Hunan Xiangjiang Inland Waterway Transport Project

Social Monitoring Report

Project Number: 43031-013 Semi-Annual Report July 2018

PRC: Hunan Xiangjiang Inland Waterway Transport Project

Prepared by Hunan Yuhui Hydraulic and Hydropower Construction Supervision and Consulting Co., Ltd. for the People’s Republic of China and the Asian Development Bank.

This social monitoring report is a document of the borrower. The views expressed herein do not necessarily represent those of ADB's Board of Directors, Management, or staff, and may be preliminary in nature.

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

Asian Development Bank

SJJZZ Certificate for No. 20010176

Loan No.: 2962-PRC

Hunan Xiangjiang River

Tugutang Navigation and Hydropower Complex

Monitoring and Evaluation Report of Land Acquisition and Resettlement

(10th Issue)

Hunan Yuhui Hydraulic and Hydropower Construction Supervision and Consulting Co. Ltd

July, 2018

Approved by: Xiong Zhifeng

Reviewed by: Xiao Lu

Checked by: Xu Jinyuan

Prepared by: Xu Jinyuan

Luo Zhilong

Peng Hongwu

Introduction

Entrusted by Hunan Provincial Water Transportation Construction & Investment Group

Co. Ltd. (hereinafter called the construction unit, i.e. HPWTCIG), Hunan Yuhui Hydraulic and

Hydropower Construction Supervision and Consulting Co. Ltd.(hereinafter called our company), as the independent external monitoring and evaluation unit, is responsible for independent external monitoring and evaluation on land acquisition and resettlement for ADB loaned Tugutang Navigation and Hydropower Complex Hunan of Xiang River Inland Water

Transportation Project.

Our company established Monitoring and Evaluation Department of Land Acquisition and Resettlement for Tugutang Navigation and Hydropower Complex (hereinafter called the

M&E Department) in Dec. 2012. In April, 2013, the M&E Department worked out Terms of

Reference for Monitoring and Evaluation on Land Acquisition and Resettlement for Tugutang

Navigation and Hydropower Complex, and started monitoring and evaluation work from May of 2013. The M&E Department has performed eight field monitoring respectively in June

10~13, 2013, June 3~6, 2014, Jan. 4~31, 2015, July 10~13, 2015, Dec.26~30, 2015,

June 26~30, 2016, Dec.27~31, 2016, Aug.27~31, 2017 Dec. 28~30, 2017, and has relevantly submitted the M&E reports for nine times to HPWTCIG and ADB.

In June 28~30, 2017, the M&E Department has organized the investigators to perform a

3-Day on-site investigation: the monitoring personnel, the construction unit (HPWTCIG), the migration management institution in the project site, the design unit, the migration integrated monitoring and some of the affected people's representatives have participated the meeting, collected the resettlement relocation data, and knew the resettlement progress. On this basis, the M&E Department prepared this M&E Report (No.10), with the date due to end of June,

2018.

The M&E Department personnel have sincere thanks to the active cooperation and support from the ADB, the construction unit (HPWTCIG) and the migration management agents in the project site and other relevant units and personnel.

Contents

1. GENERAL ...... 1

1.1 BACKGROUND ...... 1

1.2 INFLUENCE RANGE FOR RESETTLEMENT ...... 1

1.3 RESETTLEMENT PLANNING ...... 3

1.4 RESETTLEMENT IMPLEMENTATION STATUS ...... 4

1.5 RESETTLEMENT IMPLEMENTATION MONITORING OBJECTIVES AND WORK CONTENT ...... 8

2 RESETTLEMENT IMPLEMENTATION ASSESSMENT ...... 9

2.1 MONITORING METHOD ...... 10

2.2 MONITORING AND EVALUATION ON PERMANENT LAND ACQUISITION ...... 10

2.3 MONITORING AND EVALUATION ON HOUSE DEMOLITION AND RESETTLEMENT ...... 12

2.4 MONITORING AND EVALUATION OF RESIDENTS RELOCATION...... 16

2.5 M&E OF TEMPORARY LAND OCCUPATION ...... 17

2.6 M&E OF SPECIAL WORKS AND PROTECTION WORKS ...... 18

2.7 M&E OF RESETTLEMENT COMPENSATION ...... 19

3. EVALUATION ON ADMINISTRATIVE ORGANIZATIONS OF RESETTLEMENT IMPLEMENTATION AND THEIR OPERATION CONDITIONS ...... 22

3.1 ORGANIZATION SETUP ...... 22

3.2 ORGANIZATION RESPONSIBILITIES ...... 23

3.3 OPERATION CONDITIONS OF ORGANIZATIONS ...... 28

4 MONITORING & EVALUATION OF MEASURES ON RESTORATION OF LIVING STANDARD OF RELOCATEES ...... 30

4.1 RESTORATION PLAN OF LIVING STANDARD OF RELOCATEES ...... 30

4.2 IMPLEMENTATION CONDITIONS OF RECOVERY MEASURES OF LIVING STANDARD OF RELOCATEES ...... 30

4.3 EVALUATION OF RECOVERY CONDITIONS OF LIVING STANDARD OF RELOCATEES ...... 31

5 ALTERATION OF ACCESS ROAD AT SONGBAI KILOTON TERMINAL AND EXECUTION ...... 32

6. EVALUATION OF AID TO VULNERABLE GROUPS ...... 34

6.1 STATUS QUO OF VULNERABLE GROUPS ...... 34

6.2 VULNERABLE GROUPS AID PLAN ...... 34

6.3 ASSISTANCE IMPLEMENTATION OF VULNERABLE GROUPS ...... 34

7 RELOCATEE COMPLAINT AND GRIEVANCE MECHANISM EVALUATION ...... 36

7.1 EXISTING GRIEVANCE MECHANISM ...... 36

7.2 GRIEVANCE REDRESS MECHANISM ...... 37

7.3 COMPLAINT RECORD ...... 37

7.4 APPEAL EFFECTIVENESS ...... 38

8. PUBLIC PARTICIPATION AND INFORMATION DISCLOSURE EVALUATION ...... 38

8.1 PUBLIC PARTICIPATION ...... 38

8.2 INFORMATION DISCLOSURE ...... 38

8.3 FOLLOW-UP WORK ...... 39

9 RESULTS OF MONITORING AND EVALUATION ...... 39

9.1 ASSESSMENT OF RESETTLEMENT IMPLEMENTATION ...... 39

9.2 RESETTLEMENT IMPLEMENTATION ORGANIZATION AND ITS OPERATION ASSESSMENT ...... 40

9.3 MONITORING AND ASSESSMENT OF RELOCATEE LIVING RESTORATION ...... 40

9.4 ASSESSMENT OF VULNERABLE GROUPS ASSISTANCE ...... 40

9.5 ASSESSMENT TO RELOCATEE COMPLAINT AND GRIEVANCE MECHANISM ...... 40

9.6. PUBLIC PARTICIPATION AND INFORMATION DISCLOSURE EVALUATION ...... 40

9.7 PROBLEMS AND FOLLOW-UP WORK ...... 40

10. COMPLIANCE OF LOAN AGREEMENT ...... 40

SCHEDULE 1:SUMMARY TABLE OF PERMANENT LAND REQUISITION ...... 40

SCHEDULE2: SUMMARY OF HOUSING DEMOLITION ...... 41

SCHEDULE 3:TABLE OF LAND ACQUISITION AND RESETTLEMENT INFLUENCES ...... 43

SCHEDULE4: COMPENSATION AND RECOVERY OF TEMPORARY LAND OCCUPATION ...... 45

SCHEDULE5: INVESTMENT OF LAND ACQUISITION AND RESETTLEMENT COMPENSATION ...... 46

SCHEDULE 6: SUMMARY OF SAMPLE SURVEY ON PRODUCTION AND LIVING IN RESETTLEMENT VILLAGE ...... 50

SCHEDULE 7: SUMMARY OF SAMPLE SURVEY ON PRODUCTION AND LIVING OF RESETTLEMENT HOUSEHOLDS ...... 51

SCHEDULE 8: SUMMARY OF SAMPLE SURVEY ON PRODUCTION AND LIVING OF RELOCATED HOUSEHOLDS ...... 52

ATTACHMENT1:NAME LIST OF MONITORING AND EVALUATION MEETING STAFF ... 53

ATTACHMENT 2: MAIN DATA CONTENT FOR SUPERVISION AND EVALUATION

CONSULTING ...... 54

ATTACHMENT 3: NAME LIST OF AFFECTED PEOPLE BEING CONSULTED ...... 55

1. General

1.1 Background Dam site of Hunan Xiangjiang Tugutang Navigation and Hydropower Complex is located in Yunji Town of Hengnan County of Hunan Province and it is 39km from Hengyang City. The Complex belongs to a Grade II project; main permanent hydraulic structures are in Class 3. The main structures of the Complex include: one kiloton single-line ship lock, with annual through capacity of 14.2 million ton; 17-sluice gate, with net width of 20m; one hydropower station, with total installed capacity of 90MW(4×22.5MW bulb-type tubular units) and annual power generation of 359 million kWh; one 728.5m fish way; access roads on both banks; working auxiliary bridge on dam crest; bank protections; administrative area of the Complex; waterway and navigation marks and auxiliary works; one highway bridge crossing the river, with the length of 1,138m and width of 15m; and construction of kiloton docks in Songbai Terminal of Changning and Yunji Terminal of Hengnan, the aid work to women and children; and Hengnan new water source project. The Complex is a project with major functioning as navigation, combined with power generation, and compatible with irrigation, water supply and aquaculture. The Project aims at improving a low carbon waterway transport system on the Xiangjiang River in Hunan province, and developing an efficient, safe, affordable, and sustainable inland waterway transport system in the province. Estimated total investment of the Project is 2.954 billion Yuan, of which, ADB loan of 150 million USD. Total planned construction period of the Project is 50 months (from November of 2011 to December of 2016). Up to end of December, 2016, the four units (22.5MW) have been put into operation and power generation. The expected goal of this Project has been achieved. The Hunan Provincial Department of Transportation (HPDOT) is the project execution unit, being responsible for the overall project implementation; Hunan Provincial Water Transportation Construction & Investment Group Co. Ltd.(HPWTCIG, the original Hunan Xiangjiang Navigation Construction Co., Ltd.) is the project implementation unit, being responsible for the project construction; and Hunan Hydro & Power Design Institute (HHPDI) is the resettlement planning and design unit, being responsible for the resettlement project planning and design for project construction land requisition; Hunan Xiangyi Resettlement and Engineering Supervision Consulting Company is the comprehensive supervision unit for resettlement. 1.2 Influence Range for Resettlement 1) Affected Area of Reservoir Inundation (1) Inundated Area At the normal reservoir level of 58m, reservoir inundation involves 98 villages in 13 townships of Hengnan, Changning and Leiyang. Population and houses: 74 persons of 16 households are in inundated area, with houses area

of 8367.81m2 (of which, private house of 4908.25m2 and public house of 3459.56m2); 126 persons of 24 households are affected, with house area of 2807.9m2 (all in private). Land: inundated water area of 39602.76 mu and inundated land area of 9831.72 mu (of which, 6036.9mu are farmland). Special facilities: submerging 0.851km Class IV road, 6.883km rough road, right highway bridge, 13 highway culvert, one ferry, and 72 landing stages; affecting 0.932km 110kV lines, 0.32km 35kV lines, 9.203km 10kV lines, 18.374km 380kV lines, 11.016km China Telecom lines, 2.53km China Unicom lines, 2.402km China Mobile lines, 1.52km radio and television lines, 0.77km national defense optical cables, 3.6km post and telecommunications lines; and the inundation affects one medium electric pumping station, 24 sluice gats, three mini-hydroelectric stations, and eight water supply pumping houses. (2) Affected Area Total length of bank failure in reservoir area is 34.39km; areas of affected farmland and house site in inundated area are respectively 319.41mu and 2.46mu, with affected population of 22 persons in 4 house and affected house area of 760.38m2. 2) Construction Area of the Complex The construction area of the Complex requires permanent land acquisition of 818.45mu (including 475.13mu farmland), relocation of 78 persons from 19 households, house removal of 5939.53m2, and temporary land occupation of 386.33mu (including 179.58mu farmland). 3) Construction Area of Kiloton Terminals In August 2014, the access road program of Changning Songbai kiloton wharf has been changed, the changed content and reason are as the following: in October 2013, the People's Government of Changning City assigned the working team to perform field investigation of initial construction according to the Songbai kiloton wharf red line graph of land occupation supplied by Hunan Provincial Transportation & Planning Survey Design Institute (hereinafter called the transportation institute), as per the Hunan Xiangjiang Tugutang Navigation Complex Construction Land Requisition and Resettlement Planning Design Report authorized by Hunan Provincial Reservoir Resettlement and Development Management Bureau in June, 2012. During investigation, they extensively consulted with local masses, and after investigation they thought that the land occupation planning of wharf port is reasonable, but the use of the existing vegetable Village Road as an port access road having two major problems: (a) the village road is 4m wide, which will be difficult for large freight vehicles; (2) as the dwellings on both sides of the village are dense, the terminal building will cause large traffic potential danger with noise pollution and dust issues. For the above reasons, the People's Government of Changning City hopes to be able to choose a more reasonable access road. The construction unit (HPWTCIG) paid high attention to the issues proposed by the mass in wharf building, and organized the relevant units to hold a meeting in Nov. 19, 2013 about wharf access road disposal for Songbai kiloton wharf. The Meeting decided to take account of local

people's reasonable proposals, re-select a site to build the access road, and HHPDI has modified sections relating to resettlement plan of Songbai Kiloton Terminals. From April 2014 to August 2014, in the light of the new design alteration drawing, the construction unit (HPWTCIG) organized Changning city relevant units and Hunan Hydro & Power Design Institute, as well as the resettlement comprehensive supervision to re-investigate, count, re-check and confirm the physical indexes of the land requisition scope (incl. wharf area and wharf access road) of Songbai kiloton wharf, and make relevant modifications to the resettlement planning in the land requisition area: after alteration, the Songbai kiloton wharf has permanent land requisition of 41.16 Mu, paddy field of 31.65 Mu, pond of 5.2 Mu; 7 households of 33 rural people needed to be relocated, demolition of houses of 2020.86 m2 (of which public house of 60m2 and private house of 1960.86m2). Overall cost for compensation of land acquisition of the kilo-ton berth of Songbai after such alteration has been amounted to 5.2337 million yuan, including compensation cost of rural resettlement of 3.3175 million yuan, compensation cost of re-built of special facilities of 0.7647 million yuan, other costs of 0.4127 million yuan, basic reserve cost of 0.3596 million yuan and related taxes and charges of 0.3792 million yuan.

The permanent requisition land of Hengnan County Yunji kiloton wharf is 17.82 Mu (grass land of 17.31 Mu and residential land of 0.51 Mu), house demolition of 258.4 m2 (all are private houses).

1.3 Resettlement Planning 1) Reservoir Area

At design level year, relocated population in reservoir area is 203 persons from 40 households; resettled population for production is 7487 persons.

Relocations and resettlements adopt method of decentralized backward moving.

Production settlement: 5514 persons are arranged in farmland protection works, 1182 persons had monetary compensation, 646 persons are arranged in adjusted farmlands, and 145 persons are arranged in the secondary and the tertiary industries.

Protective Works: 75 farmland shelter-forests are planned to protect 5195.98mu farmland; 6 immersion treatment areas to protect 79.64mu farmland; reservoir bank protection of 30.72km.

2) Construction Area of the Complex

At design level year, relocated population in the Complex construction area is 80 persons from 19 households; resettled population for production is 405 persons.

Relocations and resettlements adopt method of decentralized backward moving.

Production settlement: 93 persons had monetary compensation, 312 persons are arranged in adjusted farmlands.

3) Construction Area of Kiloton Terminals

To the design level year, the Songbai kiloton wharf construction area relocates 7 households of 33 people and production Resettlement of Population of 67 people after alteration.

Relocations and resettlements adopt method of decentralized backward moving.

Production settlement: 5 persons had monetary compensation, 62 persons are arranged in adjusted farmlands.

Hengnan County Yunji kiloton wharf has no relocation population and no production resettlement of population. 1.4 Resettlement Implementation Status On Sep.14, 2013, Ministry of Land and Resources approved land use for construction purpose of Tugutang Navigation and Hydropower Complex through No.719 MLR Letter (2013).

1) Land Acquisition and Resettlement

Reservoir Area: According to Resettlement Plan, total permanent land acquisition in reservoir is 5605.71mu. Up to now, all permanent land acquisitions of 5605.71mu (including 1878.34mu farmlands) in reservoir have been accomplished. Land acquisition has been all completed at the end of the third monitoring period (end of Dec.2014).

The compensation for temporary land acquisition has been completed and the reclamation of temporary land has been completed at the end of the ninth monitoring period (end of Dec. 2017). The area for reclamation is 2,572.13mu, including 1976.09 mu in Hengnan County, 414.62 mu in Changning City and 181.42 mu in Leiyang City.

House demolition of 11,175.71 m2 was planned, which has been completed the housing demolition of 10,204.35 m2 at present (the unrelocated house of 931.36m2 in Leiyang is changed into protective scheme) have been all completed at the end of the third monitoring period (end of Dec. 2014).

Plan to relocate rural population of 40 households of 203 people, with actual relocation population of 38 households of 180 people (excluding 7 households of 41 people from Yajiang Village, Daheyu township of Leiyang City changed from demolition to protection). The demolishing and relocation of the reservoir area have been completed at the end of the fourth monitoring period (end of July, 2015).

Altogether 564 land acquisition and production resettlement agreements have been signed. The resettlement population is 7,959 persons (in which, cash compensation for 1,182 persons, farmland adjustment for 1,020 persons, development of secondary industry and service sector for 145 persons, and resettlement of protection works for 5,612 persons).Until end of the ninth monitoring period (end of Dec.2017), production resettlement has been all completed.

Dam Area: According to Resettlement Plan, total permanent land acquisition in dam is

818.45mu. This has been all set. In actual, permanent land acquisitions of 802.61mu (including 641.19mu farmland) of four villages in dam area have been accomplished.

The planned temporary land occupation is 386.33mu, including farmland of 179.58mu and water pond of 17.55mu. The actual land occupation is 381.22mu. Until end of the ninth monitoring period (end of Dec.2017), land reclamation work has been all completed.

Planned house demolition is 5,939.53m2. This work has been all set. In actual, 5939.53m2 house demolition has been accomplished.

Plan to relocate rural population of 19 households of 80 people, with actual rural relocated population of 23 households of 90 people. All have been completed.

Terminal construction area: after the alteration, Songbai Kiloton Terminal has completed permanent land requisition of 41.16mu, relocated 7 households of 33 people, and housing demolition of 2020.86 m2. Actual housing demolition of 2020.86 m2 has been all completed, with backward relocation and scattering in the village. Up to the end of the sixth monitoring period, engineering construction and ancillary facilities have been all completed, and the terminal was put into official operation in July 8th, 2016.The total investment is 33.28 million Yuan, of which, investment in equipments is 1.553 million Yuan.

Yunji Kiloton Terminal has one road built to connect Yunji and upstream port of Hengyang City. Transportation from Yunji to this port is very convenient. The experts demonstrated that the proposed Yunji Terminal would have very small cargo throughput, which has little economic, social and environmental benefits. Its construction therefore has been suspended.

New water source construction area: the land requisition has been fully completed: land compensation and land rehabilitation work for permanent land requisition of 8.65 Mu (all being cultivated land), temporary land requisition of 251.09 Mu (thereof cultivated land of 106.32 Mu).The construction has been completed until end of the fifth monitoring period (Dec.30, 2015) and passed through the acceptance for operation.

2) Construction and Compensation of Special Works

①Construction and Compensation of Special Project in Reservoir Area

1. There are altogether 56 bank protection works with total length of 30.72km. All the works have been completed by the end of the 7th monitoring period (Dec.30, 2016).

2、The 21 culvert gates in reservoir area and the restoration of Lijiang Hydropower Station have been all completed by the end of the 6th monitoring period (June 30, 2016).

3、Restoration of roads and tractor paths in reservoir area with the total length of 6.683km have been all completed by the end of the 7th monitoring period (Dec.30, 2016).

4、Restoration of the 9 bridges in reservoir area has been all completed by the end of the 6th

monitoring period (June 30, 2016).

5. The first batch of uplifting works (farmland protection) includes 3,191mu, of which, 43 blocks in Hengnan County and 5 blocks in Changning City (including inundation treatment). Hengnan County and Changning City made binding bids of 4 bid sections to those large and concentrated blocks, and made inviting bids of 14 bid sections to those small and scattered blocks. All 18 bid lots (contract sections) have been completed. The first batch of uplifting works (3,191mu) have passed through acceptance of unit project and have been handed over to the villagers until the 7th monitoring period (Dec.30, 2016).

6. The second bath of uplifting works (farmland protection) include 2121.09mu in 29 blocks, of which, 1534.36mu in 17 blocks in Changning and 586.73mu in blocks in Leiyang. There are altogether 10 bidding sections. Except Yajiang Block A in Leiyang City has been changed to fish ponds and livestock farms, construction in the rest 28 blocks was started in March, 2016 and all completed at the end of the ninth monitoring period (end of Dec.2017) and have been delivered to local villagers for cultivation.

7. The other ground attachments (small special facilities) in the reservoir area has completed the one-off monetary compensation.

Construction and compensation for special works in dam area: compensation and restoration of temporary water systems, transportation facilities, power transmission and communication facilities, and power lines have been all completed by the end of the 7th monitoring period (Dec.30th, 2016).

Special project compensation in Wharf Area Restorations of water systems, transport facilities, power transmission and transformation facilities, communication facilities, etc. of Songbai Kiloton Terminal have been all completed by the end of the 5th monitoring period (Dec.30th, 2015).

3) Land Requisition and Resettlement Funds Appropriation

The total investment for land requisition and resettlement compensation of the Tugutang Navigation Complex Project initial design phase is 515.1779 million Yuan, of which the land requisition resettlement investment of the reservoir inundation affected area is 466.002 million Yuan, the land requisition resettlement investment of the complex project construction area is 46.9344 million Yuan, of the kiloton wharf area is 2.2415 million Yuan. After the adjustment of land compensation fee and alteration of Songbai kiloton wharf, the total investment for land requisition and resettlement compensation (with tax) of the Tugutang Navigation Complex Project is 559.5112 million Yuan, of which the land requisition resettlement investment of the reservoir inundation affected area is 496.5111 million Yuan, the land requisition resettlement investment of the complex project construction area is 57.4354 million Yuan, of the kiloton wharf area is 5.5647 million Yuan. The total investment condition of land requisition resettlement compensation after adjustment

refers to Table 1.4-1.

Total Investment Condition of Land Requisition Resettlement Compensation after Adjustment Table 1.4-1 Unit: 104 Yuan Reservoir Dam Dock No. Item Total Area site area Part.1 Rural resettlement compensation 15407.3 11456.49 3591.23 359.58 Land Compensation Subsidy 11740.48 8453.22 3106.23 181.03 2. Compensation for Houses and Ancillary Facilities 1223.98 735.78 342.09 146.11 3 Subsidy for housing poverty household 115.98 75.48 40.5 4 Living subsidy during transition period 204 197.3 6.7 5. production relocation Supplemental Fee 88.73 88.73 6.Compensation for Infrastructures 156.57 101.28 39.57 15.72 7. Subsidy for relocation 20.28 13.5 4.8 1.98 8 Sporadic fruit tree and tomb compensation 56.84 45.04 7.06 4.74 9. Agriculture and subsidiary facilities compensation 348.96 347.36 1.6 10. Rural small scale Hydropower facilities compensation 1451.48 1398.8 49.38 3.3 Special project recovery and rebuilding Part.2 compensation fee 8304.64 7560.56 667.61 76.47 1. Grade road rehabilitation costs 369.22 369.22 2. Rehabilitation and renovation fee of transportation facilities around the reservoir 3005.72 2971.36 28.86 5.5 3. Rehabilitation and renovation fee of transmission and transformation facilities 148.22 79.62 41.08 27.52 4. Rehabilitation and renovation fee of communication facilities 155.41 106.08 5.88 43.45 5. Rehabilitation and renovation fee of hydropower facilities 4530.07 3938.28 591.79 6. the historic site protection fee 96 96 Part.3 3. Protection work fee 20827.42 20827.42 1. Lifting and filling project 15234.39 15234.39 2. Reservoir and bank protection project 5451.88 5451.88 3. Inundation treatment project 141.15 141.15 Part 4 bottom cleaning fee 72.98 72.98 Part 5 5 Other fees 4645.84 4170.72 431.03 44.09 1. Previous preparation fee 1115.3 997.95 106.45 10.9 2.Survey,design,and research fees 1338.36 1197.52 127.76 13.08 3.Management fees 1338.36 1197.52 127.76 13.08 4. Establishment fee of implementation organization 210 210 5.Technical Training Costs 77.06 57.31 17.95 1.8 6. Assessment fee 446.14 399.18 42.6 4.36 7. Consulting Service Fee 89.22 79.84 8.51 0.87 8. Women's Aid Fund 31.4 31.4 Part 6 Preparatory costs 3940.64 3527.05 375.18 38.41 Part VII Relevant Taxes 2752.3 2035.89 678.49 37.92 1. Cultivated Land Occupancy Tax 471.91 374.86 91.98 5.07 2. Cultivation Fee of Cultivated Land 1803.71 1306.06 464.8 32.85

Total Investment Condition of Land Requisition Resettlement Compensation after Adjustment Table 1.4-1 Unit: 104 Yuan Reservoir Dam Dock No. Item Total Area site area 3. Forest Vegetation restoration Cost 476.68 354.97 121.71 Part VIII Total investment 55951.12 49651.11 5743.54 556.47

By the end of the 10th monitoring period (June 30th, 2018), total budgetary appropriations to land acquisition and resettlement is 559.5 million Yuan. In which, Hengnan accounts for 301.2 million Yuan, Changning accounts for 129.9 million Yuan, Leiyang accounts for 35.4 million Yuan, as well as other costs, reserve fund and relevant taxes accounts for 93 million Yuan. Hengnan County completed the land requisition and resettlement investment of 301.2 million Yuan, of which the reservoir area completed an investment of 256.77 million Yuan, the dam area completed investment of 42.69 million Yuan, and the new water source land requisition and resettlement completed investment of 1.74 million Yuan. Changning City has completed the land requisition resettlement compensation investment of 129.9 million Yuan, thereof the reservoir area resettlement compensation of 124.67 million Yuan, and Songbai kiloton terminal of 5.23 million Yuan. Leiyang City has completed construction land requisition and resettlement compensation investment of 35.4 million Yuan. The funds for construction projects of the reservoir area in the three counties are under audits. The 0.96 million historic site preservation fee was directly paid by HPWTCIG. 1.5 Resettlement Implementation Monitoring objectives and Work Content 1) Objectives of Monitoring and Evaluation According to targets and requirements of ADB Resettlement Plan (target: to minimize involuntary resettlement; to improve, at least to restore the resettlers' living standards to the conditions before the project implementation; to improve the living standards of the affected poor and other vulnerable groups. Requirements: perfect the Resettlement Plan, implement scientific management and objective and independent monitoring and evaluation. The M&E Department proposed assessment advices for the whole resettlement process and the relocatee's production and living restoring levels as per the track monitoring activities, provided early warning system for the project management department, provide reflecting channel for resettlement issues, to ensure that the resettlement planning implementation can conform to the national and local laws and regulations, and ensure that the entire project resettlement to achieve the desired objective, eliminating the complex construction effect to the local villagers, while providing basis for the smooth continuing of the complex construction. (1) Carry on tracking monitoring on implementation of the resettlement work (including

implementation of resettlement policies, operation of resettlement agencies, production resettlement, house reconstruction and livelihood arrangement for relocated residents, recovery of relocated residents' incoming and production & living, complaints and grievance, public participation and negotiation, information disclosure, etc.), collect resettlement related information, provide continuous information feedbacks for the implementation of resettlement plan, and assist the resettlement administrative departments and the project owner to understand realization status of the resettlement objectives and results and effects of the resettlement. (2) Through objective evaluation on resettlement implementation effects, ensure the resettlement administrative departments and the project owner to understand actual progress of the resettlement work within the area under administration in more details, discover and rectify existing problems in the implementation process, timely improve working procedure, and put forward treatment measures, and thus promote implementation of resettlement as planned, and fulfill the needs of the Project construction. (3) Check the resettlement implementation plan to see if it satisfy the actual resettlement needs, check the resettlement implementation if it conforms to the relevant policies and the resettlement planning requirements, find the already existed issues or the problems that may occur, make recommendations or pre-Warning to avoid that the relocatees' production and living cannot be reached or exceed before removal due to resettlement planning or implement deviation. 2) Main Contents of Monitoring and Evaluation According to Terms of Reference for Monitoring and Evaluation on Land Acquisition and Resettlement for Tugutang Navigation and Hydropower Complex, and on the basis of the previous monitoring and evaluation work, main contents of this monitoring and evaluation works include:

（1） Monitoring and evaluation on implementation of the resettlement;

（2） Evaluation on administrative organizations of resettlement implementation and their operation conditions;

（3） Monitoring assessment of relocatee's living standard restoring measures;

（4） Evaluation on aids to vulnerable groups;

（5） Evaluation on grievance redress mechanism;

（6） Evaluation on public participation and information disclosure

（7） Compliance status of the loan covenants;

（8） Problems and follow up actions: 2 Resettlement Implementation Assessment Engineering construction of Tugutang Complex, reservoir inundation, construction of special works in reservoir area, construction of Songbai and Yunji kiloton terminals, and construction of New Water Source Project produce the impacts of land acquisition and resettlement. Main impacts include: permanent land acquisition of 6481.79 mu, temporary land occupation of 6303.35 mu, relocation of 310 persons in 68 households, and house demolition of 19136.1m2.

2.1 Monitoring Method From June 28th to 30th of 2018, the M&E Department setup a three-person evaluation team, i.e. Mr. Xu Jinyuan (resettlement supervision engineer, team leader), Mr. Luo Zhilong and Mr. Peng Hongwu, to carry out field investigation on land acquisition and resettlement conditions of Tugutang Complex, and understand the progress of land acquisition and resettlement for the project construction. The team then checked and reviewed documents relating to land acquisition and resettlement, and met with HPWTCIG Management Department of Tugutang Complex, local resettlement administrative authorities, design unit, comprehensive supervision unit, as well some affected people. Details are as followed: In the morning of June 28th, 2018, the M&E team met with representatives from HPWTCIG Management Department of Tugutang Complex, Hengnan County Coordinate Headquarters for Tugutang Project, Changning resettlement Bureau, Leiyang Resettlement Bureau, Hunan Hydro & Power Design Institute (design unit), and Hunan Xiangyi Resettlement and Engineering Supervision Consulting Company (comprehensive supervision) (list of meeting personnel refer to Attachment 1). The team introduced objectives, contents and approaches of this monitoring and evaluation, and required related units to provide information about overall progress of the resettlement implementation, fund appropriation, aid work to women and children, skill training of land-losing peasants and other relevant data for checking and reviewing. On the afternoon of the same day, the inspectors arrived at the resettlement relocation sites: Shani Group of Pengci Village, dam area resettlement site of Dawu Group and the Jinyu Village of Songjiang Town, uplifting area of Liping Village of Yunji Town,and met with some representatives of the resettlers. In June 28th, 2018, the M&E team arrived Xinlong Village of Yanzhou Town of Changning City, and Qingnian Village of Songbai Town, meeting with staff of Resettlement Bureau of Changning City, as well representatives of local relocatees. In June 30, 2018, the M&E team arrived resettlement sites in Yajiang Yuchang and Xinhua Village No.15 Group in Daheyu Town of Leiyang City, and Ronggong A and B Blocks of the Second-batch uplifting area, and met with personnel from Leiyang Resettlement Bureau, and local relocatee representatives. The team mainly consulted local residents (name list as in Appendix 3) about following information: production restoration after resettlement; household incomes before and after resettlement, handling of issues in resettlement (details refer to 7.3 Records of Complaints). In June 30, 2018, the M&E team reviewed the acceptance data of the uplifting project and the fund settlement of the revetment, sluice gate and bridge project of some reservoir area after auditing. 2.2 Monitoring and Evaluation on Permanent Land Acquisition 2.2.1 Implementation of Permanent Land Acquisition 1) Reservoir Area Permanent land acquisition in reservoir area of Tugutang Complex is 5605.71mu, of which,

farmland of 1878.34mu, land of water area and water resources facilities of 281.8mu, garden land of 8.5mu, forest land of 642.8mu, grassland of 2741.45mu, and other lands of 52.82mu. The permanent land requisition in the reservoir area has completed by the end of the second M&E period (the end of June, 2014). 2) Dam Area Permanent land acquisition in dam area of Tugutang Complex is 818.45mu, of which, farmland of 475.13mu, land of water area and water resources facilities of 24.8mu, forest land of 186.2mu, grassland of 53.36mu, other lands of 2.38mu, residential land of 8.0mu, and other construction land of 68.58mu. The permanent land requisition in the dam area has completed by the end of the second M&E period (the end of June, 2014). 3) Construction Area of Kiloton Terminals

The permanent land acquisition for Yunji kiloton terminal of Hengnan county is 17.82 mu, of which, grass land of 17.31 mu, residential land of 0.51 mu. After alteration, the Songbai kiloton wharf of Changning city has permanent land acquisition of 41.16 mu, thereof paddy field of 31.65 mu, pond water level of 5.2 mu, inland tidal flat of 2.12 mu, rural residential land of 1.2 mu and transportation land of 0.99 mu. The permanent land requisition of Songbai kiloton wharf has completed by the end of the fourth M&E period (by the end of Dec., 2015). Yunji Kiloton Terminal has one road built to connect Yunji and upstream port of Hengyang City. Transportation from Yunji to this port is very convenient. The experts demonstrated that the proposed Yunji Terminal would have very small cargo throughput, which has little economic, social and environmental benefits. Its construction therefore has been suspended. 4) Construction Area of New Water Source The new water source project of Hengnan County has permanent requisition land of 8.65 mu, thereof cultivated land of 8.25 mu and other land of 0.4 mu. The permanent land requisition has completed by the end of the second M&E period (the end of June, 2014). 2.2.2 Evaluation on Permanent Land Acquisition Progress The permanent land requisition of the reservoir area, the dam area, Changning

Songbai kiloton wharf and new water source construction area has been completed （details refer to attached table 1）.

Alteration The construction area of Songbai wharf has newly increased permanent land requisition of 3.32 Mu due to design alteration, thereof decreasing grass land of 19.42Mu, increasing paddy field of 14.29Mu, pond of 4.14Mu, inland tidal flat of 2.12Mu, house site of 1.2Mu and transport land of 0.99Mu.

2.3 Monitoring and Evaluation on House Demolition and Resettlement 2.3.1 Progress of House Demolition 1) Reservoir Area Planned house demolition in reservoir area is 11,175.71 m2, of which, private houses of 7,716.15m2, and public houses of 3,459.56m2. Until the third M&E period (end of December, 2014), 10204.35m2 houses in reservoir area have been removed, which include private house of 6744.79m2 and public house of 3459.56 m2. There is no house demolition in this monitoring period. The house demolishing of Hengnan reservoir area have been totally completed, altogether

3206.3 m2 of demolished houses, thereof private house of 1801.37 m2，newly foundation of 281.6 m2and public house of 1404.93 m2. The house demolishing of Changning reservoir area have been totally completed, altogether 3,932.49 m2 of demolished houses, thereof private house of 2,249.42 m2 and public house of 1,683.07 m2. The house demolishing of Leiyang reservoir area have been totally completed (except 7 households which changed from relocation to protection), altogether 3065.56 m2 of demolished houses, thereof private house of 2694 m2 and public house of 371.56 m2. There are 15 relocated households in reservoir area chose independent resettlement through purchasing of land and building of new houses (details refer to 2.4.2: Implementation of Resettlement). 2) Dam Area Planned house demolition in dam area is 5939.53 m2, of which, private houses of 5778.63m2, and public houses of 160.9m2. The house demolition in the dam area has completed by the end of the second M&E period (the end of June, 2014). 3) Construction Area of Kiloton Terminals After alteration, the planned house demolition of Songbai kiloton wharf is 2020.86 m2 (thereof public house of 60 m2 private house of 1960.86 m2).

The house demolition of Songbai Kiloton Terminal has completed by the end of the third M&E period (the end of Dec., 2014). Yunji Kiloton Terminal has one road built to connect Yunji and upstream port of Hengyang City. Transportation from Yunji to this port is very convenient. Therefore, through comprehensive consideration on economic, social and environmental benefits, construction of this terminal is suspended. 2.3.2 Resettlement area and house site The houses are resettled in scattering and backward arrangement, the relocatee could select the new house construction location by themselves, land occupation for per capita house site is based on 130m2/household. As the reconstruction area depends on the existing infrastructure and public service system,

the rural road and electrical network are complete, the flood affected infrastructure is planned to be reconstructed, the relocated houses are arranged at the place with convenient conditions for traffic, water supply, and power supply. Scattering water supply is adopted, the traffic and power supply only require a little supporting cost. According to investigation, the resettlement area is mainly distributed with cultivated land, the infrastructure subsidy standard of each household is: house site acquisition at dam area is RMB40,029 Yuan/mu, acquisition at reservoir area is RMB35,943Yuan/mu in Hengnan County, RMB33888Yuan/mu in Changning County, RMB35,974Yuan/mu in Leiyang City; land leveling subsidy is based on RMB3000Yuan/person, water & power supply is RMB400Yuan/household. Infrastructure compensation for house removal at reservoir area is RMB1.0128million Yuan, including RMB73 thousand Yuan for Hengnan County, RMB126.9 thousand Yuan for Changning City, RMB812.9 thousand Yuan for Leiyang City. Infrastructure compensation for house removal at dam area is RMB395.7 thousand Yuan During site interview by the M&E personnel, the relocated residents reflect they are satisfied with the mode that select the house site by themselves and make the land using procedure by county resettlement administrative agency. As the resettlement is arranged within the village group, there is no objection among the public. Some residents chose the method of independent resettlement by purchasing new houses in other places (details as in followed Table).

Table 2.3-1 Resettlement Statistical Table of Tugutang Project

Progress of House Build and Resettlement Resettlement Accumulated Accumulated Households needs No. Item Population houses in moving into new Remark house building construction house Household Person Household Person Household Person Household Person Two households have new houses Dam site 23 90 20 80 20 80 23 90 already (one purchased new house) Reservoir 38 187 17 88 17 81 38 187 Note 1 Area Dock 7 33 1 6 1 6 Note 2 area

Total 68 310 38 174 37 161 62 283 Note 1: in the 7 relocated households in Hengnan, one household bought new house; two households (miscellaneous houses) in the 7 relocated households in Changning need no house rebuilt; in the 24 relocated households in Leiyang, three households bought new houses, one household enjoying the five guarantees and was arranged in nursing home by local government. Note 2: Demolition and resettlement of the 7 households in terminal area have all be completed. Of which, six households have more than one houses (need no more house), and one household bought new house.

2.3.3 Transitional Period

Households during transitional period planned house remove at the dam area is19 households of 78 persons, actual removal is 23 households of 90 persons. Planned house remove at the reservoir area is 40 households of 203 persons: Songjiang Town, Hengnan County removes 3 households of 17 people, Yanzhou Town, Changning City removes 7 households of 26 people, Leiyang City removes 30 households of 160 people; the actual reservoir area removes 38 households of 187 people: thereof Songjiang County, Hengnan removes 7 households of 25 persons, Yanzhou Town, Changning city removes 7 households of 36 persons. 24 households of 126 persons removal at Leiyang City (excl. 7 households of 41 persons who are changed from relocation scheme to protective scheme). The later investigation and check found another 7 households were included in the house removal, therefore, the quantity of relocatees increased from 119 in last period to 126 in this period. After alteration, Songbai kiloton wharf needs to relocate rural population of 7 households of 33 persons, and has actual relocation population of 7 households of 3 persons. The above mentioned population is considered during transitional period.

Transition Duration is considered to be 1 year.

Living subsidy during transitional period: The living subsidy standard during transitional period is planned to be RMB1000Yuan/Person. In Hengnan County, it considered to keep the

same compensation standard with that of other house removal for key projects, therefore, the compensation standard is adjusted based on house removal of RMB48Yuan/m2. In Changning and Leiyang city, the compensatio is based on the planned standard.

Evaluation of transitional period: According to the relocated residents' reflection, as the houses are built very fast, the living subsidy during transitional period is sufficient enough, even leave surplus. All the relocatees are satisfied.

2.3.4 Evaluation of House Removal

Progress: house removal at dam area completed as schedule (refer to Annex Table 2), which assure the smooth progress of Tugutang Complex. In reservoir area, there are 7 households of 25 persons in Hengnnan County (planning was 3 households of 17 person, but 4 households of 8 persons were added in actual due to marriage, new birth and family separation); there are 7 households of 26 persons in Changing City (planning was 7 households of 36 person, but 10 persons were added in actual due to marriage, new birth and family separation); there are 24 households of 126 persons in Leiyang City (planning was 30 households of 160 persons, but in actual 7 households of 41 persons voluntarily changed from demolition to protection in Daheyu of Yajiang Village (protection was completed after the approval of Resettlement Administration

Bureau of Hunan Province), and one household of 7 persons are added due to family splitting).

Demolitions in these three cities(counties) have been all completed and all relocatees have moved into new houses, expect one household enjoying the Five Guarantees moved into gerocomium arranged by Daheyu Village Government. There are 7 households (33 persons) in Songbai Kiloton

Terminal area. Details refer to Table2.3-2.

Relocation Resettlement Implementation of Tugutang Project Table 2.3-2 Dam site Reservoir Area Dock area Remark Number Number Number Stage/area Number of Number of Number of of of of households households households Persons Persons Persons planning 19 80 40 203 7 33 design data the reservoir area actual excludes implement 23 90 38 187 7 33 the 7 data protective households from Leiyang

city. relocatee's household data in the Null Null Null Null Null Null transition period at present

Follow-up work: the reservoir resettlement administrative agency shall pay high attention to livelihood and production resettlement conditions and accelerate fund implementation of later-stage supporting policies. 2.4 Monitoring and Evaluation of Residents Relocation 2.4.1 Impact of Land Acquisition and Resettlement According to Resettlement Plan, the affected person by reservoir inundation and land occupation of Tugutang Complex Construction amount to be 7959, including 7487persons in reservoir area, and 405 persons in dam area, 67 persons at kiloton wharf construction area. the affected person by house removal amount to be 316 persons, including 203 persons in reservoir area, 97 persons at dam area, and 33 persons at kiloton wharf construction area. The total affected people is 8275, including seriously affected person 6679 that suffering above 15% or more production property. In the ADB Resettlement Plan, the poverty caused by sickness, disability, old age and more schooling-age children are considered to be poor. The incidence of rural poverty in the affected area is 7.8% and about 155 thousands. The resettlement implementation body is responsible for the statistics and reporting to the construction unit (HPWTCIG) (see the status quo of vulnerable groups in detail in Section 5.1). According to resettlement plan, the 310 relocated people shall be resettled in scattering and backwards arrangement, production resettlement population is 7959 persons, including 5514 persons by reservoir farm land protection resettlement, 1182 persons by monetary compensation resettlement, 646 persons by cultivated land regulation resettlement, and 145 persons resettled by secondary & tertiary industry development. For the dam area, 93 persons are resettled by monetary compensation, and 312 persons by cultivated land regulation resettlement. For kilo ton dock construction area, 5 persons are resettled by monetary compensation, 62 persons by cultivated land regulation resettlement. 2.4.2 Resettlement Implementation

1）Production Resettlement

The resettlement at dam and reservoir area in Hengnan County involves in 110 villagers at 31 administrative villages of 6 towns. All the agreements of production resettlement have been signed. The resettlement at Changning City involves in 130 villagers at 35 administrative villages of 5 towns. All the agreements of production resettlement have been signed. The resettlement at Changning City involves in 56 villagers at 10 administrative villages of 2

towns. All the agreements of production resettlement have been signed. By the end of the ninth monitoring period (Dec.30th, 2017), farmland protection and resettlement in the reservoir area have been all completed. The resettlement of secondary and tertiary industries, the adjustment of cultivated lands, and the monetary compensation have all been completed. A total of 7,959 people have been settled, which accounts for 100% of the total resettlement population. 2) Removal resettlement Progress: house removal at dam area completed as schedule (refer to Annex Table 2), which assure the smooth progress of Tugutang Complex. 2.4.3 Resettlement Evaluation Production resettlement and relocation resettlement in reservoir area, dam area and construction area of the kiloton terminal are generally all comply with the schedule planning. 2.5 M&E of Temporary Land Occupation 2.5.1 Status of Temporary Land Occupation The planned temporary land occupation is 6,303.35mu, of which, the reservoir land occupation is 5,665.93mu, with temporary land occupation compensation of RMB 9.7104 million Yuan (including crop compensation), the planned land recover area is 3,248.05 mu, with land recovery compensation of RMB 18.1648 million Yuan. The dam temporary land occupation is 386.33 mu, with compensation of RMB 2.0696 million Yuan and crop compensation of RMB 349.8 thousand Yuan, the planned land recover area is 179.58 mu, with land recovery compensation of RMB 1.4147 million Yuan. For kiloton dock construction area, Songbai kiloton wharf of Changning city and Yunji kiloton wharf of Hengnan county have no temporary occupied land; the new water source construction area has temporary occupied land of 251.09 mu (refer to attached Table 4). By the end of the ninth monitoring period, temporary land occupation in reservoir area is 2,572.73mu, and the compensation work is all completed. Reclamation of temporary land use has been completed within the ninth monitoring period (end of Dec., 2017) and the cultivation has been resumed. Among them, reclaimed temporary land use in Hengnan County is 1,976.69mu (381.22mu in dam area, 1,344.38mu in reservoir area, and 251.09mu for new water source), reclaimed temporary land use in Changning City and Leiyang City are respectively 414.62mu and 181.42mu (details refer to Schedule 4: Compensation and Recovery of Temporary Land Occupation). 2.5.2 Evaluation of Temporary Land Occupation Compensation for temporary land occupation in dam area and reservoir area has been all completed. Reclamation of temporary land occupation for reservoir bank protection, culverts and the first and second batches of uplifting works have been all completed. Temporary land compensation and land restoring at new water source construction area have been completed.

Reclamation of temporary land occupation eased the living and production pressure of the farmers affected by project land occupation, and ensured production conditions of local farmers. 2.6 M&E of Special Works and Protection Works 2.6.1 Implementation of Special Works For the large scaled work at reservoir area (including bank protection, culvert sluice, road, bridge, Lijiang Power station, and farmland protection project), the cost estimation is RMB 286.5325 million Yuan. So far the project investment is under audit by the auditing unit. In November 2013, a total of 56 reservoir bank protection works with a total length of 30.72km were completed and passed the unit project acceptance. New defense objective occurs after power station impounding. As to assure the life and property security of the reservoir area people, 5.604km bank revetment and investment of 17.7924 million RMB are newly increased. The newly increased project has been in full operation at present and about 50% of the project quantity are completed, among which the newly increased revetment of Leiyang city has completed, that of Hengnan County and Changning County is in operation, and is expected to be completed in the end of Oct., 2018. The 21 culvert gates and Lijiang power station rehabilitation works together bidding with reservoir bank protection works have been all completed and delivered for operation. Restoration of roads and tractor paths in reservoir area with the total length of 6.683km have been all completed by the end of the 7th monitoring period (Dec.30, 2016). Restoration of the 9 bridges in reservoir area has all been completed by the end of the 6th monitoring period. The first batch of lifting filling project (farmland protection), grade road, the rehabilitation project of the transport facilities around the reservoir is in a bundled tender. By the end of the 7th monitoring period (Dec., 2016), all works have been completed and the 3191mu uplifted lands have been handed over to local villagers. The 29 blocks (including inundation treatment) in the second batch uplifting works (farmland protection) have a total area of 2121.09mu, of which, 1534.36mu in Changning and 586.7mu in Leiyang. Expect Yajiang Block A in Leiyang City has been changed into fish ponds, works in the other 28 blocks have been implemented. The construction was started in March 2016 and completed and handed over to local villagers for cultivation in Dec.30,2017. There are no other ground attachments (small special facilities) in the reservoir area which need to be re-built. And the one-off monetary compensation has been completed. Construction and Compensation of Special Facilities in Dam Area: compensation and restoration of temporary water systems, transportation facilities, power transmission and communication facilities and restoration of permanent water systems have been all completed by the end of the 7th monitoring period (Dec.30th, 2016). Special project compensation in Wharf Area Restoration of water system, transport facilities, power transmission and conversion facilities, communication facilities, etc. of Songbai kiloton terminal have been completed. Construction of Songbai Kiloton Terminal and the ancillary

facilities have been completed, with total investment of 33.28 million Yuan (of which, equipment cost of 1.553 million Yuan). All works have passed through acceptance at the end of the sixth monitoring period (end of June, 2016) and put into operation in July 8th, 2016. 2.6.2 Evaluation of Special Works The inspectors believe that due to heavy rains, lots of floods and long flood season, construction of the revetment, sluice gate, highway, bridge, uplifting, electricity and communication in the reservoir area is difficult and the construction progress is slow. However, due to responsible and accountable work of all parties involved in the construction, all difficulties have been overcame, the project progress was followed, and the engineering works have been completely with quality and quantity. Follow-ups: construction of the transport facilities such as foot bridges and machine-cultivated bridges in uplifting area of reservoir area shall be accelerated to ensure on schedule overall acceptance of Tugutang Complex. 2.7 M&E of Resettlement Compensation 2.7.1 Compensation Standards of Land Acquisition and Demolition Before carrying out land acquisition and removal, executor of resettlement in Hengnan County, Changning City and Leiyang City issued the following notices publicly to flood affected zone of the Complex in form of governmental document: Notice of issuing Implementation Plan of Land Acquisition and Resettlement of Xiangjiang Tugutang Navigation and Hydropower Complex in Hengnan County by Government Office of Hengnan County, Notice of issuing Implementation Plan of Land Acquisition and Removal for Constructing Reservoir Area of Leiyang City of Tugutang Navigation and Hydropower Complex by Government Office of Leiyang City. The Notices include compensation standard of land acquisition and removal, laws and regulations, procedure requirement of resettlement, deadline target, funds management and etc. with detailed contents. Standard of land acquisition and removal in notice is formulated by Design Report of Land Acquisition and Resettlement Plan for Constructing Tugutang Navigation and Hydropower Complex (For Approval),Supplement Report of Adjusting Land Compensation Fees of Tugutang Navigation and Hydropower Complex combined by formulation of related regulations of local government of Hengyang City. Since land acquisition work of new water source started in 2010, the compensation standard refers to Design Report of Land Acquisition and Resettlement Plan for Constructing Tugutang Navigation and Hydropower Complex (For Approval) for implementation. 2.7.2 Status of Land Acquisition and Demolition Compensation and Engineering Construction After compensation adjustment, the investment of Tugutang Complex land acquisition and resettlement amounts to be RMB 434.63 million Yuan (excluding other cost, basic reserve cost and tariff). During this M&E period, an investment of 16.9381 million Yuan has been completed

(accounting for 3.8% of the total investment). By the end of this M&E period (end of Dec.2017), an investment of 440.595 million Yuan has been completed accumulatively (accounting for 99.97% of the total investment), of which, 282.208 million Yuan for Hengnan County, 123.063 million Yuan for Changning City, and 35.324 million Yuan for Leiyang City. 1) Reservoir Area Investment of 391.6997 million Yuan has been planned, including 237.5691 million Yuan for Hengnan County, 118.8066 million Yuan for Changning City and 35.3240 million Yuan for Leiyang City. By the end of this period of monitoring and evaluation, invest of 391.7035 million yuan has been finished for land acquisition and resettlement at reservoir area, accounting for 100% of total investment. It includes rural resettlement compensation RMB116.9904 million Yuan (100% has been completed), compensation of special works recovery and reconstruction RMB 75.6056 million Yuan (100% has been completed), and investment of protection work RMB 198.3777 million Yuan (100% has been completed). The cleaning of reservoir bottom is completed. The completion status of each county and city is shown in Attachment Table 5 Status of Construction Land Acquisition and Resettlement Compensation. 2) Dam Area The planned investment is RMB42.5884 million Yuan, including RMB35.9123 million Yuan for rural resettlement compensation, and RMB 6.6761 million Yuan for special facility reconstruction. By the end of the 7th monitoring period (end of December, 2016), an investment of 42.6884 million Yuan has been completed in dam area (100% of the plan). It includes the entire rural resettlement compensation RMB 36.0103 million Yuan, accounting for 100%, and special facility reconstruction compensation RMB 6.6761 million Yuan, accounting for 100%. The compensation completion status is shown in Attachment Table 5 Status of Construction Land Acquisition and Resettlement Compensation. 3) Construction Area of Kiloton Terminals The planned investment is RMB 4.3605 million Yuan for Yunji Kiloton Terminal in Hengnan County and the changed Kiloton Terminals of Changning and Songbai, including RMB3.5958 million Yuan for rural resettlement compensation and RMB0.7647 million Yuan for special facility reconstruction. By the end of the 7th M&E period (end of Decemeber, 2016),land acquisition and resettlement for the changed Songbai Kiloton Terminal has been completed total investment of RMB 4.0822 million yuan, accounting for 100%. (of which, 3.3175 million Yuan compensation cost for rural resettlement).Compensation for reconstruction of special facility RMB 0.7647 million Yuan, accounting for 100%. Yunji Kiloton Terminal in Hengnan County hasn't been implemented.

4）Women and Children Assistance Fund

The planned investment is RMB 0.314 million Yuan, including RMB 125,600 Yuan in Hengnan

County, RMB 94,200 Yuan in Changning City and RMB 94,200 Yuan in Leiyang City. By the end of the 7th monitoring period(end of Dec.2016), Women and Children Assistance Program in Hengnan and Changning is undergoing, working skill training and employment recommended are carried out for women of appropriate ages, such special agricultural skills, cooking, domestic service, aquaculture, etc. Financial aid activities are carried out for children in poor families, with total investment of 0.3798 million Yuan, which accounts for 120.96% of the planned investment (0.314 million Yuan). Details refer to Section 4.2 Implementation Conditions of Recovery Measures of Living Standard of Relocatees and Section 5.3.Assistance Implementation of Vulnerable Groups. 5) Construction Area of New Water Source This project investment is not incorporated in the Resettlement Plan Report, which is entrusted to Hengnan County Tugutang Construction Coordination Headquarter by Hunan Water

Transport construction and Investment Group Ltd （HPWTCIG）for direct implementation.

By end of the third M&E period(end of December of 2014), it has completed the investment RMB1.74312 million Yuan, including permanent land acquisition compensation RMB108,800 Yuan, temporary land compensation RMB 309,400 Yuan, crop compensation RMB 340,400 Yuan, small scale facility compensation RMB 169,000 Yuan, land recovery investment RMB 119,400 Yuan, fees and management cost RMB 696,120 Yuan. 2.7.3 Evaluation of Land Acquisition and Removal Compensation Payment Compensation Standard during Implementation The compensation standard implemented in this project firmly complies with documentary standard issued by government described in Chapter 2.7.1. In document issued by government, compensation of land acquisition strictly implements compensation standard specified in Resettlement Planning Report and Supplementary Report of Adjusting Land Compensation Fees. In Hengnan County, it considered to keep the same compensation standard with that of other house removal for key projects, therefore, the compensation standard is based on Compensation Method of House Removal on Collective Land in Hengyang City (Hunan administrative issued document [2010] No. 54)and Compensation Standard of Crop on Collective Land in Hengyang City(Hengyang administrative issued document [2010]No.15). This standard is slightly lower than the planned standard. However, balance of funds will be paid to relocated households in form of money by local government, so as to avoid adverse effects to other construction projects. The M&E team thinks that the total compensation for relocatee is not reduced and this program is feasible. Changning City and Leiyang City implement standard specified in Resettlement Planning Report with no adjustment. Compensation of Land Acquisition and House Removal According to site investigation by M&E personnel and interview on some affected people, the compensation payment procedure is as following:

Land acquisition compensation The County & city level resettlement administrative organization and the land occupied group of villagers shall sign compensation agreement as per rechecked affected land area, and the villagers' village and township people's government shall sign and stamp as the third party. After signing the agreement, the fund is transferred from the account of county resettlement administrative organization to the special account of township financial office, and the township organization make the distribution scheme and then reimburse the fund to village committee account after disclosure without objection. The village committee reimburses the fund to the group and household as per the roster, the receiver give signature for confirmation. Fund of House removal and Private Crop Compensation These funds are reimbursed directly to the persons as per roster and personnel account by county & city resettlement administrative organization. Results of the monitoring indicate that the appropriation of compensation fund is open and transparent with no withholding. The affected people are clear to the sum of compensation fund with no disagreements. 3. Evaluation on Administrative Organizations of Resettlement Implementation and their Operation Conditions 3.1 Organization Setup Implementation of land acquisition and resettlement in Tugutang Navigation and Hydropower Complex has management system focusing on governmental leadership, taking charge by different levels, basis on county and participation of project entity. HPWTCIG is the project entity, which establishes Management Office for constructing Tugutang Navigation and Hydropower Complex in Yunji Town, Hengnan County, which is divided into 6 departments of general office, engineering, Contract, electrical and mechanical, reservoir area and environmental protection. Mr. Huang Jinxing, Vice President of HPWTCIG acts as Head of Management Office and the Principal in charge of construction of project. Land acquisition and resettlement of the project is centralized to manage by Department of Reservoir area. Mr. Gan Maohui, Vice Director of Management Office also acts as Director of Reservoir area Department. Project Management Office mainly takes charge of treating all kinds of resettlement-related problems and supervises implementation of local implementing organization of resettlement and coordinates complaints of resettlers rapidly and high-efficiently. Administration of Reservoir Resettlement Development in Hunan Province is the organization of guiding, coordinating, inspecting as well as supervising and managing resettlement work. Implementing organization for resettlement is People's Government in Hengyang City, Hengnan County, Changning City (county-level city), Leiyang City (county-level city) and specific executing organization is resettlement management organizations of city and county levels. People's Government of Hengyang City establishes leading group of resettlement of

Tugutang Navigation and Hydropower Complex, whose group leader is acted as by Vice Mayor in charge of agriculture in Hengyang City, Mr.Chen Jin. Office is branched in leading group, which is established inside Resettlement Bureau in Hengyang City. Mr. He Liji, Director General of the Resettlement Bureau also acts as Office Director and Mr. Liu Liangqi, Engineer-in-Chief takes charge of routine work in the Office. Details about implementation agencies in Hengnan, Changning, and Leiyang are as followed: Hengnan County setups Coordinate Headquarters for Tugutang Navigation and Hydropower Complex. Yang Hongfeng, county party secretary, as political commissar; Zhu Shijun, standing Deputy County Chief, as commander; Jiang Changfu, Deputy County Chief, as deputy commander. Four functional departments of Office, engineering technology, land acquisition and demolition and finance are branched under Headquarters. Changning City sets up Coordinate Headquarters for Tugutang Navigation and Hydropower Complex. Mr. Wang Yihua, Vice Mayor in charge of agriculture acts as leading group leader and Office is a branch under leading group. The Work Office is set in Resettlement and Development Bureau of Changning City, and the Office includes three working teams, i.e. Resettlement Team, Engineering &Technical Team, and General Affair Team. Mr. Lei Jide is Leader of the Resettlement Team and Mr. Liu Huarong is Leader of the Engineering &Technical Team. Leiyang City setup a Leadership Team for resettlement work of Tugutang Navigation and Hydropower Complex. Mr.Li Xiangyang, Mayor also acts as Leader of the leading group. The leadership team includes four offices, i.e. resettlement and land acquisition office, engineering & technical office, policy and laws office, and financial office. Hunan Hydro & Power Design Institute is design unit of resettlement, which establishes Design Representative Group of Xiangjiang Tugutang Navigation and Hydropower Complex in Yunji Town, Hengnan County. Hunan Xiangyi Resettlement Supervision Consultant Co. Ltd. is comprehensive supervision organization of resettlement, which establishes comprehensive supervision department in Administration Department of Tugutang Complex. As an independent external M&E unit, Hunan Yuhui Hydraulic and Hydropower Construction Supervision and Consulting Co. Ltd establishes M&E department in Yunji Town, Hengnan County. 3.2 Organization Responsibilities 3.2.1 Project Entity HPWTCIG is the project entity with specific responsibilities as follows: 1) To entrust unit with survey &design qualification to compile detailed rules and regulations on physical goods investigation, planning framework of resettlement and programming of resettlement. 2) To propose relevant city-level government to apply provincial government for issuing notice on prohibition of construction projects newly increased and resettlement population in land

occupation and inundated area in project (hereafter as "Banning Construction Notice"). 3) According to approved programming of resettlement, to sign an agreement of resettlement with related government of city or county level and provincial administrative organizations of resettlement. 4) To entrust qualified units to develop monitoring & evaluation together with provincial administrative organizations of resettlement.

5） To entrust qualified units to develop relevant designing in implementation phase of resettlement planning as well as entrusting design unit to assign Design Representative in resettlement site. 6) According to resettlement plan and schedule needs of implementation of resettlement, in the first ten-day period of October of this year, to submit next annual resettlement task and planning proposal of fund use to government of city or county level which have signed an agreement of resettlement. 7) In terms of annual plan of the Project fund, full submerge compensation shall be timely allocated to special account for resettlement fund of provincial finance. 8) Responsible for reporting land use formalities for land occupation and inundated area of the Complex. 9) As required to entrust design unit to prepare Adjustment Report of Resettlement Plan. 10) To join phased acceptance and completed acceptance of resettlement and to coordinate resettlement to implement inspection and audit work of compensation fee for submerging by related national and provincial departments. 11) To participate dealing with problems, emergencies and remaining problems arisen from implementation of resettlement, as well as to organize and coordinate disposal of complaints of resettlers. 12) To undertake treatment costs produced by landslide, bank collapse, immersion and sediment deposition resulted in operation of reservoir, overhead expense produced by operation of protective works and responsibilities of violation and storage-exceeding. 3.2.2 Supervisory Agencies Both managing resettlement in Complex and making guidance, coordination, inspection as well as urgence for resettlement made by government of low-level and administrative organizations are in the charge of Hunan Reservoir Resettlement Development & Administrative Bureau with specific responsibilities as follows: 1) Responsible for reviewing detailed rules and regulations on physical goods investigation that are produced by land acquisition for construction of large and medium-sized reservoir within this administrative region (hereafter as "detailed rules and regulations on investigation"), as well as responsible for examination of planning framework of resettlement and programming of resettlement. 2) As supervisor, to sign an agreement of resettlement with project entity and related

government of level of city or county. 3) To draw out administrative measures on compensation for land acquisition and resettlement fund (hereafter as "compensation fee for inundation") together with related departments; to manage compensation fee for inundation according to related regulations as well as examine Annual Plan of Project Fund of Resettlement for approval and transmit it down (hereafter as "Annual Plan of Project Fund"). 4) To urge Project Entity make resettlement funds practicable, timely appropriate the resettlement funds according to approved Annual Plan of Project Fund as well as implementation scheduling and make supervision, inspection and audit to the resettlement funds together with related departments. 5) To entrust qualified units to develop M&E work of resettlement together with Project Entity. 6) To organize phased acceptance and completed acceptance of resettlement according to administration authority. 7) Responsible for organizing training of employability skills for resettlers and business training for cadres of relocatee in this administrative region. 8) Responsible for coordinating treatment of major issues arisen from resettlement as well as letters and visits from relocatees, timely reflect problems arisen from resettlement to superior and related departments and assist government of this level and low level to make social stability in reservoir area and resettlement area. 3.2.3 People's Government of City and County Level and Administrative Organizations of Resettlement Government of city and county level is responsible for resettlement in this administrative district. According to administration authority and on behalf of government of this level, related departments of city and county level cooperate with Project Entity and design unit to develop pre-planning and designing of resettlement, prepare implementation plan and annual implementation plan of resettlement in this administrative district together with Project Entity and Design Unit as well as take charge of organizing specific implementation of the resettlement project. Specific responsibilities are as follows: 1) Conscientiously implement the national resettlement policies, and carry out resettlement work within the administrative district according to the laws. 2) On behalf of government of county level, to sign an agreement of resettlement task and investment responsibility system with municipal government. 3) Formulate and report annual resettlement implementation plan and annual resettlement fund use plan of the county. 4) Responsible for accomplishing resettlement tasks of the county according to the approved annual resettlement implementation plan. 5) Responsible for splitting, management, redemption and settlement of resettlement fund of

the county. 6) Joint with related departments to direct bidding work of important or major resettlement tasks. 7) Implement management on resettlement tasks according to the administration privileges. 8) With strict financial management, proper management and use of resettlement funds, to accept inspection and audit from related departments. 9) Accept supervision and inspection of resettlement supervision or monitoring, and provide assistance for related work. 10) Responsible for publicity of related national resettlement guidelines and policies, doing well in ideological and political work of the resettled, timely and properly handling problems and contradicts occurred in resettlement process, and maintaining social stability in reservoir area. 11) Responsible for acceptance inspection of the resettlement work in the county, and drafting inspection report. 12) Assist the project Owner in handling land acquisition procedures. 13) Implement other works assigned by superior resettlement authorities. Below the county level, in towns with land acquisition and resettlement tasks, one deputy town chief is assigned to be responsible for resettlement work in each town (village). To enhance management responsibilities, the three county (city) level people's governments signed Liability Form of Management by Objectives with the village (township) governments with resettlement tasks. Such villages (townships) are responsible for the resettlement work within their respective administration region, which include: publicity of related national resettlement guidelines and policies, timely and properly handling problems and contradicts occurred in resettlement process, reception of appeal for help from relocatees, addressing complains from relocatees, and delivering complains beyond their authority to superior departments. Cadres of village committees are jointed trained by the county and the township; and cadres of village committees and the group leaders are coordinated in propaganda and mobilization of the resettlement work. Working crews from the county, the township and the village came to the site to define land acquisition boundary, land acquisition area, land classification, index of the reservoir submersion, compensation for special facilities, and compensation standards of each village group, and split each compensation fund into villages, groups and households. 3.2.4 Design Unit As design unit of the resettlement, Hunan Hydropower Design Institute has specific responsibilities as follows: 1) Compile detailed rules and regulations on investigation, planning framework of resettlement and programming of resettlement. 2) Assist local government in preparing implementation plan of resettlement and breaking down index of each item of physical goods and compensation investment. 3) According to related regulations, undertake construction drawing design of production

arrangement of rural relocatees, infrastructure in population center, infrastructure in towns, special projects and protective works, and deliver design documents. 4) Appoint site design representative to take charge of disclosure of planning and designing of resettlement, design change, technical guidance and other work. 5) Prepare work report of planning and designing of resettlement, and join in acceptance work of resettlement. 6) Entrusted to prepare adjustment report of resettlement planning. 7) Accept supervision from provincial administrative organizations of resettlement and the Client's, and coordinate doing related work well. 3.2.5 Supervision Unit of Resettlement As a supervision organization of comprehensive supervision of resettlement and special works, Hunan Xiangyi Resettlement Supervision Consultant Co. Ltd. has specific responsibilities as follows: Supervision Unit makes an overall control on schedule and quality of implementation of resettlement and removal and construction of special installation as well as release and use of resettlement fund, and carries out an acceptance for completed works to ensure resettlement works smoothly accomplished according to quality requirement and plan of implementation schedule. 1) Explain Implementation Plan Report and Construction Drawings of resettlement to resettlement organizations of all levels and relocatees, and supervise removal and production arrangement of relocatees as well as construction of special installation as required of Contract documents, Construction Specifications and construction drawings. 2) Approve and make a joint examination of resettlement plan, complementation plan, construction drawings and modified resettlement documents prepared by resettlement organizations in county or village (town) as Contract stipulated. 3) According to requirement of planning report, Contract and construction drawings, implement a proof test to transportation facilities, building materials and special equipment used by resettlement as well as install quality, and supervise resettlement organizations to submit design documents, completion report and testing data on files for future reference. 4) According to requirement of planning design documents and construction drawings, draft and issue implementation requirement to resettlement organizations, relocatees and building Contractor, and reply all kinds of questions raised by resettlement organizations and building Contractor during construction. 5) Check and account appropriation plan and payment amount, and pay with the approval of the Owner. 6) According to requirement of supervision, fill in all types of specified forms that will form technical files of supervision together with other technical files. 3.2.6 Monitoring & Evaluation Unit of Resettlement

As an independent external M&E unit, Hunan Yuhui Hydraulic and Hydropower Construction Supervision and Consulting Co. Ltd have responsibilities as follows: M&E of resettlement is an effective management means. Independent monitoring is to provide evaluation of resettlement and inspect overall implementation work in an extensive and far- reaching viewpoint to evaluate whether goal of resettlement has been achieved. Independent monitoring agency will track resettlement activity, put forward evaluation opinions and suggestions on overall process of resettlement and recovery conditions of standard of production and living of relocatees as well as provide early warning system to Engineering Management Department and provide advice-reflect channel to relocatees to ensure resettlement planning and implementation accord with requirement of national and local relevant regulations and rules, so that all the expected goal of resettlement can be achieved. 3.3 Operation Conditions of Organizations 3.3.1 Personnel Allocation 1) Management Office of Xiangjiang Tugutang Navigation and Hydropower Complex is established by Project Entity in Yunji Town, Hengnan County. Department of Reservoir Area is branched under Management Office and is responsible for resettlement. Department of Reservoir Area is composed of 4 experienced staffs and director of the department is acted by Mr. Gan Maohui, Vice Director of Management Office. 2) Resettlement Leadership Team of Tugutang Navigation and Hydropower Complex in Hengyang City with team leader acted by Vice Mayor in charge of agriculture in Hengyang, Mr. Chen Jin. Office is branched in Leadership Team, which is established inside Resettlement Bureau in Hengyang City. Director General of the Resettlement Bureau also acts as Office Director and Mr. Liu Liangqi, Engineer-in-Chief takes charge of routine work in the Office equipped with 3 professionals. 3) Hengnan County sets up Coordinate Headquarters for Tugutang Navigation and Hydropower Complex. Yang Hongfeng, county party secretary, as political commissar; Zhu Shijun, standing Deputy County Chief, as commander; Jiang Changfu, Deputy County Chief, as deputy commander. Four functional departments of office, engineering technology, land acquisition and demolition and finance are branched under Headquarters with 15 staffs including 9 professionals. 4) Changning City sets up Coordinate Headquarters for Tugutang Navigation and Hydropower Complex. Vice Mayor in charge of agriculture, Mr. Wang Yihua, acts as leader of Leadership Team and Office is a branch under Leadership Team. The Work Office is set in Resettlement and Development Bureau of Changning City, and the Office includes three working teams, i.e. Resettlement Team, Engineering &Technical Team, and General Affair Team with 10 staffs, 5 professionals included. 5) Leiyang City setup a Leadership Team for resettlement work of Tugutang Navigation and Hydropower Complex. Mr.Li Xiangyang, Mayor also acts as Leader of the leading group. The

leadership team includes four offices, i.e. resettlement and land acquisition office, engineering & technical office, policy and laws office, and financial office, with 8 staffs including 4 professionals. 6) Hunan Hydro & Power Design Institute is design unit of resettlement, which establishes Design Representative Group of Xiangjiang Tugutang Navigation and Hydropower Complex in Yunji Town, Hengnan County with 4 professional staffs in the group. 7) Hunan Xiangyi Resettlement Supervision Consultant Co. Ltd.is a comprehensive supervision organization of resettlement, which establishes comprehensive supervision department in Administration Department of Tugutang Complex and includes 4 staffs in supervision department composed of 1 General Supervising Engineer, 2 Supervising Engineers and 1Supervisor. 8) As an independent external M&E unit, Hunan Yuhui Hydraulic and Hydropower Construction Supervision and Consulting Co. Ltd establishes M&E Department in Yunji Town, Hengnan County with 4 staffs which include 1 resettlement engineer, 2 engineers and 1 supervisor. 3.3.2 Installation Outfit Corresponding installations, i.e.office occupancy, vehicles, office facilities and communication equipment are outfitted in resettlement implementation organizations of all the levels. 3.3.3 Personnel Training To ensure smooth implementation of resettlement of Tugutang Navigation and Hydropower Complex, in early July of 2016, Hengyang Resettlement Bureau organized resettlement management staffs in the three cities (counties) to carry out one technical training seminar with more than 30 person-times received training. In late July of 2016, Management Organization of Resettlement of Hengnan County organized staffs to present a technical training, with 10 person-times received training. In August of 2016, Management Organization of Resettlement of Changning City organized staffs to present a technical training, with 10 person-times received training. In August of 2016, Management Organization of Resettlement of Leiyang City organized staffs to present a technical training, with 8 person-times received training. In Dec.2016, the construction unit organized working-age workforce in Binghe Village of Yunji Town to participate training of aquaculture skills, with 80 person-times received training. Meanwhile, to further strengthen communication and coordination of all parties, Resettlement Bureau of City-level will organize to hold monthly Joint Summary Conference in order to greatly improve management staffs of resettlement capacity of coordinating and handling problems and bring positive effect to smooth advancing resettlement work in reservoir area. Professional training not only improves overall quality of the management personnel of resettlement, but also promotes management level of implementation of resettlement. Management personnel of resettlement learn and grasp resettlement policy, laws & regulations and various professional knowledge, so that they can guide production and development of

relocatees and organize implementation of project so as to assist relocatees in poverty alleviation on the premise of feasibly carrying out various policies and guidelines of resettlement of the Party and the nation. 3.3.4 Evaluating Operation Conditions of Organizations Resettlement organizations of Tugutang Navigation and Hydropower Complex have reasonable personnel structure, perfect installation outfit, successful personnel training and overall strong capacity of implementing resettlement plan by resettlement management personnel.All constructional- participation units should consistently learn ADB policy requirement of resettlement, better communicate with related ADB experts to update information of resettlement, overall promote management level and strengthen capacity construction of mechanism. 4 Monitoring & Evaluation of Measures on Restoration of Living Standard of Relocatees 4.1 Restoration Plan of Living Standard of Relocatees According to approved Resettlement Planning, for relocatees who have lost lands, measure on production arrangement, providing employment opportunity during project construction, training of employability skills, allocation of living subsidy during interim period can be taken to ensure living standard of the relocatees recover to that before land acquisition with gradual improvement. In manner of monetary indemnity, production arrangement can be carried out in the following measures: compensation fund can be used to improve current cultivated land and plantation structure by relocatees to gradually increase living standard; arrangement fund can be used to expand productive scale or engage in service industry by relocatees to improve living standard; adjusting arrangement of cultivated lands can be adopted to plant crops for relocatees in beneficial of that very year; compensation fund for lands can be used to improve plantation structure and irrigation conditions to make living standard of relocatees better than before. Before implementing production arrangement, living standard of relocatees cannot reach that of before; standard of living subsidy of 1000 Yuan/person is planned during interim period with time limit of one year. Construction in dam area of the Complex and special & protective works in reservoir area needs great deal of labor forces and over 4000 employment opportunities can be provided in construction of these works. Production skills training of relocatees mainly trains cultural knowledge and practical technology to relocatees. Training of relocatees mainly adopts methods of short-term training in combination with focused technical training. Various trainings of practical technology are carried out to make certain relocatees grasp one or two practical techniques, and they shall leading other relocatees for common development and increasing of produciton and income. 4.2 Implementation Conditions of Recovery Measures of Living Standard of Relocatees In order to provide more employment chance and income resource for the relocatees, the project management department provide training and non-technical work for the dam & reservoir

area, and kiloton terminal area during construction. According to the investigation on the relocatees at dam & reservoir area, and kiloton terminal area, the project construction attracts many workers come to Pengci village, Binhe village, and Shucai Village Songbai kiloton terminal area, running canteen, restaurant, gasoline station, and house rent to increase their income. Firstly, the project department signed some employment contracts with the local villagers, including wall painting, slope protection, wood & cement work, garden greening and maintenance, which involves in contract amount of 3.8 million Yuan. The camps at left bank of dam area and access road of borrow area are contracted by the Binhe village committee, which is amounted to be 11.60 million Yuan. Signed contract (13.4 million Yuan) with Xiangyang County government, employing local villagers to undertake the bank protection,road surface hardening and earthwork nearby. Secondly, the villagers from Pengci village and Zuchogn Village of Xiangyang Town and Binhe village of Yunji Town in Hengnan County are responsible for earth transportation from land reclamation in Bid section I, II & III, and auxiliary works, such as access road, drainage ditch, slope protection, which involving investment of 3.6 million Yuan, resolving labour output more than 100 people. Thirdly, the cleaning and water spray of road surround the reservoir construction area is contracted to the local villagers, with service fee 600 thousand Yuan, resolve the employment of more than 30 local elderly people and women. Fourthly, The reservoir area involves in 252 special works, such as bank protection, culvert gate, reclamation, road, and bridge, with total investment of 280 million Yuan. during the construction period, more than 4000 local villagers are employed, achieve complete coverage of the workforce. The production technology training is also in progress, besides, the government will provide 600Yuan to each affected relocatee as follow-up support funds (provide for 20 years, used for direct economic compensation for project development; the compensation schemes in Hengnan, Changning and Leiyang have been checked and reported to provincial government for approval) in Dec., 2017. It is suggested that the construction unit put follow-up support fund into practice immediately after completion of unit projects. Therefore, this evaluation shows that after built of dam area, reservoir area, and Songbai kiloton terminal area, the living standard of affected people are not lower down compared with the period before land acquisition, on contrary, it is constantly improving. 4.3 Evaluation of Recovery Conditions of Living Standard of Relocatees According to the sample survey on relocatees in Hengnan, Changning and Leiyang, the resettlers responded positively to Development Concepts of Innovation, Coordination, Green, Openness and Sharing, as well as the rural vitalization; rural revitalization strategy of the Central Government. Through methods of land transfer, migrant working, entrepreneurship, urban business, rural tourism, their economic income has been greatly improved. Based on the sample survey on production and living conditions in resettlement villages, the 2012 annual per capita net income of the resettlers is 15,400 Yuan. Up to now, the annual per capita net incomes in Hengnan, Changning and Leiyang are respectively 24,960 Yuan, 25,600 Yuan and 26,780 Yuan (refer to

Annex Table 6-8). Annual increment in this three counties (cities) is 39.8%, the growth range is higher than the province's and city's per capita level. Every household has purchased refrigerator, color TV, washing machine, part of the families has bought agricultural machinery and equipment. The monitoring shows that implementation of the Project has improved living quality of the resettlers in general, the ecological environment has been improved overall, and the economic incomes have been greatly increased.This evaluation believe that the government's protection policies for resettler's rights and interests are relatively perfect. It suggests to further strengthen the training on aquaculture industry, tea-oil tree planting and special agriculture, so as to lay a solid foundation for promoting economic income by making use of reservoir to develop breeding industry and special agriculture in the later period. 5 Alteration of Access Road at Songbai Kiloton Terminal and Execution Songbai Kiloton Terminal is located in Songbai Town of northern Changning City. It is on the right bank of middle Xiangjiang River and is about 16km upstream Tugutang Complex. The terminal has one 105m long berth, the length of berth apron is 80m. In the original design scheme, the inlet and outlet is at the village road with low-grade and narrow road, which is the only passageway for the 3,000 residents nearby; traffic and pedestrian flows are relatively large, and there are more than 60 households closing to the road; lots of facilities and landscapes along the road will be damaged; more difficulties in land acquisition and demolishing. In addition, there would be lots of potential risks due to mixing of people and vehicles for terminal and access road construction. Meanwhile, dusts and noise during the construction period would have large impacts to production and living of nearby residents. secondly, lots of potential risks for transportation in and out of the terminal. The terminal entrance (OP) is designed to locate at the gate of Songbai Fertilizer Plant, which forms a junction with existing village road and Songwa Road. Traffic flows from these three directions joint together and would easily result in traffic jams. In addition, more than 3,000 residents and workers pass these areas in the meantime, which would result huge potential risks. Thirdly, the advantage of saving investment is not obvious. Comparing to connecting with existing village road, the scheme of connecting Songwa road (provincial road) from about 500m south to the terminal outlet (KL) only increases investment of no more than three million Yuan. Meanwhile, the new scheme can in connection with the 0.5 million-ton Gold-Copper Project, which is in favor of the Terminal development. Therefore, Changning government organized related people to investigate at site, and widely solicited opinions from local villagers, afterwards, issued the Changning Government Document [2013] No.66 to HXND (present HWTCIG), pointing out to modify the construction scheme of access road of Songbai kiloton terminal. The construction unit paid high attention to the issues proposed by local villagers in terminal construction area, and organized relevant units and experts to hold a joint meeting in Nov.19th, 2013 on adjustment of access road to Songbai Kiloton Terminal. The meeting has considered the reasonable opinion of local government, select new site for the terminal access road, and urge

Hunan Communication Design Institute to submit alteration drawing. Hunan Hydropower Design Institute (HHPDI) and resettlement supervisor have re-investigated to the physical index within the land acquisition scope (including terminal area and access road) of the modified Songbai kiloton terminal, HHPDI also modified some chapters in the original planning report about planning of land acquisition and resettlement at Songbai kiloton terminal. a) After alteration, the Songbai kiloton Terminal of Changning city take permanent land acquisition of 41.16 mu, including paddy field 31.65 mu, pond water surface 5.2 mu, inland tidal flat 2.13 mu, rural residential land 1.2 mu and transportation land 0.99 mu. The terminal access road is 471m long, 11m wide, involves in 2 villages (Qingnian village, Shucai village) and 9 villager group (Li group and Xinmin group in Qingnian village, Laosi group, Tianjia group, Tangjia group, Laowu group, Si group, Hujia group, and Mutang group in Shucai village). In order to accelerate water transport development, achieve water transport between north and south, stimulate commodity circulation, promote local economy, the people in Qingnian and Shucai village vacate the land voluntarily to support the terminal construction. b) Evaluation of land acquisition activity The monitoring personnel considered that after land acquisition at construction area of kiloton terminal, the per capita cultivated land for the 2 groups in Qingnian village is more than 0.5mu, and for the 7 groups in Shucai village is more than 0.3mu. Moreover, most young rural labors work outside, there is no complain happens, the construction area keep social stability. c) Compensation of land acquisition and house removal After the scheme alteration, the permanent land acquisition in Songbai kiloton terminal is 41.16mu, including paddy field 31.65mu, pond 5.2mu, relocated rural population 7 households of

33 people, house removal 2020.86 ㎡ (including public house 60 ㎡, private house 1960.86 ㎡).

Based on the new design alteration drawing, the construction company organize related unit in Changning city have re-investigated to the physical index within the land acquisition scope (including terminal area and access road) of the modified Songbai kiloton terminal, and make statistic, publicity, review, amd confirmation, giving confirmation as per the standard for reservoir area. Overall cost for compensation of land acquisition of Songbai Kiloton Terminal after such alteration has been amounted to 5.2337 million Yuan, including compensation cost of rural resettlement of 3.3175 million Yuan, compensation cost of special facilities of 0.7647 million Yuan, other costs of 0.4127 million Yuan, basic reserve cost of 0.3596 million Yuan and related taxes and charges of 0.3792 million Yuan. By the end of the fifth monitoring and evaluation period (Dec.2015), each compensation of kiloton terminal has been appropriated as per agreement. According to the site investigation on the relocated residents they are very satisfied with the terminal construction and resettlement (one household is willing to building house by himself; the other six households have abandoned their old house, and bought new house at other place).

6. Evaluation of Aid to Vulnerable Groups 6.1 Status Quo of Vulnerable Groups Based on data provided by local government, conditions sampling-surveyed by Monitoring Staff and the 6th Nationwide Census Data, affected area of engineering construction of Tugutang Navigation & Hydropower Complex includes 2 towns, 4 villages and 18 groups with agricultural population of 2210(some relocated to urban area), including females of 1040, accounting for 47%, 469 persons with ages from 0 to 14, accounting for 21.22%, 204 persons with ages above 65, accounting for 9.23%. 6.2 Vulnerable Groups Aid Plan According to requirement of Asian Bank,aid plan of vulnerable groups of the Complex uses Gender Action Plan, mainly including: 1) Tugutang Navigation and Hydropower Complex: during construction and operation of the Complex, local labor forces are employed and at least 20% employment opportunities are provided to female labor forces with corresponding training provided and equal pay for equal work between females and males; 2) Construction of Berths in Songbai Terminal: Public consultation is carried out on construction of the Complex with at least 50% of participant of females and low-income groups; vocational educational organizations are employed to provide non-agricultural skill training to local females and at least 500 trained females in the terminal area can obtain employment or self-employment; 3) Capacity Building of Navigation Management Organizations: Person specially assigned in shipping company to be responsible for implementation of Gender Action Plan; what's more, 80% of company staffs need training to accelerate gender awareness. 4) Prevention and Propaganda of AIV and Aids; 5) Safeguard of laborer's authority; 6) Corresponding requirement in Resettlement Plan. 6.3 Assistance Implementation of Vulnerable Groups 1. Tugutang Navigation and Hydropower Complex: HPWTCIG has organized 227 females to receive agricultural and non-agricultural technical trainings, including plantation of lotus root, fish culture, rear service and catering services. Among the 227 training-received females, totally 99 are employed in this project. During construction of dam area, reservoir area and other areas, quite a part of local labor forces are employed. There are females who participate simple labors with less technical skills, and reasonable reward has been paid (details in Chapter 4.2). 2) Official Operation of Songbai Terminal According to conditions seen and consulted on site of Songbai Port by Monitoring Staff, ratio for population of low-income who participate in engineering is higher and 12 females participate in rear service of project department (store management, catering and office work). In 2014, cooperated with Resettlement Bureau in Changning and Songbai and Women Federations, HPWTCIG held a Women and Children Aid

Conference to express sympathy to 12 poor villagers and 12 underprivileged children in Shucai Village and a student grant of RMB 6000 yuan was allocated. Vocational educational institution was employed to provide skill training to low-income groups and females and this has been developed persistently since 2013. On February 1st, 2015, Women Federations, Resettlement Bureau and relevant Principals in Songbai Town and parts of villagers and female representatives in Shucai Village were organized in a symposium,consulting Implementation Plan of Assistance of Women and Children in Changning City. After the symposium, 7 households of resettlers have been visited with subsidy of RMB 2000yuan granted to each household. Total amounts are RMB 14,000 yuan. In March, 2016, 86 working-age population was organized in construction area of Songbai Terminal for employment skills training. 3) Capacity Building of Navigation Management Organization: During investigation, ADB Inspection Team believes partial staffs in Management Office of Tugutang Complex of HPWTCIG, who in charge of resettlement, not familiar with ADB policy of resettlement. During consulting on site, HPWTCIG is known in fact, that has maintained strict relation with ADB and World Bank during construction of many projects before with better knowing resettlement policy of ADB and World Bank. 4) Prevention and Propaganda of AIV and Aids: Since commencement of project construction, HPWTCIG has consistently developed prevention and propaganda of AIV and Aids together with local hygiene department and provided physical examination to associated personnel free of charge. 5) Protection of Laborer Rights: Rights of laborer can be better guaranteed based on Labor Law together with local labor supervision department. Laborers can propose complaints to labor supervision departments and local government. PMO of HPWTCIG are actively planning and preparing to establish a set of efficient Complaint and Grievance Mechanism (The complainant will directly report to associated Principal of construction unit) to enable rights-protection-related problem of laborers better solved for the first time. 6) Associated requirement in planning of resettlement: Compensation shall be given to household with per capita living space less than 25m2to complement 25m2 housing area of wood and brick. Balance-subsidy shall be allocated for group of villagers who obtains less land compensation than investment necessary for production arrangement. Data based on HPWTCIG: From Year 2012 to Year 2016, three consultations were held by HPWTCIG, and six gender awareness training workshops were organized in Changsha, Hengyang Municipality, and Hengnan county with 326 representatives from HPWTCIG, Governmental Competent Department of resettlement, women federations, disease control centers, and contractors participating in. HPWTCIG together with Resettlement Bureau in Hengyang City, Women Federations in Hengyang City and associated units in Hengnan County, Changning City and Leiyang City, developed Women and Children Aid Implementation Plan in reservoir area, dam area and Songbai Kiloton Terminal and paid a return visit on effect after implementation of the plan with satisfaction

shown by the beneficiary. In 2013,student grant of RMB 10000 Yuan was paid to 20 poverty students (including 12 female students).On September 19th of 2014,partial staffs of HPWTCIG are organized to attend a Gender Awareness Symposium at Changsha and totally 34 staffs listened to the symposium. In June of 2015,Hengnan County and Changning City organized skill training on 60 women of the right age associated to catering, sanitation and so on. And 18 women were recommended for employment. In March of 2016, Changning City organized 86 women of the right age to participate in training of nurturing fine breed tea-oil trees. And 16 women were recommended for employment. In Dec.2016, HPWTCIG organized 80 working-age workforces in Binghe Village of Yunji Town to participate in skill training of fruit and rape plating and aquaculture, and recommended employment to 20 persons. In Jan, 2017, 62 persons participated aquaculture skill training for resettlers in dam area for the purposes of promoting aquaculture development and cultivating leading farmers and households in resettlers of Tugutang Complex Project. 7 Relocatee Complaint and Grievance Mechanism Evaluation 7.1 Existing Grievance Mechanism 1) Grievance Channel --- set citizen complaints offices of all levels such as county, city and province for relocatees to receive, survey and deal with general grievance issues of relocatees; --- the resettlement management organizations of all levels such as province, city and town, being set up according to the laws, should perform the resettlement right of supervising the lower level and handle the resettlement grievance issues; --- the independent resettlement supervision or monitoring organization shall monitor the resettlement implementation due to relevant national regulations, have the duty to protect the relocatee's legal interests, handle and report the grievance of affected relocatees to relevant organizations; --- legal branches such as the administrative supervision, auditing, discipline inspection, judicial and procuratorial departments are set for all levels of national, provincial, city and county, to handle the resettlement cases violating laws and disciplines. 2) Complaints procedure The relocatees can report their resettlement complaints to the village committee. The village committee (or the relocatees) can negotiate with local resettlement implementation organization directly, can also make complaints to upper level resettlement implementation organization orally or in written form. The upper resettlement implementation organization will record the complaints after receiving them, and shall discuss and solve them with the village committee and local resettlement implementation organization within 10 days. In the case the contradictions and disputes cannot be solved by negotiation, the village committee shall make complaints to the administrative organs with jurisdiction level-by-level (such as project office, resettlement administrative organization, resettlement supervision and monitoring organization, citizen complaints office, administrative supervision, discipline inspection and procuratorial departments)

by complaint channel according to the Administrative Procedure Law of the People's Republic of China, and can file a lawsuit to the People's Court when the solving results are not satisfied. The village committee can also file lawsuit to the People's Court directly. The resettlement implementation organization shall record and file all the complaints and solutions. According to the supervisors' on-site investigation, all the affected persons said that they have known the complaint mechanism propaganda, the complaint channel and procedure. 7.2 Grievance Redress Mechanism According to ADB requirements and resettlement situations, high-efficient grievance redress mechanism shall be established in reservoir office of administration department of Tugutang Complex. Based on information collected, Mr. Gan Maohui in Reservoir Office acts as the principal of complaint treatment center, and Hengyang resettlement office appointed Mr.Liu Liangqi to contact with the complain treatment center, and Changning resettlement office appointed Mr. Lei Jide to contact with the complaint treatment center. Contact information and complain procedure have been disclosed to the relocatee in affected area through method of posted notices. On this basis, HPWTCIG also built contact network for complaint reporting and agencies and personnels are appointed to handle letters and visits from the masses. The Grievance Mechanism more efficiently deals with the relocatee complaints and provides public resettlement consultation, thus HPWTCIG will get more understanding to the relocatees' willing and the construction affect, and could timely take measures to eliminate this affect to the greatest extent. According to field consultation, the affected people expressed great satisfaction with the complaint mechanism and procedures. 7.3 Complaint Record According to inspector's statistic, from January to June of 2018, the resettlement organization at every level has received resettlement complaints of 4 cases,and all cases have been resolved. Tugutang PMO of HPWTCIG has received 2 complaint cases, all have been resolved. Hengnan County Tugutang construction headquarter received 1 complaint case, which has been resolved. Changning Resettlement office received no complaint. Leiyang Resettlement Office received 1 complaint case, which has been resolved. The relocatees' complaints can be basically summarized into the following categories: 1) Arrangement of foot bridges and machine-cultivated bridges in the uplifting area; 2) newly increased revetment issues in the reservoir area; 3)Other issues. Typical resolutions to relocatee's complain during this monitoring period:

1）Arrangement of foot bridges and machine-cultivated bridges in the uplifting area: as to facilitate the villager's production, living and agricultural mechanized production in the reservoir area, the HPWTCIG and the resettlement leading group of Hengnan County, Changning County and Leiyang County have performed several times of field survey and negotiation, and ask for the

local villager's opinions, and confirm the bridge building position. At present, the design, budget, construction drawing review and the bidding works have been completed, and the project is under construction.

2）Newly increased revetment: the newly increased revetment of Leiyang City has been completed and passed the unit project acceptance, that in Hengnan County and Changning County is under implement, and is predicted to be completed at the end of Oct., 2018. 7.4 Appeal effectiveness According to investigation of monitoring personnel, the reasonable appeals are treated by each organization. regarding the unresolved issues, it could give explanation. The complainant are satisfied with the treatment result, our monitoring team will follow up construction of special works in reservoir area and restoration of transporation. 8. Public Participation and Information Disclosure Evaluation 8.1 Public participation The planning and implementation of this project relate closely with the public participation. There are members from local groups attended the physical index investigation during planning stage, and make disclosure and verification after investigation (3 times disclosure and two times verification), when the public has no objection to the index, it will be confirmed by the group, village, town, and county (city) step by step. The resettlement method in the Resettlement outline and RP is also first advised by the local relocatee, and then prepared by the design institute as per advice, afterwards, will hold county and city hearing, listen to the public suggestion, at last modify and improve the document. Many design scheme are also defined by public meeting, for instance, land requisition compensation, house demolition compensation, alignment adjustment of Songbai Kiloton Terminal, Complaint and Grievance Mechanism, water system restore scheme at dam area, protection scheme of Quanxi ancient well, renovation scheme of reservoir culvert, renovation scheme of water intake well of Lijiang tap water factory, protection of ancient trees in Dazhou Island, reservoir bank protection and uplifting works, and compensation scheme of Qinren Hydropower Station, arrangement of foot bridges and machine-cultivated bridges in the uplifting area and the newly increased revetment issues in the reservoir area; The resettlement for this project represent the public intelligence. The compensation reimbursement is also done by local resettlement organization, participated by town, village group, and ownership personnel, hold meeting to work out the allocation scheme, and then reimburse the compensation. During compensation reimbursement, 2 representatives from county (city) management organization, 1 ～ 2 township government representatives and leaders from involved group participated. When verify the compensation amount, the head of household or ownerhship unit representative (more than 2 people) participated. 8.2 Information Disclosure Before physical index investigation, Hunan government issues Construction Banning Notice

to the whole inundation affected area, to inform the local residents about the matters related to project construction; the local government disclose the project-related information through TV, broadcast, network, mobile louderspeaker and brochure. After physical index investigation, made three times disclosure to the public, and then confirmed by each authorization level. During construction, the local government discloses the compensation standards to the affected people. (See section 2.7.1). During compensation reimbursement, it has disclosed and rechecked the physical index quantity, compensation standards, and compensation amount, and distribute the fund in batches after getting signature (with seal) of all the owners, groups, villages, and towns. In case of construction that might affect the public safety (such as blasting, transportation of uplifting soils), it also give the notice of affected scope, and inform the public to take safety measures during this period, thus it assured the people's life and property safety at the greatest extent. 8.3 Follow-up Work Expand disclosure to the follow-up information as per Resettlement Plan. Regarding the rebuilding transportation facilities surrounding the reservoir, it shall continue to listen to the local villagers' opinions and carry out the work as per these opinions. 9 Results of Monitoring and Evaluation 9.1 Assessment of Resettlement Implementation Permanent Land Requisition: land requisition at dam area, reservoir area, Songbai Terminal construction area, and New Water Source construction area have been all completed, which assures navigation, impounding and power generation of Tugutang Complex. House removal: house removal at dam area, reservoir area, and dock construction area have been completed, which achieves the goal. Resettlement: production resettlement at reservoir area and dam area, and house removal are all complied with the schedule, which meets needs of the project construction. Temporary land requisition The temporary land requisition meet schedule requirement, the compensation for requisitioned land has been paid, the affected people have no complaint to it. The temporary occupied land in the reservoir area is 2572.13mu (thereof Hengnan County of 1976.09mu, Changning City of 414.62mu, Leiyang City of 181.42mu). The land rehabilitation has been completed at the end the ninth monitoring period (end of Dec., 2017), and has been cultivated by the local villagers. Construction of Special Facilities: Although the construction progress of the second batch uplifting works was slow due to the weather, the works are completed with quality and quantity. Compensation payment The compensation standard for this project complies with law and regulation. The appropriation of compensation fund is open and transparent with no withholding. The affected people are clear to the sum of compensation fund with no disagreements.

9.2 Resettlement Implementation Organization and Its Operation Assessment The resettlement organization has reasonable personnel configuration, complete equipment, and sufficient training. The management personnel has strong ability for implementing the resettlement. 9.3 Monitoring and Assessment of Relocatee Living Restoration It is evaluated that the living standard of affected people in the dam area, reservoir area and construction area of Songbai Terminal has been greatly improved compare to that before land requisition. 9.4 Assessment of vulnerable groups Assistance Gender Action Plan of this Project is complied with ADB requirements. HPWTCIG takes the lead and completes the target tasks by advocating the local government, the enterprise and the social power. 9.5 Assessment to Relocatee Complaint and Grievance Mechanism The Complaint and Grievance Mechanism is complete, the complained issues can be received and treated timely. It suggested to promote the treatment efficiency,further improve complaint channels, and establish a high-efficient Complaint and Grievance Mechanism. 9.6. Public Participation and Information Disclosure Evaluation The affected people have the information right and participation right. The participation and information disclosure reach a higher degree. It suggests taking more channels to assure the people at different level could have a thorough understanding to the construction information. 9.7 Problems and Follow-up Work 1) Timely follow up the process of handling unsettled resettlement issues. 2) Quicken the progress of the foot bridges and machine-cultivated bridges in the uplifting area. 3) Accelerate settlement and audit of special facility works in reservoir area. 4) Fully prepare the project handing over such as collect the resettler's information, classify the data and settle the files. 10. Compliance of Loan Agreement

Main agreements for resettlement implementation in No. Compliance Loan Agreement

Complete land approval and land requisition according 1 to project schedule so that the Contractor can access Conform. the site for construction on time.

The carrying-out of resettlement shall conform to national laws and regulations, ADB security policy, and 2 Conform. all the measures and requirements in the resettlement plan.

3 Before land requisition and relocation (1) pay the Conform. compensation fund; (2) make livelihood recovery

measures and production resettlement scheme according to the requirements of resettlement plan; (3) get the agreement of the affected people, confirm the relocation place of affected village and group.

The inundation of country road and infrastructures due 4 to project operation and other negative effects shall be Conformed handled and restored timely and effectively.

The project unit shall timely notify ADB the decisions 5 about building bridges near Tugutang Navigation and Conform. Hydropower Complex.

During project implementation, any significant change about resettlement influence shall notify ADB timely. 6 Conform. The resettlement plan shall be modified and reported to ADB for approval if necessary.

The project unit shall have enough staff and budget (with special social and safeguard policy 7 Conform. implementation department) to carry on resettlement according to the resettlement plan.

Employ an individual external monitoring mechanism to prepare the semi-annual monitoring report and disclose 8 Conform. the relevant information to the affected people within 3 months after the loan comes into effect.

Within 3 months after the loan comes into effect, set up grievance and complaint mechanism according to the 9 resettlement plan to solve the disputes and Conform. disagreements about resettlement and make written records.

Attached Table 1 Summary of Permanent Land Acquisition Inundation influence land occupation of project Residential base requisition Total This This This This Planned Cumulative Planned Cumulative Planned Cumulative Planned Cumulative Land Type Period Period Period Period Remark (% of (area-mu) (area-mu) (area-mu) (area-mu) total) Total 4959.23 4959.23 1501.88 1504.58 14.37 13.86 6475.48 6477.67 100.03% I Reservoir area 4959.23 4959.23 637.52 637.52 8.96 8.96 5605.71 5605.71 100.00% Collective Land (By 4959.23 4959.23 637.52 637.52 8.96 8.96 5605.71 5605.71 100.00% Category) subtotal 1496.35 1496.35 373.03 373.03 8.96 8.96 1878.34 1878.34 100.00% Paddy 1047.09 1047.09 369.62 369.62 8.96 8.96 1425.67 1425.67 100.00% Field Farmland Dry land 134.92 134.92 3.41 3.41 138.33 138.33 100.00% Flood 314.34 314.34 314.34 314.34 100.00% Land Water area and land for 281.8 281.8 281.8 281.8 100.00% water facilities Garden Plot 8.5 8.5 8.5 8.5 100.00% Forest Land 639 639 3.8 3.8 642.8 642.8 100.00% Grassland 2510.61 2510.61 230.84 230.84 2741.45 2741.45 100.00% Other lands 22.97 22.97 29.85 29.85 52.82 52.82 100.00% II Dam area 818.45 818.45 3.7 3.7 822.15 822.15 100.00% Collective Land (By 1 741.87 741.87 3.7 3.7 745.57 745.57 100.00% Category) subtotal 475.13 475.13 3.7 3.7 478.83 478.83 100.00% Paddy Farmland 449.31 449.31 449.31 449.31 100.00% Field Dry land 25.82 25.82 3.7 3.7 29.52 29.52 100.00% Water area and land for 24.8 24.8 24.8 24.8 100.00% water facilities Forest Land 186.2 186.2 186.2 186.2 100.00% Grassland 53.36 53.36 53.36 53.36 100.00%

Attached Table 1 Summary of Permanent Land Acquisition Inundation influence land occupation of project Residential base requisition Total This This This This Planned Cumulative Planned Cumulative Planned Cumulative Planned Cumulative Land Type Period Period Period Period Remark (% of (area-mu) (area-mu) (area-mu) (area-mu) total) Other lands 2.38 2.38 2.38 2.38 100.00% Residential 2 8 8 8 8 100.00% land 3 Other land 68.58 68.58 68.58 68.58 100.00% Changed III kiloton dock 57.27 17.31 57.27 1.71 0.51 1.71 58.98 17.82 58.98 100.00% Contract construction area Price Collective Land (By 57.27 17.31 57.27 1.71 0.51 1.71 58.98 17.82 58.98 100.00% Category) Paddy 31.65 31.65 1.71 0.51 1.71 33.36 0.51 33.36 100.00% Field Farmland Flood 2.12 2.12 2.12 2.12 100.00% Land Water area and land for 5.2 5.2 5.2 5.2 100.00% water facilities Grassland 17.31 17.31 17.31 17.31 17.31 17.31 100.00% Other lands 0.99 0.99 0.99 0.99 100.00% IV New Water Source 8.65 8.65 8.65 8.65 100.00% Construction Area Collective Land (By 8.65 8.65 8.65 8.65 100.00% Category) Paddy 7.61 7.61 7.61 7.61 100.00% Farmland Field Dry land 0.64 0.64 0.64 0.64 100.00% Other lands 0.4 0.4 0.4 0.4 100.00%

Schedule 2 Summary of Housing Demolition Hengnan County Changning City Leiyang City Total This This This This Planned Cumulative Planned Cumulative Planned Cumulative Planned Cumulative Structure Type Period Period Period Period Remark (% of (area - m2) (area - m2) (area - m2) (area - m2) total) Total 9122.63 9145.83 5953.35 5953.35 4318.52 3065.56 18864.46 18164.74 96.29% 7 households changed to I Reservoir area 2924.7 3206.3 3932.49 3932.49 4318.52 3065.56 11175.71 10204.35 91.31% protection in Leiyang

Private 1519.77 1801.37 2249.42 2249.42 3946.96 2694 7716.15 6744.79 87.41% Framework 45.5 45.5 167.89 167.89 56.78 56.78 270.17 270.17 100.00% Brick-masonry 688.6 688.6 1538.85 1538.85 1439.21 533.94 3666.66 2761.39 75.31% Masonry-timber 117.13 117.13 23.33 23.33 1651.22 1328.78 1791.68 1469.24 82.00% earth-timber 2.24 2.24 2.24 2.24 100.00% Miscellaneous 668.54 668.54 519.35 519.35 305.28 280.03 1493.17 1467.92 98.31% Room Basic 281.6 492.23 492.23 492.23 773.83 157.21% Public 1404.93 1404.93 1683.07 1683.07 371.56 371.56 3459.56 3459.56 100.00% Brick-masonry 1227.48 1227.48 1173.94 1173.94 334.9 334.9 2736.32 2736.32 100.00% Masonry-timber 146.14 146.14 399.25 399.25 545.39 545.39 100.00% Miscellaneous 31.31 31.31 109.88 109.88 36.66 36.66 177.85 177.85 100.00% Room II Dam area 5939.53 5939.53 5939.53 5939.53 100.00% Private 5778.63 5778.63 5778.63 5778.63 100.00% Brick-masonry 2597.85 2597.85 2597.85 2597.85 100.00% Masonry-timber 1955.05 1955.05 1955.05 1955.05 100.00% earth-timber 261.02 261.02 261.02 261.02 100.00% Miscellaneous 964.71 964.71 964.71 964.71 100.00% Room Public 160.9 160.9 160.9 160.9 100.00% Brick-masonry 160.9 160.9 160.9 160.9 100.00%

Schedule 2 Summary of Housing Demolition Hengnan County Changning City Leiyang City Total This This This This Planned Cumulative Planned Cumulative Planned Cumulative Planned Cumulative Structure Type Period Period Period Period Remark (% of (area - m2) (area - m2) (area - m2) (area - m2) total) Changed III kiloton dock 258.4 2020.86 2020.86 2219.26 2020.86 91.06% Contract construction area Price Private 258.4 1960.86 1960.86 2219.26 1960.86 88.36% Brick-masonry 258.4 338.4 338.4 596.8 338.4 56.70% Masonry-timber 1201.3 1201.3 1201.3 1201.3 100.00% earth-timber 250.62 250.62 250.62 250.62 100.00% Miscellaneous 170.54 170.54 170.54 170.54 100.00% Room Public 60 60 60 60 Brick-masonry 60 60 60 60

Schedule 3 Table of Land Acquisition and Resettlement Influence Hengnan County Changning City Leiyang City Total Actual Actual Actual Actual Planned This Cumulat Planned This Cumulat Planned This Cumulat Planned This Type of Impacts Cumulative Remark Period ive Period ive Period ive Period (% of (Person) (Person) (Person) (Person) (Person) (Person) (Person) (Person) total) I Reservoir area 100.00 Total 3707 3707 2914 1684 2914 866 403 866 7487 2087 7487 % Land loss 100.00 Paddy field loss 3659 3659 2822 1684 2822 854 403 854 7335 2087 7335 influence % 100.00 Loss of Dry land 48 48 92 92 12 12 152 152 % housing/struct Dismantle/protectio 112.32 ure loss 17 25 26 36 160 41 167 203 41 228 n resettlement % influence No overlap Total (land loss + 100.00 3724 3732 2940 2940 1026 1026 7690 7690 housing loss) % Relocated Severely households loss 100.00 3135 3135 2539 2539 631 631 6305 6305 Affected 15% or more % productive assets See detail Poverty, disability in 5.1 Vulnerable and women as Status of groups main mass vulnerable group

II Dam area

100.00 Total 405 405 405 405 Land loss % influence 100.00 Paddy field loss 389 389 389 389 %

Schedule 3 Table of Land Acquisition and Resettlement Influence Hengnan County Changning City Leiyang City Total Actual Actual Actual Actual Planned This Cumulat Planned This Cumulat Planned This Cumulat Planned This Type of Impacts Cumulative Remark Period ive Period ive Period ive Period (% of (Person) (Person) (Person) (Person) (Person) (Person) (Person) (Person) total) 100.00 Loss of Dry land 16 16 16 16 % 121.25 Relocation 80 90 80 90 housing/struct % ure loss Partial loss of influence structure not requiring relocation No overlap Total (land loss + 103.51 485 495 485 495 housing loss) % Relocated Severely households loss 100.00 312 219 312 312 219 312 Affected 15% or more % productive assets See detail Poverty, disability in 5.1 Vulnerable and women as Status of groups main mass vulnerable group Changed III kiloton dock construction area Contract Price 100.00 Total 67 67 67 67 Land loss % influence 100.00 Paddy field loss 67 67 67 67 % housing/struct 100.00 ure loss Relocation 33 33 33 33 % influence No overlap Total (land loss + 100.00 100 100 100 100 housing loss) %

Schedule 4 Compensation and Recovery of Temporary Land Occupation Hengnan County Changning City Leiyang City Total

Project Name Unit Actual Actual Actual Actual Remark Planned This Cumulati Planned This Cumulat Planned This Cumulat Planned This Cumulat Period ve Period ive Period ive Period ive I Reservoir area 1. Temporary land mu 3256.63 3256.63 1855.36 1855.36 553.94 553.94 5665.93 5665.93 occupation area 2. investment of includin temporary land 104 g crop 560.38 560.38 318.77 318.77 91.89 91.89 971.04 971.04 occupation Yuan compen compensation sation 539.6 320.6 160.2 1020. Accomp 3. land recovery area mu 1908.87 1976.09 900.01 414.62 439.17 181.42 3248.05 2572.13 1 1 2 44 lished. 4. land recovery 104 190.8 141.2 419.1 Accomp 1061.26 1160.96 555.56 219.58 199.66 87 108.5 1816.48 1489.04 investment Yuan 5 8 3 lished. II Dam area 1. Temporary land Accomp mu 386.33 381.22 386.33 381.22 occupation area lished. 2. investment of temporary land 104 Accomp 206.96 243.88 206.96 243.88 occupation Yuan lished. compensation 104 Accomp 3. crop compensation 34.98 78.01 34.98 78.01 Yuan lished. 381.2 381.2 Accomp 4. land recovery area mu 179.58 381.22 179.58 381.22 2 2 lished. 5. land recovery 104 243.8 243.8 Accomp 141.47 243.88 141.47 243.88 investment Yuan 8 8 lished. Ⅲ New water source construction area 1. Temporary land mu 251.09 251.09 251.09 251.09 occupation area 2. investment of temporary land 104 30.97 30.97 30.97 30.97 occupation Yuan compensation

104 3. crop compensation 34.04 34.04 34.04 34.04 Yuan 4. land recovery area mu 106.32 106.32 106.32 106.32 5. land recovery 104 11.94 11.94 11.94 11.94 investment Yuan 6. compensation of the 104 16.9 16.9 16.9 16.9 affected facilities Yuan

Total 28230.45 190.46 28220.80 12298.30 1111.54 12306.30 3541.82 391.81 3532.40 44070.57 1693.81 44059.50 99.97% I Reservoir area 23756.91 190.46 23757.29 11880.66 1111.54 11880.66 3532.40 391.81 3532.40 39169.97 1693.81 39170.35 100.00% I. Rural resettlement 6467.62 6468.00 3978.79 3978.79 1252.25 1252.25 11698.66 11699.04 100.00% compensation (I) Land compensation and 4972.99 4972.99 2896.96 2896.96 698.06 698.06 8568.01 8568.01 100.00% resettlement fees (II) House compensation 171.85 171.85 258.83 258.83 305.10 305.10 735.78 735.78 100.00% (3) Subsidy for housing 0.66 0.66 1.93 1.93 72.89 72.89 75.48 75.48 100.00% poverty household (IV) Living allowance during 102.60 102.60 68.90 68.90 25.80 25.80 197.30 197.30 100.00% transition period (V) Production resettlement 68.18 68.18 20.55 20.55 88.73 88.73 100.00% allowance (VI) Infrastructure 7.30 7.30 12.69 12.69 81.29 81.29 101.28 101.28 100.00% compensation (VII) Subsidy for relocation 1.02 1.40 1.56 1.56 10.92 10.92 13.50 13.88 102.81% (VIII) Sporadic fruit tree and 34.67 34.67 10.25 10.25 0.12 0.12 45.04 45.04 100.00% tomb (IX) Farming sideline facilities 203.68 203.68 259.16 259.16 11.90 11.90 474.74 474.74 100.00% (X) Rural small hydropower 904.67 904.67 447.96 447.96 46.17 46.17 1398.80 1398.80 100.00% facilities II. Restoration and rebuild compensation for special 5363.71 5363.71 1585.07 1585.07 611.78 611.78 7560.56 7560.56 100.00% works (1). classified highway 289.06 289.06 80.16 80.16 369.22 369.22 100.00% (2). Traffic Facilities Around 1734.33 1734.33 718.44 718.44 518.59 518.59 2971.36 2971.36 100.00% Reservoir (3) Transmission facilities 50.65 50.65 25.77 25.77 3.20 3.20 79.62 79.62 100.00% (4). Communication Facilities 23.33 23.33 72.92 72.92 9.83 9.83 106.08 106.08 100.00% (5). Hydroelectric Facilities 3459.40 3459.40 478.88 478.88 3938.28 3938.28 100.00% 1. Medium 769.40 769.40 769.40 769.40 100.00% Electric

Schedule 5 Investment of Land Acquisition and Resettlement Compensation Hengnan County Changning City Leiyang City Total Accomplished. Accomplished. Accomplished. Accomplished. Compensation Investment Items Planned This Cumulativ Planned This Planned This Cumulativ Planned This Cumulative Cumulative Period e Period Period e Period (% of total) (104 Yuan) (104 Yuan) (104 Yuan) (104 Yuan) Pumping Station 2. Sluice gate 1830.64 1830.64 144.88 144.88 1975.52 1975.52 100.00% 3. Water 80.00 80.00 80.00 80.00 100.00% Pump House 4. Small Hydropower 853.36 853.36 228.00 228.00 1081.36 1081.36 100.00% Station 5. Water 20.00 20.00 20.00 20.00 100.00% Tower 6. Intake Well in Water 6.00 6.00 6.00 6.00 12.00 12.00 100.00% Plant (6) Cultural relics protection 96.00 96.00 96.00 96.00 100.00% fee III. Protection work fee 11882.96 190.46 11882.96 6290.78 1111.54 6290.78 1664.03 391.81 1664.03 19837.77 1693.81 19837.77 100.00% (1) reservoir bank protection 3130.46 3130.46 1614.78 1614.78 334.12 334.12 5079.36 5079.36 100.00% project 1.Building 2590.11 2590.11 1353.33 1353.33 269.96 269.96 4213.40 4213.40 100.00% works 2. Temporary 129.27 129.27 69.97 69.97 19.69 19.69 218.93 218.93 100.00% Projects 3. Independent 411.08 411.08 191.48 191.48 44.47 44.47 647.03 647.03 100.00% cost Land Occupation 121.35 121.35 27.96 27.96 11.33 11.33 160.64 160.64 100.00% Cost Material 289.73 289.73 163.52 163.52 33.14 33.14 486.39 486.39 100.00% Transfer (2) Lifting and filling project 8638.06 190.46 8638.06 4616.32 1071.36 4616.32 1329.91 391.81 1329.91 14584.28 1653.62 14584.29 100.00% 1.Building 4521.02 50.00 4521.02 2660.90 308.90 2660.90 777.67 187.67 777.67 7959.58 546.56 7959.59 100.00% works 2. Temporary 196.36 196.36 102.15 102.15 44.04 14.04 44.04 342.55 14.04 342.55 100.00% Projects

Schedule 5 Investment of Land Acquisition and Resettlement Compensation Hengnan County Changning City Leiyang City Total Accomplished. Accomplished. Accomplished. Accomplished. Compensation Investment Items Planned This Cumulativ Planned This Planned This Cumulativ Planned This Cumulative Cumulative Period e Period Period e Period (% of total) (104 Yuan) (104 Yuan) (104 Yuan) (104 Yuan) 3. Independent 3920.68 140.46 3920.68 1853.27 762.46 1853.27 508.20 190.10 508.20 6282.15 1093.02 6282.15 100.00% cost Land Occupation 2153.22 2153.22 990.81 40.00 990.81 288.10 20.00 288.10 3432.13 60.00 3432.13 100.00% Cost Material 1767.46 140.46 1767.46 862.46 722.46 862.46 220.10 170.10 220.10 2850.02 1033.02 2850.02 100.00% Transfer (3) inundation treatment 114.44 114.44 59.68 40.18 59.68 174.12 40.18 174.12 100.00% project 1.Building 42.51 42.51 47.27 40.18 47.27 89.78 40.18 89.78 100.00% works 2. Temporary 11.74 11.74 1.70 1.70 13.44 13.44 100.00% Projects 3. Independent 60.19 60.19 10.71 10.71 70.90 70.90 100.00% cost Land Occupation 50.64 50.64 8.47 8.47 59.11 59.11 100.00% Cost Material 9.55 9.55 2.24 2.24 11.79 11.79 100.00% Transfer 4. Reservoir bottom cleaning 42.62 42.62 26.02 26.02 4.34 4.34 72.98 72.98 100.00% fee II Dam area 4258.84 4268.64 4258.84 4268.64 100.23% I. Rural relocation 3591.23 3601.03 3591.23 3601.03 100.27% compensation (1) Permanent land 2722.82 2722.82 2722.82 2722.82 100.00% Acquisition (2) Temperately land 383.41 383.41 383.41 383.41 100.00% occupation (3) House and auxiliary 342.09 342.09 342.09 342.09 100.00% buildings (IV) Sporadic fruit tree and 7.06 14.81 7.06 14.81 209.77% tomb (5) Farming sideline facilities 1.60 1.60 1.60 1.60 100.00%

Schedule 5 Investment of Land Acquisition and Resettlement Compensation Hengnan County Changning City Leiyang City Total Accomplished. Accomplished. Accomplished. Accomplished. Compensation Investment Items Planned This Cumulativ Planned This Planned This Cumulativ Planned This Cumulative Cumulative Period e Period Period e Period (% of total) (104 Yuan) (104 Yuan) (104 Yuan) (104 Yuan) (6) Rural small hydropower 49.38 49.38 49.38 49.38 100.00% facilities (7) Infrastructure 39.57 39.57 39.57 39.57 100.00% compensation Residential base 14.81 14.81 14.81 14.81 100.00% requisition Ground 24.00 24.00 24.00 24.00 100.00% Leveling Water and electricity 0.76 0.76 0.76 0.76 100.00% subsidies (VIII) Subsidy for relocation 4.80 6.85 4.80 6.85 142.67% (9) Living allowance during 40.50 40.50 40.50 40.50 100.00% transition period 2. Rehabilitation and renovation fee of special 667.61 667.61 667.61 667.61 100.00% facilities (1) Transport facility 28.86 28.86 28.86 28.86 100.00% (2) Electricity transmission 41.08 41.08 41.08 41.08 100.00% facility (3) Communication facility 5.88 5.88 5.88 5.88 100.00% (4) Hydropower facility 591.79 591.79 591.79 591.79 100.00% 1. Sluice gate 10.00 10.00 10.00 10.00 100.00% 2. Water system 581.79 581.79 581.79 581.79 100.00% recovery III kiloton dock construction area 27.83 408.22 408.22 436.05 408.22 93.62% I. Rural relocation 27.83 331.75 331.75 359.58 331.75 92.26% compensation (1) Permanent land 9.74 171.29 171.29 181.03 171.29 94.62% requisition (2) House and auxiliary 18.04 128.07 128.07 146.11 128.07 87.65% building

(3) Sporadic fruit tree 0.05 4.69 4.69 4.74 4.69 98.95% (4) Rural small scale 3.30 3.30 3.30 3.30 100.00% hydropower facilities (5) Infrastructure 15.72 15.72 15.72 15.72 100.00% compensation (6) Removal Allowance 1.98 1.98 1.98 1.98 100.00% (7) Living allowance during 6.70 6.70 6.70 6.70 100.00% transition period II. Special facility 76.47 76.47 76.47 76.47 100.00% (1) Transport facility 5.50 5.50 5.50 5.50 100.00% (2) electric power 70.97 70.97 70.97 70.97 100.00% infrastructure IV Assistance Fund for Female and 12.56 20.56 9.42 17.42 9.42 31.40 37.98 120.96% Children V. New Water Source Construction 174.31 174.31 174.31 174.31 100.00% I. Rural relocation 104.70 104.70 104.70 104.70 100.00% compensation (1) Permanent land 10.88 10.88 10.88 10.88 100.00% requisition (2) temporary used land 30.94 30.94 30.94 30.94 100.00% (3). crop compensation 34.04 34.04 34.04 34.04 100.00% (4) small-scale facilities 16.90 16.90 16.90 16.90 100.00% compensation (5) land recovery 11.94 11.94 11.94 11.94 100.00% 2. fees and management fees 69.61 69.61 69.61 69.61 100.00%

Schedule 6 Summary of Sample Investigation on Production and Living Conditions in Resettlement Village of Tugutang Complex

1. Total income (X10,000 1. Village number (place) 15 6531.6 Yuan) 2. Total expenditure 2. Households 5118 Non-agricultural 3570.5 Income and (X10000 Yuan) 3. Net income (X10,000 3. Population (people) 21081 Expenditure 2961.1 Yuan) 4. Women (people) 8430 4. Others 15625/ superior and 1. Paddy field (Qty/ soil normal quality 5. Labor force (people) 12473 qualiity) accounting for 50% Basic Data separately. 6. Female labor force 6012 2. Dry land 2079.6 (people) Land Resources 7. Per capita annual net 28021.00 3. Fish pond (mu) 2540 income (Yuan) 8. Per capita paddy field/ 0.73/0.091 4. Vegetable field (mu) 860 dry land (mu) 9. Ethnic minority 0 1.Land area (mu) 5.4 (people) 10. The elderly (people) 3204 2.Per capita area（m2） 10.6 1. Drinking method (well/ 3. House lighting and 4386/732 With tap water) ventilation 4. Water and electricity 2. Drinking water quality Normal With Basic information of supply 3. Water accessible to Nursing Home 97% 5.Toilet With household rate （%） 4.Electricity accessible to 100% 6. Environment Normal Water, electricity, household rate（%） and road 5.Highway inside infrastructure 7. Culture and village/ outside of village 67.2/22.3 With entertainment facilities (km) 6. Water conveyance 1.Land occupation area 45.7 94 pipe (channel) (mu) 2. Students quantity 7. Barrage dam (place) 31 2365 (people) 8.Irrigation pumping 3. Teacher quantity 76 263 station (place) (people) Township middle 4.Per capita classroom 1.School area m2 19820 1.35 （） school status area(m2) 2. Teacher quantity 296 5. Teachers' office (place) 43 (people) 3. Students quantity 3710 6. Education quality Normal (people) 4. Educate school-age 7. Enrollment rate of key 1940 41% children middle school (%) 5. School enrollment rate 99% 1. House area(m2) 4326 （%） Education status 6. Education quality Normal 2. House structure Brick-masonry

7. distance to middle 3. House construction 1-8.8 2002-2017 school（km） date 8. Percentage of above Office Conditions high middle school/junior 21/66/13 4. House quantity (place) 147 middle school/ primary school 5. Independent meeting 9.Illiteracy (people) 76 15 room (place) 1.Clinic quantity (place) 29 6. Office equipment Comparatively complete 1. Five guaranteed Medical and 2. Doctor quantity 39 household 97/116 commercial (people) facilities Vulnerable Group (households/people) 3. Medical treatment Normal 2. Disabled child (people) 64 ability

4. Distance to center 3.The disabled quantity 1-10 393 hospital（km） (people) 4. Non-male labor force 5. Shops quantity (place) 31 61 family (household) 6. Distance to market（km 5. Poverty household 1-10 189/510 ） (households/people) 1.Broadcast station Exist (with/without) 2. Culture room With Culture and (with/without) Additional information (resettlers' assessment on living standard): communication Satisfied with current living standard and living environment 3. Cable TV (with/without) With 4.Telephone popularizing 98.0% rate (%)

Schedule 7 Summary of Sample Survey on Production and Living Conditions of Resettlement Households

1. Households Paddy field 352.6/54300 109 (mu/Yuan 4 ) 2. Non-agricultural Dry land population (person) 516 (mu/Yuan 49.5/51035 ) Vegetabl 3. Non-agricultural e field 76 28.4/59072 population (person) (mu/Yuan Commerci ) al crop 1. Tea Agriculture garden 4. Women (people) 229 12/15600 (mu/Yuan ) Family population Orchard (people) 5. Labor force (people) 349 (mu/Yuan 16.5/33660 ) others 6. Female labor force 156 (mu/Yuan / (people) ) 7. Dependency / disability / support 94/3/43 Miscellaneous 1983010 population (person) 8. Secondary school/elementary 62/45/1 Pig (head/Yuan) 94/188000 school/dropout children (person) Family annual 9. Elementary/junior income high school /high 2. 102/232/41/2 Goat (head/Yuan) 45/135000 school/university/illiterat Aquacultur e e 1. Grain field(mu) 388.56 Chicken(head/Yuan) 4315/181230 2. Vegetable field(mu) 46.05 Duck (head/Yuan) 680/28560 3. Commercial crop(mu) 4302 Fish Farming (Yuan) 132300 4. Contract mountain / Business condition private / self-retained 101/9.3/65.4 2432000 mountain (mu) 3. Subsidiary 5. Orchard garden (mu) 22.4 income 6. Fish Pond (mu) 213.5 4. Enterprise wages income 7. Cage culture (cage) 3.2 413200 (Yuan) 1. Party and government personnel 6 5. Working income (Yuan) 9873000 (person) 2. Migrant worker 241 6. Housing rental income (Yuan) 0 Non-agricultural (person) production and 3. Number of individual 7. Income of individual 24 273200 business operators(person) operators(Yuan) 4. Number of private 6 8. Other incomes (Yuan) 945680 operators(person) 5. Others 14 Total annual income 17287550.5 Reaping machine 18 1. Seeds (Yuan) 132130 Sprayer 104 2. Pesticide, fertilizer (Yuan) 153300 Plow 60 3. Irrigation water charge (Yuan) 21200 Annual 4. Mechanical operating Main production tools Rake 78 househol 42340 expenses(Yuan) d 5. Wages paid to harvest Water Pump 101 expenses 45640 worker(Yuan) 6. Cost of breeding Cow & Donkey 9 43460 seedlings(Yuan) Living condition 1. Complete Set 50%A/50%B 7. Breeding feed & medical 10320

A/Incomplete Set B expenses (Yuan) 2. House type (Brick-concrete, Brick-concrete/Brick-wood 8. Electricity (Yuan) 63640 Brick-wooden, en Soil-wooden) 3. Distance to town seat 0.2-8 9. Domestic water cost (Yuan) 1380 (km) 4. Schooling 0.4-12 10. Communication cost(Yuan) 443600 distance(km) 5. Distance to hospital 0.25-8 11. Schooling cost(Yuan) 763250 (km) 6. Distance to road(km) 0-2 12. Medical expenses (Yuan) 332300 7. Working distance(km) 12. Fuel cost (Yuan) 325430 8. Working 14. Cost of subsidiary opportunity(more/less/n More 1053420 foods(Yuan) o) 15. Purchase of furniture and 367460 home appliance (Yuan) 16. Purchase of newspaper, Additional 19320 entertainment(Yuan) information(comment The relocatees are satisfied with current living s to current living conditions and living environment. 17. Purchase of clothes(Yuan) 247980 conditions): 18. Others(Yuan) 4934560 Total Expense 8286820.5

Schedule 8 Summary of Sample Survey on Production and Living Conditions of Relocated Households

Investigation Item Investigation Item Investigation Item 24 Households 49 Car Paddy field (mu) 197.3 piece Family population 11 213 Tractor Paddy field (mu) 16.3 (people) piece Non-agricultural 41 Family population 14 Motorcycle 4. Vegetable field (mu) 18.9 piece Production population (people) status (mu) (people) Male labor force 14 118 Electro-mobile Tea garden (mu) 4.3 (people) piece 19 Bicycle Orchard garden (mu) 3.6 Female labor piece 79 force (people) 49 TV others (mu) sets

2 Housing area（m 44 9949.09 Refrigerator Agricultural income 84230 ） sets Miscellaneous Washing 39 992.9 Fruit income 12350 house（m2） machine sets Purchase of large family livestock income 150732 microwave Housing goods 9 sets oven status (㎡) Subsidiary income 56130 Brick-concrete Family 34 House structure Brick-wood Water heater annual sets □Wooden income Work income 6028800

Gas stove (Yuan) 36sets 23 Air conditioner Transferring income 135263 sets Distance to 14 1-7 Telephone Income from property 54320 school (km) sets 6. Education 210 Normal Mobile phone Total income 6521825 Schooling quality sets and medical Distance to 32 treatment 0.25-8 Computer per capita net income 27363 hospital (km) sets Medical treatment High quality Agriculture Normal 6sets 561345 condition furniture Operating expense expense Other operating Tap water Normal 132120 expense Rice Water, electricity, Well water With 3 sets 317630 Water supply transplanter and fuel fee condition Reaping River water With 5 sets School tuition 271320 machine 39 Pond water With Sprayer medical fee 664516 sets 29 Clothing Electricity supply With Plough 492610 pieces consumption Living 26 Non-staple food Telephone With Rake expenditure 391266 Purchase of pieces fee production Home appliance 235600 facilities 39 and furniture Water pump sets Cable TV With Transportation & Cow and 3 Communication 497340 donkey piece Expenses Other expense 835600 Transportation(distance to road, 0.1-1 Others km) Total expenditure 4399347

Main existing Problems Null

problems and Resolving result resolving result

Appendix 1 Name List of Monitoring and evaluation Meeting Staff Tugutang project management department of HPWTCIG Gan Maohui deputy director, director of reservoir area department Xiao Yu member of reservoir area department Tugutang design representative team of Hunan Hydro& Power Design Institute Tan Lu leader of design representative team, engineer Zeng Taihua engineer Tugutang comprehensive supervision department of Hunan Xiangyi Resettlement Construction Supervision and Consulting Co. Ltd Qian Zhiyuan chief inspector, senior engineer Huang Xing assistant engineer project construction coordination office of Hengnan County Tugutang Navigation and Hydropower Complex Wang Wei deputy commander Chen Dongsheng leader of project department Xu Xianheng leader of land requisition and demolition department Xie Lun leader of financial department Zhang Xiaochu engineer Changning city resettlement bureau Lei Jide deputy bureau chief, leader of resettlement group Liu Huarong leader of enginnering and technology group Yin Yun engineer Resettlement Bureau of Leiyang City Luo Youcheng chief deputy bureau director Xie Guichao Staff

Appendix 2 Main data content for supervision and evaluation consulting 1. Planning and Design Report of Land Acquisition and Resettlement for Hunan Xiangjiang Tugutang Navigation and Hydropower Complex (approval version) 2. Supplement Report on Land Acquisition Compensation Adjustment for Hunan Xiangjiang Tugutang Navigation and Hydropower Complex (approval version) 3. Resettlement Agreement of Hunan Xiangjiang Tugutang Navigation & Hydropower Complex

4. Resettlement Supplement Agreement of Hunan Xiangjiang Tugutang Navigation & Hydropower Complex 5. Notification about Issuing of Tugutang Navigation and Hydropower Complex Resettlement Plan in Year 2015 by Hengyang Resettlement Bureau 6. Monthly Report for Hunan Xiangjiang Tugutang Navigation & Hydropower Complex Resettlement Supervision (July ~ December, 2015) 7. House Demolition Agreement for Tugutang Navigation and Hydropower Complex by Hengnan County 8. Land Acquisition Agreement by Hengnan County 9. Changning Reservoir Area Land Acquisition Compensation and Resettlement Agreement for Tugutang Navigation and Hydropower Complex by Changning City 10. Changning City Construction Land Acquisition Resettlement Compensation Agreement for Tugutang Navigation and Hydropower Complex by Changning City 11. Changning Reservoir Area Construction Land Acquisition Resettlement Small-scale Special Works Compensation Agreement for Tugutang Navigation and Hydropower Complex by Changning City 12. Land Acquisition Compensation and Resettlement Agreement for Tugutang Navigation and Hydropower Complex by Leiyang City 13. Construction Land Acquisition Resettlement Compensation Agreement for Tugutang Navigation and Hydropower Complex by Leiyang City 14. Payment document of Tugutang resettlement compensation fund of Hengnan County 15. Payment document of Tugutang resettlement compensation fund of Changning City 16. Payment document of Tugutang resettlement compensation fund of Leiyang City 17. Contract of Reservoir Area Rising & Filling and Traffic work Construction in Hengnan County for Tugutang Navigation and Hydropower Complex 18. Project bidding documents, design changes, construction progress payment and acceptance documents. 19. Notice of resettlement scheme for Hengnan, Changning, and Leiyang

Appendix 3 Name List of Affected People Being Consulted Name List of Affected People Being Consulted (Dam area) Xie Weiguo Township cadre Peng Xiaobing village cadre Peng Xiuzhi affected villager in Tanggu group Pengci Village, Xiangyang Town, Hengnan County (Dam area) Xie Yuncheng town cadre Yang Bangjian village leader Peng Xiuping, Peng Lidong affected villager in Dawu group Peng Junlong affected villager in Shani group Xinlong Village, Yanzhou Town, Changning City (Reservoir Are) Wei Zhongli Affected villager from Qishang Group Daheyu Village of Leiyang City(reservoir area) Zhu Yingzhou affected villager in 15th Group of Aiqun Village Liu Hongwu affected villager in Group 3 of Ronggong Village

Shuikoushan Community, Changning City（Songbai Kiloton Terminal Construction Area）

Wei Huamei affected villager in Shucai Village

Attachment 4: Site Photos

Newly increased revetment in Leiyang City

Meeting with the working staff of Shuikoushan Government of Changning City