Village Tianqing Guihua 5th Jiaodong Huang 23 Han 3 11.40 1.00 8.77% Road Village Xingrong Guihua 5th Jiaodong Zhang 24 Han 4 15.20 1.00 6.58% Road Village Liming 25 Guihua 5th Jiaodong Li Zhikuan Han 5 19.00 1.00 5.26%

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No. Road Area AH head Nationa Members Family Acquired Land loss Remark lity of HH owned land for rate Road Village Guihua 5th Jiaodong Liu 26 Han 2 7.60 1.00 13.16% Road Village Chunxia Guihua 5th Jiaodong 27 A Shantai Uygur 5 19.00 1.00 5.26% Road Village Guihua 5th Jiaodong Zhang 28 Han 4 15.20 1.00 6.58% Road Village Jiaoru Guihua 5th Jiaodong 29 KU Lang Uygur 5 19.00 1.00 5.26% Road Village Guihua 5th Jiaodong Zhao Mongoli 30 5 19.00 1.00 5.26% Road Village Lizhong an Guihua 5th Jiaodong Zhang 31 Han 2 7.60 1.00 13.16% Road Village Xiumei Sub-total 21 HH 95 383.80 20.80 5.42% State-own A’erxiate FB FB X XX 43.82 10.96% ed Forest Road Land 400.00 th State-own Guihua 9 FB FB X XX 25.55 6.39% ed Forest Road Land Total 29 HHs 129 153.35 Source：due diligence survey in January 2014 Table 2 Demolition Information of APs

Members Construction of Demolition Area Resettlement No. AH head Remark of HH House (m2) type

Yin Property land acquisition and 1 Quannia 4 Brick-concrete 276.93 replacement demolition n Source：due diligence survey in January 2014

4 Compensation and payment

Emin County City Land Management Office issued a land requisition notice in 2012 October; In December 29, 2012, Emin County City Land Management Office and Jiaoqu Township Jiaodong village committee signed the agreement for the land compensation, the land acquisition completed in January 15, 2013; For the acquired state-owned forest land of Emin County FB, the Emin county City Land Management Office has communicated with Emin county FB with a final agreement as the Emin government allocating 200 mu in Industrial Area as the replacement land for FB. In June 2013, Emin County State-owned land acquisition and compensation office issued the notice of land acquisition in farmers market construction sphere; in August 29, 2013, the resettlement agreement signed. For requisition of arable land, Emin County City Land Management Office has formulated corresponding standard and mode for arable land acquisition compensation. According to needs of APs themselves, they could choose different compensation methods, including: (1) in accordance with file standard of “The approval of the Autonomous Region on standardizing annual production value for land acquisition" (the New Policy Letter [2010]323), to conduct the monetary compensation; (2) provide residential housing compensation; (3) provide commercial

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housing compensation. (1) Monetary Compensation: the arable land compensation standard has been set according to“The approval of the Autonomous Region on standardizing annual production value for land acquisition" (the New Policy Letter [2010]323), the land acquisition compensation standards are: 15,000 RMB/mu for land acquisition, 30,000 RMB/mu for resettlement subsidies, young crops compensation being calculated as actually planting status: no crops without compensation, 1,500 RMB/mu for crops planted compensation; all compensation fee (resettlement subsidies, young crops fees and ground attachment fees) shall be directly paid affected households; land compensation fees in accordance with the provisions of article twenty-sixth in "Implementing Regulation of Land Management law": "the land compensation fees own by the rural collective economic organizations", therefore the land compensation fee will be directly paid to the village collective, and the use of land compensation will be discussed together with all villagers. (2) Residential Housing Compensation: Affected person who chooses residential housing compensation could be compensated (replaced) with construction area of 100 m2 residential housing as per mu of acquired land, for the exceeded compensation (replacement) housing area, APs shall be in accordance with the market price to complete the price difference; if the compensation construction area is not enough to 100 m2, the exceeded part of acquired land will be paid in accordance with actual land acquisition areas as the market price. (3) Commercial Housing Compensation: Affected person who chooses commercial housing compensation could be compensated (replaced) with construction area of 50 m2 commercial housing as per mu of acquired land, for the exceeded compensation (replacement) housing area, APs shall be in accordance with the market price to complete the price difference; if the compensation construction area is not enough to 50 m2, the exceeded part of acquired land will be paid in accordance with actual land acquisition areas as the market price. After investigation, all villagers chose the compensation in kind (housing), namely residential housing compensation and commercial housing compensation; location of selected residential housing are at Paris City Resettlement Community in Emin County, location of selected commercial housing are the commercial houses and façade rooms in Paris City Resettlement Community and commercial houses in agricultural and sideline products trading center. The survey found, at present, residential housings and commercial housings are under construction, and have not been delivered to the affected person yet. After visiting the house construction department, the resettlement housing is expected to be delivered to the affected person in August 2015; therefore the compensation monitoring work for APs will be included in to the monitoring scope of this project. During the project implementing period, tracking and monitoring for 29 affected households needs to be under the monitoring TOR of Resettlement Plan. For the acquired state-owned forest land of Emin County FB, the Emin county City Land Management Office has communicated with Emin county FB with a final agreement as the Emin government allocating 200 mu in Industrial Area as the replacement land for FB. No compensation for autonomous managed business of FB, seedlings have been sold by FB under the sales channels which introduced by the Emin county city land management office. The construction of Emin county Farmers Market has affected demolition for one villager. After investigation, the Emin county LA office has formulated the method of resettlement compensation

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for acquired housings, including: (1) housing property replacement: after affected households agree to replace the housing, the replacement progress will be conducted following the approved original housing area; brick-concrete structure (main house) will be replaced with acquired housing area as 1:1; brick-wood structure (main house) will be replaced with acquired housing area as 1:0.9; civil structure (main house) will be replaced with acquired housing area as 1:0.8, compensation for other type of housings and facilities will be estimated by Assessment Companies; affected person can also repurchase the housing area with appendant and transition fee, repurchased housing can be calculated as 2,380 RMB/m2. Affected person can replace residential housings as 4:1 by using cleared courtyard (state-owned residential land/ homestead); area exceeded 300m2 could be replaced as 5:1 (5 m2 land can replace 1 m2 housing). Temporary transition fee will be pre-paid for 18 months (one-time) in accordance with the Emin county rental standard as 1,250 RMB/month. (2) monetary compensation: according to price compensation assessment from third-party real estate assessment agencies, the compensation (including transition expenses and removal expenses) needs to be provided one-time. According to the survey, before the demolition, Emin County Housing Office and affected person jointly selected third-party real estate assessment agencies with qualifications to assess. After communications, affected person chose to replace property for using 268.35 m2 housing and 65.70m2 courtyard to replace resettled houses, the total replacement area is 334.02 m2, PMO has pre-paid 18 months transition fee as 22,500 RMB and compensation fee as 68,900 RMB. Due to the replacement housing being under construction, it has not been delivered to the affected person yet. After visiting the house construction department, the resettlement housing is expected to be delivered to the affected person in August 2015; therefore the compensation monitoring work for APs will be included in to the monitoring scope of this project. During the project implementing period, tracking and monitoring for 1 acquired household needs to be under the monitoring TOR of Resettlement Plan.

5 Public participation

In the land acquisition process, the project units and related agencies organized full consultation on project-related impacts with affected people to fully understand the considerations of affected people’s views and suggestions, and take a variety of ways for public participation and negotiation: (1) Public participation and consultation meetings Before land acquisition, held forum with the villagers of Jiaodong Village. Focus on the basic situation of urban development planning ideas and proposed construction projects, as well as the scope of planned land acquisition, listen to the views and suggestions of the villagers, and their recommendations and comments made records and given consideration and concern in the implementation. (2) Public meeting Prior to the implementation of land acquisition program, to explain to the masses the relevant policies and regulations, compensation standards, payment time, combined with the actual local conditions and the views and suggestions of the masses, and the Xinjiang Uygur Autonomous Region in strict accordance with the national policy of implementation of the project (3) LA representatives involved in the land related work Detailed investigations and measurements in land compensation standards, land acquisition agreements negotiated compensation expense, all landless residents have participated in the

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work process, to ensure that land acquisition just, fair, reasonable and transparent. (4) Land acquisition release announcement The main content of the announcement: Project Overview, scope of land requisition compensation standards and policies, schedules and so on. In January 2013, Investigation team visited Emin County Construction Bureau, Land Bureau, Forestry Bureau, LA office, the Jiaoqu township and the Jiaodong village and some villagers, and conducted field visits, the relevant personnel interviews and questionnaires, learned the implementation Land acquisition policy, the impact of the amount of compensation standards, payments, etc., and held meetings with some of the villagers to understand their public participation in the process land acquisition cases, asking whether their livelihoods affected, and asked for the views and opinions Land acquisition.

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Interviews recorded I TimeJanuary 11, 2014 Location: Yan Jianjun’s home in Jiaodong Village affect househouds Participants: Wang Yonglai (staff of the county construction bureau), Yin Baixiong (secretary and director in Jiaodong Village), Resettlement Plan Prepared by the investigation team staff Interviewee: Yan Jianjun and his family Q: Please introduce the basic situation of your family? A: Yan Jianjun, male, Han nationality, 47 years old, villager of Jiaodong village, family size 3 people; wife: Han nationality, 43 years old; son 26 years old, working outside; daughter 24 years old, working outside; has a land area of 7.6 mu, the main planting wheat and corn. Q: Time and regional and area of land levied in your home? A: The location of the land acquisition within the scope of the Guihua 5th Road, acquired a total of 0.8 mu land. Q: What is the difference before you Land acquisition and after land acquisition and the standard of living and income? A: The standard of livelihood before and after the Land acquisition has no change. The total of acquired land is relatively less with no effect to us. I really hope to acquire more land from us, because the income of planting crops is low, we want to earn more money for renting a facade room. Q: Please review the situation at the time Land acquisition and the views and opinions? A: Before the start Land acquisition, conducted measures for all the land, and many times it was held, cannot remember a specific time, the resettlement plan has been published in September 2012, mainly including monetary compensation, buildings and facade room compensation in kind; with no commend. The compensation in kind is very satisfactory, monetary compensation certainly is less than the compensation in kind. Even if the compensation housings do not reside by themselves, they still can be sold, the sales price is much higher than the monetary compensation. Q: Are you satisfied with land requisition compensation and payment? A: Satisfied with the compensation standard of land acquisition, county city management office has made resettlement plan, the plan has been discussed in many meetings, the regional land acquisition including farmers’ and the village collective land, land area of each household is not large, we have had a replacement housing, because our land is only 0.8 acres, only can get a set of replacement housing. But the housing has not constructed well and not delivered to us, we estimate that next autumn we can move into it. The ballot for choosing housing floors and the building number doesn’t start yet, we are very satisfied with the current compensation and resettlement mode.

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Interviews recorded II TimeJanuary 7, 2014 LocationJiaodong Village Meeting Room Participants: Wang Yonglai (staff of the county construction bureau), Resettlement Plan Prepared by the investigation team staff Interviewee: Yin Baixiong, secretary and director in Jiaodong Village Q: Please introduce the basic situation of the village committee? A: Jiao Dong village is close to the county town, the combination of an urban village. Whole village has 176 families in the village, the total population of 613 people, the village has a land area of 4670 acres, 3.8 acres of arable land per capita, the village collective owned motor 1600 acres; composed of Han, Kazak, Hui, Uygur and other ethnic minorities, main source of income is agriculture and service industry, agricultural leading industry are wheat, corn etc. Q: what’s the deadline situation village land currently imposed? A: In December 2012, the county city land use management office has acquired 600 mu arable land for city development; in this area, the construction of large farmers market, hotels, schools and residential areas will drive the economic development and the income of farmers. In the area of county village has only 600 mu of land, other lands are far from town with about 3km. For the land acquisition, APs have chosen the compensation in kind with satisfied. Q: Will the process of village LA and compensation standards? A: The arable land compensation standard has been set according to“The approval of the Autonomous Region on standardizing annual production value for land acquisition" (the New Policy Letter [2010]323), the land acquisition compensation standards are: 15,000 RMB/mu for land acquisition, 30,000 RMB/mu for resettlement subsidies, young crops compensation being calculated as actually planting status: no crops without compensation, 1,500 RMB/mu for crops planted compensation; all compensation fee (resettlement subsidies, young crops fees and ground attachment fees) shall be directly paid affected households; land compensation fees in accordance with the provisions of article twenty-sixth in "Implementing Regulation of Land Management law": "the land compensation fees own by the rural collective economic organizations", therefore the land compensation fee will be directly paid to the village collective, and the use of land compensation will be discussed together with all villagers. Affected person who chooses residential housing compensation could be compensated (replaced) with construction area of 100 m2 residential housing as per mu of acquired land, for the exceeded compensation (replacement) housing area, APs shall be in accordance with the market price to complete the price difference; if the compensation construction area is not enough to 100 m2, the exceeded part of acquired land will be paid in accordance with actual land acquisition areas as the market price. Affected person who chooses commercial housing compensation could be compensated (replaced) with construction area of 50 m2 commercial housing as per mu of acquired land, for the exceeded compensation (replacement) housing area, APs shall be in accordance with the market price to complete the price difference; if the compensation construction area is not enough to 50 m2, the exceeded part of acquired land will be paid in accordance with actual land acquisition areas as the market price. Q: What is villager’s opinions view on Land acquisition? A: Emin County in the development of the city will certainly want to expand, we are very close from the county. Monetary compensation certainly is less than the compensation in kind. Even if the compensation housings do not reside by themselves, they still can be sold, the sales price is much higher than the monetary compensation.

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The findings show that: in the Land acquisition process, the project units and related agencies conducted extensive public participation to fully understand the affected people consider the opinions and recommendations, and all related matters are based on full public participation to implement; and Emin County, the county people's government set up a special leading group of land compensation, to oversee the project land requisition compensation and report signs and paid work. All land compensation fees were paid by the time stipulated in the agreement ,; residents generally think that Land acquisition makes their living conditions improved, especially the improvement of livelihood conditions and surrounding environment. So there are no remaining issues.

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Public participation I

TimeMay 9, 2012 LocationJiaodong Village Culture Room

Participants: Yan Haili, Yin Boxiong, Yao Zhenqin, Zhang Xuezheng, Zhang Shanshan, Zhang Zongqiang, Li Haicheng and director of the village women and landless villagers

Conference topics: Emin County urban development Land acquisition problem consult Meeting content: 1 introduces the basic ideas and situations Emin County city construction projects proposed overall overall development. 2 scope Land acquisition and Land acquisition planning time

3 seek villagers’ opinions and views Staff to express their views:

Meeting villagers said they agreed project land acquisition, but before the Land acquisition was expropriated land to determine the scope of the standard as well as

compensation.

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Public participation II TimeJuly 13, 2012

LocationJiaodong Village Culture Room

Participants: Yan Haili, Liu Zhonglei, Members of the village two committees, Yin Boxiong, Yao Zhenqin, Zhang Xuezheng, Zhang Shanshan, Zhang Zongqiang, Li Haicheng, Sui Yinguo and director of the village women and landless villagers Conference topics: Arrangements and discussions on the land requisition compensation policies, regulations, and subsequent land acquisition compensation standards in Jiaodong Village Meeting content: 1 to the masses explain the policies, regulations, standards and other compensation; 2 for the land acquisition just, fair, reasonable and transparent discussion to determine the land acquisition process representatives the villagers involved in the investigation surveyors list. 3 discusses the compensation standards and a compensation payment process and time 4 solicit opinions and views of villagers Staff to express their views: Meeting villagers said they agreed compensation standards, process and arrange a time and Land acquisition surveying work pay

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Public participation (consultation) III TimeJuly 5,2013 Location: Emin County FB Meeting Room Participants:

Yan Haili, Yin Boxiong, Yao Zhenqi, Ma Fuxue, Duan Hairong, Zhang Linyou, Ynag Jinquan, Qin Jike, An Quanfu, Liao Keyou, Wang Chun, Yang Huiming, Tang Changying, Ge Miaoqin, Liao Kehong, Lu Fengxiang, Zhang Liming, Yang Shufen, Xie Chundong, Qi Fengxue, Hu Xiulan, Zhang Zongqiang, Zhang Xuehui, Zhang Zongfang, Zhang Shanshan, Li Haicheng, Zhao Lanping, and director of the village women and landless villagers

Seminars content: 1 to explain the contents of the contract to affected households, such as payment of compensation standard time, 2 Confirm the area expropriated land and compensation costs calculated according to standard 3 contract negotiations

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6 Appeal Procedure

If affected person has any complaint and question about project land acquisition or other problems, they could take a variety of ways to appeal. The appeal system is shown in figure 6-1. Basic appeal stages are as follows: Stage 1: If any AP is dissatisfied with any land acquisition and resettlement of any other safeguards related problems, he/she may file an oral or written appeal with Town Government / Village committee orally or in writing. In case of an oral appeal, Town Government / Village committee shall handle such appeal and keep written records. Such appeal should be solved within 2 weeks. Stage 2: If the AP is dissatisfied with the disposition of Stage 1, he/she may file an appeal with LRB or LA (depending upon the issue) after receiving such disposition, which shall make a disposition within 2 weeks. Stage 3: If the AP is still dissatisfied with the disposition of Stage 2, he/she may file an appeal with the Emin PMO receiving such disposition, which shall make a disposition within 2 weeks. Stage 4: If the AP is still dissatisfied with the disposition of Stage 3, he/she may apply for administrative reconsideration with Emin County Government after receiving such disposition within 3 months. Displaced persons may file an appeal on any aspect of resettlement, including compensation rates, etc. The above means of appeal, and the names, locations, persons responsible and telephone numbers of the appeal accepting agencies will be communicated to the displaced persons at a meeting, through an announcement or the RIB, so that the displaced persons know their right of appeal. Mass media will be used to strengthen publicity and reportage, and comments and suggestions on resettlement from all parties concerned will be compiled into messages for disposition by the resettlement organization at all levels. All agencies will accept grievances and appeals from the affected people for free, and costs so reasonably incurred will be disbursed from the contingency costs. During the whole construction period of the Project, these appeal procedures will remain effective to ensure that the affected people can use them to address relevant issue.

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Emin County County legal authority Government

County disciplinary inspection authority Emin County People’s Emin CLRB/PMO Court

County appeal accepting Townshio Gov/Village authority Committee

Affected household

Figure 1 Grievance Redress Flowchart

From the investigation, we can see that all the affected people are very clear about their own rights and the grievance complaint channels. And there is no complaint until now.

7 Conclusion

(1) Prior to land acquisition and during the land acquisition, the PMO and the relevant units organized several different forms of public participation, the affected persons’ views are fully respected in the project implementation process, compensation payments have been paid in full. No impact on affected people. Overall, all of the compensation and resettlement measures are based on public participation to implement fully and without any remaining problems. (2) During the implementation period all the affected people are very clear about their own rights and the grievance complaint channels. And there is no complaint until now. The affected people are very supportive of the project construction, and they are satisfied with the compensation standard. (3) Since the new resettlement houses are still under construction, they have not yet been delivered to the affected household. After the visit, resettlement housing is expected to be delivered to the affected household in August 2015; therefore resettlement monitoring work for affected household will be included in the scope of project monitoring. During the implementation of project, tracking and monitoring tasks should be referred to the monitoring TOR of "Resettlement Plan".

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Appendix 6: The Agreement of Land Compensation

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Land Acquisition Compensation Contract Party AEmin County Jiaodong Village—Villager Committee PrincipalYin Boxiong Party B: Emin County Urban Land Management Office PrincipalWang Yanzhou This contract was signed in the principle of equality voluntary, and friendly negotiation which based on the laws of People’s Republic of China Land Management Law, Organic Law of Villagers’ Committees and People’s Republic of China Contract Law. 一 Land Acquisition Compensation 1.1 Land involves in the contract locates in Emin County Jiaodong township Jiaodong Village. 1.2 Land Nature: collective land, with a area of 600mu. 1.3 The owner of land use rights: Emin County Jiaodong Village—Villager Committee 二 Procedure of Land Acquisition 2.1 Villager congress villagers' committee meeting will be hold by Party A, the meeting note should be taken completely, and make the confirmation of compensation program. 6.1 For any party due to the occurrence of force majeure and its no-fault cause delays or inability to fulfill contractual obligations are not legally liable, but any necessary measures should be taken to reduce the losses and should inform the other in written. 6.2 This Agreement entered into national legal protection , validity , interpretation, execution and settlement of disputes governed. 6.3 Six copies of the contract , each party holds three copies of the contract signed by both parties and entered into force after signature notarized .

Party A Party B

PrincipalYin Boxiong PrincipalWang Yanzhou

Sign Date: December 29, 2012

Signature:

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Appendix 7: The Agreement of Compensation and Resettlement on Housing Levy

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Compensation and Resettlement Agreement for House Levy of Farmers Market, Emin County

Agreement Number: EHD No. _013_, year 2013

Party A: House on the state-owned land levy and Compensation Management Office, Emin

County

Party B: ___Yin Bolei___

ID number: 654221197804090216

Tel: 18999749991

To accelerate the implementation of Emin County Farmers Market component, Emin

County People government decided to start house levy within Arxiate Road area according to the "People's Republic of China Contract Law", "People's Republic of China Urban Real

Estate Administration Law" and "House on state-owned land levy and Compensation

Ordinance" and relevant laws, regulations, etc..

whereas, In consideration of the equality, voluntary, and mutual consensus, Party A and Party B agree on the house levy and Compensation as follows:

Article 1: the levied house of Party B locates in the south of Arxiate Road, Emin

County, room No. C-4-1 , the land use right certificate number is ____/_____, land use right registration area is _____/_____ square meters, the actual plot of land measuring area

_____539.7____squar meters; housing ownership certificate number is _____/______, house area registration on the ownership certificate is ______/___ square meters, the actual mapping housing area is _____276.93 _ squar meters.

Article II: house levied compensation approaches

(A) Property exchange:

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After mutual consensus, Parties agree that the levied house area and acquired land area would be calculated as the actual measurement, the area register on real estate license and land certificate just as a reference, the exchange building area would replaced according to the actual mapping assessment.

1. A replacement house floor would be chosen by the one, who signs contract earlier, and the blind draw would be applied for the same conditions, if party B requires exchanging floor, he should pay for the floor difference in price.

2. The replaced building would be located near the original levied house are.

3. The specific property swap table is following:

Land acquisition for Land measured area - Housing measured area = Total replacement

1 house exchange of ___262.77_____ m² building area:

Party B Replacement building area ___65.6925____ m² 334.0395 m²

House levied for Housing actual measurement area

2 house exchange of __276.93____ m²

Party B Replacement building area ____268.347____ m²

Commercial house Commercial buildings actual measurement area ____/____ m²

3 levied of Party B Replacement of floor area ____/____ m²

4. Replacement building area for Party B would be the same with the relevant mapping and measuring area, therefore, Party A should pay the extra compensation for the larger area, or get money for the smaller area at one time when delivery the house.

5. Temporary resettlement subsidy for per household is 1250 yuan per month which is the average price for residential renting in Emin County. And the subsidy would be paid form the day Party B moved out from the levied house, until 3 months later from the relocated house handed over to them. When signing the contract, the Party A would pay for renting in advance of 18 months, in total ___22500______Yuan. After moving out, Party A can choose the

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temporary living location as their own wish.

6. The compensation for commercial house losses is ____/_____Yuan.

7. Decoration and attaches compensation ____68,873______Yuan.

8. Other matters

(B) Cash compensation:

Cash compensation would be paid one time according to the assessment by third-party assessment agency.

1. Moving subsidy: 1000 yuan / household payment, no more compensation if moving stuffs as two or more households.

2. Rewards: In accordance with the actual situation of Emin County, the households who moved out within the specified time can get award as__10,000___ yuan/household.

Article III: for the select property replacement Party B, the Party A shall deliver the promised replacement house to Party A for using within ____/___ months of construction started.

Article IV: Payment options for Party B

1. Installment, Party B shall pay____/___% down payment loan balance of $ ______/____ dollars, after___/__ days of building one layer capped, and ___/___% with

$ _____/_____Yuan, after___/__ days of three capped. After the building completed construction___ days, the rest payment ______yuan, according to the actual area of new buildings.

2. The other way (down payment or mortgage agreement)

______

3. If Party B already has one set of buildings, according to the national second suites lending

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policies, he is unable to obtain loans, so Party B should pay the payment the same as No. 1 above.

Article V: leap responsibility

1. After _10___ days of signing the contract, Party A should pay___/____ yuan as liquidated damages to Party B if he failed to vacate the original house and handed it to Party B;

2. If Part B cant pay the payment for replaced house on time, ____/___Yuan shall be paid by day as penalty, and Party A has the right to keep the replaced house until all the payment get paid.

Article VI: Warranty Liability: Party A has obliges to take responsible for the house according to the relevant national laws and regulations from the date of delivery the replaced house.

Article VII: Infrastructure construction by Party A, and public ancillary buildings must meet national standards.

Article VIII: On the registration of property rights agreement, Party A shall assist Party B to going through the procedures after Party B getting the house, tax shall bear individually in accordance with state regulations.

Article IX: while signing this agreement, Party B shall hand all the original warrants and the original land certificate to Party B.

Article X: Party B only sign this contract with real estate license or land use permit. if there were other owner, Party B shall inform the other co-owners themselves, and Party B has to make a total declaration to commitment he had consent with co-owner and issued that no one shall challenge the signing of the contract, otherwise the consequences borne by the Party A itself.

Article XI: The contract dispute occurred in the performance of the process; the parties resolved by negotiation, if negotiation fails, the people's court is available.

Article XII: This contract matters not covered by the supplemental agreement entered into

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after the two sides agreed to supplement the agreement and this contract has the same legal effect.

Article XIII: six copies of the contract, each party holds one, the rest of the archive, with effect from the date of the contract signed by both parties.

Party A (Signature): House on the state-owned land levy and Compensation Management

Office, Emin County

Party B(Signature):

Yin Bolei

2013 Year 8 Month 29 Day

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额敏县移民安置计划信息手册RIB少

民族发展计划执行摘要及行动计划

信息披露

2014 年 12 月 30 日至 2015 年 1 月 25 日期间，额敏县项目办对移民安置

计划信息手册RIB和少民族发展计划执行摘要及行动计划在社区/村进行了

公布，并且对受影响人也进行了发放，以下是公布时的照片