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Ethnic Minority Development Plan

Project Number: 47048-002 February 2015

People’s Republic of China: Enshi Qing River Upstream Environment Rehabilitation Project

Prepared by the Enshi Tujia and Miao Autonomous Government for the Asian Development Bank

CURRENCY EQUIVALENTS (as of 31 October 2014) Currency unit – Yuan (CNY) CNY1.00 = $0.1635 $1.00 = CNY6.1145

ABBREVIATIONS ADB – Asian Development Bank EM – ethnic minority EMDP – Ethnic Minority Development Plan ETMAP – Enshi Tujia and Miao Autonomous Prefecture PPTA – project preparatory technical assistance PRC – People’s Republic of China SPS – Safeguard Policy Statement

NOTE In this report, "$" refers to US dollars.

This ethnic minority development 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 program or strategy, financing any project, or by making any designation of or reference to a particular 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.

ETHNIC MINORITY DEVELOPMENT PLAN

Of

HUBEI ENSHI QING RIVER UPSTREAM ENVIRONMENT REHABILITATION PROJECT

Financed by ADB

Enshi Tujia and Miao Autonomous Prefecture November 2014

TABLE OF CONTENTS

1. PROJECT DESCRIPTION 1 2. ETHNIC MINORITIES IN PROJECT AREAS 1 2.1 Population Distribution 1 2.2 Social-economic profiles 2 2.2.1 Income Structure and Expenditure Patterns for EM Households 3 2.2.2. Education 4 2.2.3 Occupation 5 3. OBJIECTIVES AND POLICY FRAMEWORK 6 3.1 Objectives 6 3.2 Chinese Policies on Ethnic Minorities Development 6 3.3 ADB Policy 6 4. SOCIAL IMPACT ASSESSMENT ON ETHNIC MINORITY 9 4.1 Environmental Needs Assessment for EM 9 4.2 Project Benefits for minority residents 10 4.3 Project Impacts and Risks 11 5. PUBLIC PARTICIPATION AND CONSULTATION 15 5.1 Consultation and Participation during Project Preparation 15 5.2 Consultation and Participation during Project Implementation 15 6. DISCLOSURE AND GRIEVANCE 15 7. INSTITUTIONAL ARRANGEMENT 16 8. MONITORING AND REPORTING 16 9. BUDGET AND FINANCING 17

LIST OF TABLES Table 1: Minority Population in Project Areas (2013) ...... 4 Table 2: Income Structure Between EM and Non-EM HHs ...... 5 Table 3: Income Level Between EM and Non-EM ……………………………………………………5 Table 4: Expenditure Patterns Between EM and Non-EM HHs ...... 6 Table 5: Education Level Between EM and Non-EM ...... 6 Table 6: Occupation Between EM and Non-EM ...... 6 Table 7: Summary Policy Framework for EM of PRC and ADB ...... 9 Table 8: EM Residents Perspectives of Project Benefits and Imapcts ...... 11 Table 9: Ethnic Minority Development Action Plan ...... 12

1. PROJECT DESCRIPTION

1. Qing River, which is 426 km in length and has a watershed of 17,322 km2, originates in the outlying rural areas of Lichuan and flows through the of and three other before it joins the Yangtze River near （宜都） City. It is an important source of water supply for the of Lichuan and Enshi and riparian rural areas. Of great concern, the water quality of Qing River has been severely degraded in recent years, in particular the upstream. The water quality of Qing River within the cities of Lichuan and Enshi has fallen to class IV and V, only fit for agricultural and industrial use. The most important sources of pollution include agricultural runoff, animal husbandry, municipal wastewater, and domestic wastewater from small and .

2. Due to inadequate wastewater collection and treatment in Enshi and Lichuan cities, large volumes of untreated municipal wastewater are discharged directly into the Qing River, resulting in continuing deterioration of the water quality and a threat to safe water supply for local residents, who rely on the Qing River for water supply and recreational use.

3. In addition, there has been serious riverbank erosion and flooding as a result of high intensity rainfall. However, flood control infrastructure and measures in Enshi and Lichuan cities are not sufficient for flood protection.

4. The Project will address these and other concerns and will support: (i) improved water pollution control; (ii) enhanced flood management; (iii) improved institutional capacity for water resource management; and (iv) project management support and capacity development.

5. The proposed project will help Enshi Prefecture (ETMAP): (i) improve its living conditions by providing a cleaner water environment to residents along the upstream of Qing River, including the rural poor who do not have access to centralized water supply systems and hence are most vulnerable to deterioration of drinking water sources from the Qing River and its tributaries; (ii) improve protection against flooding and soil erosion for urban and rural residents along the Qing River; and (iii) promote inclusive economic growth through improving urban infrastructure necessary for eco-tourism development, leading to employment creation and improved income opportunities.

6. ETMAP has 2 cities at the level and 6 counties, among which Enshi and Lichuan cities are the most important urban centers and transportation hubs. The project components are located in Enshi and Lichuan cities.

2. ETHNIC MINORITIES IN PROJECT AREAS

2.1 Population Distribution

7. Enshi Prefecture is a Tujia and Miao Autonomous Prefecture (ETMAP). In 2012, the ETMAP had an ethnically diverse population of 4.01 million; 45% Han, 46% Tujia and 6.5% Miao ethnic groups. The share of ethnic minority population was 43.9% of which the majority were Tujia (38.31%), Dong (1.32%) and Miao (0.7%) in Enshi City. While ethnic minority population accounted for 53.22% of the total, of which the majority were Tujia (52.43%) and Miao (6.07%) in Lichuan city.

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8. Tujia, Miao and the other EMs in Enshi Prefecture and the two project cities reside scattered and mixed with Han people. These EMs and Han families intermarry and stay harmoniously.

9. In 2013, about 60% population averaged minorities in the project sub- and towns. The majority were Tujia, Miao and Dong.

Table 1: Minority Population in Project Areas (2013) Sub- Farming Total area Total %of City /To Land (Mu) %of Tujia %of Miao (km2) Population Dong wn Liujiaoting 83 9900 43095 45 - - Wuyangba 116.21 22120.54 164060 50 2 - Enshi Xiaoduchuan 37 2627 37516 50 - 3 Longfeng 286.47 54809 66809 60 3 3 Duting 34.5 6919 70060 65 2 - Dongcheng 30.6 7010 70124 65 2 - Lichuan Liangwu 420 76350 70832 70 3 - Yuanbao 55.49 21304 19977 80 4 - Source: Sub-district/ leader interviews

2.2 Social-economic profiles

10. All of the policies to support the livelihoods and development are not different between among Han people and minority groups. Furthermore, minority groups, regardless largest population like Tujia or small population like Dong, are enjoying equal policies. The EMs can get some favorable policies, e.g. their senior high school graduates could get 10 scores additional to the examination results for the enrollment to university or colleges.

11. The Tujia, with a total population of over 8 million, is the 6th largest ethnic minority in China. They live in Wuling Mountains, stradding the common border of , Hubei, and and Chongqing . 27.12% of Tujia people are living in Hubei and the almost are concentrated in Enshi Prefecture. Most Tujia people in Enshi and Lichuan use the Hubei dialect of Chinese, only a few people especially the elderly living in the remote areas can speak . Their residential locations are mixed with Han and other ethnic minority groups. Intermarriage is common.

12. The live primarily in southern China, in the provinces of Guizhou, Hunan, , , and Hubei. About 50% Miao people are distributed in Guizhou. Hubei has a small proportion of Miao population accounting for about 2.7% of total population. However, they are concented in Jianfeng and Laifeng Counties in Enshi prefecture rather than in the project areas of Enshi and Lichuan Cities. There are no purely and concentrated residence communities or villages and sub-villages by Maio minority in the project areas.

13. The Dong lives mostly in eastern Guizhou, western Hunan and Northern Guangxi in China. There were 9984 people and 222 people living in Enshi and Lichuan respectively.

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2.2.1 Income Structure and Expenditure Patterns for EM Households

14. Based on PPTA field surveys of 300 HHs (143 EM and 157 Han), the income level and main sources of household income within EM households were similar to Han households. Income from employee salary, business, investment, property rental and casual labour ranked as the top five income sources of the surveyed minority households, accounting for over 80% of the total household income. 29 minority households rely largely on pensions (12.62% of the total EM HHs income) and 42 households depend mainly on casual labour or vendor earnings (12.42% of total EM HHs income). Government subsidy had contribution (6.29%) to household income. There was no significant difference of the income level between EM and non-EM households. The project area is mainly urban or peri-urban where economic opportunities are better. As shown in the table 3, poor minority households made up of 4.2% of total surveyed minority households, that was a slightly lower than that of non-minority households (4.46%). Near poor households shared the similar percentage between EM (16.08%) and non-EM (15.92). Income groups with middle and better levels comprised the majority both among EM households and non-EM households. But the share of rich income level group within EM households was a bit higher than of non-EM households (7.69% against 5.73%).

Table 2: Income Sources Between EM and Non-EM HHs Income Sources EM HHs % of Total Non-EM % of Total Non- (N=143) EM HHs HHs (N=157) EM HHs Income Income Salary 85 24.43 90 22.42 Business 32 19.65 33 19.67 Investment 6 9.28 5 11.90 House rental and saving 85 15.31 67 14.58 Pension 29 12.62 35 12.67 Casual labour, street 42 12.42 44 12.34 vendor income Government Subsidy 26 6.29 25 6.42 Total 100 100 Source: Household Survey Data.

Table 3: Income Level Between EM and Non-EM HHs Income Level (average EM HHs % of Total Non-EM % of Total Non- per capita annual (N=143) EM HHs HHs (N=157) EM HHs disposal Income Yuan) Poor (<=3960)* 6 4.20 7 4.46 Near Poor (3961-6600)** 23 16.08 25 15.92 Middle (6601-15000) 60 41.96 67 42.68 Better (15001-35000) 43 30.07 49 31.21 Rich (>35000) 11 7.69 9 5.73 Source: Household Survey Data. * Official Urban poverty line in Enshi Prefecture was CNY 3960 per capita annual disposal income in 2013 defined by Enshi Prefecture Civil Affairs. ** People whose per capita annual disposal income was between CNY 3961-6600 were the defined by Enshi Prefecture Civil Affairs.

15. Similar to Han households, the cost of food, education, fuel and social maintenance is consisted of the majority of household expenditure (42.7% of total expending). Water use fee only accounted for 1.92% within surveyed households.

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Table 4: Expenditure Patterns Between EM and Non-EM HHs Income Sources EM HHs % of EM Non-EM % of Non-EM (N=143) HHs HHs (N=157) HHs Expending Expending Food 141 16.38 156 16.29 Education 68 13.01 81 12.89 Gas fuel and present 57 12.45 58 12.44 Household facilities 15 7.69 39 8.34 House Rental 18 7.35 22 7.23 Taxes 4 6.92 5 7.12 Tobacco and alcohol 84 5.78 85 5.25 Medicine and medical 116 5.67 133 5.59 services Clothing 112 4.43 137 4.94 Support for parents or 36 4.21 39 4.16 other relatives Transportation 90 4.38 98 4.46 Recreation 14 3.57 19 3.67 Communication 128 2.78 153 2.77 Water 140 1.93 151 1.94 Electricity 135 1.02 151 0.97 Total 100 100 Source: Household Survey Data.

2.2.2. Education

16. Based on PPTA surveys in 2014, the average education level of EM population is equal with that of non-EM residents. The EM and non-EM shared the similar percentage of no schooling and primary school education. There were slight differences occurred in secondary school and high school education levels. Specifically, 40.4% and 28.2% of EM respondents were in the secondary school and high school category respectively, slightly higher than non- EM respondents (39% secondary school education and 27.8% high school education). Whereas, the percentage of EM respondents with college and graduate above education (4.8% and 0.8% respectively), were slightly lower than that compared to non-EM respondents (5.9% and 1.4% respectively). Very few respondents obtained more than college education. The poverty and social analysis showed that no major differences exist between sexes regarding education in the project area.

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Table 5: Education Level by EM and Non-EM EM Non-EM Education Level No. of % of No. of % of respondents respondents respondents respondents No schooling 5 3.5 6 3.4 Primary school (1-6 years) 32 22.3 35 22.5 Secondary school (7-9 years) 58 40.4 61 39.0 High school (10-12 years) 40 28.2 44 27.8 College 7 4.8 9 5.9 Incomplete university, 0 0 0 0 Undergraduate 0 0 0 0 Graduated or above 1 0.8 2 1.4 Total 143 100 157 100 Source: Household Survey Data

2.2.3 Occupation

17. The PPTA surveys revealed that there were no significant differences between EM and non-EM respondents regarding types of occupation. EM and non-EM respondents shared the similar percentage of occupations. The specific percentage with each occupation has been detailed in Table 6.

Table 6: Occupation by EM and Non-EM EM Non-EM Occupation No. of % of No. of % of respondents respondents respondents respondents State owned enterprise 1 0.79 1 0.76 employee Private enterprise employee 6 3.95 4 2.68 Government employee 18 12.68 20 12.56 Own business 14 10.12 18 11.89 Casual labor 23 15.89 26 16.14 Street vendor 1 0.79 3 1.73 Paid child care in the house 2 1.65 3 1.73 Responsible for house work 43 30.21 50 31.95 Retired, pensioner 18 12.6 16 10.45 Student 0 0 0 Unemployed 12 8.17 12 7.67 Disabled 4 2.51 3 1.73 Other 1 0.64 1 0.71 Total 143 100 157 100 Source: Household Survey Data

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3. OBJECTIVES AND POLICY FRAMEWORK

3.1 Objectives

18. This Ethnic Minority Development Plan (EMDP) is prepared to provide guidance to the project EA and IAs and project consultants who will be carrying out the investment project, on policy and procedures to screen project impacts on ethnic minority population and to safeguard the rights of local minority people in accordance with ADB’s Safeguard Policy Statement (SPS), 2009 and domestic laws in China associated to ethnic minority developments.

3.2 Chinese Policies on Ethnic Minorities Development

19. The key principles of PRC’s ethnic minority policies can be briefly summed up as: 1) ethnic equality and solidarity; 2) administrative autonomy of ethnic minority ; 3) to develop economy and cultures of ethnic minority regions; 4) to cultivate ethnic minority cadres; 5) to improve science, education, civilization, health and other undertakings in ethnic minority regions; 6) to promote the application of ethnic minority languages1; 7) to respect ethnic minorities customs and habits; and 8) to respect and protect ethnic minorities freedom of religious beliefs. On the top of its state-building agenda, PRC has been taking national unity, ethnic solidarity, ethnic equality and mutual respect as the basic guidelines of managing ethnic affairs.

20. In 2011, the State Ethnic Affairs Commission (SEAC) and other related departments formulated the Twelfth Five-Year Plan for Ethnic Groups Development, which shows the great attention the Central Government has paid to the development of ethnic groups. The plan prescribes 11 main tasks:  to greatly improve the primary conditions for economic development in EM autonomous regions;  to deal with poverty in EM groups;  to improve education and technology;  to promote medical care and public health;  to develop cultural undertakings;  to steadily improve public welfare ;  to strengthen the cultivation of ethnic qualified persons;  for EM groups and EM autonomous regions to continuously open wider to the world;  to perfect ethnic-related law system;  to improve the system of ethnic theories and policies;  to continuously create the social environment where all the ethnic groups develop harmoniously.

21. Given there are few differences between ethnic groups and Han people in Enshi prefecture with respect to social, economic and cultural levels, Enshi Prefecture government did not follow the central government 12th Five Year Plan to issue the 12th Five Year Planning for ethnic minority development at prefecture level. Instead, ethnic minority development has been incorporated into Enshi Prefecture 12th Five Year Socio-Economic Development Plan.

3.3 ADB Policy

1 Tujia and Miao languages are actively promoted in Enshi prefecture, and an Ethnic Minority University exists. 7

22. The ADB’s SPS (2009) recognizes the potential vulnerability of indigenous peoples in development processes. The policy works to ensure that indigenous peoples have opportunities to participate in and benefit equally from development. Accordingly, project activities must ensure that development initiatives affecting indigenous peoples are effective, sustainable and culturally appropriate. Initiatives should be compatible in substance and structure with the affected peoples' culture, social and economic institutions, and commensurate with the needs, aspirations, and demands of affected peoples. Initiatives should be conceived, planned, and implemented, to the maximum extent possible, including consultation with affected communities to ensure respect for indigenous peoples' dignity, human rights, and cultural uniqueness2. Projects must avoid negatively affecting indigenous peoples, and provide culturally adequate and appropriate mitigation when a negative impact is unavoidable. Project strategies and approaches to development that affect indigenous peoples must include clear mechanisms for accurate, objective analysis of their circumstances. Development processes must incorporate transparency and accountability, and encourage the participation of IPs in project design and implementation.

23. ADB’s safeguard Policy Statement requires that any development project that has impact on IPs should ensure that:  the project is in compliance with the IPs’ requirements and desires;  the project is, essentially and structurally, in compliance with the IPs’ cultural, social and economic norms;  the impacted people should be well informed about the concept, planning and implementation of the project and fully participate in it;  equity must be guaranteed in the developmental endeavor and its impact;  the adverse impact of any developmental activity should not be imposed on the IPs. If such negative impact is unavoidable, proper and acceptable compensation or mitigation should be guaranteed.

24. To avoid, minimize and mitigate the adverse impact on IPs, ADB requires that all the ADB-financed development projects have to:  undertake social impact assessment and planning process;  prepare social impact assessment of the proposed project activities;  prepare IP planning documents which specify (i) actions to mitigation adverse impacts and enhance project benefits in a culturally appropriate manner, and (ii) institutional arrangements and budget to implement the actions;  disclose information and undertake meaningful consultation, which may include ascertaining consent of affected indigenous peoples’ communities to selected project activities;  establish a grievance mechanism;  monitor and report on implementation of the planning document.

25. ADB and PRC policies have similarities but are not equivalent because ADB policy requirements relate to project level investments. The PRC system has no such requirement. Nonetheless, such requirements can be include into project design by means of an EMDP.

Table 7: Summary Policy Framework for Ethnic Minorities of the PRC and ADB

2 ADB’s definition of ‘indigenous people’ is broad and includes ethnic minorities as defined in the PRC context. For this reason, the PRC government has agreed to call this planning document and Ethnic Minority Development Plan.

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Name of policy/ Category Contents and key points regulation State laws and State laws and ①In addition to the same powers as local governments, the authorities regulations regulations: Constitution of the localities of ethnic autonomy also have the following rights: of the People’s Republic autonomous legislative power; autonomy in the administration of local of China, Law of the political, economic, financial, scientific, educational and cultural affairs, People’s Republic of the right to organize local public security forces, and the right to use and China on Regional develop ethnic minority languages, etc. Ethnic Autonomy, Law ②Citizens of the People’s Republic of China shall have freedom in of Organization of religious belief, and the state and the authorities of the localities of ethnic Villager Committee of autonomy shall guarantee such freedom for citizens of all ethnic groups. the People’s Republic of ③Administrative regulations for ethnic minorities shall be formulated to China, Regulations on promote the development economic and cultural programs of ethnic the Administrative Work minority , protect the lawful rights and interests of ethnic of Ethnic Minority minorities, and enhance the unity among different ethnic groups. Townships the People’s ④Except those deprived of political rights, villagers attaining 18 years of Republic of China, the age, regardless of ethnic group, race, sex, occupation, family 12th Five-year Plan for background, religious belief, education, property condition or term of Ethnic Minority residence, shall have the right to vote and the right to be elected. Programs ⑤The state shall support all ethnic minorities financially, materially and technically to accelerate their economic development, cultural and other social programs. ⑥Provincial, autonomous and municipal governments shall take urban ethnic work as an important duty, strengthen leadership and make unified arrangements. ⑦In spoken and written language work, we must adhere to the principle of ethnic equality, ensure that all ethnic groups have the freedom to use and develop their own languages, advocate all ethnic groups to learn from one another’s language, enable languages to serve the reform and opening up, and all-round development of political, economic and cultural programs of the autonomous region, and promote the unity, progress and co-prosperity of all ethnic groups. 9

Name of policy/ Category Contents and key points regulation ADB Safeguard policy The ADB policy requirement 3 for indigenous peoples (ethnic requirement 3 of ADB minorities) aims to ensure that the dignity, powers, economies and for indigenous peoples cultures of ethnic minorities are fully respected during the project (ethnic minorities) development process. The key policy points include: ①ADB acknowledges that indigenous peoples have the right to be consulted, participate and influence development decisions that affect them. Ethnic minorities may not benefit from development automatically, because development is often planned and implemented by the mainstream or dominant society in the country in which they live. Special efforts should be paid to enable ethnic minorities to participate in the planning of development projects that affect them, especially projects designed to meet their special needs and desires. ②Projects should be designed and implemented in a way that fosters full respect for ethnic minorities identity, dignity, human rights, livelihood systems, and cultural uniqueness as defined by themselves so that they (i) receive culturally appropriate social and economic benefits, (ii) do not suffer adverse impacts as a result of projects, and (iii) can participate actively in projects that affect them. ③To protect the rights and interests of ethnic minorities, project owners are required to: (1) conduct social impact assessment and planning; (2) prepare social impact assessment and planning documents; (3) disclose information and conduct consultation, including confirming that the affected ethnic minorities approve of the scope of construction; (4) establish a grievance redress mechanism; (5) conduct monitoring and reporting. This set of policy requirements will ensure that ethnic minorities maintain and carry forward their cultural features and practices, and their habitats, and that necessary measures are taken in projects affecting them to protect these rights. Sources: PMO, Ethnic Minority Affairs Bureau.

4. SOCIAL IMPACT ASSESSMENT ON ETHNIC MINORITY

4.1 Environmental Needs Assessment for EM

26. The minority people have the common needs of environment improvement with other residents. Based on the field investigation results from group discussions as well as household survey with minority people, main environment needs for EM have been summarized below:

27. Improving the water body of Qing River: Similar to other residents, minority people are expecting their living environment can be improved through reducing the pollution of Qing River. The water pollution of Qing River is regarded as the first common issue associated to the environment by focus group ethnic interviewees because on the one hand, Qing River is the single source of water supply for residents both in Enshi and Lichuan. On the other hand, the degraded Qing River is harming the living environment and public health.

28. Improving the quality of drinking water: In general, water quality in the project area is poor that caused lots of concerns of local people with the drinking water quality. Similar to other residents, ethnic focus group discussions discovered that minority women are worried about their domestic water use as the source of drinking water is from Qing River. Women said that

10 the tap water has a strange smell that might be from the overuse of disinfectant in the water. It is reported through focus group discussions that about half of interviewees use bottled water for drinking and tap water for washing in their households as they think the current tap water is not safe.

29. Improving wastewater collection service: Like other residents, EM interviewees also reported that the major causes of water pollution for Qing River include the insufficient wastewater collection system has been leading the degradation of Qing River. Large volume of sewage water generated by residents are discharged into Qing River, which would worsen the living condition, threaten public health and influence the living environment for local population.

30. Improving solid waste collection service: The solid waste problem is the common environmental issue discussed by EM and non-EM residents. The garbage is thrown on the ground or in the river. Especially houses, seating along branches of Qing River, usually throw the garbage into rivers. For example, there are lots of garbage throwing into Longdong River and Gaoqiao River in Enshi. Many areas along the river banks are used as informal rubbish dumps. Minority representatives are expecting to improve the service in terms of increase in garbage collection stations and increase in staff to collect garbage timely.

4.2 Project Benefits for minority residents

31. Project benefits are widely perceived by surveyed people including EM and non-EM representatives. The project would bring benefits equally for local minority population with Han people.

32. Local minority population would enjoy equally mitigated water pollution and improved the living environment with other residents.

33. Increasing green space and leisure places, such as the public amenity areas prepared under output 2, will be equally accessed by minority people and other residents: The component of building public green spaces will provide walking, exercise and leisure spaces to local residents, especially for old people, women and children.

34. Local ethnic residents will benefit the job opportunities generated by the project construction. Furthermore, the improved living environment will attract more visitors and generate more demands of tourism related services such as accommodation and recreational services, and this could provide more jobs to local minorities in the longer term.

Table 8: Minority Residents’ Perspectives of Project Benefits and Impacts Project Components Positive Impacts Negative Impacts Wastewater Collection Water/wastewater tariff increase improvement through expanding or Improving living environment Land acquisition upgrading wastewater treatment Better wastewater collection Displacement plants afer water source

Dredging of the river channels to Providing some job opportunities Disturbing daily activities during improve flood regulation Improving living environment construction Benefiting public health Smell during construction Protecting property and personal safety Not timely removal of dredged materials

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Project Components Positive Impacts Negative Impacts Constructing ecological buffer Providing some job opportunities Not timely construction site clean zones to improve flood regulating Safer water source Bad maintenance management capacity, reduce flooding impact Benefiting public health and protect drinking water source Reducing floods and landslide Stabilizing river banks through Providing some job opportunities Not timely construction site clean embankment and re-vegetation Safer water source Bad maintenance management with native species to reduce water Benefiting public health Land acquisition and resettlement contamination from erosion. Reducing floods and landslide Generating public green spaces

Sources: Household Survey Data and Focus Group Discussions.

4.3 Project Impacts and Risks

35. Land acquisition and house demolition caused by constructing or expanding wastewater treatment plants would be a main negative impact of the project on local minority people.

36. The project will involve a total land acquisition amounting to 1,546.9 mu and a total of 12,778 m2 rural houses will be demolished. 1,231 HHs with 5,076 persons will be affected of which estimated 40% would be minority residents. It is assumed that half or more of the affected people are from ethnic minorities. During updating of the RP, the number of ethnic minority people affected by IR will be specified.

37. During the field survey, the respondents and group interviewees in affected villages were not seriously worried about potential negative impacts of and acquisition and house demolition, but they are concerned about the compensation level and worried about they do not have adequate information on this.

38. Willingness to pay a higher water/wastewater tariff for local minority residents and affordability of the tariff increase for poor minority people would be dealt with during project implementation through consultation processes. The household survey data indicate that about 56% of EM respondents do not agree to increase water fee, 70.67% of EM respondents do not support to increase the water tariff up to CNY 5/ton. However, most minority people support to increase the water tariff gradually over 5 years amounting to CNY 3/ton – CNY 4/ton. Minority representatives of local residents also expressed they cannot afford a higher tariff above CNY 4/ton. During project implementation, the project will assess the impact of wastewater collection fees and tariffs on the poor and vulnerable households, including among ethnic minority people, and provide necessary subsidies to ensure wastewater collection services to the poor; and hold public tariff consultation hearings to consult with the affected people when setting or adjusting tariffs for wastewater.

39. The field survey also revealed that the disturbance caused by dredging of the river channels would be an impact of the project during construction such as smell emission during dredging and not timely removal of dredged materials.

40. Upon on wide consultations with government departments, communities and minority representatives of residents, mitigation measures/actions have been.

4.4 Action Plan

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41. Based on project impact analysis on the EM, the actions including enhancement measures of project benefits and mitigation measures of project impacts and risks for the EM is presented in the Table 9 below.

Table 9: Ethnic Minority Development Action Plan

Monitoring Indicators Agencies Funding Target & Source Proposed Actions Involved Timing Source Group(s) A. ENHANCEMENT MEASURES OF PROJECT BENEFITS 1. Socially Inclusive Design Minority EA and IA 2015 No extra 1. Number of minority Features: residents funds representatives 1.1 Providing minority residents particularly the needed attending the public affordable water/wastewater poor and women hearing meeting for tariff, especially poor minority water tariff increase. people. 2. No. of poor minority 1.2 Minimizing the impact of land residents attending acquisition and house the public hearing demolition to minority people. meetings for water tariff increase. 3. Degree of satisfaction of the public with water tariff increase. 4. No. of minority house and persons affected by land acquisition or house demolition. 2. Project Economic Benefits: Poor minorities, EA and 2015– Project 1. Number of jobs  Priority on using local minority women, IAs; 2020 budget plus provided to minority materials and resources, project affected Contractor government people - male and using local products and minority people s; Ethnic funds female, and the poor. services (e.g., house, food, Minority 2. Average purchase of drink and other necessities. Bureau local products and  Providing 40% of total jobs other resources. generated at the 3. Amount of income construction and operation brought from tourism stages available to minority development. residents, especially poor and women.  Tourism promotion with minority’s natural and cultural resources. 3. Capacity Development for EA and 2015- EMDP 1. No. of training Minority People: Minority people, IAs; Ethnic 2020 budget with sessions held  Strengthening skill and priorities give to Minority government 2. No. of EM people training of minority residents the poor and Bureau; funds trained. on ecotourism development women EM. Tourism 3. No. of jobs generated.  Promoting non-farm Bureau employment and improve livelihoods 13

Monitoring Indicators Agencies Funding Target & Source Proposed Actions Involved Timing Source Group(s) 4. Encouraging Minority People Construction EA and 2015- EMDP 1. No. of minority people Participation in Community- workers contractors 2020 budget participated in based Environmental community environment Protection Activities: activities.  Establishing 8 community 2. No. of minority environment supervision members in and flood management CESFMT. teams. There is at least one minority member in the 3 members of each team.  Development of methods of publicizing status of water quality using language and formats that the minority public can understand, especially using appropriate ways for minority women;  Development of community- funded garbage collection and disposal systems,  Development and publication of flood warning, evacuation, and emergency response procedures for the community.  The proportion of minority people to all participants in the development of the community participation manual, and flood warning and response plan is not less than 40%. B. MITIGATION MEASURES OF PROJECT IMPACT AND SOCIAL RISKS 1. Consultation and Minority people EA/IA 2014– EMDP 1. Number of such Participation and affected 2018 budget consultation held  Informing and consulting households and degree of public with the minority population participation on project impacts and desegregated by benefits (at least 40% gender, poor. participants to be women and poor.  Status and progress of civil works including possible construction related interruptions and disturbances. 2. Land Acquisition and Resettlement  Affected minority households would be fully consulted with preferences

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Monitoring Indicators Agencies Funding Target & Source Proposed Actions Involved Timing Source Group(s) of livelihood recovery and displacement sites. 3. Establishing a Grievance Affected minority EA, IAs 2015- EMDP 1. Number of complaints Redress Mechanism people 2020 budget received and  Establishing a grievance disposition (relevant redress mechanism in the records). project area, handling appeals from minority people, and keeping appeal and remedy records. 4. Minimization of Disturbances All affected EA, IAs 2015– Project 1. Number of complaints During Construction people and 2019 budget and received and  Avoidance of water sources contractors EMP budget resolved. contamination. 2. Number of damaged  Avoidance of construction work public facilities at night nearby residential repaired timely. areas.  Avoidance of damage of minority’s holy sites or stuff like tree, water or mountain.  Minimization of dusts caused by construction.  Site cleaning up on work completion  Reconstruction of irrigation, drainage systems and approach roads destroyed by construction. 5. Provision of Affordable Minority people, EA and 2016- Government 1. Number of minority Water Tariff Poor and near- IAs; Ethnic onward Finance representatives involving  Ensuring 40% poor minority Minority s in public hearings held. representatives to be households Bureau. 2. Number of poor and minority people, attending near-poor water tariff public hearing representatives involving meetings. in public hearings.  The poor people are entitled 3. Poor and near-poor public assistance program, people’s concerns, namely giving exemption problems and disposition partly from water tariff (relevant records). increase. 4. No. of poor and near-  The public assistance poor families covered by program is expanded to public assistance near-poor households. program.

C. Monitoring and Evaluation  Semi-annual monitoring and EA and 2016- EMDP 1. Semi-annual EMDP evaluation of project impacts IAs 2020 budget progress monitoring and and benefits on minority evaluation report people and reporting to ADB 15

5. PUBLIC PARTICIPATION AND CONSULTATION

5.1 Consultation and Participation during Project Preparation

42. At the preparation stage, public participation and consultation have been conducted with EM residents. In the social and poverty assessment and resettlement preparation in - April, 2014, 47.67% of the 300 households surveyed were EM residents in project areas. In addition, a total of 181 interviewees (about 50% of total interviewees) were minority people.

43. During the project preparation, extensive consultations and participation with EM population were carried out by EA and IAs in the project affected communities in order to ensure all of them are fully aware of compensation policies and rehabilitation measures. Further consultation and participation will be carried out during the implementation of EMDP and RPs.

5.2 Consultation and Participation during Project Implementation

44. During project implementation, consultations with and participation by minority people affected by the project will be conducted. This will be particularly during the land acquisition and resettlement phase. First, all affected minority people and villages will be provided the opportunity to review and consult the final compensation packages before signing compensation agreements. The agreed compensation rates and rehabilitation measures will be disclosed in the area affected by the project and be supervised by the affected people. Relocated minority households will have a choice of cash or an in-kind rehabilitation option. For landless farmers, a training needs assessment will be carried by the local government.

45. In order to ensure that people affected by the project, particularly the poor minorities, will benefit during project implementation, the contractors will be encouraged to use both local construction materials and local labor. To facilitate such employment and reduce poverty, the IA and the local poverty alleviation office along with the human resource and labor security bureau will be asked to provide various kinds of non-farm skill training to the affected people, particularly the rural poor in the area affected by the project. Such training should be provided to both male and female laborers.

6. DISCLOSURE AND GRIEVANCE

46. The project information will be made available timely to minority people in a cultural sensitive manner in terms of project implementation progress, EMDP, resettlement plans, water/wastewater tariff increase, etc.

47. The EMDP will be posted on ADB website and the EA/IAs will make it available to local communities and agencies. During project implementation, The EA will prepare EM monitoring reports and submit the same to ADB for reviews.

48. For affected persons who are not satisfied with the compensation and rehabilitation offered, or have issues and difficulties during resettlement implementation, a grievance procedure will be established, which has been disclosed in the resettlement information booklet to be distributed to people affected. The grievance procedure will be mainly managed by the related government agencies, and the IA. The grievance redress mechanism consists of the following steps:

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1. Affected persons provide oral or written dissatisfaction to community or local resettlement office. If it is oral dissatisfaction, the community or the local settlement office must properly keep written records and make a definite reply within 2 weeks. If the problems involved are relatively significant and it is thus required to ask superior resettlement office for instructions, it shall strive to obtain the replied opinions of superior resettlement management department within 2 weeks. 2. If the replied opinions in stage 1 do not satisfy the complainants, the complainants may appeal to subproject PMO/PIU (environmental and social office) within one month after receiving decision of stage 1, and the subproject PMO/PIU (environmental and social office) shall make a decision on processing of the appeal within 3 weeks. 3. If the affected persons are still dissatisfied with the replied opinions of subproject PMO/PIU (environmental and social office) office, they may appeal to Enshi City Project Leading Group within one month after receiving replied opinions in stage 2, and the leading group will provide replied opinions within 4 weeks. 4. Complainants can also submit complaints to ADB which will be handled by the Project Team. If an AP is still not satisfied and believes they have been harmed due to non-compliance with ADB policy, they may submit a complaint to ADB’s Office of Special Project Facility or Office of Compliance Review in accordance with ADB’s Accountability Mechanism3. If the affected persons do not choose to solve the problem through the procedures mentioned above, they can directly file a lawsuit to a civil court. All complaints and appeals (oral or written) shall be specified in resettlement internal and external monitoring report and reported to the PMO and ADB.

7. INSTITUTIONAL ARRANGEMENT

49. The EMDP will be implemented in parallel with the project construction works during 2015-2020.

50. The EA is responsible to endorse the EMDP. The IAs are primarily responsible for implementing the EMDP action plan and will coordinate with other key local governmental agencies. For implementation of the EMDP, Enshi and Lichuan Ethnic Affairs Bureaus will provide support in terms of cultural awareness and monitoring of the EMDP effectiveness. Other key agencies include Labour and Social Security Bureaus, Women’s Poverty Reduction Offices and the Tourism Bureaus.

51. The EA and IAs are responsible for recruiting a project implementation consultant is knowledgeable and experienced with ethnic minority issues and familiar with the requirements of the ADB on EM to support and monitor the process of EMDP implementation. The consultant will support monitoring and reporting to ADB.

8. MONITORING AND REPORTING

52. The EA and IAs will monitor and measure the progress of implementation of the plan. The EA/IAs should conduct field investigations using participatory approaches in terms of household surveys, surveys, focus group discussions and key informant meetings with relevant agencies, focusing on the target groups and issues set out in the plan.

3 For further information see: http://www.adb.org/Accountability-Mechanism/default.asp.

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53. Semi-annual reporting would be set up. Mid-year monitoring reports can focus on the progress and year-end reports will have more entire assessment. The reports will be made publicly available and distributed to the relevant implementing agencies as well as submitted to ADB for review.

9. BUDGET AND FINANCING

54. Funds have been allocated within the Project cost to cover specific measures and management costs and contingency, and this includes the following: (i) for national consultant to advise and support PMO, EA and IAs and Project team during consultation with EMs and other stakeholders, implementation and supervision of EMDP (about US$ 60,000) ; (ii) consultation with EMs for and other related stakeholders for capacity training need assessments, etc. (about UD$ 25,000); (iii) various specific training implementation ($40,000). Specific funds will be allocated for safeguard activities to ensure that ethnic minorities can maximize the use of the upgraded/rehabilitated infrastructure and also to avoid or mitigate any potential negative impacts. The total base cost of preparation and implementation of program related to EMs is estimated around $125,000. Budget source will be taken from ADB loan and built in the Project Budget and Procurement Plan.