53053-001: Henan Xichuan Integrated Ecological Protection And

Home , Danjiangkou Reservoir, Dengzhou, Gongyi, Henan, Jiyuan, Kaifeng

Resettlement Plan (Draft)

Project Number: 53053-001 November 2020

People’s Republic of China: Henan Xichuan Integrated Ecological Protection and Environmental Improvement Project

Prepared by Xichuan County Government for the Asian Development Bank.

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ADB-financed Project

Henan Xichuan Integrated Ecological Protection and Environmental Improvement Project

Resettlement Plan

(draft)

Xichuan County Government (XCG) Xichuan Project Management Office (PMO) October 2020

Letter of Commitment

To facilitate the ecological protection and green improvement of the Danjiangkou Reservoir, XCG has decided to implement the Henan Xichuan Integrated Ecological Protection and Environmental Improvement Project (hereinafter, the “Project”). The project documents and construction land of the Project will be approved by the Henan Provincial Development and Reform Commission, and the Nanyang Municipal Natural Resources Bureau respectively. The Project will be implemented from 2021 to 2025. XCG has applied for part of the project funds with ADB for construction and capacity building through the Ministry of Finance. Therefore, the Project will be implemented in accordance with ADB’s Safeguard Policy Statement (SPS2009), and the Xichuan PMO has prepared this RP for this purpose. This RP fully complies with the applicable laws and regulations of China and Henan Province, and the applicable policies of Xichuan County, and is consistent with the Safeguard Policy Statement (2009) of ADB, especially the policy requirements on involuntary resettlement. XCG and the township governments concerned are the implementing agencies of the Project. XCG and the Xichuan PMO hereby confirm the contents of the RP prepared in August 2020, and warrant that this RP will be implemented according to the specified principles. The Xichuan PMO will be responsible for project management and coordination, and the Xichuan County Natural Resources Bureau is appointed as the implementing agency of the Project’s LA and resettlement activities.

Xichuan PMO (official seal) XCG Signatures of leaders: Project Leading Group, Xichuan PMO September 2020

Glossary

Affected population: the population affected by relocation (house demolition, loss of residential land, home or shelter) or economically (loss of land, assets, access to assets, income sources or livelihoods) due to: 1) the involuntary acquisition of land; or 2) the involuntary restriction on land use or access to statutory parks and reserves

Cut-off date: the date disclosed to the affected households for fixing the eligibility for the census on the affected population and the detailed measurement survey, where all households entering the range of land acquisition and house demolition after this date will not be eligible for compensation

Entitlement: Range of measures comprising compensation, income restoration, transfer assistance, income substitution, and relocation which are due to affected people, depending on the nature of their losses, to restore their social and economic base

Grievance redress mechanism: a mechanism for accepting and addressing grievances and appeals on relocation, economic and other project impacts on the affected population, with attention paid to vulnerable groups

Income restoration: the rebuilding of income sources and livelihoods for the affected households, including activities supporting the restoration of the pre-project income / livelihoods of the affected population, where such programs are measures designed to address specific needs of the affected population based on the socioeconomic survey and the training need appraisal

Effective consultation: This process: 1) begins early at the project preparation stage and continues throughout the project cycle; 2) discloses relevant information timely and fully in a way understood and easily accessed by the affected population; 3) is conducted without any intimidation or threat; 4) includes and responds to women’s needs, and caters for vulnerable groups’ needs; and 5) accommodates all views of the affected population and other stakeholders related to decision- making, such as project design, alleviation measures, sharing of development interests and opportunities, and implementation issues.

Vulnerable group: individuals and groups that may be specially or asymmetrically affected by the project due to their disadvantaged or vulnerable status, usually including the poor, land-expropriated farmers, old people, women, children and minority residents, and those without legal land title

Executive Summary 1. Project introduction 1. The Henan Xichuan Integrated Ecological Protection and Environmental Improvement Project (hereinafter referred as the Project) involves three outputs and 12 components, affecting 14 towns (including 9 towns affected by permanent land acquisition (PLA)) in Xichuan County, Nanyang City. Output 1: develop the institutional capacity of Xichuan County Government. It includes institutional support, asset management, community environmental management, knowledge sharing through publications and seminars, institutional capacity-building for mountain flood mitigation, and rural eco- tourism: a demonstration project of infrastructure construction in beautiful villages in Xichuan County. Output 2: soil and water conservation measures have been improved. It includes forest and fruit industry development, soil erosion mitigation, river regulation and mountain flood disaster risk. Output 3: rural water service improvement. It includes constructions of rural sewage management, Xichuan County food waste and urban sludge collaborative treatment center, Danjiangkou Reservoir urban and rural water supply, Xichuan County County Drainage and waterlogging prevention facilities. 2. The Project will be implemented from 2021 to 2025. This Resettlement Plan（RP） is developed for the land acquisition and resettlement for the Project. The Project’s land acquisition and resettlement (LAR) work will be implemented from June 2021 to December 2023. This RP will be updated based on the detailed design and detail measurement survey (DMS), and the updated RP will be submitted to ADB for review and approval prior to LAR, and awarding of the civil works contract involving LAR. 2. LAR Impacts 3. A total of 2,800.73 mu of land will be occupied permanently for the Project, including 2,309.64 mu of collective land, and 491.09 mu of state-owned land. In total, LAR of the Project will affect 728 households with 2,815 persons from 40 villages with 9 townships of Xichuan County, including 69 vulnerable households. 4. A total of 3 non-residential properties will be demolished with a total size of 5,500 m2, including 4,200 m2 in frame structure (76.4%), 1,200 m2 in simple structure (21.8%) and a refrigerated storehouse of 100 m2 (1.8%), affecting 3 enterprises with 43 persons. 5. Temporary land occupation is caused by riverside and road construction, spoil dumping, etc., and sewer line construction along urban and rural roads. A total of 1,841.6 mu of land will be occupied temporarily, including 1,146.42 mu of state-owned land and 695.18 mu of collective land, affecting 151 households with 604 persons. 3. Policies, Compensation and Restoration 6. The LAR policies of the Project have been developed in accordance with the laws and regulations of the PRC and Henan Province, and ADB’s Safeguard Policy Statement. Comprehensive legal framework and policies have been described in Section 4. 7. For permanently acquired collective land, the local LA compensation and resettlement subsidy rates will be based on the Notice of the Henan Provincial Government on Adjusting Composite Location-based Land Prices for Land Acquisition of Henan Province (YPG [2016] No.48), as detailed in the Notice of the Henan Provincial Government on Location-based Composite Land Prices for Farmland Acquisition (HPG [2020] No.16). LA compensation and resettlement subsidy will be disbursed by XCG to the township governments, and then paid to the affected villages or AHs. 8. Houses demolished for the Project will be compensated in accordance with the Compensation and Resettlement Program for House Demolition in the Downtown of Xichuan County, the Measures for House Expropriation on Collective Land, Compensation and Resettlement in the Downtown of Nanyang City (Trial) (NMG [2018] No.37), the Interim Measures for House Expropriation on State-owned Land and Compensation in the Downtown of Nanyang City (NMG [2011] No.49), and other associated documents. Non-residential properties demolished for the Project will also be eligible to property swap, but all APs prefer cash compensation. Young crops and attachments will be compensated in accordance with the Notice of the Nayang Municipal

Government on Adjusting Compensation Rates for Young Crops and Attachments on Land Acquired for National Construction (NMG [2018] No.14). 9. The compensation rate for temporarily occupied land is 1,500 yuan/mu for cultivated land and 1,100 yuan/mu for other land, and the period of occupation is two years. The compensation will be paid directly to the AHs. 10. Households affected by HD that move actively in advance will be rewarded according to Document XCG [2017] No.3. Demolition of non-residential properties of the 3 enterprises are subject to cash compensation or property swap. According to the survey in the field, all the 3 enterprises expressed they preferred to choose cash compensation. As consulted to each of the 3 owners, the business would be continued for operation on new temporary sites selected in the short-term during the project construction period, and the three enterprises would rebuild near the original sites when their compensation are well received. In terms of the loss of business and subsidies of transition and relocation, it will be provided following the requirements of regulation. 11. The project will ensure the livelihood restoration of APs by providing more employment opportunities for the unemployed labor force. The county project office will be responsible for coordinating the labor and social security bureaus and contractors to provide employment guidance and skills training for the affected population: organizing employment training consultation for land expropriated farmers, providing employment services for agricultural surplus labor force; providing employment information, labor security rights protection and legal advisory assistance; assisting land expropriated farmers in non-agricultural employment; and implementing the project. During the project constructionperiod, about 600 temporary employment opportunities will be created every year, including 200 skill jobs and 400 non-skill jobs; during the project operation and maintenance period, around 235 permanent employment opportunities will be created, including 150 non-skill workers and 85 skilled workers; the skills training plan for around 400 participants /APs will be implemented. 4. Resettlement Due Diligence 12. According to the site survey and aligning with the IEE report, there are three existing facilities associated with the project identified, including: a) Xichuan No.2 Waste Water Treatment Plant (WWTP) through sewage treatment facilities and pipelines in the project components under Output 3; b) Xianghua WWTP through pipelines connected with the project components under Output 3; and c) Xichuan County Municipal Domestic Waste Disposal Site. Both facilities may link with components under Output 3, regarding waste treatment or disposal. The LAR for the three sites had been completed before the project identification and there were no any outsanding or legacy issues. Please see Appendix 2 for the DDRs of related LARs. 5. Land Use Right Transfer (LURT) 13. There is 384 mu of Land Use Right Transfer (LURT) involved for the 93 fruit preservation storehouse construction under Output 2, of which 76 will be constructed on already completed LURT land (342 mu), and the other 17 will be constructed on land to be completed LURT (42 mu). After reaching an agreement through consultation, each administrative village will report its willingness to the township government, and the township government will negotiate with the agricultural and rural bureau to formulate the forestry and fruit industry development on LURT land. The county-level government will invite tenders; and the qualified companies winning the bid will be qualified to carry out forestry and fruit industry development on LURT land. The process of LURT is that the company leasing land entrusts the township government to coordinate, the township government allocates to the village, and the village collective transfers the land use right. The village and the company sign a LURT agreement on a voluntary basis. The land rent is around 800 yuan per mu per year currently, and adjustments will be made every three years (based on equivalent grain prices for the year, or about 5 percent growth rate). The company transfers the fees to the village collective account, and then to each farmer’s account. Due diligence for the completed LURT were prepared and included in Appendix 3. There is no any outstanding issues or grievances for the completed LURT. For those where LURT is planned to be conducted in the future, a LURT Framework has been prepared and included as Appendix 4. 6. Organization 14. To ensure successful LAR as desired, a systematic organization has been established for the

II project. XCG is the executing agency of the Project. Under the overall management of XCG, the county natural resource bureau as well as the county HD management office will be responsible for land acquisition, house demolition, compensation and resettlement together with the planning, natural resources, urban administration, housing administration, public security agencies, related project township governments and villages etc. 7. Public participation and information disclosure 15. At the preparation stage from October 2019, the PMO, IAs and design institute visited various project areas, and they communicated with relevant units and village communities, disclosed the basic information of the project, and conducted extensive consultation on LAR. During the RP preparation from April and July 2020, the RP investigation team conducted 16 community meetings and 22 FGDs in 9 towns / townships, including 16 FGDs with 56 women, and 6 FGDs with 26 vulnerable persons; 16 village official interviews were conducted, involving village cadres 48 people; 530 people were involved in the questionnaire survey; 9 interviews and 20 people were consulted by government departments at the county level and above. Once finalized, the RP report will be endorsed by XCG and disclosed in local government website and ADB website for public disclosure. 8. Grievance redress mechanism (GRM) 16. An GRM has been established to settle disputes over compensation and resettlement. The aim is to respond to grievances of the APs timely and transparently. Grievances about the Project may be from collective land acquisition, temporary land occupation, etc. Correspondingly, the Xichuan PMO, the affected township governments and village committees will coordinate and handle related grievances and appeals. The APs may file appeals about any aspect of LAR, including compensation rates. All agencies will accept grievances and appeals from the APs for free, and costs incurred will be disbursed from contingencies prepared as the resettlement budget. Detail of the GRM is discussed in Section 7.2. 9. Resettlement budget 17. All costs incurred during LAR will be included in the general budget of the Project. Based on prices in June 2020, the resettlement budget of the Project is RMB253.79 million yuan, including basic LA and HD costs of RMB 93.47 million yuan (36.83%), resettlement planning and monitoring costs of RMB 5.14 million yuan (2.03%), training costs of RMB 1.87 million yuan (0.74%), LA taxes of RMB 137.13 million yuan (54.31%), and contingencies of RMB 15.48 million yuan (6.10%). See Section 8 for details. 10. Monitoring and evaluation (M&E) 18. In order to ensure the successful implementation of this RP, LAR implementation will be subject to internal and external monitoring. Internal monitoring will be conducted by the Xichuan PMO in coordination with other authorities concerned (e.g., development and reform commissions, natural resources bureaus, construction bureaus, labor and social security bureaus), and an internal monitoring report will be submitted to ADB semiannually together with the progress reports. The Xichuan PMO will appoint an external agency to conduct external M&E and submit M&E reports semiannually, and M&E costs will be included in the budget of the institutional capacity component. Details of M&E are discussed in Section 10 of the report.

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Contents

EXECUTIVE SUMMARY ...... I

1 OVERVIEW OF THE PROJECT ...... 1

1.1 BACKGROUND ...... 1

1.2 PROJECT COMPONENTS ...... 2

1.3 MEASURES TO REDUCE RESETTLEMENT ...... 2 1.3.1 Preparation Stage ...... 2 1.3.2 LAR Implementation Stage ...... 3 1.3.3 Civil Works Construction Stage ...... 3

1.4 DUE DILIGENCE ON ASSOCIATED FACILITIES ...... 3

1.5 LAND USE RIGHT TRANSFER (LURT) ...... 3

1.6 ESTIMATED LAR BUDGET AND IMPLEMENTATION PLAN ...... 3

2 LAR IMPACTS OF THE PROJECT ...... 12

2.1 LAR IMPACT SURVEY ...... 12

2.2 IMPACTS OF PERMANENT LA ...... 13 2.2.1 LA Area and Affected Population ...... 13 2.2.2 Cultivation Land Losses ...... 16 2.2.3 Income Losses ...... 16

2.3 OCCUPATION OF STATE-OWNED LAND ...... 17

2.4 DEMOLITION OF RESIDENTIAL HOUSES ...... 17

2.5 DEMOLITION OF NON-RESIDENTIAL PROPERTIES ...... 17

2.6 IMPACTS OF TEMPORARY LAND OCCUPATION ...... 20

2.7 AFFECTED GROUND ATTACHMENTS ...... 20

2.8 AFFECTED POPULATION ...... 20 2.8.1 Summary ...... 20 2.8.2 Affected Vulnerable Groups ...... 21 2.8.3 Affected Minority Population ...... 22 2.8.4 Impacts on Women ...... 22

3 SOCIOECONOMIC PROFILE ...... 23

3.1 SOCIOECONOMIC PROFILE OF THE PROJECT AREA...... 23 3.1.1 Xichuan County ...... 23 3.1.2 Affected Townships ...... 23 3.1.3 Affected Villages ...... 23

3.2 SOCIOECONOMIC PROFILE OF THE AFFECTED POPULATION...... 24 3.2.1 Ethnic Composition and Gender ...... 26 3.2.2 Age Structure ...... 26 3.2.3 Educational Level...... 26 3.2.4 Land Resources ...... 26

3.2.5 Household Assets ...... 26 3.2.6 Household Income and Expenditure ...... 27 3.2.7 Willingness Survey ...... 27

3.3 GENDER ANALYSIS ...... 27

4 LEGAL FRAMEWORK AND POLICIES ...... 30

4.1 LAWS, REGULATIONS AND POLICIES APPLICABLE TO LAR ...... 30 4.1.1 Laws and Regulations in National level ...... 30 4.1.2 Laws and Regulations in Henan ...... 30

4.2 ADB POLICY ...... 30

4.3 DIFFERENCES BETWEEN THE ADB POLICY AND PRC LAWS AND GAP FILLING MEASURES ...... 32

4.4 CUT-OFF DATE FOR COMPENSATION AND RESETTLEMENT ENTITLEMENTS ...... 36

4.5 COMPENSATION RATES ...... 36 4.5.1 Permanent LA ...... 36 4.5.2 Demolished Non-residential Properties ...... 37 4.5.3 Temporary Land Occupation ...... 39 4.5.4 Young Crops and Attachments ...... 39 4.5.5 Rates of Taxes and Fees ...... 40

4.6 ENTITLEMENT MATRIX ...... 40

5 RESETTLEMENT AND LIVELIHOOD RESTORATION ...... 43

5.1 LIVELIHOOD RESTORATION PROGRAMS ...... 43 5.1.1 Cash Compensation for LA ...... 43 5.1.2 Social Security ...... 43 5.1.3 Employment Opportunities ...... 43

5.2 WOMEN’S DEVELOPMENT MEASURES ...... 43

5.3 SUPPORTING MEASURES FOR VULNERABLE GROUPS ...... 44

5.4 RESETTLEMENT FOR DEMOLITION OF NON-RESIDENTIAL PROPERTIES ...... 44

5.5 RESTORATION PROGRAM FOR INFRASTRUCTURE AND GROUND ATTACHMENTS ...... 45

6 ORGANIZATIONAL ARRANGEMENT ...... 46

6.1 RESETTLEMENT IMPLEMENTATION AND MANAGEMENT AGENCIES ...... 46 6.1.1 Organizational Setup ...... 46 6.1.2 Organizational Responsibilities ...... 46

6.2 STAFFING AND EQUIPMENT ...... 48 6.2.1 Staffing ...... 48 6.2.2 Equipment ...... 48 6.2.3 Organizational Training Program ...... 49

7 INFORMATION DISCLOSURE, PUBLIC PARTICIPATION AND GRIEVANCE REDRESS ...... 50

7.1 INFORMATION DISCLOSURE AND PUBLIC PARTICIPATION ...... 50

7.1.1 Preparation Stage Information disclosure and Public Participation ...... 50 7.1.2 Implementation Stage ...... 51

7.2 GRIEVANCE REDRESS MECHANISM (GRM) ...... 52

7.3 CONTACT INFORMATION FOR GRIEVANCE REDRESS ...... 53

8 RESETTLEMENT BUDGET ...... 54

8.1 RESETTLEMENT BUDGET ...... 54

8.2 RESETTLEMENT BUDGET DISBURSEMENT PLAN AND FUNDING SOURCES ...... 54

9 RESETTLEMENT IMPLEMENTATION SCHEDULE ...... 60

9.1 RESETTLEMENT IMPLEMENTATION SCHEDULE ...... 60

10 MONITORING AND EVALUATION ...... 62

10.1 INTERNAL MONITORING ...... 62

10.2 EXTERNAL MONITORING ...... 62 10.2.1 Scope and Methods ...... 62 10.2.2 Reporting...... 63

10.3 RESETTLEMENT COMPLETION REPORT ...... 63

APPENDIX 1:RESETTLEMENT INFORMATION BOOKLET(RIB) – TO BE FINALIZED AFTER ADB APPROVAL OF THE RP ...... 64

APPENDIX 2: RESETTLEMENT DUE DILIGENCE FOR EXISTING ASSOCIATED FACILITIES ...... 72

APPENDIX 3: DUE DILIGENCE REPORT ON LAND USE RIGHT TRANSFER (LURT) FOR THE FRUIT PRESERVATION STOREHOUSE CONSTRUCTION ...... 81

APPENDIX 4: LAND USE RIGHT TRANSFER (LURT) FRAMEWORK FOR THE FRUIT PRESERVATION STOREHOUSE CONSTRUCTION ...... 85

APPENDIX 5: LA IMPACT ANALYSIS ...... 91

APPENDIX 6: DOCUMENTS ON COMPENSATION RATES FOR YOUNG CROPS AND GROUND ATTACHMENTS...... 94

APPENDIX 7: DOCUMENTS ON TAX RATES ...... 99

APPENDIX 8: CONSTRUCTION SITE PHOTOS ...... 100

APPENDIX 9: FIELDWORK AND INTERVIEWS ...... 102

APPENDIX 10: DETAILED RESETTLEMENT BUDGET ...... 103

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ABBREVIATIONS

AAOV - Average Annual Output Value ADB - Asian Development Bank AH - Affected Household AP - Affected Person DMS - Detailed Measurement Survey FGD - Focus Group Discussion HD - House Demolition (P)LA - (Permanent) Land Acquisition LAR - Land Acquisition and Resettlement LEF - Land-expropriated Farmer M&E - Monitoring and Evaluation MLS - Minimum Living Security NRCR - National Research Center for Resettlement PMO - Project Management Office PRC - People’s Republic of China RIB - Resettlement Information Booklet RP - Resettlement Plan WWTP - Wastewater Treatment Plant XCG - Xichuan County Government

Units

Currency unit = Yuan (CNY) 1.00 yuan = $0.15 1 hectare = 15 mu

1 Overview of the Project 1.1 Background 1. Xichuan County is located in Nanyang City, Henan Province, close to Hubei and Shaanxi Provinces, with a land area of 2,820km2. Due to the Danjiangkou Reservoir – the largest artificial lake of Asia, Xichuan has become a main water source for the Central Line of the South-to-North Water Diversion (SNWD), with a main canal length of 14.735km in Xichuan. The water source area is 2,616 km2, accounting for 92.8% of the county’s land area. Xichuan is also a key county for development-oriented poverty reduction, an extended county of the Western Development Program, and one of the expanding counties in Henan. In 2017, Xichuan became a state-level key ecological function area. 2. The Xichuan people have made great efforts for the SNWD, but there are still many problems in river flood protection, environmental protection, urban and rural water supply, rural living environment improvement, forest and fruit development, rural tourism development, etc. here. In order to address such issues, XCG plans to implement the Project using an ADB loan and counterpart funds.

Figure 1-1 Location Map of the Components 3. XCG is the executing agency of the Project, and the local township governments (sub-district offices) are the implementing agencies. Under the overall management of XCG, the county natural resource bureau as well as the county HD management office are the related parties to be responsible specifically for land acquisition, house demolition, compensation and resettlement

together with the planning, natural resources, urban administration, housing administration, public security agencies, related township governments and villages etc. 1.2 Project Components 4. The Project will have three outputs, involving two sub-districts, 12 components, 14 towns in Xichuan County, Nanyang City. The Project will be implemented from 2021 to 2025. The project’s outputs are described below and the project LAR impact screening result is showed in table 1-1. 5. Output 1: Institutional capacity of XCG developed. This output will include: (i) institutional support and capacity building program for eco-compensation and agricultural marketization reform; (ii) organization capacity building and assessment management; (iii) community-based environment management and awareness raising; (iv) institutional capacity development for flash flood mitigation, including (a) enhancing existing river flood monitoring system, (b) strengthening localized early warning system, and (c) increasing disaster response capacity; and (v) rural eco- tourism development to improve living conditions and promote tourism. In addition, general capacity building and consulting services will be provided for project startup, implementation, project management, external monitoring and evaluation. 6. Output 2: Soil and water conservation practices improved. This output will implement (i) forestry and fruit farming development, including (a) smart irrigation system comprising the provision of irrigation and ancillary facilities, construction of peripheral rainfall harvest system and automated fertilizer mixture in drip irrigation system, (b) fruit preservation including construction of fruit fresh-keeping storehouses and installation of ancillary facilities; (ii) soil erosion mitigation, including a demonstration project in Xipingtou village adjacent to Shiban River for soil erosion protection practices; (iii) river training and integrated flash-flood risk management including (a) integrated river management in Danjiang Henan-Hubei section and Xi River, and (b) Dongfeng canal reconstruction. 7. Output 3: Rural water services implemented. This output will implement (i) rural wastewater management including rural sewage system construction and improvement; (ii) rural solid waste management including food waste and municipal sludge collaborative treatment center; (iii) water supply for urban and rural areas including water intake, treatment, transmission and distribution; and (iv) general improvement of drainage system and waterlogging prevention capacity of the county including improvement of road drainage, reconstruction of low-lying flood prone areas, sewage interception, and desilting and restoration of rivers.

1.3 Measures to Reduce Resettlement 8. During planning of the project, LAR impacts have been minimized based on a comprehensive consideration of construction design and related impacts. 1.3.1 Preparation Stage 9. At the preparation stage, the design was optimized through options’ optimization and comparison to reduce LAR impacts. Table 1-1 Measures to Reduce LAR impacts at the Preparation Stage Preferred LAR impacts Component Option 1 Option 2 option avoided Acquiring 38 mu of farmland and 27 Acquiring 58.03 mu of Affecting 29 less mu of collective wasteland, affecting collective land, including 52.21 households with Kitchen waste 45 households with 220 persons in mu of cultivated land, 5.18 mu 170 persons, and and municipal Tangfang Village, and demolishing a of general agricultural and 0.01 Option 2 avoiding the sludge disposal farm of 600 2 mu of collective construction demolition of a farm center m land, affecting 16 households with 50 persons

Occupying 150 mu of land in Acquiring 118.29 mu of Avoiding the Xiongsheng Ecology Park, collective land in Zhangying acquisition of 31.71 Danjiangkou demolishing non-residential and Zhouling Villages, and mu of land, and Reservoir urban- properties of 1,100 2, 24 demolishing ground buildings in Option 2 affecting 51 less rural water m greenhouses and over 300 fruit Xiongsheng Ecology Park, households with supply trees, affecting 113 households with affecting 62 households with 351 persons 550 persons 199 persons Occupying 15 mu of collective Occupying 12 mu of collective Affecting 31 less Fruit preservation construction land in Jiuchong unused land in several villages households with storehouse Option 2 Village, Jiuchong Town, affecting 31 126 persons construction households with 126 persons 1.3.2 LAR Implementation Stage 10. When LAR is unavoidable, the following measures will be taken to reduce the local impacts of the Project: 1) Notify the APs in advance, compensate for losses and arrange resettlement site as needed. 2) Conduct public participation and consultation actively to collect comments and suggestions from the APs. 3) Strengthen internal and external monitoring, establish an efficient and unobstructed feedback mechanism and channel, and shorten the information processing cycle to ensure that issues arising from LAR implementation are solved timely. 4) Local competent authorities will assist the APs to reduce their burden and losses. 1.3.3 Civil Works Construction Stage 11. During construction, the following measures will be taken to minimize impacts on the APs: 1) Construction will be completed as quickly as possible. The destruction of farmland, roads and houses will be avoided where possible. Warning signs will be set up as necessary to facilitate pedestrian and vehicular traffic. 2) Spoil excavated during construction will be removed timely. 3) The construction agency will coordinate with the local environmental sanitation authority to remove domestic waste from the construction site timely. 1.4 Due Diligence on Associated Facilities 12. According to the site survey and aligning with the IEE report, there are three existing facilities associated with the project identified, including: a) Xichuan No.2 Waste Water Treatment Plant (WWTP) through sewage treatment facilities and pipelines in the project components under Output 3; b) Xianghua Wastewater Treatment Plant through pipelines connected with the project components under Output 3; and c) Xichuan County Municipal Domestic Waste Disposal Site. Both facilities may link with components under Output 3, regarding waste treatment or disposal. The LAR for the three sites had completed before the project identification. Please see Appendix 2 for the DDRs of related LARs. As indicated, there are no pending LAR issues for the three sites. 1.5 Land Use Right Transfer (LURT) 13. There is 384 mu of Land Use Right Transfer (LURT) involved for the 93 fruit preservation storehouse construction under Output 2, of which 76 will be constructed on land of completed LURT (342 mu), and the other 17 will be constructed on land of LURT to be completed during project implementation (42 mu). The DDR for the completed LURT is in Appendix 3. There are no pending issues for completed LURT. For those where LURT is planned to be conducted in the future, a LURT Framework has been prepared and included as Appendix 4. 1.6 Updating of the RP 14. This RP has been prepared based on the latest feasibility study report. Taking into account measures to reduce impacts , the RP will be further updated based on the preliminary/detailed design and DMS. The updated RP will be submitted to ADB for review and approval before the commencement of LAR and civil works construction.

Table 1-2 Screening of the project LAR Impact (by Output)

Document Output Component Township Scope of construction LAR impact Type of impact Remarks preparation Eco-compensation, Institutional None 1.1 Institutional support XCG; ARB support for agricultural / / marketization reform 1.2 Asset management XCG Asset management None / / 1.3 Community-based environment Awareness improvement, Pilot of None management, and knowledge sharing XCG rural non-degradable waste / / through publications and seminars including plastic separation tool Installation of hydro- None meteorological and water quality 1.4 Institutional capacity building for monitor devices, Strengthen local WCB, EMB / / flood mitigation early warning system; enhancement of emergency response capacity Improving the roads and None / / The component will not induce appearance of Wafang Village, and any land acqusition and providing rural tourism facilities resettlement; activites are Output 1: related to improvement of the Institutional existing infrastructures (e.g. capacity of Shengwan rural roads) and facilities (e.g. XCG Town gargage bins of solid waste developed collection) of the village collective; and no individuals will be affected negatively. Please 1.5 Rural eco-tourism: Xichuan see the DD at Section D of county rural infrastructure construction Appendix 2. Improving the roads and None / / The component will not induce appearance of Xiawan Village, and any land acqusition and providing rural tourism facilities resettlement; activites are related to improvement of the Laocheng existing infrastructures (e.g. Town rural roads) and facilities (e.g. bargage bins of solid waste collection) of the village collective; and no individuals will be affected negatively. Please

Document Output Component Township Scope of construction LAR impact Type of impact Remarks preparation see the DD at Section D of Appendix 2. Improving the roads and 1) Demolishing non- HD and PLA RP 1) Demolishing non-residential appearance of Guandi Village, and residential properties of properties of 1,800 m2 of providing rural tourism facilities Dolphin Bay Animation Dolphin Bay Animation Water Water World to World; 2) acquiring 4.58 mu of Shangji Town construct a primary collective land in Huaishuwa service center; 2) Village, including 1.19 mu of acquiring 4.58 mu of collective construction land and collective land in 3.39 of collective wasteland Huaishuwa Village Improving the roads and None / / The component will not induce appearance of Mogou Village, and any land acqusition and providing rural tourism facilities resettlement; activites are related to improvement of the existing infrastructures (e.g. Cangfang rural roads) and facilities (e.g. Town bargage bins of solid waste collection) of the village collective; and no individuals will be affected negatively. Please see the DD at Section D of Appendix 2. Improving the roads and None / The component will not induce appearance of Qinglong Village, any land acqusition and and providing rural tourism facilities resettlement; activites are related to improvement of the existing infrastructures (e.g. Madeng rural roads) and facilities (e.g. Town bargage bins of solid waste collection) of the village collective; and no individuals will be affected negatively. Please see the DD at Section D of Appendix 2.

Document Output Component Township Scope of construction LAR impact Type of impact Remarks preparation The project activities will not need to take any land in any Irrigation and ancillary works; forms and will not affect any of 2.1.1 Smart construction of peripheral rainfall the land use rights. Farmers All 14 irrigation harvest system for hilly terrains, can keep their normal work as townships / / / system automated fertilizer mixing in drip usual. The project just deploys irrigation system some irrigation works and improve the farming capacity of current farmers/operators Houpo Town Construction of 93 fruit / / LURT Constructed on LURT land Jiuchong preservation storehouses on LURT / / Framework Town land 2.1 Forestry and Madeng / / fruit farming Town development Xianghua / / 2.1.2 Xichuan Town County fruit Shangji Town / / Output 2: Soil preservation Jinhe Town / / and water project conservation Maotang / / practices Xiang improved Xihuang / / Xiang Siwan Town / / Jingziguan / / Town 2.2.1 Small Ecological rehabilitation, / / / Land levelling and making the watershed and management, agriculture and hillside fields into terraces to soil erosion livable environment building in improve the land quality. This protection 2.2 Soil erosion Shibanhe Village operation will be carried out in demonstration Shangji Town mitigation of Shiban the slack season so as to avoid River in affecting the normal agricultural Xipingtou working of the farmers. Village 1) Construction and reinforcement 1) Occupying 394 mu of PLA and TLO RP 1) Occupying 394 mu of land 2.3 River training 2.3.1 Danjiang Jingziguan land permanently; 2) permanently, including 386.68 and flash-flood risk River (Hubei- of trunk stream dikes of 18.765km, management Henan Town including construction of wall dikes mu of collective land and 7.33

Document Output Component Township Scope of construction LAR impact Type of impact Remarks preparation segment) flood of 6.347km and wall slope type occupying 739.4 mu of mu of state-owned land; 2) control dikes of 6.971km, and land temporarily occupying 739.4 mu of land reinforcement and reconstruction temporarily, including 254.3 mu Siwan Town of wall slopes of 5.447km; 2) of collective land and 485.1 mu reconstruction of a sluice gate and of state-owned land construction of 12 sluice gates (1)River training：Restore Xi River, Overall, three aspects of PLA and TLO RP 1) Demolishing 1,500 m2 in and Shiban River, with a total LAR impacts: 1) frame structure and 1,000 m2 in length 10.39km, including Demolishing temporary simple structure; 2) occupying dredging, bank slope restoration, buildings of about 2,500 2,120.73 mu of land dike and flood control road m2 of Chaoyang Driving permanently, including 329.66 construction. Construct 1 new School; 2) occupying mu of state-owned land and ecological weir, and 3 culverts; 2,120.73 mu of land 1,692.07 mu of collective land; 2.3.2 Demolish and rebuild 1 ecological permanently, including 3) occupying 85.20 mu of land Integrated river water storage weir, and 2 329.66 mu of state- temporarily, including 51.12 mu management Shangji Town project in Xi submersible bridges; Demolish 2 owned land and of state-owned land and 34.08 River abandoned submersible bridges; 1,692.07 mu of mu of collective land Reconstruct 2 connecting gates collective land; 3) (2) Wastewater intercepting pipe occupying 85.20 mu of network: Construct 28.41km length land temporarily of new wastewater interceptors Please see Section 2.2 along Shiban River and Xi River for detail of impat (3) Ecological construction: The analysis at each total construction area is 138.1 ha. location. (1) Water inlet section: the total length of reconstruction is 1.86km, including desilting and dredging, removing dangerous rock, 2.3.3 Xichuan Shangji demolishing and rebuilding an In all, it will be occcupying 7 County Town, aqueduct, and providing concrete mu of land temporarily Dongfeng Longcheng / lining. / TLO RP Please see Section 2.6 for Canal Shangsheng (2) Old county town section: The detail of impat analysis at reconstruction Sub-districts total length of the reconstruction is locations. 11.34km, including desilting and dredging, adding railings, building new masonry retaining wall, demolishing and rebuilding 1

Document Output Component Township Scope of construction LAR impact Type of impact Remarks preparation bridge, and providing concrete lining. (3) Downstream section: The total length of the renovation is 8.7km, including desilting and dredging, provision of new masonry gravity retaining wall, concrete lining, and 1 sluice gate. Shangji Town (1) Rural Area: A total of 14 sub- 1) Construction of 9 PLA and TLO RP 1) Acquiring 8.11 mu of items are planned in rural areas, wastewater treatment collective land, including Jinhe Town involving 23 villages in 5 towns sties, with a total floor 1.77 mu of cultivated land, including Jinhe Town, Shangji area of 8.11 mu; 0.07 mu of protected Xianghua Town, Xianghua Town, Jiuzhong farmland, 0.62 mu of Town Town and Houpo Town. Among 2) occupying 445 mu of wasteland and 5.65 mu of Jiuchong the 14 sub-items, 3 items are land temporarily construction land; Town included in the sewage pipe 2) For sewage pipe networks network of surrounding towns, 9 and underground items are centralized treatment, decentralized treatment, it and 2 items are decentralized will beoccupying 445 mu of 3.1.1 Xichuan County rural treatment. The design scale of land temporarily, including sewage sewage treatment is 2274m3/d, 267 mu of state-owned land Output 3: 3.1 Rural system ～ Rural water with DN150 DN600 sewage pipe. and 178 mu of collective wastewater construction Houpo Town services land management and improved 3) For the associated facilities, improvement demonstration please see the DDR in Appendix 2.

(2) Industrial Park: Improve the Occupying 142 mu of TLO and state- RP 85.2 mu of state-owned land supporting pipe network of the land temporarily owned land and 56.8 mu of collective land second sewage treatment plant used located in Xiangjiuhou Industrial Houpo Town Park, expand the service scope of the sewage treatment plant to include surrounding villages, and improve the sewage collection rate

Document Output Component Township Scope of construction LAR impact Type of impact Remarks preparation of the sewage treatment plant. 31.5km of DN 300 ~ DN 400 sewage pipeline is newly built. Co-treatment of municipal organic Acquiring 58.03 mu of PLA and TLO RP 1) Acquiring 58.03 mu of 3.2.1 Xichuan waste involving kitchen waste and collective land for the collective land, including 52.21 County food municipal sludge. sludge treatment plant, mu of cultivated land, 5.18 mu waste and The total treatment capacity is and occupying 34 mu of of protected farmland and 0.01 3.2 Rural solid municipal Shangji Town 100t/d, which includes 30t/d land temporarily waste management sludge mu of collective construction integrated kitchen waste and 70t/d municipal land; 2) occupying 34 mu of treatment sludge. land temporarily, including 20.4 center mu of state-owned land and 13.6 mu of collective land The short-term design scale for Acquiring 3.11 mu of PLA RP In all, the project will acquire water intake program is collective wasteland to 3.11 mu of collective wasteland 137,500m3/d; long-term design construct an intake in Wuying Village scale is 181,500m3/d pump in Wuying Village Water intake Madeng The long-term civil work is program Town 181,500m3/d, and install water pump and equipments according to the short-term design scale 137,500m3/d Provision of a new integrated Acquiring 8.18 mu of PLA RP Acquiring 8.18 mu of collective 3.3 Xichuan Madeng urban-rural water treatment plant in collective construction construction land in County Town Xichuan County, with a design land in Xiongjiagang Xiongjiagang Village Danjiangkou water supply capacity of 120000 Reservoir urban Village and rural water m3/d, and a new water purification 1) Acquiring 118.29 mu PLA and RP 1) Acquiring 97.59 mu of supply plant in Madeng town with a design of collective construction demolition of cultivated land and 20.7 mu of water supply capacity of 5000 land in Zhangying and structures collective construction land (of Water m3/d. Zhouling Villages; 2) owned by purification the Xiongsheng Ecology Park); 2 program demolishing buildings of enterprise/s 2) 200 m in simple structure, Xiongsheng Ecology 900 m2 in frame structure, 23 Shangji Town Park plastic greenhouses of 7,100 m2, a glass greenhouse of about 6,000 m2, a refrigerated warehouse of about 100 m2, over 300 fruit trees and young crops of 40 mu

Document Output Component Township Scope of construction LAR impact Type of impact Remarks preparation Transmission: The total length of Occupying 389 mu of TLO RP Occupying 389 mu of land newly-built raw water transmission land temporarily temporarily, including 233.4 mu pipeline is 26.8km, of which the of state-owned land and 155.6 main water transmission pipe is mu of collective land temporarily 22km long and the branch pipe is 4.8km long.

Distribution: (i) Two DN1200 ductile iron pipes, each about 3.5km long, are buried in the clear water pipeline project (from the water plant to the city inlet pipe network). Water Madeng and transmission (ii) The total length of water Shangji and distribution distribution pipeline project is Towns program 227.69km, including 25.59km of urban water distribution network, 40.1km of rural main water distribution pipeline and 162km of rural branch water distribution pipeline. (iii) Pressurized pumping station (underground facilities) project: 8 pressurized pumping stations are arranged in this project, including 1 in urban area and 7 in each township. (i) Municipal drainage and flood In all, the project will PLA RP Acquiring 184.7 mu of land prevention project: Reconstruct 3 permanent acquire permanently, including 154.11 roads and improve the drainage 184.7 mu of land, mu of state-owned land and 3.4 Xichuan Improvement of and sewage system including 154.11 mu of 30.59 mu of collective land, County drainage and Shangji and (ii) Reconstruction project of water state-owned land and including 4.96 mu of cultivated Construction of waterlogging Chengguan 30.59 mu of collective Drainage and prevention accumulation point: Reconstruct 7 land, 0.92 mu of traffic land, and Waterlogging capacity of the Towns roads and remove 10 low-lying land 24.71 mu of collective Prevention county water accumulation points in the Please see Section 2.2 wasteland Facilities city. for detail of impact (iii) Comprehensive river regulation analysis at each project: Comprehensive location.

Document Output Component Township Scope of construction LAR impact Type of impact Remarks preparation improvement works of Wayu River, Nei River, Biaochi River, Gumu drain and Xiao drain in Xichuan County. Wayu River: 1380m sewage interception pipeline, 1380m river bed desilting and dredging, 1380m river garbage removal, 1380m new masonry revetment, 2 new hinge dams, 2 new water ecological restoration, 2 new bridges, and the east wind makes up ecological water for Wayu River. Nei river: 4400m sewage interception pipeline, 4400m riverbed desilting and dredging, river garbage removal, 2200m newly built masonry revetment, construct 2200m ecological Gabion revetment, construct 2 hinge dam , 1 water ecological restoration, 7480m walking plank road, 21560m2 ecological green space, and 8 reconstructed bridges. Biaochi River: Dredge 1000m riverbed, and transport the garbage in the river course. Gumu drain: 1537m sewage interception pipeline, 1537m riverbed desilting and dredging, and remove the river garbage. Xiao drain: 415m riverbed desilting and dredging, remove the river garbage; and construct 2 new bridges.

2 LAR Impacts of the Project 2.1 LAR Impact Survey 15. The RP task force appointed by the Xichuan County conducted fieldwork in the project area during May 6-18 and July 1-5, 2020. According to the survey, the Project will affect 728 households with 2,815 persons, including 69 vulnerable households. See Table 2-1. Table 2-1 Range of the Project LAR Impacts Affected by LAR Type of Output Component Remarks Town Village impact Output 1: Non- Demolishing non-residential Institutional residential properties of 1,800 m2 of Dolphin 1.5 Rural eco- Guandi capacity of Shangji property Bay Animation Water World tourism XCG demolition developed Huaishuwa LA Acquiring 4.58 mu of collective land Beijig 1) Acquiring 386.68 mu of collective Dianzi land; Hanwangping 2) Occupying temporarily254.3 mu Longquanguan of collective land Makan Jingziguan Nanjie Quanzhuang 2.3.1 Danjiang Xitou River (Hubei- Yaowangmiao Henan Zhangcun LA segment) flood Zhongjie Output 2: control Daping Soil and

water Qianying conservation Qinjiagou Siwan practices Siwan improved Sunjiatai Xiying Xiajie Xiawan Chenjiazhuang 1) 2,500 m2 of Chaoyang Driving 2.3.2 Danyang School: 1,500 m2 in frame structure Integrated Community LA, non- and 1,000 m2 in simple structure; river Liangwa residential 2) Acquiring 1692.07 mu of Shangji management Liuying property collective land; project in Xi Community demolition 3) Occupying temporarily 34.08 mu Rive Shangsheng of collective land Community Xiawudian 1) Acquiring 8.11 mu of collective Jinhe Houwa land; Houpo Baipa 2) Occupying 178 mu of collective 3.1 Rural Lishan land temporarily wastewater Shangji LA

management Jiagou Zhougou Xianghua Output 3: Xigang Rural water Jiuchong Taiping services Liuzhuang 1) Acquiring 58.03 mu of collective 3.2 Rural improved land; solid waste Shangji LA 13.6 mu of collective management Zhangying 2) Occupying land temporarily 3.3 Xichuan Xiongjiagang LA, non- 1) Acquiring 129.58 mu of collective Madeng County Wuying residential land; Danjiangkou Zhangying property 2) Demolishing simple buildings of Shangji Reservoir Zhouling demolition 200 m2 and frame buildings of 900

urban and m2 in Xiongsheng Ecology Park; 23 rural water plastic greenhouses of about 7,100 supply project m2, a glass greenhouse of about 6,000 m2, a cold refrigerated storehouse of 100 m2, over 300 fruit trees and 40 mu of young crops 3.4 Xichuan Chengguan Dongqing 1)Acquiring 30.59 mu of collective County land Construction Project of Zhongguan LA Drainage and Shangji Community Waterlogging Prevention Facilities

2.2 Impacts of Permanent LA 2.2.1 LA Area and Affected Population 16. A total of 2,309.64 mu of collective land will be acquired for the Project, affecting 728 households with 2,815 persons at 48 groups of 40 villages in 9 townships of Xichuan County. The LA includes 1,163.71 mu of cultivation land (50.38%), 439.17 mu of woodland (19.01%), 71.43 mu of garden land (3.09%), 33.25 mu of transport land (1.44%), 111.73 mu of collective construction land (4.84%), 67.54 mu of protected farmland (2.92%), and 422.81 mu of collective wasteland (18.31%). See Table 2-2 for details.

Table 2-2 Summary of Acquired Collective Land

Affected LA area (mu) Affected Collective Component Cultivated Garden Traffic Protected Collective Town Village Woodland construction Total HH Population land land land farmland wasteland land 1.5 Rural eco- Shangji Huaishuwa 1.19 3.39 4.58 Village collective tourism

Beijie 2.45 2.45 3 13

Dianzi 18.29 18.29 5 20

Hanwangping 1.57 0.14 1.71 2 7

Longquanguan 3.84 2.1 5.94 5 37

Makan 2.6 2.6 4 15

Jinziguan Nanjie 0.32 0.77 3.21 4.3 1 5

Quanzhuang 38.01 38.01 24 107

Xitou 27.62 14.62 1.29 14.85 58.38 17 89 2.3.1 Danjiang Yaowangmiao 22.7 22.7 15 78 River (Hubei- Zhangcun 1.79 1.79 2 9 Henan segment) Zhongjie 3.66 2.09 5.75 2 11 flood control Daping 13.29 13.29 Village collective

Qianying 3.4 35.47 38.87 3 14

Qinjiagou 32.49 32.49 4 19

Siwan 2.09 19.19 4.01 8.19 33.48 9 34 Siwan Sunjiatai 3.65 3.65 Village collective

Xiying 15.55 15.55 Village collective

Xiajie 12.95 2.38 15.33 5 21

Xiawan 1.97 6.93 34.93 3.55 24.72 72.1 9 36

Chenjiazhuang 37.09 149.15 5.98 0.93 2.24 39.37 234.76 34 159 Danyang 142.25 55.05 3.72 11.46 0.25 72.53 285.26 98 358 Community 2.3.2 Integrated Liangwa 462.62 110.31 17.27 50.14 35.84 107.9 784.08 201 790 river management Shangji Liuying project in Xi River 213.09 38.34 5.36 12.68 18.07 29.71 317.25 160 544 Community Shangsheng 45.3 8.38 0.79 0.28 15.97 70.72 30 129 Community

3.1 Rural Xiawudian 1.04 0.22 1.26 2 9 Jinhe wastewater Houwa 1.26 1.26 2 9

management Houpo Baipa 1.49 1.49 3 14

Affected LA area (mu) Affected Collective Component Cultivated Garden Traffic Protected Collective Town Village Woodland construction Total HH Population land land land farmland wasteland land

Lishan 0.42 0.42 1 4 Shangji Jiagou 0.73 0.07 0.8 1 4

Zhougou 0.62 0.62 Village collective Xianghua Xigang 1.16 1.16 3 6

Jiuchong Taiping 1.1 1.1 2 8

3.2 Rural solid Liuzhuang 34.79 0.01 3.23 38.03 10 42 waste Shangji Zhangying 17.42 2.58 20 4 8 management

3.3 Xichuan Xiongjiagang 8.18 8.18 6 27 Madeng County Wuying 3.11 3.11 Village collective

Danjiangkou Zhangying 92.47 20.7 113.17 52 157 Reservoir urban Shangji and rural water Zhouling 5.12 5.12 4 15 supply project

3.4 Xichuan Chengguan Dongqing 4.96 0.45 16.85 22.26 5 17 County Construction Project of Zhongguan Drainage and Shangji 0.47 7.86 8.33 Village collective Community Waterlogging Prevention Facilities Total 1163.71 439.17 71.43 33.25 111.73 67.54 422.81 2309.64 728 2815

Percent (%) 50.38% 19.01% 3.09% 1.44% 4.84% 2.92% 18.31% 100.00%

2.2.2 Cultivation Land Losses 17. Of the 1,163.71 mu of cultivation land acquisition, in total 22 villages with 692 households and 2,664 people are affected. The cultivation land loss rate ranges from 34.28%, highest at Liangwa Village, Shangji Town), to 0.03%, lowest rate at Nanjie Village, Jingziguan Town. 2.2.3 Income Losses 18. According to the sampling socioeconomic survey, the main income source of the AHs is outside employment, accounting for 47% of household income, and other income sources include property income (10%), business (23%) and agriculture (20%). The main crops are food crops, such as wheat and rape. Therefore, LA will have little impact on income. The per capita annual income of the local residents is CNY 12,114, and income loss of LA are mostly between 5.47 to 0.36%, except for one village where the income loss reached 14.38% for the affected 4 households with 8 people. See Appendix 5 for detailed analysis. For the APs of income loss, the livelihood restoration plan discussing in Section 5 will pay attentions and take measures to minimize the impact, especially for Zhangying village (income loss to 14.38% ). 19. The income loss rates of all AHs with LA of cultivation land are below 5%. Other AHs with LA of non-cultivation land (wasteland, etc.) are not expected to have any income losses. See Table 2- 3. Table 2-3 Household Income Losses of AHs with LA of Cultivation Land1 Household income loss rate Total Town Village Below 5% 5%-10% HHs Population HHs Population HHs Population

Chenjiazhuang 34 159 0 0 34 159

Danyang 98 358 0 0 98 358 Liangwa 201 790 0 0 201 790 Liuying 160 544 0 0 160 544 Shangji Shangsheng 30 129 0 0 30 129

Jiagou 1 4 0 0 1 4 Liuzhuang 10 42 0 0 10 42 Zhangying 56 165 0 0 56 165 Zhouling 4 15 0 0 4 15 Biejie 3 13 0 0 3 13

Hanwangping 2 7 0 0 2 7

Longquanguan 5 37 0 0 5 37

Makan 4 15 0 0 4 15 Jingziguan Nanjie 1 5 0 0 1 5

Quanzhuang 24 107 0 0 24 107

Xitou 17 89 0 0 17 89

Yaowangmiao 15 78 0 0 15 78

Zhongjie 2 11 0 0 2 11 Siwan 9 34 0 0 9 34 Siwan Xiawan 9 36 0 0 9 36

1 The per capita disposable income of farmers in Xichuan County is 12,114 yuan, and income from planting in the project area is 1,268.35/mu.

Jinhe Xiawudian 2 9 0 0 2 9 Chengguan Dongqing 5 17 0 0 5 17 Total 692 2664 0 0 692 2664 2.3 Occupation of State-owned Land 20. 491.09 mu of state-owned land will be used for the Project, including 7.32 mu used for Danjiang River (Hubei-Henan segment) flood control, 329.66 mu for Xihe River integrated management, and 154.11 for county town flood drainage construction. These are existing riverside land owned by state. See Table 2-4. Table 2-4 Summary of State-owned Land Floor area No. Component Town Scope of construction Remarks (mu) 2.3.1 Danjiang River (Hubei- Dike construction and 1 Henan segment) flood Jinziguan 7.32 reinforcement control 2.3.2 Integrated river River management, Existing 2 management project in Xi Shangji sewer network, ecology 329.66 land of Rive construction riverside 3.4 Xichuan County Chengguan Municipal drainage and Construction Project of Shangji 3 flood control facility 154.11 Drainage and Waterlogging Chengguan construction Prevention Facilities

Total / / 491.09

2.4 Demolition of Residential Houses 21. The Project does not involve the demolition of residential houses. 2.5 Demolition of Non-residential Properties 22. The Project will affect 3 non-residential properties with a total size of 5,500 m2, including 4,200 m2 in frame structure (76.4%), 1,200 m2 in simple structure (21.8%) and a refrigerated storehouse of 100 m2 (1.8%), affecting 3 enterprises with 43 persons, including a building of Xiongsheng Ecology Park of 1,200 m2, a temporary building of Chaoyang Driving School 2,500 m2, and a building of Dolphin Bay Animation Water World of 1,800 m2. 23. The Dolphin Bay Animation Water World and Xiongsheng Ecology Park operates on leased village collective land per their lease contracts. Based on consultation with owners of the enterprises and represenatives of related township governments and village commitees, these two enterprises will continue to operate after the land required by the project, considering : i) The Dolphin Bay Animation Water World: the project will only temporarily occupy a part of its areas/facilitis, not affect their business operation during construction of the project. The village committee confirmed to renew the lease contract with the owner after the project. Impact to people of the enterprise will be very limited and no jobs and income impacts . ii) Xiongsheng Ecology Park: the project will permanently acquire 97.59mu of land of the village, including 20.7mu of land leased by Xiongsheng Ecology Park. As the table below, Xiongsheng leased 500 mu of land, only 20.7mu will be acquired. The business of Xiongsheng in the location nearby will be continued during the project construction. Work adjustment for workers affected will be conducted internally so as to avoid any job and income losing for employees. iii) Chaoyang Driving School: it is a temporary ground for driving exercise near the river embankment area where the area has been planned by the local government to be cleaned for environmental and safety reasons, and the local government had advised the owner to relocate in the future. Subject to owner’s site selection, the Chaoyang Driving School will be relocated to the other area of Shangji town with support of local government before the project construction commenced; therefore, there will be no impact to the operation of the school. As the owner indicated, the site seletion is under consideration but not decided yet, it will be

confirmed in the updated RP during the implementation stage.

Table 2-5 Summary of Non-residential Properties to be Demolished Land Situation Remark Floor Demolished Total Land Area of Remaining No. Component Town Village Structure area Persons properties Area LA (m²) leasing/using The subproject will A building of just rent the 1.5 Rural tourism Shangji Dolphin Bay existing 1 infrastructure Guandi Frame 1800 42 / 42 12 Town Animation structures. No construction Water World additional LA needed. A temporary Frame 1500 State-owned 2.3.2 Integrated Shangji building of riverside land 2 river management Beitang 22.8 22.8 0 8 Town Chaoyang Simple 1000

project in Xi Rive Driving School Frame 900 20.7mu of 3.3 Danjiangkou A building of Simple 200 Xiongsheng Park Shangji 3 Reservoir urban- Zhangying Xiongsheng 500 20.7 479.3 land and 97.59mu 23 Town Refrigerated rural water supply Ecology Park 100 of general warehouse agricultural land Total 5500 43

2.6 Impacts of Temporary Land Occupation 24. Temporary land occupation will be caused by flood control, rural water supply pipeline and sewer line construction, etc. 1,841.6 mu of land will be occupied temporarily, including 1,146.42 mu of state-owned land and 695.18 mu of collective agriculture land, affecting 151 households with 604 persons.The temporary land will be normally used for one year after compensated , and will be restored by the civil contractors after the construction works. The detailed TLO survey will be conducted at the DMS and incoperated into updated RP. Table 2-6 Summary of Temporarily Occupied Land Temporarily occupied land area Affected (mu) Output Component Town Collective State-owned Agriculture Total HHs Population land land 2.3.1 Danjiang River Jinziguan (Hubei-Henan segment) 485.1 254.3 739.4 54 216 Output 2: Siwan flood control Soil and water 2.3.2 Integrated river conservation management project in Xi Shangji 51.12 34.08 85.2 15 61

practices River Xichuan County improved 2.3.3 Dongfeng Canal Shangji 4.2 2.8 7 2 9 reconstruction Shangji 3.1.1 Xichuan County rural Jinhe sewage system Xianghua 267 178 445 27 110 Output 3: construction and Jiuchong Rural water improvement demonstration Houpo services Houpo 85.2 56.8 142 22 81 improved 3.2 Rural solid waste Shangji 20.4 13.6 34 5 23 management 3.3 Danjiangkou Reservoir Madeng 233.4 155.6 389 26 104 urban-rural water supply Shangji Total 1146.42 695.18 1841.6 151 604 2.7 Affected Ground Attachments 25. The affected ground attachments will include trees, greenhouses, etc. See Table 2-7. Table 2-7 Summary of Affected Ground Attachments Zhangying Yunyu Qinglong Item Unit Total Village Village Village Greenhouses / 24 / / 24 Adult trees / 25 / / 25 Landscape trees / 300 3000 / 3300 Fruit trees / 500 / / 500 Grounds m2 / / / / 2.8 Affected Population 2.8.1 Summary 26. The Project will affect 882 households with 3,462 persons in total, including 728 households with 2,815 persons by PLA, 151 households with 604 persons by TLO, and 3 enterprises with 43 persons by the demolition of non-residential properties. 27. 728 households with 2,815 persons in 48 groups of 40 villages in 9 townships will be affected by PLA, including 595 households with 2,210 persons in Shangji Town, 80 households with 391 persons in Zijingguan Town, 30 households with 124 persons in Siwan Town, 4 households with 18

persons in Jinhe Town, 3 households with 14 persons in Houpo Town, 3 households with 6 persons in Xianghua Town, two households with 8 persons in Jiuchong Town, 6 households with 27 persons in Xianghua Town and 5 households with 17 persons in Chengguan Town. 28. 151 households with 604 persons will be affected by TLO, including 54 households with 216 persons in Zijingguan and Siwan Towns by Danjiang River (Hubei-Henan segment) flood control, 15 households with 61 persons by Xihe River integrated management, two households with 9 persons for Dongfeng Canal reconstruction, 27 households with 110 persons in Shangji, JInhe, Xianghua, Jiuchong and Houpo Towns by rural wastewater management, 22 households with 91 persons in Houpo Town by urban wastewater management, 5 households with 23 persons in Shangji Town by the food waste and municipal sludge integrated treatment center, and 26 households with 104 persons in Madeng and Shangji Towns by Danjiangkou Reservoir urban-rural water supply. 29. The demolition of non-residential properties will affect 3 enterprises with 43 persons, including a building of Xiongsheng Ecology Park of 1,200 m2, a temporary building of Chaoyang Driving School 2,500 m2, and a building of Dolphin Bay Animation Water World of 1,800 m2. Table 2-8 Summary of Affected Population LA Affected Structures Both LA and HD Total

Town AHs APs Enterprises APs AHs APs AHs* APs Females Shangji 595 2210 3 43 595 2253 1027 Jinziguan 80 391 80 391 176 Siwan 30 124 30 124 54 Jinhe 4 18 4 18 8 Houpo 3 14 3 14 5 Xianghua 3 6 3 6 3 Jiuchong 2 8 2 8 3 Madeng 6 27 6 27 12 Chengguan 5 17 5 17 7 Total 728 2815 3 43 0 0 731 2858 1295 *595 plus 3 enterprises 2.8.2 Affected Vulnerable Groups 30. According to the preliminary survey, the Project will affect a total vulnerable group of 69 households, including 67 people from 15 volunerable people, including 32 people from 7 households with five guarantees, 190 people from 38 Minimum Living Security (MLS) 2households and 29 people from 9 disability households . Vulnerable population will be identified and confirmed further during the DMS and RP updating during the project implementation. Table 2-9 Summary of Affected Vulnerable Groups Five- Affected Poor MLS Total Component Town Village Group guarantee Disabled by HHs HHs (HH) HHs LA/HD Output 2: Soil and water conservation Shangji Liangwa 10 5 27 42 LA practices improved Luxi 6 3 9 LA Ludong 2 2 4 LA Output 3: Rural Shangji Zhangying Wenying 2 4 6 LA water services Yangying 0 LA improved Xiaji Liuzhuang Shangen 1 1 1 3 LA Shangji Zhongguan 4 1 5 LA

2 According to the Xichuan county standard 2019, poor people was defined as whose per capita income under CNY 4000/year, while Minimum Living Security (MLS) was set at CNY 520 per capita per month

Five- Affected Poor MLS Total Component Town Village Group guarantee Disabled by HHs HHs (HH) HHs LA/HD Community Total 15 7 38 9 69

2.8.3 Affected Ethnic Minority Population 31. According to the preliminary survey, no ethnic minority population will be affected by LAR of the Project. Any ethnic minority population impacts will be further identified and confirmed during the DMS and RP updating stage. 2.8.4 Impacts on Women 32. In the LAR affected population of the Project, females account for 45.3%. See Section 3.3 for a detailed gender analysis. At the preparation stage, women have been consulted and treated equally, and the relevant measures are set out in Section 5.2.

3 Socioeconomic Profile 3.1 Socioeconomic Profile of the Project Area 3.1.1 Xichuan County 33. Xichuan County is located in Nanyang City, Henan Province, close to Hubei and Shaanxi Provinces, with a land area of 2,820km2. Due to the Danjiangkou Reservoir – the largest artificial lake of Asia, Xichuan has become a main water source for the Central Line of the South-to-North Water Diversion (SNWD), with a main canal length of 14.735km in Xichuan. The water source area is 2,616 km2, accounting for 92.8% of the county’s land area. Xichuan is also a key county for development-oriented poverty reduction, an extended county of the Western Development Program, and one of the expanding counties in Henan. In 2017, Xichuan became a state-level key ecological function area. 34. At the end of 2019, Xichuan had a gross population of 724,600 and a resident population of 626,100. In 2019, Xichuan’s GDP was RMB 22.88511 billion yuan, in which the added value of primary industries was RMB 3.81343 billion yuan; that of secondary industries RMB 10.67449 billion yuan; and that of tertiary industries RMB 8.3972 billion yuan. See Table 3-1. Table 3-1 Socioeconomic Profile of Xichuan County (2019) No. Item Unit Xichuan County 1 Land area km2 2820 2 Cultivated area 0,000 mu 96.6 3 Population 0,000 72.46 4 Agricultural population 0,000 35.51 5 Nonagricultural population 0,000 27.10 6 GDP RMB Billion yuan 22.885 7 Primary industries RMB Billion yuan 3.813 8 Secondary industries RMB Billion yuan 10.674 9 Tertiary industries RMB Billion yuan 8.397 10 Per capita GDP RMB yuan 36551 11 Per capita disposable income of urban residents RMB yuan 30598 12 Per capita net income of rural residents RMB yuan 12114 Source: 2019 Statistical Bulletin on National Economic and Social Development of Xichuan County 3.1.2 Affected Townships 35. LA for the Project involves 9 towns. See Table 3-2. Table 3- 2 Socioeconomic Profile of Affected Townships (2019) Per capita Annual per capita Labor Cultivated Family County Town HHs Population cultivated net income of force area (mu) size area (mu) farmers (yuan) Shangji 17472 65817 32911 83350.35 3.8 1.3 15855 Jinziguan 17564 59453 29412 42846.15 3.9 0.7 15316 Siwan 11411 42127 21906 32176.65 3.7 0.8 13402 Jinhe 10613 40000 21200 57833.7 3.8 1.4 14310 Xichuan Houpo 23101 93568 43041 84211.2 4.1 0.9 13920 Xianghua 9470 35056 16827 103379.1 3.7 2.9 14541 Jiuchong 17165 70090 34991 125381.4 4.1 1.8 15589 Madeng 11225 43825 22789 71179.95 3.9 1.6 12638 Chengguan 6910 27000 12690 32400 3.9 1.2 14100 Source: 2019 socioeconomic statistical reports of the affected townships 3.1.3 Affected Villages 36. Tangfang village has 475 households with a total population of 2,091. Among them, 1,072 are male, accounting for 51.27%; 1,003 are labor force. Tangfang village has 1,884 mu of cultivated land, 0.9 mu of cultivated land per capita, 7,600 mu of forest slope area, 3.6 mu per capita. The

cultivated land in the village is scattered and inconvenient to cultivate. It mainly depends on migrant workers to maintain their livelihood. In 2019, the per capita net income is 10,500 yuan. 37. There are 223 households in Qinglong village, with a total population of 859. Among them, 438 are male, accounting for 51%; 421 are labor force. Qinglong village has 1,553 mu of arable land, 1.6 mu of per capita arable land, 4,446 mu of forest slope area, and 1.3 mu per capita. In 2019, the per capita net income is 8,900 yuan. 38. Zhougang village has 583 households with a total population of 2,875. Among them, 1,601 were male, accounting for 55.69%; 1,720 were labor force. Zhougang village has 5,500 mu of arable land, 1.91 mu of per capita cultivated land, and a variety of fruit trees are planted. In 2019, the per capita net income is 9,500 yuan. 39. Jiuchong village has 700 households with a total population of 3,480. Among them, 1,750 are male, accounting for 50.3% of the total population, and 1,327 are labor force. Jiuchong village has 2,900 mu of cultivated land and 1 mu of per capita cultivated land for planting crops. In 2019, the per capita net income is 8,900 yuan. 40. There are 460 households in Liuzhuang village, with a total population of 1,863. Among them, 941 are male, accounting for 50.5%; 1,011 are labor force. Liuzhuang village has 1,128 mu of cultivated land, with 0.61 mu of per capita cultivated land. It is mainly planted with traditional crops such as wheat, peanut and corn. In 2019, the per capita net income is 7,900 yuan. 41. There are 561 households in Xiawan village with a total population of 2,496. Among them, 1,320 were male, accounting for 52.89%; and 1,400 were labor force. Xiawan village has 3,100 mu of cultivated land, with 1.2 mu of per capita cultivated land. It is mainly planted with wheat, peanut, corn and other crops. In 2019, the per capita net income is 6,900 yuan. 42. There are 113 households in Zhangying village with a total population of 550. Among them, 290 are male, accounting for 52.73%, and 311 are labor force. Zhangying village has 430 mu of arable land, 0.78 mu of per capita cultivated land, and various kinds of fruit trees are planted. In 2019, the per capita net income is 11000 yuan. 43. There are 1,234 households in Peigang village, with a total population of 4918. Among them, 2511 were male, accounting for 51.07%, and 2833 were labor force. Peigang village has 9700 mu of cultivated land, 1.97 mu of per capita cultivated land, and more sweet potato and walnut are planted. In 2019, the per capita net income is 9100 yuan. 3.2 Socioeconomic Profile of the Affected Population 44. During May 6-18 and July 1-5, 2020, the RP task force conducted a questionnaire survey covering a sample of 120 households with 530 persons affected by the Project, accounting for 16.4% of the total AHs and 100% of the affected enterprises.See Table 3-3 for the distribution of the survey. Table 3- 3 Distribution of questionnaire samples

Sample Type of Town or Sample Vulnerable Investigate Village Population Females impact Enterprise households people(Hs) subject size 1.Current A building status of the of company: land Xiongsheng Zhangying 1 7 5 occupation Ecology and operation Park Non- 2. The basic residential situation of the A family of the Properties temporary company's building of employees: Beitang 1 3 1 Chaoyang including Driving family member School information,

the number of agricultural population, gender, age, education level, occupational status, and A building how to of Dolphin maintain a Bay Guandi 1 5 2 livelihood after Animation the demolition Water of the World company 3. Is the compensation for demolition satisfactory? How to resettle after demolition Liuzhuang 3 15 8 1.Basic family Zhangying 3 14 6 3 information: including Zhouling 4 20 9 family member Zhongguan information, 3 16 8 3 community agricultural Huaishuwa 3 15 8 population, gender, age, education Shangji Chenjiazhuang 2 10 5 level, Town Danyang 2 11 5 occupational community status Liangwa 7 32 16 6 2. Land and production Shangsheng status: the 2 9 4 community amount of land before the Lishan 2 12 6 project, the Jiagou 3 14 7 amount of land requisitioned, Beijie 2 8 3 the annual Dianzi 2 9 4 land output, agricultural Hanwangping 2 8 4 gross income, LD etc. Longquanguan 2 9 4 3. Family income and Makan 4 16 7 property Jingziguan Nanjie 3 15 7 status: family Town annual Quanzhuang 2 7 4 expenditure and family Xitou 3 14 7 annual income 4. Permanent Yaowangmiao 3 9 5 land acquisition and Zhang 2 9 4 temporary land Zhongjie 4 18 9 area, compensation Daping 2 11 5 standards Qianying 3 14 5 5. Survey on information Qinjiagou 2 9 4 Siwan disclosure, Siwan 3 16 7 Town public Sunjiatai 4 18 7 participation and Xiying 2 7 3 satisfaction: Xiajie 3 14 6 the way to

Xiawan 3 11 5 understand the project, Xiawudian 4 12 6 Jinhe Town satisfaction Houwa 3 13 6 with land Houpo acquisition Baipa 5 17 8 Town compensation, whether you Xianghua Zhougou 3 12 6 can express Town Xigang 2 9 4 your own opinions or Jiuchong Taiping 3 14 6 suggestions, Town etc. Madeng Xiongjiagang 3 11 6 Town Wuying 4 14 7 Chengguan Dongqing 5 23 11 Town Total 120 530 250 12

3.2.1 Ethnic Composition and Gender 45. The 120 sample households have 530 persons in total, including 224 laborers and 250 females (47%), with an average population of 4.4 per household. All sample HHs are Han people. 3.2.2 Age Structure 46. Among the 530 sample persons, 158 are aged 16 years or below, accounting for 29.81%; 112 aged 17-39 years, accounting for 22.64%; 96 aged 40-59 years, accounting for 18.11%; and 164 aged 60 years or above, accounting for 30.49%. See Table 3-2. 3.2.3 Educational Level 47. Among the 530 sample persons, 120 have received primary school or below education, accounting for 22.64%; 202 have received junior high school education, accounting for 38.11%; 138 have received senior high or secondary technical school education, accounting for 26.04%; and 70 have received junior college education, accounting for 13.21%. See Table 3-3. Table 3-3 Demographic Profile of Sample AHs/Population Male Female Total Item N Percent (%) N Percent (%) N Percent (%) Age ≤16 years 86 30.71% 72 28.80% 158 29.81 17-39 years 60 21.43% 52 20.80% 112 22.64 40-59 years 54 19.29% 42 16.80% 96 18.11 ≥60 years 80 28.57% 84 33.60% 164 30.94 Subtotal 280 100% 250 100% 530 100 Educational level Primary school or below 54 19.29% 66 26.40% 120 22.64% Junior high school 118 42.14% 84 33.60% 202 38.11% Senior high school / secondary technical school 74 26.43% 64 25.60% 138 26.04% Junior college or above 34 12.14% 36 14.40% 70 13.21% Subtotal 280 100% 250 100% 530 100% 3.2.4 Land Resources 48. The 120 sample households have a total contracted cultivated area of 434.4 mu, 3.62 mu per household or 0.82 mu per capita. The main crops are wheat, peanut, rape and vegetables, with annual net income of about 800 yuan/mu. 3.2.5 Household Assets 49. Among the 120 sample households, averagely for one household sampled, there are 2.4 fixed and mobile phones, 1.2 color TVs, 0.85 PC, 2.5 fans, 0.9 refrigerator, 1.1 air-conditioners, 1.1

washing machines, 1.2 bicycles, 2.0 electric bicycles /motorcycles, and 0.65 car, indicating that a medium living standard. 3.2.6 Household Income and Expenditure Table 3-4 Household Income and Expenditure Average per Per capita Percent Item household (yuan) (%) (yuan) Cultivation income 4439.21 1,008.93 11.25% Operating income 13613.01 3,093.87 34.49% Household Wage income 18526.31 4,210.53 46.93% income Property income 1851.92 420.89 4.69% Other income 1044.44 237.37 2.65% Subtotal (A) 39474.89 8,971.58 100% Agricultural productive expenditure (B) 1978.29 449.61 7.32% Nonagricultural productive expenditure

(C) 2743.12 623.44 10.15% Nonproductive expenditure (D) 8313.13 1,889.35 30.76% Household Daily expenses 1337.78 21.78% 21.78% expenditure Item Educational expenses 783.75 12.76% 12.76% Medical expenses 244.46 3.98% 3.98% Social security expenses (E) 1156.70 262.89 4.28% Other expenses (F) 2424.21 550.96 8.97% Subtotal (B+C+D+E+F) 27025.78 6,142.22 100% Per capita net income (A-B-C) 7,898.53 Source: sampling socioeconomic survey 3.2.7 Willingness Survey 1) Willingness survey on households affected by LA 50. The 120 sample households prefer cash compensation and social security. According to local policies, the social endowment insurance will be applicable. The related social insurance budget will be prepared by Xichuan county government, while the related village committee shall discuss and determine who are entitled to enjoy the policy by regulated principles during the resettlement activities implementation . 2) Willingness survey on households affected by Non-residential Properties 51. Demolished non-residential properties are subject to cash compensation or property swap. All the 3 affected enterprises prefer cash compensation. 3.3 Gender Analysis 52. The project will ensure gender mainstreaming. Generally, local women have relatively good social status, and have no restriction in gender role. Although women rarely participate in the decision-making of public affairs, they can express their views in many ways (e.g., through male family members). Women and men enjoy equal rights. Like other parts of PRC, in the project area, when a daughter is married, her land will remain in her mother’s family and she can only share the land owned by her husband’s family since the household contract responsibility system was implemented in 1982. However, this has been corrected for many villages where a second round of land contracting has been conducted (around 1999). For LAR, women will have equal rights to compensation. Table 3-5 provides some indicators for gender assessment in the project area, such as women’s legal rights, social status, land title and gender role. Table 3-5 Gender Analysis

Part A—Gender analysis of rural women in the project area 1. Legal rights of According to laws of the PRC, women have equal legal rights with men, though some women are not fully aware women of this.

2. Social status of Local women have relatively good social status. All key matters of a family are determined by the couple through women discussion. Men attend the important village meetings. However, women can influence men when they make decisions at meetings. 3. Title to land and Women have the same title as men. Like other parts of PRC, in the project area, when a daughter is married, her properties land will remain in her mother’s family and she can only share the land owned by her husband’s family since the household contract responsibility system was implemented in 1982. For LAR, women will have equal rights to compensation. 4. Right to collective Women have equal rights. properties 5. Living and gender There is no restriction on gender role. However, women do housework mainly, and many young women are role employed locally. 6. Contribution to Women’s income is from agriculture, commerce and services. household income 7. Family status Women have an equal voice in decision-making. 8. Educational level Boys and girls enjoy equal opportunities in receiving education, and as long as children study hard, their parents would do their best to support their school education. 9. Health Women’s health condition is quite good and there is no significant difference in nutrition level compared to men; however, medical expenses are rising and have become a significant burden for some households, and women may suffer more. 10. Village and Women are represented in all village committees. In addition, women have a good informal network in the village government agencies and the village group. Women may participate in the election of the village committee, and have the right to elect and be elected. Overall evaluation and Women enjoy a good status in the project area, and there is no restriction on gender role. key risks B—Gender analysis of women during LAR Gender related Concern/risk Impact of the Project Mitigation measures Remarks LAR issue 1. Land, Will women be deprived Men and women have equal rights to 1) Men and women enjoy 100% of the survey properties and of land or properties or compensation for LAR; the Project equal rights in LAR; 2) female respondents say right to have no right to will not have any significantly adverse Cash compensation, or that they are entitled to compensation compensation? impact on women. improvement of land compensation. quality and crop restructuring 2. Production and Are women affected All AHs will lose part of land only, so (1) Women will receive No one is seriously income even more seriously, the AHs will lose part of income only. compensation fees for affected. At lease 30% restoration after and receive less Compensation fees will be used at land acquisition; (2) At of jobs and training land acquisition assistance?. the AHs’ discretion. Only seriously least 30% of trainees of participants are women. affected households would have to skills training will be 61.35% of the survey change their income sources. In women; (3) During female respondents say addition to cash compensation, the construction, at least 30% that LA will not increase AHs will be assisted in restoring of jobs will be made their burden. income through auxiliary measures available to women. (e.g., priority in employment during During operation, at least construction, skills training and 30% of permanent jobs subsequent support). will be made available to 3. Increase of Will women have a The Project will not lead to gender women. gender heavier burden or fewer inequalities. LAR impacts are not inequalities opportunities? serious. 4. Social network Will the social network The Project will not affect the social No impact 78.13% of the female system is damaged? network seriously. respondents say that they are not affected in terms of social network. 5. Impact on Will there be serious The Project will not affect the villages Mitigation of community health / increase health or social seriously. health and safety through of social problems problems due to LAR implemenation of

(violence, AIDS environmental propagation, etc.)? management plan

4 Legal Framework and Policies 4.1 Laws, Regulations and Policies Applicable to LAR 53. The LAR policies of the Project have been developed in accordance with the laws and regulations of the PRC and Henan Province, and ADB’s Safeguard Policy Statement (2009). The compensation rates and livelihood restoration measures in the RP will be followed up, updated based on the DMS results if necessary, and submitted to ADB for review and approval before the award of the civil works contract. 4.1.1 Laws and Regulations in National level 1) Urban and Rural Planning Law of the PRC (April 23, 2019) 2) Land Administration Law of the PRC (January 1, 2020) 3) Administrative Regulations on Urban Blue Lines (Decree No.145 of the Ministry of Construction) 4) Administrative Measures for the Transfer of Rural Land Management Rights (Draft for Comment,2019) 5) Notice of the Ministry of Natural Resources on Issues Concerning Facility Agricultural Land Management (MNR [2019] No.4) 6) Notice of the Ministry of Finance, the Ministry of Land and Resources, and the People’s Bank of China on Adjusting the Policy on Fees for Compensated Use of New Construction Land (CZ [2006] No.48), etc. 4.1.2 Laws and Regulations in Henan 1) Guidelines of the General Office of the Henan Provincial CPC Committee on Preparing the New Countryside Construction Plan 2) Notice of the Henan Provincial Government on Adjusting Composite Location-based Land Prices for Land Acquisition of Henan Province (YPG [2016] No.48) 3) Notice of the Henan Provincial Government on Location-based Composite Land Prices for Farmland Acquisition (HPG [2020] No.16) 4) Guidelines of the Henan Provincial Government on Further Regulating Rural Residential House Construction(YPG [2015] No.51) 5) Notice of the Henan Provincial Civil Affairs Department on Conducting Minimum Living Security for Urban and Rural Residents, and Rural Five Guarantees Properly in 2013 (HPCAD [2013] No.65) 6) Measures of Henan Province for the Management of Employment Subsidies (YCS [2018] No.8) 7) Measures of Henan Province for the Management of Employment and Startup Training (YRSB [2018] No.46) 8) Notice of the Henan Provincial Government on Adjusting Composite Location-based Land Prices for Land Acquisition of Henan Province (YPG [2016] No.48) 9) Special Regulation Plan of Henan Province for Land Acquisition and House Demolition Problems (YPGO [2014] No.110) 10) Some Provisions of Henan Provinces on the Implementation of the Regulations on House Expropriation and Compensation on State-owned Land (HPG [2016] No.39) 11) Notice of the General Office of the Henan Provincial Government on Further Regulating House Expropriation and Demolition (HPGO [2016] No.5) 12) Guidelines of the Henan Provincial Government on Releasing on the Cancellation and Adjustment of Charging Items (HPG [2008] No.52) 13) Notice of the Nayang Municipal Government on Adjusting Compensation Rates for Young Crops and Attachments on Land Acquired for National Construction (NMG [2018] No.14) 14) Notice of the Office of the People’s Government of Henan Province on the Measures of Social Security Work for Land-expropriated Farmers (Yurenshe [2019] No.1 and 2) 4.2 ADB Policy 54. ADB’s policies on involuntary resettlement aim to (1) avoid involuntary resettlement wherever possible; (2) to minimize the involuntary resettlement impacts by exploring project and design

30 alternatives; (3) to improve, or at least restore, the living standards of all displaced persons to pre-project levels; and (4) to improve the standards of living of the displaced poor and other vulnerable groups.. Table 4-1 shows the ADB policy principles on involuntary resettlement. Table 4-1 Principles for Resettlement Principles Screen the project early on to identify past, present, and future involuntary resettlement 1 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. Carry out meaningful consultations with affected persons, host communities, and concerned nongovernmental organizations. Inform all 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, especially those below the poverty line, the landless, the elderly, women and 2 children, and Indigenous Peoples, and those without legal title to land, and ensure their participation in consultations. Establish a grievance redress mechanism to receive and facilitate resolution of the affected persons’ concerns. Support the social and cultural institutions of displaced persons and their host population. Where involuntary resettlement impacts and risks are highly complex and sensitive, compensation and resettlement decisions should be preceded by a social preparation phase. Improve or at least restore, 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 3 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. 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, 4 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. 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 5 affordable access to land and resources, and in urban areas provide them with appropriate income sources and legal and affordable access to adequate housing. Develop procedures in a transparent, consistent, and equitable manner if land acquisition is 6 through negotiated settlement to ensure that those people who enter into negotiated settlements will maintain the same or better income and livelihood status. Ensure that displaced persons without titles to land or any recognizable legal rights to land 7 are eligible for resettlement assistance and compensation for loss of nonland assets. Prepare a resettlement plan elaborating on displaced persons’ entitlements, the income and 8 livelihood restoration strategy, institutional arrangements, monitoring and reporting framework, budget, and time-bound implementation schedule. 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) 9 understandable to affected persons and other stakeholders. Disclose the final resettlement plan and its updates to affected persons and other stakeholders. Conceive and execute involuntary resettlement as part of a development project or program. Include the full costs of resettlement in the presentation of project’s costs and benefits. For a 10 project with significant involuntary resettlement impacts, consider implementing the involuntary resettlement component of the project as a stand-alone operation. Pay compensation and provide other resettlement entitlements before physical or economic 11 relocation. Implement the resettlement plan under close supervision throughout project implementation. Monitor and assess resettlement outcomes, their impacts on the standards of living of 12 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 the ADB Policy and PRC Laws and Gap Filling Measures 55. Table 4-2 presents gaps between ADB SPS and PRC’s system and local practice as well as gap filling measures.

Table 4-2 Comparative Analysis between PRC Laws and ADB Safeguard Policy, and Gap Filling Measures in the RP ADB’s safeguard policy Differences from PRC laws and local practices Measures in the RP Policy principle 1: Screen the project early on to The Measures for the Administration of Preliminary Examination of the Land Used The RP has been prepared at the identify past, present, and future involuntary resettlement for Construction Projects (Decree No.42 of the Ministry of Land and Resources) preparation stage to identify impacts and impacts and risks. Determine the scope of resettlement require that the size and type of the land offered to the project be screened before risks of involuntary resettlement, planning through a survey and/or census of displaced the feasibility study report or project proposal is approved. Before LA, the local including social gender and vulnerable persons, including a gender analysis, specifically related natural resources bureau will conduct a DMS. group issues. to resettlement impacts and risks. Before HD, the HD agency will conduct a DMS. No past impact is assessed under PRC laws. Although no specific law includes the analysis of women and vulnerable groups in the RP, special measures may be developed and evaluated for them based on the policy and plan of the local government. In particular, vulnerable groups will be identified, and supporting measures developed under the social security system. Policy principle 2: Carry out meaningful consultations There are similar requirements for consultation and participation in the Land The RP includes: a) provisions on with affected persons, host communities, and concerned Administration Law of the PRC (2019), the Decision of the State Council on adequate consultation with APs, nongovernment organizations. Inform all displaced Deepening the Reform and Rigidly Enforcing Land Administration (SC [2004] including consultation with vulnerable persons of their entitlements and resettlement options. No.28), the Guidelines on Improving Compensation and Resettlement Systems for groups; b) consultation and information Ensure their participation in planning, implementation, Land Acquisition (MLR [2004] No.238), the Regulations on House Acquisition on disclosure; and c) a grievance redress and monitoring and evaluation of resettlement programs. State-owned Land and Compensation (2011). The applicable provincial regulations mechanism. Pay particular attention to the needs of vulnerable and policies require that consultation, participation and information disclosure be groups, especially those below the poverty line, the conducted during LA and resettlement. landless, the elderly, women and children, and Although public participation and consultation activities are conducted under the Indigenous Peoples, and those without legal title to land, direction of the local government, they are not part of the resettlement booklet and and ensure their participation in consultations. Establish plan or the compensation and resettlement program (CARP). All activities should a grievance redress mechanism to receive and facilitate be institutionalized appropriately. resolution of the affected persons’ concerns. Support the The local government has established a grievance redress mechanism, where social and cultural institutions of displaced persons and farmers may file appeals to the village collective or directly through the legal their host population. Where involuntary resettlement system, but it is not part of the resettlement booklet and plan or CARP. impacts and risks are highly complex and sensitive, According to the plan of the local government, needs of affected vulnerable groups compensation and resettlement decisions should be may be identified and evaluation under the security system. In practice, all local preceded by a social preparation phase. government agencies pay attention to such needs. Policy principle 3: Improve, or at least restore, the For acquired collective land, the provincial government should develop and publish The RP includes the following livelihoods of all displaced persons through (i) land- uniform AAOV rates and composite land prices. measures: compensation at based resettlement strategies when affected livelihoods SC [2004] No.28: 1) If the project generates benefits, the AP may share return on replacement cost and livelihood are land based where possible or cash compensation at land as an investment; 2) The employment and social security system should be restoration. replacement value for land when the loss of land does improved within the urban planning area to ensure the living standard of the APs; not undermine livelihoods, (ii) prompt replacement of 3) Land resettlement, employment and relocation should be implemented out of assets with access to assets of equal or higher value, (iii) the urban planning area; and 4) Employment training should be conducted. prompt compensation at full replacement cost for assets MLR [2004] No.238 and relevant provincial regulations:

that cannot be restored, and (iv) additional revenues and 1) Developing agricultural production; services through benefit sharing schemes where 2) Reemploying the APs; possible. 3) Using the land as part of construction land; Policy principle 4: Provide physically and economically 4) Offering replacement land displaced persons with needed assistance, including the The compensation rate for any affected asset is determined through the specified following: (i) if there is relocation, secured tenure to appraisal procedure. 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. Policy principle 5: Improve the standards of living of the Vulnerable groups include five-guarantee and MLS households. Vulnerable groups are identified at the displaced poor and other vulnerable groups, including Local village / community committees, civil affairs bureaus, social security bureaus, time of preparation of the RP. women, to at least national minimum standards. In rural and other agencies pay attention to needs of vulnerable groups, and provide them The RP also includes the confirmation of areas provide them with legal and affordable access to with living assistance (food, clothing, fuel, education, etc.), monthly living information during RP updating. land and resources, and in urban areas provide them subsidies, and other assistance (except subsidies under the rural cooperative with appropriate income sources and legal and medical system). affordable access to adequate housing. The Regulations on House Acquisition on State-owned Land and Compensation (2011) stipulate that for personal ihousing demolished, the municipal or county government should offer replacement housing with priority. According to Some Opinions of the State Council on Solving Housing Difficulties for Low-income Population (SC [2007] No.24], affordable and low-rent housing should be offered to households with housing difficulties. Policy principle 6: Develop procedures in a transparent, Not relevant Not relevant 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. Policy principle 7: Ensure that displaced persons According to the Regulations on House Acquisition on State-owned Land and The includes that compensation will be without titles to land or any recognizable legal rights to Compensation (2011), temporary buildings constructed after approval should not provided to all APs, whether they have a land are eligible for resettlement assistance and be compensated for. legal title to land or assets or not. compensation for loss of non-land assets. Any uncertified / unauthorized house (not eligible for compensation at replacement cost), and the socioeconomic profile and vulnerability of such household will be appraised by the local government to determine the necessity of assistance, and ensure that its living standard is restored or does not worsen.

According to Some Opinions of the State Council on Solving Housing Difficulties for Low-income Population (SC [2007] No.24], affordable and low-rent housing should be offered to households with housing difficulties. Policy principle 8: Prepare a resettlement plan Except large-scale water resources projects, there is no specific requirement to The RP has been prepared, including elaborating on displaced persons’ entitlements, the prepare an RP similar to that required by ADB. arrangement of the entitlements of the income and livelihood restoration strategy, institutional For other projects, the natural resources bureau will prepare a construction land APs, income and livelihood restoration arrangements, monitoring and reporting framework, utilization note, farmland conversion plan, a cultivated land replenishment plan, an measures, institutional arrangements, a budget, and time-bound implementation schedule. LA plan, and a land utilization plan, which may be regarded as resettlement monitoring and reporting framework, a Policy principle 9: Disclose a draft resettlement plan, planning documents. budget, and a time-bound including documentation of the consultation process in a For HD, the local government will develop a compensation and resettlement implementation schedule. timely manner, before project appraisal, in an accessible program, which may also be regarded as an HD planning document. The RP will be disclosed to the affected place and a form and language(s) understandable to villages / communities and persons. affected persons and other stakeholders. Disclose the final resettlement plan and its updates to affected persons and other stakeholders. Policy principle 10: Conceive and execute involuntary All resettlement costs should be included in the project budget. The RP includes all LAR costs, , which resettlement as part of a development project or Article 48 of the Land Administration Law of the PRC (2019) stipulates, fair and are included in the overall project cost.. program. Include the full costs of resettlement in the reasonable compensation should be granted for LA to ensure that the living presentation of project’s costs and benefits. For a project standard of the affected farmers is not reduced, and their long-term livelihoods are with significant involuntary resettlement impacts, secured. In case of LA, the land compensation fees, resettlement subsidy, and consider implementing the involuntary resettlement compensation fees for rural residential houses, other ground attachments, young component of the project as a stand-alone operation. crops, etc. should be paid timely and fully according to law, and social security costs for the affected farmers disbursed. Land compensation and resettlement should ensure the sustainable livelihood and living standard restoration of LEFs; vocational training and social security should be implemented properly. Policy principle 11: Pay compensation and provide The regulations generally require that compensation and other assistance be paid The includes measures ensuring that other resettlement entitlements before physical or or offered before LA and HD. APs receive their compensation and economic displacement. Implement the resettlement plan The local government should supervise the whole project implementation process, entitlement before displacement. under close supervision throughout project and check if the APs receive full compensation. implementation. Policy principle 12: Monitor and assess resettlement No M&E results are required except for large water resources projects, including The RP establishes a coordination outcomes, their impacts on the standards of living of impacts on the living standard of the APs. mechanism for relevant agencies to displaced persons, and whether the objectives of the The local government is responsible for supervision during the whole project monitor LAR. Monitoring reports will be resettlement plan have been achieved by taking into implementation process, but no requirement on monitoring report. disclosed on website to strengthen account the baseline conditions and the results of information sharing. resettlement monitoring. Disclose monitoring reports.

4.4 Cut-off Date for Compensation and Resettlement Entitlements 56. The exact cut-off date for the eligibility for compensation will be confirmed before the RP implementation stage. The actual date will be disclosed upon publication of the LA announcement. Any newly claimed land, newly bilt house or settlement in the subproject area by the APs after this date will not be entitled to compensation or subsidization. Any building constructed or tree planted purely for extra compensation will not be counted in. 4.5 Compensation Rates 57. LA compensation is based on the Notice of the Henan Provincial Government on Adjusting Composite Location-based Land Prices for Land Acquisition of Henan Province (YPG [2016] No.48), and the Notice of the Henan Provincial Government on Location-based Composite Land Prices for Farmland Acquisition (HPG [2020] No.16). If the local government promulgates higher compensation rates during LAR, such high rates shall apply to all AHs. 4.5.1 Permanent LA 58. The LA compensation rates are based on the Notice of the Henan Provincial Government on Adjusting Composite Location-based Land Prices for Land Acquisition of Henan Province (YPG [2016] No.48). See Table 4-3. Table 4-3 Location-based Composite Land Prices for LA LA Social compensatio Range of area Area No. security n fees yuan/mu Town Villages 4113260101 52000 Chengguan Dongqing Community 4113260202 50000 Shangji Zhongguan Community Zhongjie, Nanjie, Dianzi, Shijia, Zijingguan 4113260301 46000 Zhangcun, Xitou Based on Xiying, Xiajie, Xiawan, Qianying, Siwan 4113260305 46000 the rate Shangjie released by Shangji Liuzhuang 4113260310 46000 the Henan Jinhe Xiawudian Provincial Houpo Baipa Labor and Zijingguan Quanzhuang Social Jiuchong Taocha Security 4113260401 42000 Department Madeng Qinglong, Yunyu Shangji Zhangying Xianghua Zhougou, Zengjiagou, Wangxi Jinhe Houwa 4113260402 42000 Shangji Guandi, Caomiaogou 59. Appraisal of the compensation rate: As indicated as Table 4-4, the average annual output value (AAOV) of cultivated land of villages in the project area ranged from CNY1,155 to 1,430/mu. In the project area, the 2nd round 30-years land contract was signed around 1998, so there are remaining 8 years. Based on the land compensation of CNY 42,000/mu or 52,000/mu, at least 29 years of AAOV compensation will be paid to the AHs if it is calculated by the lowest compensation rate CNY42,000/mu divided by the highest AAOV, CNY1,430/mu. Hence, the compensation for land is higher than the remaining outputs of the land. Table 4-4 LA compensation and AAOV of cultivated land for the project villages Range of area LA compensation AAOV

Town Town yuan/mu yuan/mu (A) Dongqing Chengguan Community 52000 1430 Zhongguan Shangji Community 50000 1375

Zhongjie, Nanjie, Zijingguan Dianzi, Shijia, 46000 1265 Zhangcun, Xitou Xiying, Xiajie, Siwan Xiawan, Qianying, 46000 1265 Shangjie Shangji Liuzhuang

Jinhe Xiawudian 46000 1265 Houpo Baipa Zijingguan Quanzhuang Jiuchong Taocha Madeng Qinglong, Yunyu 42000 1155 Shangji Zhangying Zhougou, Xianghua Zengjiagou, Wangxi Jinhe Houwa Guandi, Shangji Caomiaogou 42000 1155

4.5.2 Demolished Non-residential Properties 60. Houses demolished for the Project will be compensated for in accordance with the Regulation of Compensation and Resettlement Program for House Demolition in the Downtown of Xichuan County, the Measures for House Expropriation on Collective Land, Compensation and Resettlement in the Downtown of Nanyang City (Trial) (NMG [2018] No.37), the Interim Measures for House Expropriation on State-owned Land and Compensation in the Downtown of Nanyang City (NMG [2011] No.49), and other associated documents. Non-residential properties demolished for the Project will also be subject to property swap or cash compensation, and all APs prefer cash compensation. 61. According to the Measures for House Expropriation on Collective Land, Compensation and Resettlement in the Downtown of Nanyang City (Trial) (NMG [2018] No.37), the following compensation will be granted: 1) Compensation for losses from business suspension: 150 yuan/m2 of business operating size 2) Transition subsidy: 8 yuan/m2 of business size per month, paid for 3 months at a time 3) Moving subsidy: 8 yuan/m2 of business size, not less than 800 yuan Table 4-5 Compensation Rates for Houses and Other Structures Type Attachment Unit Specification Rate (yuan) Remarks 240 brick walls, wood purlin for load support, small Masonry timber gray tile or machined tile roof, wood doors and m2 432 Grade 1 windows, inner and outer wall plastering, floor height =<3.5m, locally puttying, a full range of water and power facilities 180 brick walls, wood purlin for load support, cement Masonry timber m2 444 tile or asbestos tile roof, wood doors and windows, Tile roof Grade 2 inner and outer wall plastering, floor height =<3.5m and >2.4m, a full range of water and power facilities Houses Earth timber 240 brick walls, wood purlin for load support, small m2 432 Grade 3 gray tile or machined tile roof, complete doors and windows m2 108 Eave height <2m Simple shed m2 60 Brick or stick support m2 Earth timber 369 Adobe, tile roof Masonry timber 240 brick walls, wood roof truss, wood purlin for load Single storied m2 576 Grade 1 support, small gray tile or machined tile roof, wood doors and windows, inner and outer wall plastering,

Type Attachment Unit Specification Rate (yuan) Remarks floor height =<3.5m and >2.9m, a full range of water and power facilities 120 or 240 brick walls, wood roof truss, wood purlin Masonry timber for load support, small gray tile or machined tile roof, m2 480 Grade 2 wood doors and windows, inner and outer wall plastering, floor height =<3.5m and >2.9m, a full range of water and power facilities 120 brick walls, wood roof truss, wood purlin for load Masonry timber support, small gray tile or machined tile roof, wood m2 420 Grade 3 doors and windows, inner and outer wall plastering, floor height =<3.5m and >2.9m, a full range of water and power facilities 240 brick walls, iron or security doors, aluminum alloy Masonry window with security mesh, inner wall and ceiling m2 720 dry stone, mosaic or narrow brick concrete Grade 1 puttying, tiled floor, outer walls, floor height =<3.5m and >2.9m, a full range of water and power facilities 240 brick walls, iron or wood doors, inner wall and Masonry m2 660 ceiling puttying, tiled floor, outer wall, floor height concrete Grade 2 =<3.5m and >2.9m, a full range of water and power facilities 120 or 240 brick walls, wood doors and windows, Masonry m2 600 inner and outer wall plastering, floor height =<4m, concrete Grade 3 eave height >2.9m, a full range of water and power facilities Reinforced concrete frame, cast-in-place concrete floor slabs, iron or security doors, aluminum alloy , outer m2 Frame Grade 1 840 window with security mesh wall and ceiling puttying, tiled floor, dry stone, mosaic or narrow brick outer walls, floor height =<3.5m and >2.9m, a full range of water and power facilities Reinforced concrete frame, cast-in-place concrete Frame floor slabs, iron or wood doors, aluminum alloy structure m2 Frame Grade 2 780 window, inner wall and ceiling puttying, tiled floor, outer wall painting, floor height =<3.5m and >2.9m, a full range of water and power facilities Reinforced concrete frame, cast-in-place concrete floor slabs, wood doors and windows, inner and outer m2 Frame Grade 3 720 wall painting, floor height =<3.5m and >2.9m, a full range of water and power facilities Prefabricated Light steel framework, sandwich enclosure m2 180 houses m2 Simple 60 Masonry m2 144 Toilets concrete, tile roof Masonry m2 168 concrete, cover Masonry / 960 concrete Gatehouses / Masonry timber 739 / Simple 546 Simple, single, connected to enclosing wall directly Gates m2 144 No roof Other Simple fishponds short of supporting facilities structure Ponds m2 - 15 s Notes: If a new compensation standard is introduced during the LAR period, it will be implemented in accordance with the new compensation standard. 62. Appraisal of compensation rate: the rate listed in Table 4-5 is for compensation of the structure

on the land. Meanwhile, compensation for land will be made through land acquisition as per standards discussed as Table 4-4. In addition, compensation for business suspension at the rate of 150 yuan/m2 of business operating size, transition subsidy of 8 yuan/m2 of business size per month with a total of 3 months at a time and moving subsidy at 8 yuan/m2 of business size with not less than 800 yuan will also be paid. Therefore, the compensation rate for the buildings affected is consistent with local house replacement price. 63. As discssed at Section 2.5. the business will be continued during and after the project construction. Work adjustment for workers of the enterprises will be conducted internally so as to avoid any job and income losing for employees.

4.5.3 Temporary Land Occupation 64. The compensation rates for temporary land occupation under the Project are based on the Notice of the Nayang Municipal Government on Adjusting Compensation Rates for Young Crops and Attachments on Land Acquired for National Construction (NMG [2018] No.14), being 1,500 yuan/mu for farmland and 1,100 yuan/mu for other land. The occupation period is usually two years, and compensation will be paid to the AHs directly. After receiving the compensation, the former proprietor may reserve the rights to dispose of ground attachments, especially trees, which may be transplanted or sold at market price. The land will be restored to original by the civil contractors after the project construction. Related cost of land restoration has been included in civil works contract. 4.5.4 Young Crops and Attachments 65. The compensation rates for young crops and attachments are based on the Notice of the Nayang Municipal Government on Adjusting Compensation Rates for Young Crops and Attachments on Land Acquired for National Construction (NMG [2018] No.14), being 1,500 yuan/mu for cultivated land and 1,100 yuan/mu for ordinary farmland. Tree compensation rates will be based on actual measurement and appraisal. See Tables 4-6 and 4-7. 66. Other ground attachments not included in the above notice will be based on the Notice of the Nayang Municipal Government on Adjusting Compensation Rates for Young Crops and Attachments on Land Acquired for National Construction in the Downtown (NMG [2011] No.38). See Appendix 7. Table 4-4 Young Crop Compensation Rates Xichuan County Townships Type of crops Tier 1 (cultivated land) Tier 2 (ordinary farmland) (yuan/mu) (yuan/mu) Food crops 1500 1100

Table 4-5 Attachment Compensation Rates Age compensation Transplanting Species Unit Remarks (diameter) (yuan) subsidy (yuan) =<5cm / 6 6 1. The compensation rates 6-10cm / 14 12 for rare arbors (toon, Catalpa Ordinary arbors 11-15cm / 36 Bungei, Cypress, Rhizoma 11-20cm / 48 Coptidis, etc.) are 20% >20cm / 132 higher. Chinese ash / 12 Shrubs Oak / 7 2. Rare trees (e.g., Locust tree / 12 Osmanthus, Cinnamomum 1-2 years / 12 6 Camphora) are disposed of 3-5 years / 60 36 by proprietors, with a Ordinary fruit trees transplanting subsidy paid by 6-8 years / 108 48 the government, being 30 >9 years / 312 108 yuan for a diameter of 5cm or Kiwi, cornel, 1 years / 12 6 less, 80 yuan for 6-10cm, honeysuckle 2-5 years / 72 36

Age compensation Transplanting Species Unit Remarks (diameter) (yuan) subsidy (yuan) 6-9 years / 312 108 200 yuan for 11-15cm and >10 years / 540 180 300 yuan for over 16cm. 1 years / 12 6 2-5 years / 72 48 3. Planting density: 100 arbor Commercial forests 6-8 years / 180 60 trees/mu, 80 fruit trees/mu >9 years / 240 120 and 330 shrubs/mu 1-3 years / 24 6 50% of the compensation Tea gardens 4-7 years / 72 24 rate will apply if the density is >8 years / 180 60 exceeded by 20%, or the rate =<2cm 6 6 for nurseries will apply if double the density is 3-4cm 18 12 exceeded. Landscape trees 5-10cm 120 60

11-14cm 312 120 4. Any planted tree that has >15cm 360 180 not rooted and sprouted will 2 12-24 6 Bamboo m not be acquired and 2 Nurseries Max. 3 years m 14 compensated for, and will be 2 Turmeric m 15 disposed of by planters. Rhizoma gastrodiae m2 48 Mulberry m2 27 Eulaliopsis binata m2 12 Orchid / 12 Heal-all m2 18

4.5.5 Rates of Taxes and Fees 67. See Table 4-8 and Appendix 7. Table 4-6 Rates of LA Taxes and Fees No. Item Tax rate Policy basis Based on the type and area of occupied land, 9- 13 yuan/m2 for cultivated land occupied for Notice of the General Office of the Henan nonagricultural construction (9 yuan/m2 for rain- Provincial Government on Strengthening Land fed land, 11 yuan/m2 for non-irrigated land, and Regulation and Practicing Strict Land Land reclamation 1 13 yuan/m2 for irrigated and vegetable land), 18- Management, and Guidelines of the Henan fees 22 yuan/m2 for cultivated land occupied for Provincial Government on Releasing on the nonagricultural construction (18 yuan/m2 for rain- Cancellation and Adjustment of Charging Items fed land, 20 yuan/m2 for non-irrigated land, and (HPG [2008] No.52) 22 yuan/m2 for irrigated and vegetable land) Land occupation tax law of the People's Farmland 2 16000 yuan/mu Republic of China (implemented from occupation tax September 1, 2019) Notice of the Ministry of Finance, the Ministry Compensation for of Land and Resources, and the People’s 3 additional 14 yuan/m2 Bank of China on Adjusting the Policy on Fees construction land for Compensated Use of New Construction Land (CZ [2006] No.48) Social security 4 42,800 yuan/mu YRSG [2019] No.2 costs for LEFs 4.6 Entitlement Matrix 68. The entitlement matrix has been established in accordance with the applicable policies in this chapter, as shown in Table 4-9.

Table 4-7 Entitlement Matrix Type of Degree of impact APs Compensation and resettlement policy Compensation rates impact Permanent 2,309.64 mu of 728 households 1) Cash compensation: all will be paid to AHs as per the Notice of the Henan 1) Compensation rates: LA collective land will be with 2,815 Provincial Government on Adjusting Composite Location-based Land Prices for Varying from township to acquired permanently persons Land Acquisition of Henan Province (YPG [2016] No.48) township, as detailed in Table 2) Employment: Employment services, Social, public welfare and project jobs, 4-3 and small-amount business startup loans will be offered. 2) All compensation shall be 3) Free skills training will be offered to the APs. fully paid before LA. 4) Enjoy the social endowment pension as social security policy (Yurenshe 3) Social endowment insurance [2019] No.1 and 2) . cost included in the budget, which will be administered accordingl to relevant social endowment policy. Temporary 695.18 mu of collective 151 households 1) The compensation for temporary land occupation will be paid to the proprietor 1,500 yuan/mu for cultivated land land will be used with 604 directly based on the occupation period. land and 1,100 yuan/mu for occupation temporarily persons 2) After receiving the compensation, the former proprietor may reserve the rights ordinary farmland to dispose of ground attachments. Tree compensation rates will be The compensation rates for temporary land occupation under the Project are based on actual measurement based on the Notice of the Nanyang Municipal Government on Adjusting and appraisal. See Table 4-6 for Compensation Rates for Young Crops and Attachments on Land Acquired for attachment compensation rates. National Construction (NMG [2018] No.14). Demolition The Project will affect 3 3 enterprises Compensation for LA over the related enterprises (Xiongsheng Ecology Park and For Xiongsheng Ecology park of non- non-residential with 43 persons Chaoyang Driving School) will be made to the villages and related APs involved, and the Dolphin Bay Animation residential properties with a total while compensation for structures and loss of the enterprises will be implemented Water World, compensation will properties size of 5,500 m2, subject to DMS during the implementation stage. be based on business operating including 4,200 m2 in Demolished non-residential properties are subject to cash compensation or size: frame structure property swap. All the 3 affected enterprises prefer cash compensation. 1) Compensation for losses (76.4%), 1,200 m2 in 2) According to the Measures for House Expropriation on Collective Land, from business suspension: 150 simple structure Compensation and Resettlement in the Downtown of Nanyang City (Trial) (NMG yuan/m2 (21.8%) and a [2018] No.37), the following compensation will be granted: 2) Transition subsidy: 8 yuan/m2 refrigerated storehouse ➢ For Xiongsheng Ecology park and the Dolphin Bay Animation Water World, per month, paid for 3 months at of 100 m2 (1.8%). compensation for losses from business suspension: i) 150 yuan/m2 of a time business operating size,ii) Transition subsidy: 8 yuan/m2 of business size per 3) Moving subsidy: 8 yuan/m2, month, paid for 3 months at a time, iii) Moving subsidy: 8 yuan/m2 of not less than 800 yuan business size, not less than 800 yuan; and iv) the business will be continued during and after the project construction. Work adjustement for workers of the enterprises will be conducted internally so as to avoid any job and income losing for employees.

Type of Degree of impact APs Compensation and resettlement policy Compensation rates impact ➢ Chaoyang Driving school is a temporary ground for driving exercise. It will be relocated before civil construction work commenced with coordination of the IA and local government. ➢ The business of the three enterprises will be continued during and after the project construction. Work adjustement for 43 workers affected will be conducted internally of the enterprises so as to avoid any job and income losing for employees. Ground Greenhouses, Adult Proprietors Compensation for ground attachments will be paid directly to proprietors at the Tree compensation rates will be attachment trees, Landscape trees, rates specified in this RP. Tree transplanting will be notified 6 months in based on actual measurement Fruit trees, Grounds, advance. In particular, the transplanting of Osmanthus trees should be avoided and appraisal. See Table 4-6 for etc. in summer. attachment compensation rates. Vulnerable 69 vulnerable 15 poor 1) Laborers in vulnerable households will have priority in receiving skills training, / groups households households, 38 taking public welfare jobs and jobs generated by subprojects, and applying for MLS small-amount secured loans. households, 7 2) The project implementation agency cooperates with the social labor and five-guarantee social security departments and the affected township governments to provide households and special assistance to VG as per their needs . 9 disability households Women / Affected women 1) Making at least 30% of unskilled jobs first available to women; 2) Women will / receive relevant information during LAR, and are able to participate in LAR consultation. A special women’s FGD will be held to introduce LAR policies.

5 Resettlement and Livelihood Restoration 5.1 Livelihood Restoration Programs 69. The livelihood restoration plan discussed in this Section is designed to mitigate the project impact of APs who are losing land and/or income due to LAR of the project, especially for those 4 households and 8 people whose income loss may be higher than 10% (upto 14.38%). The overall objective of the livelihood restoration plan will be restoring the livelihood of APs to at least the pre- project level, or better-off than before. Therefore, series of restoration measures will be implemented, including not only cash compensation, but also related long-term and sustainable measures like social security insurance, training, employments and so on. 5.1.1 Cash Compensation for LA 70. LA compensation will be paid based on standards described in Chapter 4. 71. As consulted with the IA and related township governments, compensation for LA and young crops will be paid directly to AHs; or to the village collective where the land is not contracted to households of the village. 72. The villages will not retain land compensation fees, all will be paid to AHs. Priority will be to providing employment opportunities to affected farmers, and finding employment in nearby agricultural cooperatives and industrial parks. 5.1.2 Social Security 73. According to the Notice of the Office of the People’s Government of Henan Province on the Measures of Social Security Work for Land-expropriated Farmers (Yurenshe [2019] No.1 and 2) and the implementation regulations of Xichuan counties, the social endowment insurance will be provided to the registered land-expropriated farmers who are (i) over the age of 16, (ii) enjoy the second round rural collective land contracting and management rights, and (iii) raised and determined by the meeting of village collective groups. 74. According to the latest standard effective from 1st July 2020, APs who are eligible for endowment insurance premium will be provided with RMB 42,800/mu of subsidy in minimum in accordance with the integrated price of land in the project location. By checking with the Natural Resources Bureau and the Social Security Bureau, the rough cost of social endowment pension has been estimated at RMB 98.2 million, accounting for 38.68% of the total resettlement budgets, whilst the exact number of people to enjoy the social endowment pension and the actuate cost can only be confirmed at the implementation stage. 5.1.3 Employment Opportunities 1) Employment under the Project 75. According to the project construction content and the engineering quantity measurement provided by the project implementation unit, about 600 temporary jobs will be generated during the construction stage, including 200 skilled jobs and 400 unskilled ones; in addition, 235 permanent jobs will be generated during the operation stage, including 85 skilled jobs and 150 unskilled ones. Such jobs will be priority for the APs to avail. 2) Skills training 76. 400 person-times of training will be provided under the Project. There are various types of training available for APs to choose, including agricultural related training, such as forest and fruit cultivation, management, packaging, storage, online marketing, et, as well as nonagricultural training, such as cooking, construction, sewing, housekeeping, driving, wire and cable production, etc. 77. The Xichuan PMO, and the county labor and social security bureau will organize skills training for APs in coordination with the township governments and village committees in a unified manner. 5.2 Women’s Development Measures 78. In the Project, women will be encouraged to participate and play an important role in income restoration. In addition, the PMO has female staff members in order to communicate with women

more effectively and ensure women’s participation. Job opportunities will be made available to women at the construction and operation stages. The measures to promote women’s development under the Project include: 1) Equal rights of women in the development of resettlement programs 79. During public consultation, women enjoy equal rights of participation and decision-making. Not less than 40% of participants of village meetings or congresses discussing resettlement programs will be women. All resettlement agencies will have female staff members. 2) Priority of women in livelihood restoration 80. Affected women will have priority in enjoying the above livelihood restoration measures, especially employment and skills training. At least 30% of the unskilled jobs will be made available to women, and at least 30% of trainees of free skills training will be women. Local women will be encouraged to play an important role in RP implementation and income restoration. In addition, the PMO will have female staff members who are responsible for information disclosure and communication with women to ensure effective and meaningful participation. Some special measures will be taken under the Project to protect women’s equal rights, and promote their income restoration and social development. 5.3 Supporting Measures for Vulnerable Groups 81. According to the survey, 69 households (15 poor households, 38 MLS households, 7 five- guarantee households and 9 disability households) affected by LA of the project fall into vulnerable groups. According to the government poverty-relief measures, these vulnerable groups are covered by: 1) The MLS system. Eligible vulnerable persons affected by the project will be included in the MLS system of Xichuan County, and receive an average MLS benefit of 520 yuan per capita per month. 2) Urban and rural medical assistance to eligible vulnerable groups. Urban and rural medical assistance will be offered to eligible vulnerable groups pursuant to the Notice of the Nanyang Municipal Government on Issuing the Measures for the Implementation of Medical Assistance for Urban and Rural Residents with Difficulty of Nanyang City (NYG [2017] No.44). 82. Moreover, priority will be given to laborers in vulnerable households during the RP implemenatation stagefor receiving skills training, taking public welfare jobs and jobs generated by the project, and applying for small-amount secured loans. 5.4 Resettlement for Demolition of Non-residential Properties 83. 3 non-residential properties will be affected, including a building of Xiongsheng Ecology Park, a temporary building of Chaoyang Driving School and a building of Dolphin Bay Animation Water World. Xiongsheng Ecology Park and Dolphin Bay Animation Water World operate on leased collective land, 84. Compensation for LA over the related enterprises (Xiongsheng Ecology Park and Chaoyang Driving School) will be made to the villages and related APs involved, while compensation for structures and loss of the enterprises will be implemented subject to DMS during the implementation stage. According to the consultation onsite, all the 3 affected enterprises prefer cash compensation. Compensation for houses demolition of the Project will be undertaken in accordance with the Regulation of Compensation and Resettlement Program for House Demolition in the Downtown of Xichuan County, and the Measures for House Expropriation on Collective Land, Compensation and Resettlement in the Downtown of Nanyang City (Trial) (NMG [2018] No.37) which stipulates: ⚫ For Xiongsheng Ecology park and the Dolphin Bay Animation Water World, compensation for losses from business suspension: i) 150 yuan/m2 of business operating size, ii) Transition subsidy: 8 yuan/m2 of business size per month, paid for 3 months at a time, iii) Moving subsidy: 8 yuan/m2 of business size, not less than 800 yuan; and iv) the business will be continued during and after the project construction. Work adjustement for workers of the enterprises will be conducted internally so as to avoid any job and income losing for employees.

⚫ Chaoyang Driving school is a temporary ground for driving exercise. It will be relocated before civil construction work commenced with coordination of the IA and local government. 85. The business of the three enterprises will be continued during and after the project construction. Work adjustement for 43 workers affected will be conducted internally of the enterprises so as to avoid any job and income losing for employees.See Table 5-1 for detail resettlement arrangement for three enterprises. Table 5-1 Non-residential Demolished Resettlement measures No. Component Town Village Demolished Resettlement methods Remarks properties Monetary compensation for structures affected. Workers and their Danjiangkou A building of Meanwhile, the operation income of the Reservoir Shangji Xiongsheng will be continued at business will be 1 Zhangying urban-rural Town Ecology nearby area selected in remained as past,

water supply Park the remaining land. and work adjustment will be conducted internally. Monetary compensation The business for structures affected. operation will be well connected A temporary As consulted with the with new Integrated building of owner, after Shangji coordinated land 2 management Beitang Chaoyang compensation, it is going Town before relocation. in Xihe River Driving to relocate before School construction of the projedct in the area with support of local government. Monetary compensation Workers and their for structures affected. income of the Meanwhile, the operation business will be will be continued in the remained as past, remaining area leased. and work adjustment will be A building of As consulted with the conducted Dolphin Bay owner, the existing internally. Animation facilities will be upgraded Rural tourism Shangji Water World, and used by the project, 3 infrastructure Guandi Town operation on and the operation of the construction land leased affected business will be from local continued on land leased village from local village.As committed by the village committee, the upgraded facilities will be re-rented to the owner with priority after completion of upgrading. Total 5.5 Restoration Program for Infrastructure and Ground Attachments 86. Compensation for ground attachments will be paid directly to proprietors at the rates specified in this RP. Tree transplanting will be notified 6 months in advance. In particular, the transplanting of Osmanthus trees will be avoided in summer.

6 Organizational Arrangement 6.1 Resettlement Implementation and Management Agencies 6.1.1 Organizational Setup 87. To ensure successful resettlement as desired, a systematic organizational structure will be established during the project implementation in order to plan, coordinate and monitor the resettlement activities. In fact, a project leading group headed by the deputy county head in charge, and composed of persons responsible from the agencies concerned has been established during the project preparation stage. The Xichuan PMO under the Project Leading Group is responsible for project preparation and implementation. XCG is the executing agency of the Project, and the local township governments (sub-district offices) are the LAR implementing agencies, responsible for project preparation, management and coordination. Under the overall management of XCG, the county natural resource bureau as well as the county HD management office will appoint the related parties to be responsible specifically for land acquisition, house demolition, compensation and resettlement together with the planning, natural resources, urban administration, housing administration, public security agencies, related township governments and villages etc. The agencies responsible for LAR in the Project are: ➢ Xichuan PMO ➢ Xichuan County Construction Bureau ➢ Xichuan County Natural Resources Bureau ➢ Xichuan County Housing Administration Bureau ➢ Xichuan County Water Resources Bureau ➢ Township (sub-district) resettlement offices ➢ Affected township governments ➢ Affected village committees ➢ Design agency ➢ External M&E agency ➢ Other agencies concerned: women’s federation, labor and social security bureau 6.1.2 Organizational Responsibilities ➢ Project Leading Group 88. As the high-level leading and supervision authority of Xichuan county government, it is responsible for guiding, coordinating and supervising the project preparation and implementation, including the implementation of RP. ➢ Xichuan PMO 89. As the coordination and management organization of the project and resettlement affairs, Xichuan PMO is mainly responsible for the overall management, planning, coordination and supervision of land acquisition/ use and resettlement work, specifically including: ⚫ Appointment of a resettlement consulting agency to conduct resettlement preparation ⚫ Coordination for the consulting agency with other agencies concerned ⚫ Reporting the progress of construction and resettlement; ⚫ Organization of the preparation, update and publicity of the resettlement plan; ⚫ Supervision and coordination of the implementation of land acquisition/ use and resettlement plan; ⚫ Coordination and supervision of the establishment and operation of the grievance redress mechanism; ⚫ Coordination and supervision the PMO and construction units in carrying out the internal monitoring and assessment of land acquisition and resettlement; ⚫ Submission the internal monitoring reports of resettlement to the ADB; ⚫ Employment of external monitoring agency for land acquisition and resettlement; and ⚫ Training the resettlement staff of the township (sub-district) resettlement offices. ➢ Township (sub-district) resettlement offices 90. As supporting and implementation parties, they are responsible for assisting the resettlement

implementing agencies to carry out land acquisition /use and resettlement work within the township, including: ⚫ Assist in the publicity and explanation of the policies of land acquisition /use and resettlement of the project; ⚫ Assist in carrying out public participation and consultation activities; ⚫ Assist in implementing land acquisition, land-use consultation, land transfer/lease, land compensation and resettlement activities; ⚫ Assist in signing the land acquisition and resettlement contracts/agreements with the affected persons and supervising the payment of land expenses; ⚫ Participate in the handling of complaints and appeals in the process of resettlement; ⚫ Participate in internal monitoring activities of resettlement. ➢ Xichuan County Water Resources Bureau, and Construction Bureau

⚫ Applying land planning and construction permits with competent authorities ⚫ Organizing discussions and giving publicity to resettlement policies ⚫ Appointing agencies to implement the RP ⚫ Raising, supervising and managing resettlement funds ➢ Xichuan County Natural Resources Bureau ⚫ Identifying the project area and conducting the socioeconomic analysis together with the design staff ⚫ Participating in RP preparation and supporting its implementation ⚫ Organizing discussions and giving publicity to resettlement policies ⚫ Conducting the DMS ⚫ Handling LA procedures ⚫ Taking charge of LA compensation and resettlement ⚫ Managing LA compensation and resettlement files ⚫ Assisting the external M&E agency in its fieldwork; ➢ Xichuan County Housing Administration Bureau ⚫ Conducting HD and resettlement ⚫ Conducting HD compensation and resettlement ➢ Affected township governments ⚫ Participating in the socioeconomic survey and assisting in preparation of the RP; ⚫ Organizing public participation and communicating the resettlement policies; ⚫ Implementing, inspecting, supervising and recording all resettlement activities; ⚫ Supervising the disbursement and management of LA compensation fees; ⚫ Supervising LA; ⚫ Reporting LA, HD and resettlement information to the PMO; ⚫ Handling grievances and appeals arising from resettlement; ⚫ Handling resettlement issues ➢ Affected village committees ⚫ Participating in the socioeconomic survey and DMS; ⚫ Organizing public participation and communicating the resettlement policies; ⚫ Organizing resettlement activities; ⚫ Attention and assistance to the vulnerable APs; ⚫ Handling grievances and appeals of the Aps, and reporting their comments and suggestions to the PMO ➢ County labor and social security bureaus ⚫ Offering skills training ⚫ Attention and assistance the vulnerable APs; ⚫ Operating and managing the social security insurance.

➢ Design agency ⚫ At the planning and design stage, it conducts survey of the physical indicators of LA and HD, environmental capacity, usable resources, etc. accurately, and assist the governments in the project area in developing resettlement programs, preparing budgetary investment estimates for compensation for LA and HD, and preparing the relevant drawings. ⚫ At the implementation stage, it will submit the design documents, technical specifications, drawings and notices to the owner timely, make design disclosure to the PMOs of all levels. ➢ External M&E agency 91. Xichuan PMO will recruit a qualified M&E agency as the external resettlement M&E agency. Its main responsibilities are: ⚫ observing all aspects of resettlement planning and implementation as an external M&E agency, monitoring and evaluating the effectiveness of resettlement and the social adaptability of the APs, and submitting resettlement M&E reports to XPMO and ADB; ⚫ Providing training and technical advice to the project’s resettlement staff to share monitoring experience on implementation of resettlement. 6.2 Staffing and Equipment 6.2.1 Staffing 92. In order to ensure the successful implementation of the resettlement work, all resettlement agencies of the Project have been provided the list of full-time staff, and a smooth channel of communication has been established. See Tables 6-1 and 6-2. Table 6-1 Staffing of Relevant Agencies for RP Workforce Agency Composition Male Female Xichuan Project Leading Group 3 2 Civil servants Xichuan PMO 10 8 Civil servants, technicians IAs 8 3 Civil servants, technicians Affected township governments 18 12 Civil servants Affected village committees 23 8 Officials, representatives of Aps Design agency 3 2 Engineers External M&E agency 3 4 Resettlement and social experts Total 68 36 Table 6-2 Principals of Resettlement Agencies No. Agency Name, title Tel 1 Xichuan PMO Wang Jian 18933938357 2 Agriculture and rural affairs bureau Zhang Xiaojiang, agronomist 13949396115 3 Construction bureau Jin Lin 15090125874 4 Natural resources bureau Jing Zhanqing, Director-general 13837710276 5 Water resources bureau Li Suyu, Director 15839962333 6 Tourism bureau Yang Zhongju, Deputy Director-general 15993151688 7 Shangji Town Government Li Huayang, Director 13613871069 8 Zijingguan Town Government Kou Shaoyun, Director 15290307076 9 Siwan Town Government Gao Hongjie, Deputy Head 13598237007 10 Tangfang Village, Shangji Town Chen Wenzhong (Village Secretary) 13949373066 11 Zhangying Village, Shangji Town Li Zhanping (Village Head) 18638978866 12 Qinglong Village, Madeng Town Wang Jianli (Village Secretary) 18317236536 13 Yunyu Village, Madeng Town Liu Daoshun (Village Head) 69585266 6.2.2 Equipment 93. All resettlement agencies of the Project have been provided basic office, transport and communication equipment, including desks and chairs, PCs, printers, telephones, facsimile machines and vehicles.

6.2.3 Organizational Training Program 94. During the preparation stage of the project, the resettlement experts from the ADB technical assistance team have provided training on the ADB Safeguard Policy Statement (SPS), in particular requirement 2: involuntary resettlement, to personnel from the PMO, implementing agencies, department of natural resources, township governments and other relevant units. In addition, the resettlement experts held consultations with relevant agencies and personnel to discuss key elements of the Resettlement Plan, including socioeconomic analysis, compensation policies and standards, restoration measures and plans, grievance resolution mechanisms, and internal and external monitoring. The main staff of the PMO, DIs and IAs participated in these training and meetings, including those who will be responsible for the implementation of the resettlement plan. 95. In order to ensure the successful implementation of the resettlement work, the resettlement staff must be trained under the leadership of the Xichuan PMO, and district/county labor and social security bureaus. A staff training and human resources development system for the county-, township- and village-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. Context of training will at least include: —ADB’s resettlement policy and principles —Differences between ADB and PRC policies —Resettlement implementation planning and management —Points requiring attention during resettlement implementation —Resettlement M&E 96. See Table 6-3 for the details of the training plan. The training program may adjust in accordance with the monitoring and needs if identified during the RP implementation. Table 6-3 Operational Training Program of Resettlement Agencies Agency Scope Trainees Time No. responsible A B C D PMO staff, related Xichuan PMO, Involuntary Resettlement Policy of 1 departments from Xichuan 13 May 2020 TrTA Specialist ADB SPS (2009) county government Xichuan PMO, Learning resettlement experience 2021-2022 2 IAs from ADB-financed projects in Resettlement office staff other provinces Xichuan PMO, Resettlement office staff, 3 ADB’s resettlement policy 2020-2021 IAs township resettlement leaders Xichuan PMO, Updates of state policies on LA and Resettlement office staff, 4 2020-2021 IAs HD township resettlement leaders Experience and lessons in 5 Xichuan PMO Resettlement office staff 2021-2022 resettlement from other places Computer operation and data 6 Xichuan PMO Resettlement office staff 2020-2022 processing Staff of township resettlement Resettlement procedures and 7 Consultants offices and village resettlement 2021-2024 policies for ADB-financed projects teams Staff of township resettlement 8 Consultants Resettlement policies and practice offices and village resettlement 2021-2024 teams

7 Information disclosure, Public Participation and Grievance Redress 7.1 Information disclosure and Public Participation 97. According to the policies and regulations of ADB, the PRC, Henan Province and Xichuan County on resettlement, it is very required to conduct public participation at the preparation and implementation stages in order to protect the lawful rights and interests of the APs. 7.1.1 Preparation Stage Information disclosure and Public Participation 98. Since February 2020, the task force has conducted a series of socioeconomic survey and public consultation activities (with 37% of participants being women). At the preparation stage, the PMO, IAs and design agency visited various project areas, and they communicated with relevant units and village communities, disclosed the basic information of the project, and conducted extensive consultation on LAR. During the field investigation, the RP investigation team conducted 16 community meetings and 22 FGDs in 9 towns / townships, including 16 FGDs with 56 women, and 6 FGDs with 26 vulnerable persons; 16 village official interviews were conducted, involving village cadres 48 people (including the 3 entperprises owners and 3 representatives of employees); 530 people were involved in the questionnaire survey; 9 interviews with 20 people were conducted at government agencies at or above the county level. See Table 7-1. Table 7-1 Public Participation Activities at the Preparation Stage #

Female

Male Key issues and Date Organizer Participants Purpose Key points Measures Taken suggestions

Introducing the Minimizing income Optimizing the design of APs, village background and and livelihood the Project Feasibility officials, purpose of the impacts, and 2019.9 PMO, FS study, field technicians, 30 24 Project, and maintaining -12 agency investigation, local PMO minimizing information and DMS staff resettlement policy transparency impacts Introducing the Promoting project Understanding of the scope Project’s implementation of the Project and 2019.1 PMO, EIA Xichuan Project kick- background and through effective measures discussed to 2.22- and FS 26 25 PMO off meeting purpose, and coordination minimize resettlement 24 agencies ADB’s policy and impacts principles Disbursement Providing Understanding of PMO, TA Officials and and distribution reasonable compensation standard 2020.4 experts, APs in the Public of compensation compensation for and procedure to be strictly 35 27 -5 EIA affected consultation fees land and assets fully followed; grievance agency village groups and timely redress and M&E mechanisms discussed. 26 11 Public Supporting Providing assistance Supporting measures for consultation( measures for measures to vulnerable groups 6 FGDs with vulnerable vulnerable groups, discussed, such as 26 vulnerable groups and establishing a employment, skills training, persons) smooth GRM social security and GRM Officials and PMO, included in the RP . 2020.5 APs in the NRCR, TA 56 56 Public Supporting Providing assistance Supporting measures for .6-22 affected experts consultation measures for measures to affected women discussed, village groups (16 FGDs women affected women, such as employment, skills with 56 and establishing a training, etc. and GRM women) smooth GRM included in the RP 48 16 Public Consult the Reduce resettlement Determined measures of consultation wishes of impact and suitable resettlement 50

(16 village affected determine feasible compensation,and official households, resettlement reducing resettlement interviews discuss compensation impacts were resettlement implementation conducted, compensation methods involving methods and village restoration cadres 48 measures people, which obtain 3 enterprises ) 53 25 Questionnair Collect basic Findings from survey and 0 0 e survey (530 information of consultation incorporated people were affected in the RP. involved) households 20 5 Public Consult local Resettlement consultation land acquisition problems that may (9 interviews and demolition be encountered in with 20 compensation project people standards and implementation, were resettlement conducted at compensation government policies, project agencies) construction suggestions and participation of relevant units PMO, Reporting project Communicating on Explored feasible options agencies progress early-stage based on the survey results TA Mid-term 2020.5 Xichuan concerned, documents to minimize resettlement 28 23 review .14-22 PMO EIA agency, impacts meeting FS agency, etc. Paying attention Providing effective Resettlement impacts to livelihood and restoration confirmed, further defining income measures and restoration measures Village restoration establishing a (employment, skills officials, APs, 2020.7 PMO, Public smooth grievance training, social security, township 21 21 .1-5 task force consultation redress mechanism preferential loans, etc.) governments, discussed, and the IAs grievance redress mechanism included in the RP. 99. Once finalized, the RP report will be endorsed by XCG and disclosed in local government website and ADB website for public disclosure. 7.1.2 Implementation Stage 100. For next stage, the Xichuan PMO and township resettlement offices will conduct further public participation, mainly including: 1) Distributing the RIB; 2) Verifying DMS results; 3) Conducting public participation on the formulation and implementation of livelihood and income restoration measures; 4) Conducting public participation on LAR 5) Update the RP based on the preliminary/detailed design and DMS; and disclose again in local government website and ADB website. 6) Conducting public participation on training and employment promotion

7) Other activities subject to any concerns of the APs 101. See Table 7-2 for the detail public participation plan of the implementation stage. Table 7-2 Public Participation Plan for Next Stage Purpose Mode Time Agencies Involved Topic Village Distributing the RIB bulletin Xichuan PMO, township RIB distribution board, 2020.10 governments, village All APs village committees meeting Village Disclosure of LA area, bulletin Xichuan PMO, township compensation rates LA board, 2021.5.31 governments, village All APs and resettlement announcement village committees modes, GRM, etc. meeting Detail resettlement Xichuan PMO, natural impact survey on the DMS results Field resources bureau, township 2021.3 All APs basis of final design; verification investigation governments, village preparing sample committees agreements Determination / Discussion of the final Village implementation Before Xichuan PMO, township income restoration meeting of income implement governments, village All APs programs and the use (many restoration ation committees of compensation fees times) – programs Xichuan PMO, labor and Discussion of training Training Village Before social security bureau, needed All APs program meeting training township governments, village committees

7.2 Grievance Redress Mechanism (GRM) 102. In order to address issues effectively, and ensure the successful implementation of project construction and land acquisition, a transparent and effective grievance redress mechanism has been established. The basic grievance redress system is as follows:  Stage 1: If any right of any AP is infringed on in any aspect of LAR, he/she may report this to village committee, which should record such appeal and solve it together with the village committee or the AP within two weeks.  Stage 2: If the appellant is dissatisfied with the disposition of Stage 1, he/she may file an appeal to the township government after receiving such disposition, which should make a disposition within two weeks.  Stage 3: If the appellant is still dissatisfied with the disposition of Stage 2, he/she may file an appeal to the IA after receiving such disposition, which should make a disposition within two weeks.  Stage 4: If the appellant is still dissatisfied with the disposition of Stage 3, he/she may file an appeal to the Xichuan PMO within one month after receiving such disposition, which should make a disposition within 4 weeks. 103. At any stage, an AP may bring a suit in a civil court directly in accordance with the Administrative Procedure Law of the PRC. AP may also submit a complaint to ADB, first with the project team and then, if still unsatisfied, to ADB’s accountability mechanism (http://www.adb.org/site/accountability-mechanism/main). 104. All agencies will accept grievances and appeals from the APs for free, and costs so reasonably incurred will be disbursed from contingencies. 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. The above GRM will be communicated to the APs at meetings or/and through the RIB. 105. During the implementation of the RP, the resettlement agencies should register and manage

appeal and handling information, and submit such information to the PMO in writing on a monthly basis. The Xichuan PMO will inspect the registration of appeal and handling information regularly. 7.3 Contact Information for Grievance Redress 106. The sub-district/township resettlement offices and village resettlement teams have assigned staff members to collect and accept grievances and appeals from the APs. The Xichaun PMO has also appointed its focal staff. See Table 7-3. Table 7-3 Contact Information for Grievance Redress

No. Agency Name, title Address Tel 1 Xichuan PMO Wang Jian No.140 Renmin Road 18933938357 Agriculture and rural affairs 2 Zhang Xiaojiang, agronomist No.186 Jiefang Street 13949396115 bureau 3 Construction bureau Jin Lin Central Meijian Road 15090125874 Junction of Fuqiang and Chudu 4 13837710276 Natural resources bureau Jing Zhanqing, Director-general Roads 5 Water resources bureau Li Suyu, Director No.185 Jiefang Street 15839962333 Yang Zhongju, Deputy Director- Junction of Fuqiang and Chudu 6 Tourism bureau 15993151688 general Roads 7 Shangji Town Government Li Huayang, Director Xichuan Industrial Park 13613871069 Zijingguan Town CPC 8 15290307076 Zijingguan Town Government Kou Shaoyun, Director Committee 9 Siwan Town Government Gao Hongjie, Deputy Head Siwan Town Government 13598237007 Chen Wenzhong (Village 10 Tangfang Village, Shangji Town Tangfang Village, Shangji Town 13949373066 Secretary) 11 Zhangying Village, Shangji Town Li Zhanping (Village Head) Madeng TownZhangying 18638978866 12 Qinglong Village, Madeng Town Wang Jianli (Village Secretary) Qinglong Village, Madeng Town 18317236536 13 Yunyu Village, Madeng Town Liu Daoshun (Village Head) Yunyu Village, Madeng Town 69585266

8 Resettlement Budget 8.1 Resettlement Budget 107. All costs incurred during LAR will be included in the general budget of the Project. Based on prices in June 2020, the resettlement budget of the Project is RMB253.79 million yuan, including basic LA and HD costs of RMB 93.47 million yuan (36.83%), resettlement planning and monitoring costs of RMB 5.1411 million yuan (2.03%), training costs of RMB 1.8695 million yuan (0.74%), LA taxes and fees (including social security cost) of RMB 137.13 million yuan (54.31%), and contingencies of RMB 15.48 million yuan (6.10%), including RMB2,000/mu of land management fee. 108. The resettlement budget will be updated in the updated RP based on the detailed design, DMS, and compensation standards issued by the local government during RP updating. The local government has promised to disburse sufficient counterpart funds to implement the RP. All compensation will be fully paid before the resettlement. See Table 8-1 and Appendix 10.

8.2 Resettlement Budget Disbursement Plan and Funding Sources 109. All resettlement funds of the Project are from Xichuan county government finance funds. The government will make the allocation of land-use related fees for the project from 2021 to 2025. 110. Resettlement funds will be disbursed as: 1) all costs related to LAR will be included in the general budget of the Project; 2) the county governments will disburse compensation fees based on the compensation rates directly to the affected town governments; 3) the related township governments will pay to affected households via bank accounts. 111. The land compensation (subsidy) fees, land rent, young crops and ground attachments compensation fees will be paid directly to the affected village groups or the households, and the affected persons can collect it at the bank by means of payment notice and personal ID card.

Table 8-1 Abbreviated Resettlement Budget by affected Towns

Jingziguan Siwan Shangji Madeng Jinhe Xianghua Houpo Jiuchong Chengguan Town Town Town Town Town Town Town Town Town Total (0,000 Percent No. Item Amount Amount Amount Amount Amount Amount Amount Amount Amount yuan) (%) (0,000 (0,000 (0,000 (0,000 (0,000 (0,000 (0,000 yuan) (0,000 yuan) (0,000 yuan) yuan) yuan) yuan) yuan) yuan) yuan) Basic resettlement 1 757.6187 801.2316 7676.6609 37.1514 20.7904 18.577 21.774 13.668 44.375 9347.472 36.83% costs 1.1 LA compensation 690.368 788.256 7025.345 23.709 7.476 3.738 3.129 4.956 44.375 8546.977 33.68% 1.1.1 Cultivated land 472.742 18.676 4448.884 4.368 4944.67 19.48% 1.1.2 Woodland 163.162 195.362 1517.166 1875.69 7.39% 1.1.3 Garden land 0 328.578 328.578 1.29% 1.1.4 Grassland 0 0 0 0.00% 1.1.5 Traffic land 0 0 138.094 2.25 140.344 0.55% Water area and water 1.1.6 0 0 0 0.00% facility land Unused construction 1.1.7 0 0 206.495 17.178 3.108 2.436 3.129 4.956 237.302 0.94% land 1.1.8 Protected farmland 3.289 8.165 132.022 143.476 0.57% 1.1.9 Collective wasteland 51.175 237.475 582.684 6.531 1.302 42.125 921.292 3.63% Young crop 1.2 11.3047 12.9756 155.8788 0.1144 0.231 180.5045 0.71% compensation Compensation for 1.3 temporary land 55.946 8.9496 11.6424 13.2 14.608 18.645 8.712 131.703 0.52% occupation Compensation for non- 1.4 456.5 456.5 1.80% residential properties Masonry concrete Grade 1.4.1 7.2 7.2 0.03% 1 1.4.2 Frame Grade 2 327.6 327.6 1.29% 1.4.3 Simple structure 21.6 21.6 0.09% 1.4.4 Moving subsidy 4.4 4.4 0.02% 1.4.5 Transition subsidy 13.2 13.2 0.05% Compensation for losses 1.4.6 from business 82.5 82.5 0.33% suspension Compensation for 1.5 29.9875 1.8 31.7875 0.13% ground attachments

Jingziguan Siwan Shangji Madeng Jinhe Xianghua Houpo Jiuchong Chengguan Town Town Town Town Town Town Town Town Town Total (0,000 Percent No. Item Amount Amount Amount Amount Amount Amount Amount Amount Amount yuan) (%) (0,000 (0,000 (0,000 (0,000 (0,000 (0,000 (0,000 yuan) (0,000 yuan) (0,000 yuan) yuan) yuan) yuan) yuan) yuan) yuan) 1.5.1 Greenhouses 25.545 25.545 0.10% 1.5.2 Shallow ponds 1.2 1.2 0.00% 1.5.3 Adult trees Ø≥5cm 0.0625 0.0625 0.00% Ordinary 1.5.4 <5cm 0.18 1.8 1.98 0.01% arbors Ordinary fruit 1.5.5 3-5 years 3 3 0.01% trees Planning and design 2 41.669029 44.067738 422.21635 2.043327 1.143472 1.021735 1.19757 0.75174 2.440625 514.11096 2.03% costs Surveying and design 2.1 15.152374 16.024632 153.533218 0.743028 0.415808 0.37154 0.43548 0.27336 0.8875 186.94944 0.74% costs 2.2 M&E costs 26.5166545 28.043106 268.6831315 1.300299 0.727664 0.650195 0.76209 0.47838 1.553125 327.16152 1.29% 3 Training costs 15.152374 16.024632 153.53322 0.743028 0.415808 0.37154 0.43548 0.27336 0.8875 186.94944 0.74% 4 LA taxes and fees 1042.4356 975.7768 11668.2616 57.6542 14.3216 8.197046 6.3772 10.1008 74.044 13783.12485 54.31% 4.1 Farmland occupation tax 164.432 6.496 1689.36 1.664 1861.952 7.34% 4.2 Land reclamation fees 89.070759 3.518802 915.105195 0.901368 1008.596124 3.97% Compensation for 4.3 additional construction 95.915241 3.789198 985.424805 9.333 0.970632 0.578646 1096.011522 4.32% land 4.4 LA social security fees 693.0176 961.9728 8078.3716 48.3212 10.7856 7.6184 6.3772 10.1008 74.044 9816.5652 38.68% Subtotal of Items 1~4 1856.876 1837.101 19920.672 97.592 36.671 28.167 29.784 24.794 121.747 23831.657 93.90% 5 Contingencies 125.397 134.244 1271.442 5.865 3.120 2.705 3.136 2.052 7.455 1547.962 6.10% 6 Total 1982.2726 1971.3444 21192.114 103.457 39.791264 30.872765 32.920222 26.846188 129.20213 25379.619 100%

Table 8-2 Abbreviated Resettlement Budget by outputs

Resettlement Output Component Township budget(Yuan) 1.1 Institutional support XCG; ARB / 1.2 Asset management XCG / 1.3 Community-based environment management, and knowledge sharing XCG / through publications and seminars Output 1: Institutional capacity of XCG 1.4 Institutional capacity building for flood mitigation WCB, EMB / developed

Shengwan Town、Laocheng Town、 1.5 Rural eco-tourism: Xichuan county rural infrastructure construction Shangji Town、Cangfang Town、 18,760,490 project Madeng Town

2.1.1 Smart irrigation system All 15 townships / Houpo Town、Jiuchong Town、 2.1 Forestry and fruit Madeng Town、Xianghua Town、 farming development project 2.1.2 Xichuan County fruit preservation project Shangji Town、Jinhe Town、Maotang / Xiang、Xihuang Xiang、Siwan Town、Jingziguan Town

2.2.1 Small watershed and soil erosion protection 2.2 Soil erosion Output 2: Soil and water demonstration of Shiban River in Xipingtou Shangji Town / mitigation conservation practices Village improved

2.3.1 Danjiang River (Hubei-Henan segment) Jingziguan Town、Siwan Town 31,818,450 flood control 2.3 River training and

flash-flood risk 2.3.2 Integrated management in Xi River Shangji Town 130,610,450 management 2.3.3 Xichuan County Dongfeng Canal Shangji Town, Longcheng / / reconstruction Shangsheng Sub-districts

Shangji Town、Jinhe Town、 Output 3: Rural water 3.1 Rural wastewater 3.1.1 Xichuan County rural sewage system Xianghua Town、Jiuchong Town、 14,375,450 services improved management construction and improvement demonstration Houpo Town

Resettlement Output Component Township budget(Yuan)

Houpo Town /

3.2 Rural solid waste management Shangji Town 19,009,450

Madeng Town、Madeng Town、 3.3 Danjiangkou Reservoir urban-rural water supply Shangji Town、Madeng and Shangji 23,973,450 Towns 3.4 Xichuan County Construction Project of Drainage and Waterlogging Shangji and Chengguan Towns 15,248,450 Prevention Facilities

112. Note for reference information on LURT rentals: In fruit preservation storehouse construction, 53 fruit preservation storehouses will be built around existing fruit plantations in Xichuan County, with a total area of 384 mu through voluntary LURT. The rental rate for LURT is 800 yuan/mu, and the total amount of rent is 307,200 yuan/year. LURT rental fees are paid directly by the warehouse owners/contractors to the farmers/collectives, and are not included in the resettlement budget. See Table 8-3 for rental rate for reference purpuse. Table 8-3 Summary of LURT annual fees Rental rate Total rents Township Unit Scope of construction (yuan) (yuan) Construction of 9 fruit preservation storehouses Cangfang Town mu 800 11200 on transferred land, occupying 14 mu Construction of 12 fruit preservation Houpo Town mu 800 storehouses on transferred land, occupying 38 30400 mu Construction of 9 fruit preservation storehouses Jiuchong Town mu 800 150400 on transferred land, occupying 188 mu Construction of 6 fruit preservation storehouses Madeng Town mu 800 8000 on transferred land, occupying 10 mu Construction of 3 fruit preservation storehouses Shengwan Town mu 800 5600 on transferred land, occupying 7 mu Construction of 3 fruit preservation storehouses Taohe Xiang mu 800 13600 on transferred land, occupying 17 mu Construction of 9 fruit preservation storehouses Xianghua Town mu 800 14400 on transferred land, occupying 18 mu Construction of 11 fruit preservation Shangji Town mu 800 storehouses on transferred land, occupying 50 40000 mu Construction of 6 fruit preservation storehouses Jinhe Town mu 800 6400 on transferred land, occupying 8 mu Construction of 5 fruit preservation storehouses Maotang Xiang mu 800 4000 on transferred land, occupying 5 mu Construction of 3 fruit preservation storehouses Xihuang Xiang mu 800 3200 on transferred land, occupying 4 mu Construction of 3 fruit preservation storehouses Siwan Town mu 800 4800 on transferred land, occupying 6 mu Construction of 3 fruit preservation storehouses Zijingguan Town mu 800 1600 on transferred land, occupying 2 mu Construction of 6 fruit preservation storehouses Laocheng Town mu 800 8000 on transferred land, occupying 10 mu Construction of 5 fruit preservation storehouses Dashiqiao Xiang mu 800 5600 on transferred land, occupying 7 mu Construction of 53 fruit preservation Total storehouses on transferred land, occupying 384 307200 mu

9 Resettlement Implementation Schedule 9.1 Resettlement Implementation Schedule 113. The general resettlement schedule of the Project has been drafted based on the progress of project construction, LA and implementation. The exact implementation schedule may be adjusted subject to the overall project progress. See Table 9-1. Table 9-1 Resettlement Implementation Schedule No. Task Target Agencies in charge Time Remarks 1 Information disclosure RIB Affected townships 1.1 Xichuan PMO, IAs 2020.10 and villages 1.2 Disclosure of the RP on ADB’s Xichuan PMO, ADB 2020.10 website 2 RP update and resettlement budget approval DMS and pre-signing of land New land Affected townships IAs, township governments, 2.1 acquisition agreement 2021.1 law and villages village committees Requireme nt Updating the RP based on the Affected townships 2.2 IAs, Xichuan PMO 2021.3 DMS and villages 253.79619 million 2.3 Updated RP budget approval XCG, Xichuan PMO 2021.6 (compensation rates) yuan New land PMO, project implementing law 2.4 Social Stability Risk Study Affected persons 2021.3-6 agency Requireme nt 3 LA announcement Disclosing the updated RP Affected townships Township governments, 3.1 2021.6 and villages Xichuan PMO Releasing the LA announcement Affected townships 3.2 Township governments 2021.5.31 and villages 4 Compensation agreement Entering into LA compensation Affected townships Township governments, 2021.7 4.1 agreements and paying — and villages village committees 2023.12 compensation 5 Livelihood restoration measures Payment of compensation for 2021.6 5.1 AHs IAs, township governments — young crops and attachments 2023.12 Implementation of restoration 2021.6 5.2 Affected villages Township governments — programs 2024.12 Implementation of training County labor and social 2021.6 5.3 Affected villages — program security bureau 2024.12 Xichuan PMO, labor and Hiring APs under the Project 2021.6 5.4 Affected villages social security bureau, — 2024.12 contractor 6 Capacity building of resettlement agencies 6.1 Training of Xichuan PMO staff 17 person-times Xichuan PMO Ongoing Training of township 6.2 90 person-times Xichuan PMO Ongoing resettlement office staff 7 M&E Establishing an internal 7.1 As per the RP Xichuan PMO Ongoing monitoring mechanism 7.2 Internal monitoring reporting Semiannual Xichuan PMO Ongoing Appointing an external M&E 7.3 One Xichuan PMO 2021.10 agency Baseline survey Affected townships 7.4 External M&E agency 2021.11 and villages

External monitoring reporting 1st report 2021.12 (incl. baseline survey) 2022.6 2nd report 2022.12 3rd report 7.5 Semiannual External M&E agency 2023.6 4rd report 2023.12 5th report 2024.6 6th report 2024.12 7th report 2025.6 8th report 2025.12 9th report 2026.6 10th report 7.6 Completion report Xichuan PMO 2026.12 8 Public consultation IAs Ongoing 9 Grievance redress IAs Ongoing 10 Disbursement of compensation fees - To IAs 2021.6 10.1 Initial funds XCG — 2025.6 - To township governments 2021.6 10.2 Initial funds IAs — 2025.6 - To AHs 2021.6 10.3 Initial funds Township governments — 2025.6 11 Commencement of civil construction 11.1 The Project IAs 2021.12

10 Monitoring and Evaluation 114. In order to ensure the successful implementation of the RP and realize the objectives of resettlement properly, LAR activities of the Project will be monitored and evaluated periodically by following ADB’s resettlement policy, including internal and external monitoring. 10.1 Internal Monitoring 115. Internal monitoring will be conducted by the Xichuan PMO, IAs, and other county authorities concerned. The PMO will develop a detailed internal monitoring plan for LAR (including TLO) and LURT , including: ⚫ Investigation, coordination and suggestion on key issues of the resettlement and implementing agencies during implementation; ⚫ Restoration of APs’ livelihood after LAR; ⚫ Resettlement and income restoration of vulnerable groups; ⚫ Information disclosure and public participation; ⚫ Disbursement, payment, use and availability of compensation fees for LAR; ⚫ Implementation of LURT Framework; ⚫ Resettlement training and its effectiveness; and ⚫ Establishment, staff training and working efficiency of resettlement management agencies. 116. The Xichuan PMO will submit an internal monitoring report to ADB semiannually together with the progress reports, reflecting the progress of LAR and use of compensation fees through comparison. 10.2 External Monitoring 117. According to ADB’s policies, the PMO will employ a qualified and experienced external agency for external resettlement monitoring and evaluation (M&E). The external M&E agency will conduct follow-up M&E of resettlement activities (including LURT and TLO) periodically, monitor resettlement progress, quality and funding, and give advice. It shall also conduct follow-up monitoring of the APs’ production level and standard of living, and submit M&E reports to the PMO and ADB. 10.2.1 Scope and Methods 118. Baseline survey. The external M&E agency will conduct a baseline survey on the villages affected by LA to obtain baseline data on the sample APs’ production level and living standard. The production level and living standard survey will be conducted annually to track variations of the APs’ production level and living standard. This survey will be conducted using such methods as panel survey (sample size: 10-20% of households affected by LA and 100% of households affected by HD, to be sampled randomly), random interview and field observation to acquire necessary information. A statistical analysis and an evaluation will be made on this basis. 119. Periodic M&E during the implementation of the RP. The external M&E agency will conduct periodic follow-up resettlement monitoring semiannually of the following activities by means of field observation, panel survey and random interview on: ⚫ Payment and amount of compensation fees; ⚫ Training; ⚫ Support for vulnerable groups; ⚫ Restoration of infrastructure and special facilities, if any; ⚫ Production resettlement and restoration; ⚫ Construction and allocation of resettlement houses, if any; ⚫ Compensation for lost properties; ⚫ Timetables of the above activities (applicable at any time); ⚫ Resettlement organization; ⚫ Income growth of labor through employment; ⚫ Public participation and GRM; and ⚫ If APs have benefited and/or satisfied from the Project 120. Public consultation. The external M&E agency will attend selected public consultation

meetings held during resettlement implementation to evaluate the effectiveness of public participation. 10.2.2 Reporting 121. The external M&E agency will submit a monitoring or evaluation report to ADB and the PMO semiannually. See Table 10-1. Table 10-1 M&E Schedule Report Date Remarks Baseline socioeconomic survey To be included in the 1st 1 2021.12 report monitoring report Including the baseline 2021.12 2 M&E report (No.1) survey report 3 M&E report (No.2) 2022.6 4 M&E report (No.3) 2022.12 5 M&E report (No.4) 2023.6 6 M&E report (No.5) 2023.12 7 M&E report (No.6) 2024.6 8 M&E report (No.7) 2024.12 9 M&E report (No.8) 2025.6 10 M&E report (No.9) 2025.12 11 M&E report (No.10) 2026.6

10.3 Resettlement Completion Report 122. After project implementation, the outcome of the resettlement plan and activities will be evaluated in the Resettlement Completion Report. Successful experience and lessons of LAR will be evaluated to provide experience for future projects. The the Resettlement Completion Report is expected to be completed by the end of 2026.

Appendix 1:Resettlement Information Booklet(RIB) – To be finalized after ADB approval of the RP

1. Basic information of the Project 1. The Xichuan people have made great efforts for the South-to-North Water Diversion Project, but there are still many problems in river flood protection, environmental protection, urban and rural water supply, rural living environment improvement, forest and fruit development, rural tourism development, etc. here. In order to address such issues, XCG plans to implement the Project using an ADB loan and counterpart funds. 2. The Project will have three outputs ,involves two sub-districts, 12 components, 14 towns in Xichuan County, Nanyang City. The Project will be implemented from June 2021 to December 2025. 3. Output 1: Institutional capacity of XCG developed. This output will include: (i) institutional support and capacity building program for eco-compensation and agricultural marketization reform; (ii) organization capacity building and assessment management; (iii) community-based environment management and awareness raising; (iv) institutional capacity development for flash flood mitigation, including (a) enhancing existing river flood monitoring system, (b) strengthening localized early warning system, and (c) increasing disaster response capacity; and (v) rural eco- tourism development to improve living conditions and promote tourism. In addition, general capacity building and consulting services will be provided for project startup, implementation, project management, external monitoring and evaluation. 4. Output 2: Soil and water conservation practices improved. This output will implement (i) forestry and fruit farming development, including (a) smart irrigation system comprising the provision of irrigation and ancillary facilities, construction of peripheral rainfall harvest system and automated fertilizer mixture in drip irrigation system, (b) fruit preservation including construction of fruit fresh-keeping storehouses and installation of ancillary facilities; (ii) soil erosion mitigation, including a demonstration project in Xipingtou village adjacent to Shiban River for soil erosion protection practices; (iii) river training and integrated flash-flood risk management including (a) integrated river management in Danjiang Henan-Hubei section and Xi River, and (b) Dongfeng canal reconstruction. 5. Output 3: Rural water services implemented. This output will implement (i) rural wastewater management including rural sewage system construction and improvement; (ii) rural solid waste management including food waste and municipal sludge collaborative treatment center; (iii) water supply for urban and rural areas including water intake, treatment, transmission and distribution; and (iv) general improvement of drainage system and waterlogging prevention capacity of the county including improvement of road drainage, reconstruction of low-lying flood prone areas, sewage interception, and desilting and restoration of rivers. 2. Resettlement agencies The agencies responsible for LA and HD in the Project are: ➢ Township (sub-district) resettlement offices ➢ Xichuan PMO ➢ Xichuan County Construction Bureau ➢ Xichuan County Natural Resources Bureau ➢ Xichuan County Housing Administration Bureau ➢ Xichuan County Water Resources Bureau ➢ Township (sub-district) resettlement offices ➢ Affected township governments ➢ Affected village committees ➢ Design agency ➢ External M&E agency ➢ Other agencies concerned: women’s federation, labor and social security bureau 3. Policy framework and compensation rates

6. The resettlement policies of the Project have been developed in accordance with the laws and regulations of the PRC and Henan Province, and ADB’s Safeguard Policy Statement (2009). The compensation rates and livelihood restoration measures in this RP will be followed up during resettlement, updated based on the DMS results if necessary, and submitted to ADB for review and approval before the award of the civil works contract. 3.1 Laws and Regulations in National level 1) Urban and Rural Planning Law of the PRC (April 23, 2019) 2) Land Administration Law of the PRC (January 1, 2020) 3) Administrative Regulations on Urban Blue Lines (Decree No.145 of the Ministry of Construction) 4) Administrative Measures for the Transfer of Rural Land Management Rights (Draft for Comment,2019) 5) Notice of the Ministry of Natural Resources on Issues Concerning Facility Agricultural Land Management (MNR [2019] No.4) 6) Notice of the Ministry of Finance, the Ministry of Land and Resources, and the People’s Bank of China on Adjusting the Policy on Fees for Compensated Use of New Construction Land (CZ [2006] No.48), etc. 3.2 Laws and Regulations in Henan 1) Guidelines of the General Office of the Henan Provincial CPC Committee on Preparing the New Countryside Construction Plan 2) Notice of the Henan Provincial Government on Adjusting Composite Location-based Land Prices for Land Acquisition of Henan Province (YPG [2016] No.48) 3) Notice of the Henan Provincial Government on Location-based Composite Land Prices for Farmland Acquisition (HPG [2020] No.16) 4) Guidelines of the Henan Provincial Government on Further Regulating Rural Residential House Construction(YPG [2015] No.51) 5) Notice of the Henan Provincial Civil Affairs Department on Conducting Minimum Living Security for Urban and Rural Residents, and Rural Five Guarantees Properly in 2013 (HPCAD [2013] No.65) 6) Measures of Henan Province for the Management of Employment Subsidies (YCS [2018] No.8) 7) Measures of Henan Province for the Management of Employment and Startup Training (YRSB [2018] No.46) 8) Notice of the Henan Provincial Government on Adjusting Composite Location-based Land Prices for Land Acquisition of Henan Province (YPG [2016] No.48) 9) Special Regulation Plan of Henan Province for Land Acquisition and House Demolition Problems (YPGO [2014] No.110) 10) Some Provisions of Henan Provinces on the Implementation of the Regulations on House Expropriation and Compensation on State-owned Land (HPG [2016] No.39) 11) Notice of the General Office of the Henan Provincial Government on Further Regulating House Expropriation and Demolition (HPGO [2016] No.5) 12) Guidelines of the Henan Provincial Government on Releasing on the Cancellation and Adjustment of Charging Items (HPG [2008] No.52) 13) Notice of the Nayang Municipal Government on Adjusting Compensation Rates for Young Crops and Attachments on Land Acquired for National Construction (NMG [2018] No.14) 14) Notice of the Office of the People’s Government of Henan Province on the Measures of Social Security Work for Land-expropriated Farmers (Yurenshe [2019] No.1 and 2) 3.3 ADB Policy 7. Affected person means the population affected by relocation (house demolition, loss of residential land, home or shelter) or economically (loss of land, assets, access to assets, income sources or livelihoods) due to: 1) the involuntary acquisition of land; or 2) the involuntary restriction on land use or access to statutory parks and reserves. ADB’s policy on involuntary resettlement has three key elements: (1) compensation for lost properties, livelihoods and income; (2) assistance in resettlement, including the provision of a resettlement site, and appropriate facilities

and services; and (3) assistance for restoration, as a minimum, to the standard of living in the absence of the project. Table 1 shows the principles of resettlement stipulated as ADB policy. Table1 Principles for Resettlement Principles 1 Involuntary resettlement should be avoided where feasible. The APs are granted compensation and rights that can at least maintain or even improve their 2 livelihoods in the absence of the project. 3 The APs are given compensation and assistance in resettlement whether legal title is available or not. If the land available to everyone is insufficient to maintain his/her livelihood, replacement in cash or in 4 kind and other income-generating activities are provided for the lost land. The APs fully understand their entitlements, the method and standard of compensation, the livelihood 5 and income restoration plan, and the project schedule, and participate in the implementation of the RP. No forced relocation or economic transformation occurs, until: 1) Compensation at full replacement cost has been paid to each AP; 2) The APs have received the other rights specified in the RP; and 3) 6 Integrated income and livelihood restoration programs have been developed, and appropriate financial support is available to increase or at least restore their income and living standard. Vulnerable groups are provided special assistance or treatment so that they lead a better life, and all 7 APs should have an opportunity to benefit from the project. At least two members of each AH receive skills training, including at least one woman. 8 The resettlement expenses are sufficient to cover all affected aspects. The executing agency and an independent agency / third party should monitor the compensation, 9 relocation and resettlement operations. 3.4 Entitlement Matrix The entitlement matrix has been established in accordance with the applicable policies in this chapter, as shown in Attached Table 1.

Table 2 Entitlement Matrix Type of Degree of impact APs Compensation and resettlement policy Compensation rates impact Permanent 2,309.64 mu of 728 households 1) Cash compensation: all will be paid to AHs as per the Notice of the Henan 1) Compensation rates: LA collective land will be with 2,815 Provincial Government on Adjusting Composite Location-based Land Prices for Varying from township to acquired permanently persons Land Acquisition of Henan Province (YPG [2016] No.48) township, as detailed in Table 2) Employment: Employment services, Social, public welfare and project jobs, 4-3 and small-amount business startup loans will be offered. 2) All compensation shall be 3) Free skills training will be offered to the APs. fully paid before LA. 4) Enjoy the social endowment pension as social security policy (Yurenshe 3) Social endowment insurance [2019] No.1 and 2) . cost included in the budget, which will be administered accordingl to relevant social endowment policy. Temporary 695.18 mu of collective 151 households 1) The compensation for temporary land occupation will be paid to the proprietor 1,500 yuan/mu for cultivated land land will be used with 604 directly based on the occupation period. land and 1,100 yuan/mu for occupation temporarily persons 2) After receiving the compensation, the former proprietor may reserve the rights ordinary farmland to dispose of ground attachments. Tree compensation rates will be The compensation rates for temporary land occupation under the Project are based on actual measurement based on the Notice of the Nanyang Municipal Government on Adjusting and appraisal. See Table 4-6 for Compensation Rates for Young Crops and Attachments on Land Acquired for attachment compensation rates. National Construction (NMG [2018] No.14). Demolition The Project will affect 3 3 enterprises Compensation for LA over the related enterprises (Xiongsheng Ecology Park and For Xiongsheng Ecology park of non- non-residential with 43 persons Chaoyang Driving School) will be made to the villages and related APs involved, and the Dolphin Bay Animation residential properties with a total while compensation for structures and loss of the enterprises where involves will Water World, compensation will properties size of 5,500 m2, be implemented, subject to DMS during the implementation stage. be based on business operating including 4,200 m2 in Demolished non-residential properties are subject to cash compensation or size: frame structure property swap. All the 3 affected enterprises prefer cash compensation. 1) Compensation for losses (76.4%), 1,200 m2 in 2) According to the Measures for House Expropriation on Collective Land, from business suspension: 150 simple structure Compensation and Resettlement in the Downtown of Nanyang City (Trial) (NMG yuan/m2 (21.8%) and a [2018] No.37), the following compensation will be granted: 2) Transition subsidy: 8 yuan/m2 refrigerated storehouse ➢ For Xiongsheng Ecology park and the Dolphin Bay Animation Water World, per month, paid for 3 months at of 100 m2 (1.8%). compensation for losses from business suspension: i) 150 yuan/m2 of a time business operating size,ii) Transition subsidy: 8 yuan/m2 of business size per 3) Moving subsidy: 8 yuan/m2, month, paid for 3 months at a time, iii) Moving subsidy: 8 yuan/m2 of not less than 800 yuan business size, not less than 800 yuan; and iv) the business will be continued during and after the project construction. Work adjustement for workers internally of the enterprises will be conducted so as to avoid any job and income losing for employees.

Type of Degree of impact APs Compensation and resettlement policy Compensation rates impact ➢ Chaoyang Driving school is a temporary ground for driving exercise. It will be relocated before civil construction work commenced with coordination of the IA and local government. ➢ The business of the three enterprises will be continued during and after the project construction. Work adjustement for 43 workers internally of the enterprises will be conducted so as to avoid any job and income losing for employees. Ground Greenhouses, Adult Proprietors Compensation for ground attachments will be paid directly to proprietors at the Tree compensation rates will be attachment trees, Landscape trees, rates specified in this RP. Tree transplanting will be notified 6 months in based on actual measurement Fruit trees, Grounds, advance. In particular, the transplanting of Osmanthus trees should be avoided and appraisal. See Table 4-6 for etc. in summer. attachment compensation rates. Vulnerable 69 vulnerable 15 poor 1) Laborers in vulnerable households will have priority in receiving skills training, / groups households households, 38 taking public welfare jobs and jobs generated by subprojects, and applying for MLS small-amount secured loans. households, 7 2) The project implementation agency cooperates with the social labor and five-guarantee social security departments and the affected township governments to provide households and special assistance to VG as per their needs . 9 disability households Women / Affected women 1) Making at least 30% of unskilled jobs first available to women; 2) Women will / receive relevant information during LAR, and are able to participate in LAR consultation. A special women’s FGD will be held to introduce LAR policies.

4. Grievance redress mechanism  Stage 1: If any right of any AP is infringed on in any aspect of LA, HD and resettlement, he/she may report this to village committee, which should record such appeal and solve it together with the village committee or the AP within two weeks.  Stage 2: If the appellant is dissatisfied with the disposition of Stage 1, he/she may file an appeal to the township government after receiving such disposition, which should make a disposition within two weeks.  Stage 3: If the appellant is still dissatisfied with the disposition of Stage 2, he/she may file an appeal to the IA after receiving such disposition, which should make a disposition within two weeks.  Stage 4: If the appellant is still dissatisfied with the disposition of Stage 3, he/she may file an appeal to the Xichuan PMO within one month after receiving such disposition, which should make a disposition within 4 weeks. 1. At any stage, an AP may bring a suit in a civil court directly in accordance with the Administrative Procedure Law of the PRC. AP may also submit a complaint to ADB, first with the project team and then, if still unsatisfied, to ADB’s accountability mechanism (http://www.adb.org/site/accountability-mechanism/main). 2. All agencies will accept grievances and appeals from the APs for free, and costs so reasonably incurred will be disbursed from contingencies. 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. The above GRM will be communicated to the APs at meetings or/and through the RIB Table 3 Contact Information for Grievance Redress Mechanism

1.2 Disclosure of the RP on ADB’s Xichuan PMO, ADB 2020.9 website 2 RP update and resettlement budget approval DMS and pre-signing of land New land Affected townships Ias, township governments, 2.1 acquisition agreement 2020.12 law and villages village committees Requireme nt Updating the RP based on the Affected townships 2.2 Ias, Xichuan PMO 2021.3 DMS (if necessary) and villages 253.79619 million 2.3 RP and budget approval XCG, Xichuan PMO 2021.6 (compensation rates) yuan New land PMO, project implementing law 2.4 Social Stability Risk Study Affected persons 2021.3-6 agency Requireme nt 3 LA announcement Disclosing the updated RP Affected townships Township governments, 3.1 2021.6 and villages Xichuan PMO Releasing the LA announcement Affected townships 3.2 Township governments 2021.6 and villages 4 Compensation agreement Entering into LA compensation Affected townships Township governments, 2021.7 4.1 agreements and paying — and villages village committees 2023.12 compensation 5 Livelihood restoration measures Payment of compensation for 2021.6 5.1 Ahs Ias, township governments — young crops and attachments 2023.12 Implementation of restoration 2021.6 5.2 Affected villages Township governments — programs 2024.12 Implementation of training County labor and social 2021.6 5.3 Affected villages — program security bureau 2024.12 Xichuan PMO, labor and Hiring Aps under the Project 2021.6 5.4 Affected villages social security bureau, — 2024.12 contractor 6 Capacity building of resettlement agencies 6.1 Training of Xichuan PMO staff 17 men-times Xichuan PMO Ongoing Training of township 6.2 90 men-times Xichuan PMO Ongoing resettlement office staff 7 M&E Establishing an internal 7.1 As per the RP Xichuan PMO monitoring mechanism 7.2 Internal monitoring reporting Semiannual Xichuan PMO Ongoing Appointing an external M&E 7.3 One Xichuan PMO 2021.10 agency Baseline survey Affected townships 7.4 External M&E agency 2021.11 and villages External monitoring reporting 1st report 2021.12 (incl. baseline survey) 2022.6 2nd report 2022.12 3rd report 7.5 Semiannual External M&E agency 2023.6 4rd report 2023.12 5th report 2024.6 6th report 2024.12 7th report 2025.6 8th report 2025.12 9th report 2026.6 10th report

7.6 Completion report Xichuan PMO 2026.12 8 Public consultation Ias Ongoing 9 Grievance redress Ias Ongoing 10 Disbursement of compensation fees - To Ias 2021.6 10.1 Initial funds XCG — 2025.6 - To township governments 2021.6 10.2 Initial funds Ias — 2025.6 - To Ahs 2021.6 10.3 Initial funds Township governments — 2025.6 11 Commencement of civil construction 11.1 The Project Ias 2021.12

6. Power of interpretation As the executing agency of the Project, the Xichuan PMO will reserve the power to interpret this RIB. Thank you for supporting the Project!

Xichuan PMO September 2020

Appendix 2: Resettlement Due Diligence for Existing Facilities Associated with the

Project

8. According to the site survey and aligning with the IEE report, there are three existing facilities associated with the project identified, including: a) Xichuan No.2 Waste Water Treatment Plant (WWTP) through sewage treatment facilities and pipelines in the project components under Output 3; b) Xianghua Wastewater Treatment Plant through pipelines connected with the project components under Output 3; and c) Xichuan County Municipal Domestic Waste Disposal Site. These facilities may link with components under Output 3, regarding waste treatment or disposal.

A. Xichuan No.2 WWTP

1. Overview of the Xichuan No.2 WWTP 9. The Xichuan No.2 WWTP is located in Peigang Village, Houpo Town, 450m northeast of the junction of Industry Avenue and the Qianhe River, with a floor area of 46.787 mu and a gross investment of 60 million yuan, responsible mainly for treating domestic wastewater from Xiangjiuhou Industry Park and Houpo Town centrally, with a design capacity of 15,000 tons/d.The No. 2 WWTP has been operation from December 2017.

Figure A2-1 Layout of Xichuan No.2 WWTP 10. The LAR of Xichuan No.2 WWTP was implemented and completed in 2016. The land certificate was issued on.See Figure A2-2 for the land use certificate.

Figure A2-2 Land Certificate

2. LA impacts 11. 46.787 mu of land was acquired for the Xichuan No.2 WWTP in 2016, affecting 13 households with 49 persons, no house demolition impact, and no vulnerable group or ethnic minority involved. 3. Compensation 12. The Xichuan County Housing Construction Bureau was responsible for the LA work of the Xichuan No.2 WWTP, and the Houpo Town Government and the Peigang Village Committee participated in LA compensation. For the 46.787 mu of land acquired, the LA compensation standard applied was 46,000 yuan/mu; in addition, a social security at rate of 4,290 yuan/mu, and a young crop compensation at rate of 1,500 yuan/mu was also implemented. In total, RMB2.42 million of resettlement cost was paid in 2016. 13. See Figure A2-3 for record of the payment collected from the village.

Figure A2-3 Payment of Young Crop and LA Compensation (sample) 4. Information Disclosure 14. As indicated as the Figure A2-4 and A2-5below, information disclosure was conducted during

the environment impact assessment and LA.

Figure A2-4 Information Disclosure on the Figure A2-5 LA Announcement of the Xichuan Website of XCG No.2 WWTP

15. In addition, according to Houpo township government, extensive communication and coordination with the AHs were carried out during the land acquisition period, and there is no pending issue for the LAR of Xichuan No. 2 WWTP.

B. Xianghua Wastewater Treatment Plant

1. Overview of the Xianghua Wastewater Treatment Plant 16. Xianghua Wastewater Treatment Plant is located at Zhaozhuang Village in Xianghua Town of Xichuan County, which involved 23.693 mu of collective land for treatment plant and access road, involving 5 groups of one village in one town, 11 households. There was no residential house demolition impact within the boundary of the plant. See Figure A2-6 for the layout of the Xianghua Wastewater Treatment Plant.

Figure A2-6 Layout of the Xianghua Wastewater Treatment Station

17. See Table A2-0-1 for the land use details. Table A2-0-1 Summary of Xianghua Wastewater Treatment Plant

Wastewater Location Access Road Total Treatment Plant

Land HH Collective Collective Town Village Group HH AH land (mu) Land (mu) (mu)

3 19.207 5 / / 19.207 5

4 / / 2.13 3 2.13 3 Yangbei / / 2.08 1 2.08 1

Xianghua Zhaozhuang Zhouying 1 / / 0.164 1 0.164 Shangdui Zhouying 1 / / 0.112 1 0.112 Xiadui Total 19.207 5 4.486 6 23.693 11 18. The Land Use Pre-approval, which was issued on March 18, 2014, shows the land using for this project complies with the Land Using General Plan and complies with the National Industrial Planning.

Figure A1-7 Land Use Pre-approval

19. According to the data provided by the IA, the land for Xianghua Wastewater Treatment Plant and access road was obtained through the way of land lease. The land lease negotiation and contracting work was implemented from February to November 2014. According to the signed agreement between Xianghua Township government and the involved village committee, the land lease period is 50 years and the rental/compensation for land lease and attachments were implemented in accordance with the Rural Land Contract Law with the negotiated compensation rate of 900 yuan/mu/year plus compensation for crops and ground attachments. See Figure A2- for a sample of land lease and compensation agreement.

Figure A2-8: A sample of land lease and rental/compensation agreement 20. The related land lease rental/compensation fees were fully paid to the villages involved and then distributed to the participating individuals. The total rental/compensation fee was RMB1.12 million. See Table A 0-2-2 for the rental/compensation details. See Figure A2-for the sample of land lease payment record and receipt and Figure A2-10 for the rental/compensation distribution details to affected individuals. Table A 0-2-2 Summary of Land Lease Payment (Unit: CNY)

Location Land Lease Payment Compensatio

Wastewater n for Yong Subtotal

Township Village Group Treatment Access Road Crops Plant

3 864315 / 46700 911,015.00

4 / 95,850.00 6330 102,180.00

Yangbei / 93,600.00 2080 95,680.00 Zhaozhua Xianghua Zhouying ng / 7,380.00 164 7,544.00 Shangdui Zhouying / 5,040.00 112 5,152.00 Xiadui

Total 864,315.00 201,870.00 55,386.00 1,121,571.00

Figure A2-9: A sample of land lease Figure A2-10 A sample of compensation

compensation payment record and receipt distribution details to affected individuals

21. According to the Xianghua Township Government, the involved HHs supported the construction of the project, and there were no any remaining issues on land use.

C. Xichuan County Municipal Domestic Waste Disposal Site

22. The Xichuan County Urban Domestic Waste Disposal Site is located in Huomei Village, Jinhe Town, Xichuan County. The disposal method is landfill, with a total storage capacity of 149 million cubic meters and the service life of 16 years. The daily disposal of 190 tons of domestic garbage, it meets the needs of the disposal of domestic garbage in Xichuan County. 23. The disposal site occupies 180.242 mu of collective land in Huomei Village, including 71.275 mu of suitable forest land and 108.992 mu of non-cultivated land (including some economic forests and collective timber forests). The land acquisition compensation work was completed on Nov.11, 2005. The compensation standards for land acquisition were: the land compensation fee for suitable forest land was 12,000 yuan/mu, the compensation fee for non-cultivated land was 5,000 yuan/mu, and the total compensation fee for land acquisition was 1,400,260 yuan, which all were paid in Nov. 2005. The LA mainly involved the collective land of Huomei Village, and did not involve the specific persons. See below for the approval of Forest Land Use and the Agreement with the village committee in 2005.

24. According to the implementation unit of Xichuan County Municipal Domestic Waste Disposal Site and the land owner, Huomei village, there were no remaining issues and complaints.

D. Upgrading of Rural Infrastructures and Facilities 25. According to the FSR, there will be civil works to upgrade the rural infrastructures and facilities for subproject 1.5 Rural Eco-Tourism under Output 1. As the FSR DI and Xichuan PMO indicated, the infrastructure improvement will be only for village road upgrading or improvement , therefore, will not involve land acquisition and resettlement . It is also confirmed the civil activities will be restricted in the existing road redlines, and/or using some public area of the rural collective villages, hence, temporary land occupation will be no expected. For appearance improvement, it will be improving the appearance of existing houses owned by rural collectives. The civil activities will not affect current work of the rural collective villages, and/or affect any other people over the facilities. Besides, the subproject will also provide some equipment, such as garbage bins, chairs and other tourism related goods, which will not involve LA issues and will not affect any units and individuals. 26. Below there are the Statements issued by the related township governments and village committees, clarifying there will be no LAR issues in terms of the activities over their areas.

Statement confirmed by the Mogou Village Statement confirmed by the Xiawan Village and and Cangfang Township Government Laocheng Township Government

Statement confirmed by the Qinglong Village Statement confirmed by the Gundi Village and and Madeng Township Government Shangji Township Government

Appendix 3: Due Diligence Report on Land Use Right Transfer (LURT) for the Fruit preservation storehouse construction 1. Background 1. According to the FSR design, 93 fruit preservation storehouses will be built for the component of Xichuan County fruit preservation under Output 2. As the result of consultation and survey, all the storehouses will be built on land through Land Use Right Transfer (LURT). With a total floor area of 255,967.44 m2 or 384 mu, involving all the 14 townships governed by Xichuan County. Of these, 76 storehouses will be constructed on land (342 mu) with completed LURT; and the other 17 will be constructed on land (42 mu) with LURT to be completed in the future. 2. According to the Notice of the Ministry of Natural Resources on Issues Concerning Facility Agricultural Land Management (MNR [2019] No.4), construction of fruit preservation storehouse meets the requirements for protected agriculture land, and does not need to be acquired permanently. 3. According to ADB’s requirement, this due diligence report presents the findings of the due diligence for the 342mu of land with completed LURT. For those LURT to be finalized, a Land Use Rights Transfer Framework has been prepared and included in Appendix 4. Table A3-1 provides the list of the fruit preservation storehouses built and to be built. Table A3-1 Details of Fruit Preservation Storehouses No. Township Village / group Size (m2) # Capacity (t) Storehouses with Completed LURT: 1 Cangfang Town Donggou Group of Liupei Village 583 1 80 Chenzhuang Group of Houjiapo 2 Cangfang Town 693.57 1 80 Village Hezhuang Group of Cangfang 3 Cangfang Town 365.77 1 100 Village 4 Cangfang Town Forest farm of Cangfang Village 559 1 100 5 Cangfang Town Wugou Group of Leishan Village 2379.03 1 100 6 Cangfang Town Ligou Group of Hujiapo Village 1654.8 1 100 7 Houpo Town Group 8 of Sunzhai Village 1695.45 1 100 8 Houpo Town Group 6 of Wangzhai Village 1167.13 1 100 9 Houpo Town Group 4 of Gunzigou Village 6759.99 1 100 10 Houpo Town Huwan Village 1118.77 1 100 11 Houpo Town Group 1 of Houzhai Village 1921.98 1 100 12 Houpo Town Group 8 of Houjie Village 3722.05 1 400 13 Houpo Town Luzu Village 769.27 1 100 14 Houpo Town Mawanggang Village 4058.25 1 120 Zhounan Group of Mawanggang 15 Houpo Town 2444.33 1 400 Village 16 Houpo Town Group 3 of Raoxi Village 493.91 1 100 17 Houpo Town Chaigou Village 898.12 1 100 18 Houpo Town Zhaozhai Village 553.25 1 100 19 Jiuchong Town Wanggang Village 663.35 1 200 20 Jiuchong Town Wanggang Village 489.98 1 100 21 Jiuchong Town Liuxi Group of Zhougang Village 758.89 1 100 22 Jiuchong Town Group 4 of Wudian Village 2315.95 1 100 23 Jiuchong Town Fangang Group of Liuying Village 3566.13 1 100 Haiyunsi Group of Wanglou 24 Jiuchong Town 2825.7 1 100 Village 25 Jiuchong Town Jiuchong Village 106329.97 1 10000 26 Jiuchong Town Group 2 of Zouzhuang Village 3171.7 1 200 27 Jiuchong Town Farm 5466.02 1 600 28 Madeng Town Xiyi Group of Yangying Village 1056.87 1 100 Wushan Group of Yangying 29 Madeng Town 1096.69 1 100 Village

No. Township Village / group Size (m2) # Capacity (t) 30 Madeng Town Yuanjia Agriculture 634.56 1 100 31 Madeng Town Suzhuang (Dongxing Community) 1982.59 1 200 32 Madeng Town Hexi Group of Jinzhuhe Village 749.12 1 60 33 Madeng Town Liwa Group of Beishan Village 1045.8 1 100 34 Shengwan Town Group 7 of Yaoying Village 1416.39 1 100 35 Shengwan Town Yuanping Village 2726.55 1 160 36 Shengwan Town Wafang Village (Yaogang) 799.82 1 160 Wangbei Group of Hugang 37 Xianghua Town 2327.43 1 100 Village 38 Xianghua Town Langou Group of Tumen Village 827.63 1 80 Huangzhuang Group of Tumen 39 Xianghua Town 916.37 1 80 Village 40 Xianghua Town Guogou Group of Tumen Village 1161.63 1 80 Zhangnan Group of Ruanying 41 Xianghua Town 1952.03 1 120 Village 42 Xianghua Town Group 6 of Songxi Village 2416.93 1 160 Hougang Group of Chengang 43 Xianghua Town 450.18 1 100 Village Groups 2 and 3 of Chenzhuang 44 Shangji Town 1206.8 1 160 Village 45 Shangji Town Group 3 of Jiagou Village 2491.4 1 160 46 Shangji Town Caohe Group of Baishiya Village 18216 1 200 47 Shangji Town Daling Group of Zhouling Village 789.3 1 60 Lizhuang Group of Yangying 48 Shangji Town 941.6 1 80 Village 49 Shangji Town Shibei Group of Tangfang Village 2053.1 1 400 Gongjiachi Group of Dongsheng 50 Jinhe Town 1218.7 1 100 Village Gongjing Group of Gongjing 51 Jinhe Town 431 1 80 Village Guogou Group of Songping 52 Jinhe Town 640.2 1 60 Village 53 Jinhe Town Liuzhuang Group of Heishui’an 1034.7 1 100 Village 54 Jinhe Town Weigang Village 364.5 1 60 Xugou Group of Wangwanling 55 Jinhe Town 1412.4 1 120 Village 56 Maotang Xiang Group 9 of Dianzi Village 235.5 1 80 57 Maotang Xiang Group 6 of Donghe Village 1327 1 120 58 Maotang Xiang Group 4 of Laogou Village 1433 1 120 59 Maotang Xiang Group 9 of Miaogou Village 222.2 1 120 60 Maotang Xiang Group 7 of Qiaogou Village 419.4 1 120 61 Xihuang Xiang Yingxi Group of Hebei Village 1618.3 1 100 Jieyuan Group of Wolonggang 62 Xihuang Xiang 486.8 1 60 Village Liuzhuang Group of Shizigou 63 Zijingguan Town 138 1 100 Village 64 Zijingguan Town Sunjiawan Village (forest farm) 363.5 1 100 65 Zijingguan Town Xigou Group of Xiaosigou Village 418.6 1 100 66 Laocheng Town Group 9 of Guanfushan Village 736 1 100 67 Laocheng Town Group 4 of Peiling Village 1961.5 1 100 68 Laocheng Town Group 6 of Peiling Village 1130.2 1 100 69 Laocheng Town Group 4 of Yangdigou Village 620.5 1 100 70 Laocheng Town Group 6 of Yangtian Village 877.4 1 100 71 Laocheng Town Group 14 of Yangjiashan Village 1118.2 1 160 72 Dashiqiao Xiang Laozhangwan Village 919 1 100 73 Dashiqiao Xiang Group 4 of Jingbaling Village 663.5 1 100

No. Township Village / group Size (m2) # Capacity (t) 74 Dashiqiao Xiang Group 1 of Guojiaqu Village 831.5 1 120 75 Dashiqiao Xiang Xiling Village 1249.6 1 120 76 Dashiqiao Xiang Yaojiawan Village 1314 1 120 227869.35 m2 Subtotal (completed LURT) 76 19500 342 mu Storehouses with LURT to be completed: 77 Cangfang Town Nanpo Group of Houjiapo Village 415 1 80 Shuangmiao Group of Leishan 78 Cangfang Town 557.19 1 100 Village 79 Cangfang Town Shiqiao Group of Leishan Village 2001.29 1 80 80 Taohe Xiang Group 2 of Jiyan Village 6242.26 1 120 81 Taohe Xiang Group 2 of Dashan Village 2788.54 1 120 82 Taohe Xiang Yanlou Village 2212.18 1 120 Wangshang Group of 83 Xianghua Town 1429.68 1 160 Beiwangying Village 84 Xianghua Town Beigou Group of Xigang Village 826.85 1 60 85 Shangji Town Jijia Group of Beigang Village 2508.7 1 100 Sunwan Group of Sanguanya 86 Shangji Town 910.9 1 80 Village Wangguangou Group of Baishiya 87 Shangji Town 1842.8 1 120 Village 88 Shangji Town Group 5 of Liangwa Village 913.8 1 80 89 Shangji Town Group 6 of Donggou Village 768.9 1 60 Shenggou Group of Maozhuang 90 Xihuang Xiang 490 1 100 Village 91 Siwan Town Group 1 of Qianying Village 1161.6 1 100 92 Siwan Town Group 18 of Xiying Village 1839.6 1 100 93 Siwan Town Group 3 of Shuitianyu Village 1188.8 1 100 28098.09 m2 Subtotal (LURT to be completed) 17 1680 42 mu Total 384 mu 93 21180 Source: Xichuan Agriculture and Rural Affairs Bureau

2. Review of Completed LURTs 4. The basic due diligence information for completed LURT is as follows: ⚫ Term: according to the representatives of village committees and the LURT contract reviewed, the contract period is different, varying from 5 to 30 years; ⚫ LURT rental rate: not less than 800 yuan/mu per annum, to be increased annually based on market conditions; ⚫ Rental payment time: The land rent for each year is usually paid within 5 working days before Cold Dew in the lunar calendar. ⚫ Mode of rental payment: bank account transfer ⚫ Protection of farmers’ rights and interests: The transferee (company or IA) will hire transferors (farmers) with priority to work under the same conditions if necessary. ⚫ Land reclamation: After the expiry of the LURT agreement, the transferee will demolish ground buildings and attachments on the LURT land, and transfer its assets (to transferors with priority under the same conditions). 5. Under the coordination of township government, the company negotiated and signed contracts with the village committees which represented the members of villages. The village committee collected information and requested villagers who were willing to join the LURT. Figure A3-1 provides a sample of LURT contract signed in 2016 for reference, where it included the thumbs confirmation of villagers participated.

Figure A3-1 LURT Contract of Jiuchong Village, Jiuchong Town

6. The township government provides oversights on the process of LURT and intervene where necessary, for example addressing any complaints and disputes reported by village committees. Costs of Completed LURT 7. The rental standard under the LURT agreements signed was 800 yuan/mu, and the payment of LURT is paid by the company to the village committee account, and the village committee pays the rental fee to individual household through bank account provided. 8. According to the result of consultation, there is no pending issue regarding completed LURT so far.

Appendix 4: Land Use Right Transfer (LURT) Framework for the Fruit preservation storehouse construction 1. Project background 1. According to the project implementation plan, the component of fruit fresh-keeping storehouse construction in Output 2 will involve LURT / land lease. In this component, 93 fruit preservation storehouses will be constructed, in which 76 will be constructed on land (342 mu) with completed LURT, and the other 17 on land (42 mu) with LURT to be completed. Appendix 3 provides information on LURT that have been completed. This LURT framework is for LURT to be finalized in the future. See Tables A3-1 of Appendix 3 for the detail of the LURT list (both completed and to be completed). In order that the LURT complies with the applicable laws and regulations of the PRC, and ADB good practices on voluntary land use agreements, the EA has prepared this LURT framework with the assistance of the consultants. 2. Objective and main principles of LURT to be completed 2. LURT of 42 mu of land for fruit fresh-keeping storehouse construction in Output 2 will be completed in the future. The following are reasons for obtaining land use rights through LURT: ◼ The land used for fruit fresh-keeping storehouse construction meets the requirements for protected agriculture land, and does not have to be acquired permanently. The land use right will be transferred in accordance with the Land Administration Law of the PRC, and the Notice of the Ministry of Natural Resources on Issues Concerning Facility Agricultural Land Management (MNR [2019] No.4). ◼ The PRC government is implementing land reform to minimize the scope of LA and encourage the implementation of non-engineering construction projects by LURT; and ◼ Farmers prefer leasing their land to users while maintaining the contract right of land so that they have more options in the future. 3. LURT refers to the transfer of the contract management rights (rights to use) to any other household or economic organization, while the contract rights is kept by farmers. According to the Administrative Measures for the Transfer of Rural Land Contract Management Rights (Decree No.47 of the Ministry of Agriculture), land will be leased from farmers and land use rights obtained for the Project on an equal, lawful, voluntary and compensated basis. No organization or individual should force the farmer to transfer its contracted land or prevent it from doing so. All consultations on LURT should comply with the administrative measures and procedures specified in this LURT framework. A consultation failure will not lead to LA or any restriction on land use. The external M&E agency will record the LURT consultation and resettlement process. Any dispute arising from the transfer of rural land contract management rights should be settled by both parties through consultation according to law. If such consultation fails, an application for mediation by the village committee or township government may be filed. If both parties do not accept consultation or such mediation fails, they may apply for arbitration with the rural land contracting arbitration agency or file a suit in a people’s court directly. 4. Land will be returned to the farmer after the transfer period expiries according to law or the contract. The farmer has the right to terminate the land transfer contract according to law or the contract. In this case, the land leased for the Project will be restored to the original condition. 5. The LURT key principles are summarized as follows: ◼ Equality, voluntariness, legal procedure, and fair compensation. Equality means both parties have equal legal status. Voluntariness means the transfer of land contracting management right must be completely voluntary for both parties, and neither party shall force the other party to transfer or accept land use right. Legal procedure means that land use rights transfer must be concluded per legal procedure with legal agreement. Fair

compensation means the rental of leased land shall be provided at the negotiated market price. ◼ Unchanged ownership and agricultural use of transferred land. Land use rights transfer means transferring use right, not ownership, therefore ownership of transferred land shall remain unchanged. Yet future users of transferred land shall not change the agricultural land use nature, i.e., shall not convert transferred land for non-agricultural uses. ◼ Government’s direction and administration. The agriculture department of the county government shall direct and administrate the legal transfer of rural land. ◼ Conflict resolution through GRM. The grievance redress mechanism of the PMO shall be used to resolve grievances and conflicts, if any. ◼ The relevant administrative measures and procedures laid out in this framework will be followed for all LURT negotiations, and a negotiation failure will not result in the acquisition of land or any restriction on land use. The external M&E agency will document review the negotiation and agreement process for LURT. 3. Legal and policy framework for LURT 6. The Project must comply with the PRC Rural Land Contract Law and Rural Land Management Right Transfer Management Method, other relevant policies of Henan Province and local governments, and ADB good practices on voluntary land use agreements. Key laws and policies are as follows: 1) Rural Land Contracting Law of the PRC—no change of collective ownership; no change of agricultural land use (not allowed to convert farmland into construction land for establishment of permanent structures) 2) Administrative Measures for Rural Land Use Rights Transfer, Ministry of Agriculture of PRC, relevant regulations of Henan Province and the PMO: ⚫ Land use rights transfer duration must be within the land contract period; ⚫ Negotiated agreements between transferor and transferee; ⚫ Land use rights transfer per legal procedures; ⚫ Standard contract (with endorsement by a third party). ⚫ The township agricultural station will sign a contract if necessary. 3) Notice of the Ministry of Natural Resources on Issues Concerning Facility Agricultural Land Management (MNR [2019] No.4) ⚫ Ordinary cultivated land may be used for protected agriculture. ⚫ Land that is no longer used for protected agriculture must be restored to the original use. ⚫ The amount of land used for protected agriculture will be determined by the provincial natural resources department together with the agriculture and rural affairs department based on the production scale and the construction standard rationally. 4) PRC Law on the Mediation and Arbitration of Rural Land Contract Disputes, and relevant implementation methods of Henan provincial and Project county governments – mediation and arbitration of disputes per a bottom-up Grievance Redress Mechanism (GRM). 5) ADB good practices on voluntary land use – meaningful consultations; negotiated agreements; establishment and functioning of a GRM; record-keeping; and; external monitoring. 7. In addition, the best practices in the project area also have good applications for the LURT under the project, such practices include: ⚫ Land use rights transfer period of 5-10 years, within the land contraction period of 30 years;

⚫ Land use rights transfer rate (or land rental rate) calculated in equivalent output value of grain (wheat and corn); this protects transferees from price fluctuations; ⚫ Endorsement of land use rights transfer contract by relevant authority. 4. Legal Procedures of Land use rights transfer 8. Legal procedures are as follows (also Figure 1 below): 1) Information collection. Farmers with intention to transfer land use right present the details of the land, like location, area, usage, and reference price to village committee, which will then report to the township agricultural station via village committees. They can also entrust the contracted or intermediary organizations to transfer their land, and the letter of attorney will be issued by land transferee, illustrating the entrusted matters, authority and deadlines, etc., with the signature of the principal. 2) Information disclosure. Township agricultural station, after collecting data, will sort out information about land use rights transfer of different villages and establish a database. The sorted information will be disclosed timely by means of network, radio, newspapers, board, electronic display, and etc. The township station will also report to the county agricultural bureau for updating land use rights transfer databases. 3) Negotiation between transferor and transferee. With the arrangement of township agricultural station, both sides negotiate about the land use rights transfer conditions and rental price based on the principle of equality, voluntariness and mutual benefiting. Normally, aligning within the villagers, the village committees may represent the villagers to negotiate with the transferees. 4) Signing land use rights transfer contract. When both parties agree on conditions and price, township agricultural station provides 4-5 copies of a standard contract (the fifth copy for endorsement), for both parties to sign. The contracts will be signed by the village committees, and may be counter-confirmed by all involved HHs. 5) Endorsing land use rights transfer contract. the township agricultural station endorses/validates the contract. 6) Registration for land use rights transfer. Township agricultural station registers the land use rights transfer information timely and exactly, and submits the relevant materials to the county agriculture bureau for documentation. 7) Documentation. County agricultural bureau documents all relevant materials for land use rights transferred. The PMO can acquire the documentation from agricultural bureaus. 8) Negotiation failure will not result in the acquisition of land or any restriction on land use. The external M&E agency will document/review the negotiation and agreement process for land transfer. 9) Supervising contract implementation. Both parties should perform the contract positively, and township agricultural station supervises the contract execution. In case of conflicts or disputes, the township station will timely report to the county station, and the latter will inform the PMO synchronously. 5. Institutional Arrangements and Responsibilities 9. According to relevant laws and regulations, the county agricultural bureau and township agricultural stations should manage and guide rural land use rights transfer in their administrative areas. （1） Responsibilities of the county agricultural bureau ◼ Publicity on rural land use rights transfer policies; ◼ Directing the land use rights transfer legally and orderly; ◼ Guiding disputes for arbitration and resolution; ◼ Strengthening and standardizing rural land use rights transfer; and

◼ Putting forward solutions to problems in land use rights transfer, and develop a new mechanism for land use rights transfer. （2） Responsibilities of operational sections of the agriculture and rural affairs bureau ◼ Guiding rural land use rights transfer and contracting; ◼ Establishing a service center for land use rights transfer, and establish information network platform, on line trading and/or open trading of land to be transferred; ◼ Accepting, managing and guiding the application from rural land use rights transfer agencies; ◼ Settling disputes; and ◼ Providing consultation services for land use rights transfer policies. （3） Responsibilities of township agricultural station ◼ Information collection, analysis and disclosure, land use rights transfer can be carried out at county or at the township; ◼ Providing a standard contract for parties who have reached agreements on contract conditions and terms, and assisting them to sign contract signing; ◼ Functioning as a third party to endorse the signed contract; ◼ Formulating a system for registering the rural land use rights transfer, and record the relevant information timely and exactly; ◼ Documenting land use rights transfer materials; ◼ Settling disputes about rural land use rights transfer; ◼ Guiding and administrating land use rights transfer legally; ◼ Providing consultancy services. （4） Responsibilities of village committee ◼ information collection and classification on land use rights transfer, to be reported to township agricultural station; ◼ Negotiation and contracting by representing the villagers as requested; and ◼ Assisting townships in settling disputes. （5） Responsibilities of the PMO: ◼ Supervising contract execution; and ◼ Participating in conflict/dispute resolution at county level if not resolved at township level. （6） Responsibilities of the external M&E agency: ◼ Documenting/reviewing the negotiation and settlement processes for land use right transfer and confirming that relevant administrative measures and procedures laid out in this framework are followed for all land transfer negotiations; also confirming that a negotiation failure would not result in the acquisition of land or any restriction on land use

Figure A4-1 Land Use Rights Transfer Flowchart 6. Land Use Rights Transfer Contract 10. The land use rights transfer contract shall include the following clauses: ◼ Names and domiciles of transferor and transferee; ◼ Location, borders, area and quality of the land for transferring; ◼ Dates of beginning and completion; ◼ Mode of transfer; ◼ Land use; ◼ Rights and obligations of two parties; ◼ Land use rights transfer price or price definition mechanism and mode of payment; ◼ Handling of attachments and relevant facilities after expiry of contract; ◼ Liabilities for breach of the contract; ◼ Method of conflict resolution; ◼ Other clauses that both parties think necessary; ◼ Stamps of agencies concerned; and ◼ Date of contract conclusion. 7. Measures to Safeguard Interests of Contract Parties 11. The following measures will be taken to safeguard the interests of contract parties: ◼ In case of severe damage of transferred land due to natural disasters or force majeure during the contract term, both parties can terminate or change the contract through negotiation, and the land shall be returned to the original users for cultivation. When there are specific contract provisions on severe damage of land, the provisions prevail. ◼ Contract agreement regarding policy subsidies to farmers for grain production and production masteries. ◼ Contract endorsement by township, free of charge. ◼ According to the Rural Land Contract Law and the Rural Land Management Right Transfer Management Method of the PRC and other relevant land use rights transfer laws and regulations of Henan Province and Xichuan County, the land use rights transfer

duration shall be negotiated equally by both parties, but within the limit of the rural land contract. ◼ The land use rights transfer rate will be ensured according to land type, feasibility, grade, and condition of referential corps, or even the price of land use rights transfer in nearby villages. Taking farmer’s interest into consideration, both transferor and transferee should set a time to renegotiate land price in case of land use rights transfer for over 5 years. ◼ Relevant administrative measures and procedures laid out in this framework will be followed for all land transfer negotiations. A negotiation failure will not result in the acquisition of land or any restriction on land use. The external M&E agency will review/document on the negotiation and agreement process for land use right transfer. 7. Grievance Redress Mechanism 12. There might be some unexpected issues during and after LURT agreements. The project has set up a transparent and efficient grievance redress mechanism to grievances under the project. Parties can use the project GRM or see mediation/arbitrationaccording to Law of the PRC on the Mediation and Arbitration of Rural Land Contract Disputes.

Appendix 5: LA Impact Analysis Before LA Land to be Acquired Land loss rate Income loss by LA (yuan)

Percapita cultivatedarea (mu)

Percentto per capita net income

Percapita cultivatedarea (mu)

Annualloss

Percentof population (%)

Averageloss per HH

Cultivatedarea (mu) Cultivatedarea (mu)

Percentof HHs(%)

Landrateloss (%)

Percapita loss

Population

HHs

AHs

APs

(%)

Component Town Village (800

yuan/mu)

Beijie 216 907 998 1.1 3 13 2.45 1.1 1.39% 1.43% 0.25% 1960 653.33 150.77 1.24%

Hanwangping 221 928 928 1 2 7 1.57 1 0.90% 0.75% 0.17% 1256 628.00 179.43 1.48%

Longquanguan 310 1302 1562 1.2 5 37 3.84 1.2 1.61% 2.84% 0.25% 3072 614.40 83.03 0.69%

2.3.1 Makan 290 1218 853 0.7 4 15 2.6 0.7 1.38% 1.23% 0.30% 2080 520.00 138.67 1.14% Danjiang Jinziguan Nanjie 271 1138 1252 1.1 1 5 0.32 1.1 0.37% 0.44% 0.03% 256 256.00 51.20 0.42% River (Hubei- Henan Quanzhuang 198 832 832 1 24 107 38.01 0.95 12.12% 12.87% 4.57% 30408 1267.00 284.19 2.35% segment) Xitou 247 1037 1245 1.2 17 89 27.62 1.17 6.88% 8.58% 2.22% 22096 1299.76 248.27 2.05% flood control Yaowangmiao 341 1432 1719 1.2 15 78 22.7 1.18 4.40% 5.45% 1.32% 18160 1210.67 232.82 1.92%

Zhongjie 278 1168 1168 1 2 11 3.66 1 0.72% 0.94% 0.31% 2928 1464.00 266.18 2.20% Siwan 245 1029 1132 1.1 9 34 2.09 1.1 3.67% 3.30% 0.18% 1672 185.78 49.18 0.41% Siwan Xiawan 290 1218 1255 1.03 9 36 1.97 1.03 3.10% 2.96% 0.16% 1576 175.11 43.78 0.36%

Chenjiazhuang 367 1541 1850 1.2 34 159 37.09 1.18 9.26% 10.32% 2.01% 29672 872.71 186.62 1.54%

Danyang 298 1252 1439 1.15 98 358 142.25 1.04 32.89% 28.60% 9.88% 113800 1161.22 317.88 2.62% 2.3.2 Community Integrated Shangji Liangwa 312 1310 1350 1.03 201 790 462.62 0.68 64.42% 60.29% 34.28% 370096 1841.27 468.48 3.87% management in Xi River Liuying 291 1222 1222 1 160 544 213.09 0.83 54.98% 44.51% 17.43% 170472 1065.45 313.37 2.59% Community Shangsheng 198 832 748 0.9 30 129 45.3 0.85 15.15% 15.51% 6.05% 36240 1208.00 280.93 2.32% Community

Before LA Land to be Acquired Land loss rate Income loss by LA (yuan)

Percapita cultivatedarea (mu)

Percentto per capita net income

Percapita cultivatedarea (mu)

Annualloss

Percentof population (%)

Averageloss per HH

Cultivatedarea (mu) Cultivatedarea (mu)

Percentof HHs(%)

Landrateloss (%)

Percapita loss

Population

HHs

AHs

APs

(%)

Component Town Village (800

yuan/mu)

3.1 Rural Jinhe Xiawudian 274 1151 1381 1.2 2 9 1.04 1.2 0.73% 0.78% 0.08% 832 416.00 92.44 0.76% wastewater management Shangji Jiagou 330 1386 1663 1.2 1 4 0.73 1.2 0.30% 0.29% 0.04% 584 584.00 146.00 1.21%

3.2 Xichuan County food waste and municipal Liuzhuang 279 1172 1523 1.3 10 42 34.79 1.27 3.58% 3.58% 2.28% 27832 2783.20 662.67 5.47% Shangji sludge integrated treatment center Zhangying 296 1243 1392 1.12 4 8 17.42 1.11 1.35% 0.64% 1.25% 13936 3484.00 1742.00 14.38%

3.3 Danjiangkou Zhangying 298 1252 1690 1.35 52 157 92.47 1.28 17.45% 12.54% 5.47% 73976 1422.62 471.18 3.89% Reservoir Shangji urban-rural water supply Zhouling 310 1302 1693 1.3 4 15 5.12 1.3 1.29% 1.15% 0.30% 4096 1024.00 273.07 2.25% 3.4 Xichuan County Construction Project of Drainage Chengguan Dongqing 278 1168 1284 1.1 5 17 4.96 1.1 1.80% 1.46% 0.39% 3968 793.60 233.41 1.93% and Waterlogging Prevention Facilities

Appendix 6: Documents on Compensation Rates for Young Crops and Ground Attachments

Compensation rates for scattered trees (fruit trees)

Native fruit forest Tree, wood, Compensation is Transplant chest diameter. Unit. Note. flower species. levied.（yuan） subsidy.(yuan) (Tree age).

Less than 5 cm. Strains. 6 6 1.Compensation for rare trees (Toona 6-10 cm. Strains. 14 12 sinensis, Catalpa bungei, cypress,

11-15 cm . Strains. 36 Pistacia chinensis, tea One-like trees. tree, Guoqian,

11-20 cm . Strains. 48 mulberry) increased by 20% More than 20 2．The compensation Strains. 132 cm. for the valuable trees (non-native) moved in

White strips. Dun. 12 before the land acquisition notification

The eucalyptus is not calculated Shrubs. Dun. 7 tree. according to the age of the trees, but

Purple shame. Dun. 12 appropriately higher than the cost at that

1-2 years. Strains. 12 6 time. No compensation will be made for the 3-5 years. Strains. 60 36 valuable trees (non- Ordinary fruit native) moved in trees. 年 6-8 Strains. 108 48 without authorization after the notification of More than 9 Strains. 312 108 land acquisition.

years. 3. The removal of valuable trees (such as Strain or Kiwis, Year I. 12 6 Osmanthus fragrans, Dun hawthorns, gold Cinnamomum and silver Strain or camphora, etc.) shall be flowers. 2-5 years. 72 36 Dun handled by the property

Strain or owner, and the 6-9 years 312 108 Dun transplant fee shall be subsidized by the More than 10 Strain or 540 180 government. The cost years. Dun of transplanting less than 5cm DBH is 30 1 year. Strains. 12 6 yuan. The transplanting fee of 6-10 cm is 80 2-5 years. Strains. 72 48 yuan, and that of 11-15 Economic. cm is 200 yuan. The 6-8 years. Strains. 180 60 cost of transplanting more than 16 cm is 300 More than 9 Strains. 240 120 yuan. years. 4．If rare and precious trees form mounds, 1-3 years. Dun. 24 6 they shall be calculated according to the piers, 4-7 years. Dun. 72 24 Tea garden. not by the trees. 5. Planting density: 100 More than 8 Dun. 180 60 trees / mu, fruit trees years. (including vines fruit trees) 80 plants / mu, Less than 2 cm. 6 6 shrubs 330 beads / mu. 50% compensation at 3-4 cm. 18 12 the compensation standard for exceeding Green tree 5-10 cm. 120 60 species. 20% of the density, and compensation per 11-14 cm. 312 120 seedling per perm for exceeding the density More than 15 360 180 by 2 times the percent. density. Square 6. Planting density: Bamboo. 12-24 6 meters. trees 100 plants / mu, fruit trees (including

The maximum vines) 80 plants / mu, number of years Square shrubs 330 beads / mu. Nursery. 14 of nursery is meters. If the density exceeds three years.

Square 20%, the compensation Yellow ginger. 15 meters. shall be 50% of the compensation standard, Square Gastrodia elata. 48 and if the density is meters. more than twice, it shall be compensated Square Hussan. 27 according to the meters. seedling girth

Square Dragon's beard. 12 meters.

Lansie. Point. 12

Square Prunella. 18 meters.

Compensation rates for ground buildings and structures

The name Compensation Category. of the Unit. Specifications. standard Note. attachment. (yuan) 240 brick wall, wood sandalwood strip bearing, small green tile or machine- made tile roof, wooden doors and windows, internal and Square Bricks and 432 external walls, plastering meters. wood first class. layer height below 3.5 m, above 2.4 m, local putty, water and electricity facilities Housing. Tile room. in place.

180 brick wall, wood sandalwood strip bearing. Cement tile or asbestos tile Square Brick and wood 444 roof, wooden door and meters. second class. window wall plastering, floor height less than 3.5 meters, more than 2.4 meters, water

and electricity facilities in place.

240 thick adobe wall, sandalwood strip, small 10,000 Civil 432 green tile or machine-made meters. Engineering 3 tile roof, complete doors and windows. Square The eaves height of the 108 meters. house is less than 2m. Simple shed. Square To support with bricks or 60 meters. sticks Square Civil structure. 369 Shi blank, tile top meters. 240 brick and tile, wooden roof frame, wood sandalwood strip bearing, small green tile or machine- made tile roof, internal wall Square Brick Cambodia and ceiling putty, wooden 576 meters. first class. doors and windows, internal and external wall plastering layer height less than 4 meters, eaves height above 2.9 meters, water and Cottage. electricity facilities in place. 120 or 240 brick wall, wooden frame, wood sandalwood strip bearing, small green tile or machine- made tile roof, wooden doors Square Brick and wood and windows. The internal 480 meters. second class. and external walls are plastered, the floor height is less than 3.5m, and more than 2.9m, and the water and electricity facilities are in place.

120 brick wall, wooden house frame, wooden sandalwood strip, small green tile or machine-made

tile roof surface, wooden Square Brick and wood doors and windows, internal 420 meters. third class. and external walls plastered. The floor height is less than 3.5 meters and more than 2.9 meters. The water and electricity facilities are in place. 240 brick wall, iron door or anti-theft door, aluminum alloy window, anti-theft net or anti-theft window. The interior wall and ceiling are plastered, the floor is paved Square Bricks mix first. 720 with ceramic tiles, and the meters. outer wall is made of dry sticky stone, mosaic or brick. The floor height is less than 3.5m and above 2.9m. The water and electricity facilities are in place

Appendix 7: Documents on Tax Rates

2019 minimum rates of social security fees for LEFs

Minimum standards. Minimum standards. Administrative. Administrative. (yuan/mu） (yuna/mu）

Zhengzhou City (including 58200 Xuchang. 44000 Gongyi City).

Kaifeng City (including 42900 Luohe. 41900 Lancao County)

Luoyang city. 47800 Three Gate Gorges City. 47200

Pingdingshan City Nanyang City (including (including Zhangzhou 43600 42800 Dengzhou City). City).

Anyang City (including slip Shangqiu City (including 42200 43200 county). Yong City).

Xinyang City (including Hebi. 38300 41300 Gu shi County).

Xinxiang City (including Zhoukou City (including 40400 41500 Changxian County). Lulu County)

Located in Maddian City Jiaozuo city. 42100 41100 (including Xin Cai County)

Puyang city. 42400 Jiyuan city. 44300

Compensation rates for additional construction land yuan/㎡

Grade 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15

Standard 140 120 100 80 64 56 48 42 34 28 24 20 16 14 10

Appendix 8: Construction Site Photos

Construction sites

Figures 1 + 2: Building to be demolished of Dolphin Bay Animation Water World in Guandi Village, Shangji Town

Figures 3 + 4 Tourism infrastructure construction and renewal in Qinglong Village, Madeng Town

Figures 5 + 6 Xipingtou River watershed

100

Figure 7 Construction site of wastewater Figure 8 Xichuan No.2 WWTP treatment station in Lishan Village, Shangji Town

Figure 9 Danjiang River (Hubei-Henan Figure 10 Sludge treatment plant in Tangfang segment) Village, Shangji Town

101

Appendix 9: Fieldwork (consultation and nterviews)

Fieldwork and interviews

Figure 11 Interview with the secretary of Figure 12 Interview with the head of Yunyu Tangfang Village, Shangji Town Village, Madeng Town

Figure 13 Interview with the secretary of Figure 14 Fieldwork on water and soil Zhangying Village, Shangji Town conservation in Shibanhe Village

Figure 15 Interview at Renhe Kangyuan Figure 16 Interview with Fusen Group

102

Appendix 10: Detailed Resettlement Budget Jingziguan Town Siwan Town Shangji Town Madeng Town Jinhe Town Xianghua Town Houpo Town Jiuchong Town Chengguan Town Compensation rate Amount Amount Amount Amount Amount Amount Amount Amount Total (0,000 Percent No. Item Unit Amount (yuan) Qty. (0,000 Qty. (0,000 Qty. Qty. (0,000 Qty. (0,000 Qty. (0,000 Qty. (0,000 Qty. (0,000 Qty. (0,000 yuan) (%) (0,000 yuan) yuan) yuan) yuan) yuan) yuan) yuan) yuan) yuan) 1 Basic resettlement costs 0,000 yuan 757.6187 801.2316 7676.6609 37.1514 20.7904 18.577 21.774 13.668 44.375 9347.472 36.83% 1.1 LA compensation 0,000 yuan 161.92 690.368 224.76 788.256 1887.47 7025.345 11.29 23.709 2.52 7.476 1.78 3.738 1.49 3.129 2.36 4.956 17.3 44.375 8546.977 33.68% 1.1.1 Cultivated land mu 46000 102.77 472.742 4.06 18.676 1055.85 4448.884 1.04 4.368 4944.67 19.48% 1.1.2 Woodland mu 46000 35.47 163.162 42.47 195.362 361.23 1517.166 1875.69 7.39% 1.1.3 Garden land mu 46000 0 71.43 328.578 328.578 1.29% 1.1.4 Grassland mu 46000 0 0 0 0.00% 1.1.5 Traffic land mu 46000 0 0 32.79 138.094 0.45 2.25 140.344 0.55% Water area and water 1.1.6 mu 46000 0 0 0 0.00% facility land 1.1.7 Unused construction land mu 23000 0 0 98.32 206.495 8.18 17.178 1.48 3.108 1.16 2.436 1.49 3.129 2.36 4.956 237.302 0.94% 1.1.8 Protected farmland mu 23000 1.43 3.289 3.55 8.165 62.56 132.022 143.476 0.57% 1.1.9 Collective wasteland mu 23000 22.25 51.175 103.25 237.475 276.72 582.684 3.11 6.531 0.62 1.302 16.85 42.125 921.292 3.63% Young crop 1.2 Mu 1100 102.77 11.3047 117.96 12.9756 1417.08 155.8788 1.04 0.1144 2.1 0.231 180.5045 0.71% compensation Compensation for 1.3 temporary land 0,000 yuan 1100 254.3 55.946 40.68 8.9496 52.92 11.6424 60 13.2 66.4 14.608 84.75 18.645 39.6 8.712 131.703 0.52% occupation Compensation for non- 1.4 0,000 yuan 456.5 456.5 1.80% residential properties 1.4.1 Masonry concrete Grade 1 m2 720 100 7.2 7.2 0.03% 1.4.2 Frame Grade 2 m2 780 4200 327.6 327.6 1.29% 1.4.3 Simple structure m2 180 1200 21.6 21.6 0.09% 1.4.4 Moving subsidy m2 8 5500 4.4 4.4 0.02% 1.4.5 Transition subsidy m2 24 5500 13.2 13.2 0.05% Compensation for losses 1.4.6 m2 150 5500 82.5 82.5 0.33% from business suspension Compensation for ground 1.5 0,000 yuan 29.9875 1.8 31.7875 0.13% attachments 1.5.1 Greenhouses m2 19.5 13100 25.545 25.545 0.10% 1.5.2 Shallow ponds m2 15 800 1.2 1.2 0.00% 1.5.3 Adult trees Ø≥5cm / 25 25 0.0625 0.0625 0.00% 1.5.4 Ordinary arbors <5cm / 6 300 0.18 3000 1.8 1.98 0.01% Ordinary fruit 1.5.5 3-5 years / 60 500 3 3 0.01% trees Planning and design 2 0,000 yuan 5.5% of basic costs 41.669029 44.067738 422.21635 2.043327 1.143472 1.021735 1.19757 0.75174 2.440625 514.11096 2.03% costs 2.1 Surveying and design costs 0,000 yuan 2% of basic costs 15.152374 16.024632 153.533218 0.743028 0.415808 0.37154 0.43548 0.27336 0.8875 186.94944 0.74% 2.2 M&E costs 0,000 yuan 3.5% of basic costs 26.5166545 28.043106 268.6831315 1.300299 0.727664 0.650195 0.76209 0.47838 1.553125 327.16152 1.29% 3 Training costs 0,000 yuan 2% of basic costs 15.152374 16.024632 153.53322 0.743028 0.415808 0.37154 0.43548 0.27336 0.8875 186.94944 0.74% 4 LA taxes and fees 0,000 yuan 1061.7659 997.84797 11864.971 58.318052 14.530928 8.30171 6.464812 10.239568 75.2865 14022.44 55.25% 4.1 Farmland occupation tax yuan/mu 16000 102.77 164.432 4.06 6.496 1055.85 1689.36 1.04 1.664 1861.952 7.34% 4.2 Land reclamation fees yuan/mu 8667 102.77 89.070759 4.06 3.518802 1055.85 915.105195 1.04 0.901368 1008.596124 3.97% Compensation for 4.3 yuan/mu 9333 102.77 95.915241 4.06 3.789198 1055.85 985.424805 10 9.333 1.04 0.970632 0.62 0.578646 1096.011522 4.32% additional construction land 4.4 LA social security fees yuan/mu 42800 161.92 693.0176 224.76 961.9728 1887.47 8078.3716 11.29 48.3212 2.52 10.7856 1.78 7.6184 1.49 6.3772 2.36 10.1008 17.3 74.044 9816.5652 38.68% Subtotal of Items 1~4 0,000 yuan 1856.876 1837.101 19920.672 97.592 36.671 28.167 29.784 24.794 121.747 23831.657 96.32% 6.10% of basic 6 Contingencies 0,000 yuan 125.397 134.244 1271.442 5.865 3.12 2.705 3.136 2.052 7.455 1547.962 3.68% costs 7 Total 0,000 yuan 1982.273 1971.345 21192.114 103.457 39.791 30.872 32.920 26.846 129.202 25379.619 100%

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