E2007 V1

Xining City Flood and Watershed Management Project Public Disclosure Authorized P101829

Ethnic Minorities Development Plan

Public Disclosure Authorized Public Disclosure Authorized Western Development Research Center, Central University for Nationalities

October, 2008 Beijing

Public Disclosure Authorized Contents

ABSTRACT ...... 1 I PROJECT OVERVIEW ...... 6

I-I PROJECT DISCRIPTION ...... 6 I-II THE CONNECTION BETWEEN PROJECT AND ETHNIC MINORITIES ...... 7 I-III THE NECESSITY TO ESTABLISH ETHNIC MINORITY DEVELOPMENT PLAN ...... 8 II THE SITUATION OF ETHNIC MINORITIES IN THE PROJECT AREAS ...... 9

II-I THE PROCESS AND METHODS TO HAV E ETHNIC MINORITY BASELINE SURVEY IN THE PROJECT AREA...... 9 II-II ETHNIC MINORITY POPULATION AND DISTRIBUTION ...... 16 II-III HISTORY, CULTURE AND LIVELIHOOD OF ETHNIC MINORITIES ...... 18 II-III-I Tibetan ...... 18 II-III-II Hui people ...... 27 II-IV ETHNIC RELATIONS IN PROJECT AREA...... 32 II-V ACTIVITIES IN ETHNIC MINORITY COMMUNITIES AND RESPONSE OF ETHNIC MINORITY RESIDENTS TO THE PROJECT ...... 33 III THE RELEVANT LAWS, POLICIES AND OTHER BASIS IN COMPILING EMDP.. 41

III-I THE CHINESE GOVERNMENT POLICY SPIRIT ...... 41 III-II CURRENT LAWS AND REGULATIONS IN CHINA ...... 41 III-II-I The Constitution (Amended in 2004) ...... 42 III-II-II Ethnic and Religious Laws ...... 44 III-II-III General Laws and Regulations ...... 46 III-III WORLD BANK POLICY...... 46 III-IV RELEVANT BASIS ...... 47 IV LAND SYSTEM IN THE PROJECT AREA...... 49

IV-I LAND SYSTEM CHANGE ...... 49 IV-II LAND LAWS AND REGULATIONS ...... 49 IV-III NATUR E RESOURCES AND LAND USE STRUCTURE OF ETHNIC MINORITIES ...... 50 V-IV THE INFLUENCE OF THE PROJECTS ON THE LAND SYSTEM...... 52 V ETHNIC MINORITIES PARTICIPATION ...... 54

V-I ETHNIC MINORITIES’ INFORMED CONDITION AND EXPERIENCE ...... 54 V-II PARTICIPATION DESIRE ...... 54 V-III PARTICIPATION PRINCIPLE ...... 56 V-IV PROGRAM RECOGNITION ...... 57 V-V SAFEGUARD ETHNIC MINORITIES PARTICIPATING IN THE PLAN AND RELEVANT MEASURES ...... 60 V-V-I Participation plan ...... 60 V-V-II Safeguard Mechanism of Participation ...... 61 V-VI TRAINING PARTICIPATION ...... 62 VI IMPLEMENTATION STEPS OF EMDP...... 65

VI-I STAGE AND TASK...... 65

1 VI-II PROGRESS SCHEDULES ...... 65 VI-III THE CASE ANALYSIS OF ETHNIC MINORITY COMMUNITY DEVELOPMENT PROJECT ...... 73 VII MONITORING AND ASSESSMENT ...... 82

VII-I THE MAIN BODY OF MONITORING AND ASSESSMENT ...... 82 VII-II INDEX SYSTEM OF MONITORING AND ASSESSMENT...... 82 VII-III PERIOD OF THE MONITORING AND ASSESSMENT AND INFORMATION PUBLICITY...... 83

2 Abstract In November 2007, director of the Western Development Research Center of Central University for Nationalities, Professor Zhang Haiyang, and deputy director, associate Professor Jia Zhong Yi (hereinafter referred to entrusted party) accepted the commission of Xining World Bank Project Office to have social assessment on Xining flood control and watershed management project (P101829) (hereinafter referred to entrusted party), the tasks are as follows: First, to have integral assessment on the social, economical and cultural effect that the Project (Engineering Control and ecological management included) have on the residents in Xining project area, including one city, two counties, three Chuan, one River and 28 gullies. Second, to have basic description of the Project, Project area, especially the Population Scale , Distribution ,Administration unit, Living style, Ethnic composition ,Cultural characteristics and Economic and social development condition of the residents influenced by the Project. Third, to identify the category, mode and degree of opportunities and risks brought to the minority ethnic residents and their community culture, meanwhile, put forward improvement suggestion referring to resident participative management organized by community. Fourth, to write social assessment Report based on the above mentioned and make assessment suggestion on whether the Project should specially define ethnic minorities development plan. From late November 2007 to mid January 2008, the entrusted party did two times field research on the project area by a 9-person assessment group, including Zhang Haiyang, Jia Zhongyi (Miao Ethinic Group, associate professor), Lamaocuo (female, Tibatan, research fellow),Lu Shunyuan (Tibatan, associate research fellow),E Zongrong (Tu Ethinic Group, associate research fellow) and other four Graduate Students named Li Jianming (Tu Ethinic Group), Sui Yanqing, Liu xueli (Female,Tujia Ethinic Group ) and Yanying (Female, Man Ethinic Group). Based on the Holistic and Comparative Study of Anthropology and Sociology, the entrusted party mainly applied Participatory Rural Appraisal (PRA) during the assessment research, collecting data from field work and statistical data from information list, using methodologies like participant observation, focus interview, focus group interview, adding the analysis of historical documents, policies and regulations to have in-depth social assessment research in the project area. This assessment research has nearly covered the whole Project area (including 3 counties 2 districts, 8 townships and 17 communities) with emphasis on basic community and paid prominent attention to sensitive points like ethnicity and religion. The coverage of the

1 research area includes ethnic townships, Tibetan, Hui living communities, multi- ethnic living communities and other important religious sites. A total of 130 residents of all ethnic groups accept the family baseline survey, more than 70 residents of all ethnic groups accepted in-depth interviews, meanwhile, the assessment group had participatory watershed-management investigation in eight communities. Moreover, the group entrusted the Project Office to had Carpet-style research on the basic community through providing relevant survey tools and and on-site training. Besides, the assessment group has labor division and cooperation with immigration and participatory management group as well as share data with them. The social assessment group draws the following conclusion through investigation: (1) The mountain flood is profoundly affected by terrain and climate of local areas and the residents there have clear memory to the damage of the flood; meanwhile, the local ecological environment is comparably flimsy and the earth surface stream is seriously polluted ,thus the execution of this project is timely and necessary. (2) The Project Plan and Design advanced by Xining City government is based on the local practice and comparably practical and realistic. The previous project carried out in this Project area applied similar measures and have positive effect, besides, they accumulated experience. From Propaganda to Communication, the Project Office ensured the residents’ Right to Know in the Project. (3) Residents in the project area worry about flood threat as well as soil and water loss, instead, they eager to restore ecology and improve the quality of environment. They sincerely welcome the project and warmly hope to participate in it. (4) Hui people, Tu people, Tibetans and many other ethnic minorities live in the project area, of whom there are only 10 Tu people and they are widely distributed ,so only Hui people and Tibetans can form extensive “little region inhabited by their own”. Hui people centralized in Datong (Liangjiao Town and Qiaotou Town) and Huangzhong County (Luersha Town), less in Huangyuan County (Chengguan Town).The Project will not lead to land requisition, immigration and mosque removal. The Tibetans centralized in Datong County, Dongxia Channel, Shuobei Town, Tongdai village and Dongxia Town, Erma Village. According to the introduction of the local Tibetan cadres, the Tibetans’ ratio in Daitong Village is more than 95 percent, while it is not in the project area and will not be negatively influenced by project construction,land requisition,house removing, returning farmland and fenced way or rotation of pasture . There are around 80 percent Tibetans in Erma village, which is a typical Tibetan village in project area. Not only because Tibetans relatively centralize there, but also for the strong representatives of their economic society and

2 culture .Besides, there are also a few scattered living Tibetans in Bohuang Channel (belonging to Bohang Town) and Lushaer Channel (belonging to Lushaer Town). The investigation affirms that:there is 1 community of single Tibetan living and over 10 communities including Tibetans scattered distributing in the project area, altogether more than 400 families, 1886 persons.98 percent of them are rural residents. (“6.2.1 Tibetan” of “Xining Flood and Watershed Management Project Social Assessment Report” details the distribution of Tibetans and their economic society and culture characteristics) The Tibetan residents in the project area belong to scattered living group, also named “Jiaxifan” by local people, meaning Tibetans who lose much of their own culture characteristics. They have nothing different from the local Han people except that they have Buddhism belief and relatively clear ethnicity consciousness. They scatter in the project area, mix residence with Han people and make intermarriage with them. So the national relationship is harmonious there. The project mainly take measures like Channel dredging, increasing flood mitigation and sand shelter dam, Forestation on barren hill and slope instead of house removing and immigration in the communities where the Tibetans live. Guanghui Temple (Datong Dongxia Town) and Tar Temple (Huangzhong Luersha Town) are important Tibetan Buddhism Temples near the project area, but the project does not touch the holly space of the two temples or have side effect on their religious activities. By interviewing the community resident representatives, village cadres and eminent monks in the temples the assessment group learned that the Tibetan residents know the Project, moreover, they welcome and want to participate in it. Whereas the Tibetans mainly live in the edge not core of the project area, but their distribution scope is large, furthermore, both the Tibetans and Hui people accord with the definition of “ethnic minority of World Bank. To tone up the advantage to the ethnic minority meanwhile to materialize consistent policy and spirit of World Bank and Chinese Government, we advise that an ethnic minority development plan aiming at Tibetans and Hui people should be established. (5) The present policies and laws are unanimous with relative policies’ aim of World Bank. Besides, the present policies and laws can guarantee the establishment and implement of the project. There is no need of the new policies. (6) The relationship between nations and ethnic groups is harmonious and there is a good foundation to carry out ethnic minority development plan (EMDP), meanwhile, the all levels governments have capacity and enthusiasm to carry out this project and ethnic minority development plan (EMDP). (7) To bring ethnic minority development plan (EMDP) into effect mainly lies in carry out the following principles: One Overall Planning, Two Guarantees and Four

3 promotions. The difficulty is to reasonably choose projects which match the characteristic of this project. (8) The project will not have direct side effect on women, children and poor people, while by protecting the local ecological environment, channel management and promoting the community infrastructure, the project will benefit the whole residents’ production and life.

The report proposed by the entrusted party mainly includes seven aspect contents, divided into 29 sections in 7 chapters. The main point is as follows: Chapter I: Briefly introduce the basic content of this project, the association between the project and the minority, as well as the necessity of development and implementation of EMDP. Statistics show that many minorities,such as Tibetan, Hui, Mongolian, Tu, and others live in the project area, but those who in coincidence with the definition “ethnic minority” of World Bank and should be formulated EMDP to maximumly reduce the negative impact and expand the positive efficiency are Tibetans and Hui people. There is no land requisition, demolition, immigration and other plans in the project minority communities, however, still relatively large area of afforestation, and will have a certain impact on livestock activities of rural residents, so it is also necessary to take appropriate measures to ensure ethnic minorities in the project area to benefit from the project as well as improve the social recognition degree of the project, what’s more, to show the spirit of promoting ethnic minorities development of China’s ethnic policy and the World Bank’s policy. Chapter II: Details the process and methods of social assessment in the minority communities, the specific distribution of minority populations in project areas and sums up the Tibetans and Hui’s economic and social development situation and their culture and livelihood characteristics, also maks a brief analysis of ethnic relations and the responses of the minorities to this project. Given the basic fact that the highly mixed living of ethnic minorities and Han in the project area, the good ethnic relations, little ethnic differences in development levels and the minorities generally expect and welcome the project, the entrusted party suggest that: in the course of implementing the project, with the premise of fully protect the participation and benefit of minority residents, avoids the opposition between Han and minority as far as possible so as to avoid the negative impact on ethnic relationship. Chapter III: The entrusted party had assessment on the fitness of the policy and legal framework to establish the EMDP from the Chinese government's policy spirit, the Chinese current related laws and regulations, related World Bank policy and illustrate the data, document, and the literature materials that the entrusted party base on when establish the EMDP.

4 Chapter IV: Breifly introduce the several major changes of land system, land regulations and policy framework in more than half a century in China and the project area, analyze the resources, land use method of the ethnic minorities and positive and negative impacts of the project measures, meanwhile, point out the related problem that the EMDP must pay close attention to. The entrusted party specially points out: although the project can not be no negative impact, still on the whole, the positive benefits far outweigh the potential negative impact, however, the project paid relatively full attention to the possible negative impact in the feasibility phase and consider the corresponding countermeasures in reducing immigration, demolition, minimizing the burden of the residents and so on. Therefore, the project’s negative impact is less and can be controlled and solved. Chapter V: Discuss some issues related to minority participation. Including: the Guarantee of ethnic minorities’ right to know, project-related experience and participation desire; the principles that the minority participation should abide, and the identification of the plan that safeguard the minority residents participate fully, participation plan and design; the skills training. to enhance Minority residents’ participation etc. Chapter VI: Put forward steps of the implementation of EMDP in accordance with the progress plan of the project implementation, including the main stage and its tasks and the project progress schedule .meanwhile, take two different communities Tibetan and Hui as example to illustrate how to develop the project work in the community level. Chapter VII: Propose the specific recommendations and requirements on this project and EMDP. Include the the following points: the main body of monitoring and assessment, monitoring and assessment index system, monitoring and assessment cycle, and the information publicity of monitoring and assessment.

5 I Project Overview

I-I Project Discription

Xining Flood Control and Watershed Management Project (hereinafter referred to Xining Project) is based on the result of Flood Control , Water Pollution Prevention and City Beautification Programs the in the early stage in order to further improve and optimize the urban flood control capacity of drainage systems, improve Ecology of Huangshui drainage area and protect life and property safety of residents there. So loans from the World Bank will be used in 4 districts, 3 counties (North city, Downtown, West City, South of the new district , Huangyuan, Huangzhong, and Datong Hui and Tu Nationalities Autonomous County), 3 Chuan 1 River (that is, Xichuan , Beichuan, Nanchuan and Dongxia River) and 28 small Ravines to have large-scale integrated Water Management Projects. According to the outcome of negotiation by Xining project office and the World Bank prepare mission, that make it clear this project includes three parts, flood control project , small watershed management and sewerage collection : Flood control project includes: the flood control project of river and channel. ( the total length of river management is 53.763 km, 28 flash flood channel , with the total length of 35.006 km ), as well as wetlands and river afforestation project and Early Warning System ( in support of the development flood forecasting, early warning and emergency plan system of Xining City , including strengthening the institutional capacity of flood prevention and drought control office of Xining city ). Small watershed management project includes 4 parts : sloping land management project, storing slope project, channel management and support measures for construction categories,covering 17 basins of three counties, with the total land area of 284.94km2, of which soil erosion area is 250.98km2, accounting for the total land area of 88.1 percent. Wastewater collection system construction, including: river trunk Sewage Works of Xining city; storm water reconstruction project in the XIaoqiao area of Xining city and the wastewater interceptor and collection works of the 11 km section of Beichuan River and Dongxiaof the city; the restruction of Drainage Trunk closure of Huangzhong County the network of drainage pipes reconstructed (expanded) project a sewage pipe built project of Datong County town bridge . Besides, to achieve these three objectives mentioned above, the project also includes strengthening institutional capacity and project management content: Project Management, which includes Project Management Office as well as expert panels’ project management activities related to it, such as the initial and final designed establishment; bidding document preparation and establishment, project supervision, quality control, project monitoring and evaluation and development of management information system (MIS) to improve project management, financial management and monitoring and evaluation of it. Resettlement: Implementation of

6 the resettlement plan. Environmental Management: Implementation and management of Environmental Management Plan (EMP). The static investment budget for the project amounts to 1.332 billion Yuan, including World Bank loans 650 million Yuan; Xining City self raised about 572 million Yuan. In the counterpart funds of three counties, including the farmer / huseholds investment funds.in the project area by means of “Equal pay for Equal work”. Huangshui River is the largest branch of the Upper Yellow River and the Huangshui River Basin in Qinghai Province is the most densely populated and economically developed regions. Xining City in Qinghai Province is the political, economic, cultural and transport center. The project is of great significance for the upper Yellow River to reduce pollution and enhance flood control capacity of Xining City, meanwhile, it is of great significance for improving the ecological situation and the living environment, protecting life and property safety of residents of all ethnic groups and the protection of economic and social development results in Qinghai Province. The project area is the region where the project is implemented.Economic and social conditions of project areas, engineering measures, community and the residents’ production and living conditions as well as the project need will be attached in chart (see Annex schedule 2, 3, 4 and 5)

I-II The Connection Between Project and Ethnic Minorities

Xining city lies in the Huangshui Valley in the eastern part of Qinghai Province, where is the convergence of ancient agriculture and animal husbandry culture, also is an important channel of ancient land Silk Road and political and economic center of China central government set up Cultivation governance and governance western frontiesince since the West Han Dynasty. Several thousand years of development make it a mixed multi-ethnic region with the native Tibetan, and immigrants like Han, Tu, Hui, and Mongolian living together.By the end of 2006, the total population of Xining City is 2 127 300, covering 38.84 percent of total population in Gansu province, of which Tibetan, Mongolian, Man people, Sarah, and other 37 ethnic minorities come up to 543 385 people, covering 25.55 percent of the total population of Xining City. There is one ethnic autonomous counties (Datong Hui and Tu Autonomous County ) and six national towns of all 5 districts (East, mid, west, north and south city) 3 counties (Datong, Huangzhong, Huangyuan) and 50 townships and towns (27 towns and 23 townships) under the city governs . There is one autonomous counties and three national township (Dongxia Town,Shuobei Township and Liangjiao Township)in the project and project-affected area.The ethnic minorities distribute in the small watershed of Datong, Huangyuan, and Huangzhong County where the ecological engineering management is in implementation(The concrete distribution of ethnic minority in small watershed see Annex Table 3). Among them 21 communities include native ethnic minority and 8 commmunities whose main population are ethnic minorities. (See Table 3 , 2.3.1 and Table 4, 2.3.2 of this report

7 ). These communities are mainly distributed in Dongxia Town, Liang xiang and Qiaotou Town in Datong County, Chengguan Town, Bohang township in Huangyuan County, and Lu Shaer town in Huangzhong County , of which Muslim and Tibetan account for higher proportion of native minorities . Although the statistics also reflect on Tu people, Salar and Mongolians, etc, but they are mainly urban residents living in urban areas, some individuals are found in the village census because of work, marriages, etc. So the EMDP in this project mainly aim at Hui people and Tibetan.

I-III The Necessity to Establish Ethnic Minority Development Plan

According to field investigation,the social assessment group found that there are 7 villages whose residents are mostly or totally Hui people in Datong and Huangzhong. Besides, there is 1 ethnic community in Datong whose residents are mainly Tibetans and 10 other communities in Datong,Huangzhong and Huangyuan which includes some native Tibetans.These Hui people and Tibetans live on planting and animal husbandry for generations.Not only do they have natural economic connection with their region, the mosque with Hui people living around and the Buddhist temples which is inseparable from the Tibetan religious life are all located in these areas.They have the minority status identified by the Chinese Government’s law and regulations,and also are in coincidence with the definition “ethnic minority” of World Bank. At the same time, the project implements ecological and engineering measures like afforestation and check dam construction in the ethnic minorities living region to manage soil erosion. These measures aimimg at flood prevention and disaster reduction, on the one hand, are conducive to life , property security and sustainable development of these minorities and other local residents, in contrast, it is inevitable that the project will have certain influence on the life and production of the local residents, including minority residents which mainly embodys that afforestation makes a part of the pasture can not be free grazing during the seedling period of the forest(general for eight years), so the traditional raising methods are subject to certain restrictions in parts of the area.Therefore, it is necessary to strengthen the leading role of projects to enhance the economic and social development of ethnic minority and minimize the various negative impacts through the establishment and implemention of the EMPD. What’s more, to show the spirit.of promoting ethnic minorities’ development of China’s ethnic policy and the World Bank’s policy.

8 II The Situation of Ethnic Minorities in the Project Areas

II-I The Process and Methods to Have Ethnic Minority Baseline Survey in the Project Area

In order to do well in investigating, the entrusted party optimized the structure of the group first. There are 3 Qinghai locals of the 5 experts in the assessment group,who are from Philosophy and Sociology Institute of Qinghai Academy of Social Sciences, and two of them are young Tibentan scholar (one male,one female),one Tu scholar,two of the four assistants (2 females,and 2 males)are postgraduates in Qinghai ,one is Hui,the other is Tu People(see social assessment report for details).The topic leaders have rich social assessment experience and participated in quite a few World Bank Loan Project in China, such as Reservoir, Highway, Forestation, Watershed Management and Railway, etc. They are familiar to World Bank Standard and have sufficient knowledge on Chinese laws, regulations and related policies; furthermore, they have understanding on the situation and demand of Chinese ethnic minorities and language culture. All the four graduated students from Central University for Nationalities can develop community research work independently, since they have multiple ethnic culture background and field experience; besides, they all have received Anthropology, Sociology and History training and are familiar to the environment of project area. Totally considering factors like gender, ethnic group, knowledge background and project experience in the group structure, the entrusted party totally bear the qualification standard of the social assessment project. Based on the Holistic and Comparative Study of Anthropology and Sociology, the entrusted party mainly applied Participatory Rural Appraisal (PRA) during the assessment research, collecting data from field work and statistical data from information list, using methodologies like participant observation, focus interview, focus group interview, adding the analysis of historical documents, policies and regulations, therefore, it will satisfy the writing requirement of social assessment and Ethnic Minority Development Plan. This assessment has covered the whole Project area with emphasis on basic community and paid prominent attention to the sensitive points like ethnicity and religion. The assessment group has labor division and cooperation as well as share data with immigration and participatory management group. Moreover, the group entrusted the Project Office to have Carpet-style research on all the communities of project managemant area in the small watershed through providing relevant survey tools and and on-site training. On county level assessment research, the group mainly held forum with local Project Office, Minorities and Religion Bureau, Women union, Poverty Relief office, Civil Affairs Bureau, Agricultural Bureau, Statistical Bureau and gets data from them. On town level assessment research, the group mainly collected data by interviewing the local leading cadres and investigating the economic and social development situation of the villages managed by them, meanwhile, studied the local ethnic

9 cultural resources and their development demands. Community research mainly consists of two parts, including informal discussion with villager representatives, community baseline survey and household survey. The villager representatives who were invited to the informal discussion included village cadres, women, youth, old people, country teachers, religious personages, etc, fixed on the overview of community, development thought, sensitive problem, previous project experience ,demand and suggestion aiming at this project and so on. The questionnaires were completed by the villager representatives and village cadres. Household survey consisted of questionnaires and deep interviews, and the samples covered different economic status, livelihood,, family scale and member structure, ethnic composition and the degree affected by the Project. The entrusted party did two times field research. From November 29 to December 3 ,2007,professor Zhang Haiyang and Jia Zhongyi went to Shuer Village in Qiaotou Town ,Datong Autonomous County of Hui and Tu Nationalities; Hanggou Drainage Area in Huangyuan County; Huoshao Channel, Baojia Channel, Liberation Dyke in Nanchuanhe Drainage Area, Urban district, Daya Channel in Xichuanhe and Urban district of Beichuanhe to investigate the ecological conditions , natural geographical environment, community arrangement and measures and results of previous project in the target watershed .Meanwhile, they communicated with the project office of city and county level, collecting data on nationalities, statistics, geography ,local history and project materials, consulting the target, task and coordination with the City Project Office. From January 4 to 15, 2008, all the 9 members of the entrusted party met in Xining to develop formal field research and cooperated with immigration and small drainage area participatory management group under level best coordination of the City Project Office. The three groups reached mutual communication and cooperation. The social assessment group members attended the participatory management field activity in Huoxi village(Han People)and Huodong village(Han People)in Huoshao Channel, Nanchuanhe Drainage Area. The assessment group also and arranged members to attend community research in the South City organized by immigration group; Meanwhile, the entrusted party have a general study on Hui ethnic Group Village in Wanfeng new village,Quanerwan Channel in Huangyuan county, Hujigou (han people) small drainage area and Daitong Village (Tibetan),Shuobei Town Dongxiang River. Furthermore, the we had deep investigation on 11 different communities, which are Erma Village (Tibetan) in Dongxia Town , Yuanshuer Village (Hui people) in Qiaotou Town, and QiaoergouVillage(Hui people) in Liangjiao Town, Datong County; Qingquanyi village(Hui and Han people), QingquanervillageHui,Han people and Tibetanin Lushaer Town,Qingshan Village (han people) in XibaoTown, Nalongxi Village Han people and Tibetanin BoHuang Town, Huangyuan County and Shangye Village (Han people), Dujiagou Village (Han people) in South City New District. The investigation on “Tar Temple” was accompanied by the local People’s Political Consultative Conference member and the Project officer, the entrusted party had

10 informal discussion with living Buddha, Tibetan monk representatives and persons in charge of the famous “Tar Temple”.The above mentioned research involved 3 counties, 2 districts,8 towns and 17 communities. Basically, it covers all minority ethnic towns and communities, some typical multi-ethnic residential communities and important religious place. All about 130 families accepted the family baseline research, over 70 multiple ethnic residents accepted the deep interview, 8 communities accepted the participatory demand assessment. (Attached list 1: Schedule of the Field Research Condition of Project Communities,also can see SA . p 4-8 “1.3 process and results” ) The documents that the entrusted party collected including: County annals, Ethnography, Government work report, Development plan, Statistical yearbook, Report Forms, Study report, Map , various data provided by project office, data collected by the relative studying team and Local Scholar’s research works. The first hand data collected by the entrusted party include forum record, Community baseline census schedule, graphs filled in the villager participatory spot , Questionnaire, interview data and photos taken in the spot, etc. The entrusted party thinks that the field investigation mentioned above fully considering multiple factors such as the religion sensitivity, administrative region, economic condition, project management measures and community type. Meanwhile, according to the commission of the entrusted party, the city and county level Project Office did baseline investigation on 20 channels and all the administrative villages that they governs. Thereby, the report is reliable for being based on the entire information of the project area.

11 Schedule 1: The Social Assesement Group’s Field Research Condition of Project Communities Time/ Investigation Community characteristics Survey methods Achievements Duratio spot n Informal Discussion Questionnai re Interview Participatio n Time Time Consuming Staff Input Code name name Code A Jan. 5 Huoxi Han people community in villager assembly 1day 1 Strengthen the suburbthe small basin contact with participation- management group participant pilot project management group B Jan.6 Huodong Han people community in villager assembly 5 1 day 4 Practiced the suburbthe small basin participant participation- management group management pilot spot

C Jan.12 Shangye Out-of-the-way suburban Han 13 4 1 day 6 The development of people village; Planting and countries in exurb seasonal city labor exports are confronted with much difficulties. D Jan.12 Dujiagou Han people community in 8 villager 10 6 1 day 6 They wanted be suburb; serious soil erosion; visit representatives resettled via this spot Survey spot Shenjiatai was project; they can resettlement community in keep the pot boiling District by their own hands. Agriculture and Animal

Urban Husbandry Bureau’s plan.

12 E Jan.8-9 Erma The majority of residents 12 village cadres and 30 16 1.5 day 9 Have clear Tibatans live together with Han villagers’ identification with people; neighbor to temple; representatives their ethnicity; they living by agricultural and animal- are willing to husbandry, planting on the dry participate the lands; appealing to increase project rotation pasture area F Jan.8-9 Yuanshue Hui people community; Project 8 villagers’ 10 4 1.5 day 4 Residents and r Area; low average farmland; representatives religious figures High ratio sideline production welcome the project; population; suburb Livelihood support need guiding G Jan.9 QiaoergouHui people Community, Project 4 village and town 14 4 1 day 5 Small water area, low average farmland, no cadres conservancy projects irrigated land, relatively large can fundamentally poverty area, natural damaged solve the problem small Hydraulic Engineering, when it included in urging Hydraulic Engineering this project. H Jan.8 Daitong Tibetans community; Project 10 0.5 day 9 Livelihood support is area; anti-season vegetable potential ; Tibetans production base; Primary maintained bilingual education Experimental enthusiasm about spot. their culture. I Jan.7 Hujigou Han people rural community, 20 villagers’ 1 0.5 day 5 Residents welcome project area; the small basin representatives the participatory participation- management group management.

Datong County Datong pilot project

13 J Jan.11 Bohang Project area, Han people 6 2 0.5 day 4 Mixed-residence community Inhabited by a small Tibetans still have a number of Tibetans; more clear sense of their irrigating field, planting cultural conditions are better characterization. K Jan.11 Nalong Project area, Han people 4 village cadres and 16 10 1 day 7 Mixed-residence community inhabited by a small villagers Tibetans still have a number of Tibetans; more clear sense of their irrigating field, planting cultural conditions are better characterization. L Jan.7, Guanghua Mixed community of Hui and 10 villagers’ 12 6 1.5 day 6 Feelings of ethnic 11 Han, Project area; urban-rural representatives relations; projects in intersections; few arable land, line with demand livelihood diversification, more and have a social susceptible to floods and foundation droughts M Jan.7 Wanfeng Mixed suburb community of Hui 4 0.5 day 4 Confirmed the and Han; few arable land, simple necessity and Livelihood; more susceptible to rationality of project

Huangyuan County Huangyuan flood. N Jan.10 Qingquan Suburb Han people community; 7 villagers’ 6 2 0.5 day 8 Understanding the 1 Agriculture and business; Strong representatives authenticity of demand for project demand of residents in project areas O Jan.10 Qingquan Hui-based community inhabited 11 villagers’ 6 4 0.5 day 4 Confirmed the 2 by a small number of Tibetans; representatives rationality of project urban-rural intersections; Agriculture and business; Strong

Huangzhong CountyHuangzhong demand for project

14 P Jan.10 Qingshan Han people community, small 15 village cadres and 10 4 0.5 day 6 Find out the needs; basin participation- management Township cadres cooperate with the group pilot spot Project Office in county Q Jan.10 Tar The famous Tibetan Buddhist 7 persons, include 1 0.5 day 8 Living Buddha Temple temple, tourist destination; key living Buddha, Lama confirm the benefit prevention spot of the project’s and Head of the United of project; rule out negative impact. Front Work the negative impact Department of County of the project Note: (1) The time of field investigation isNovember 30,2007 –December 12 and January 5, 2008 -15. (2) In addition to the community forum, the entrusted party, also held 2 forum with the City Project Office and held forums in three counties and a number of departments.

15 II-II Ethnic Minority Population and Distribution

According to the related stactics,the ethnic minority population and distribution is as follows(see annex schedule 3 for the details of the specific condition of community and ethnic minority distribution): Schedule 2 Ethnic Minority Population of Xining City in 2000,2006 Other ethnic District Tibetan Hui TU Salar Mongolian minorities County 2000 2006 2000 2006 2000 2006 2000 2006 2000 2006 2000 2006 East City 7733 8732 88233 99314 2219 2504 2160 2736 1017 1186 3311 3575 Mid City 3576 3940 10395 11417 993 1095 470 584 760 857 1498 1659 West City 7751 8854 14775 16793 1953 2235 820 1032 1133 1347 1785 2064 North City 2581 2857 11124 12288 928 1036 347 429 729 834 2454 2731 Subtotal 21641 24383 124527 139812 6093 6870 3797 4781 3639 4224 9048 10029 Datong 29160 30436 125161 130264 43810 45947 162 225 4611 4960 949 992 Huangyuan 13565 14283 2259 2369 397 415 81 97 1815 1981 62 55 Huangzhon 38899 40876 74913 78392 1288 1362 29 48 427 438 144 146 g Total 103265 109978 326860 350837 51588 54594 4069 5151 10492 11603 10203 11222 1 In 2000, the total population of the city is 1 733 400, among which 506 500 is ethnic minority; In 2006, the total population of Xining City is2127300, 543,400 ethnic minorities. 2 IN 2006, the ethnic minority accounts for the total population proportion:: urban 23.06 percent; 47.20% in Datong; Huangyuan 13.86 percent, 24.92 percent in Huangzhong. Source: "Xining Statistical Annual (2007)", Xining Statistics bureau, in June, 2007

In terms of the project area, theproject specifically relates to North and West city, south of the new district, 16 townships or neighborhood offices and 53 Administrative villages, about 200 villager groups of municipal Datong, Huangyuan, Huangzhong County. In total, there are 2 127 Tibetan, Hui and Tu ethnic minority families, 11 673 people and the per capita of net income of rural residents in 2007 is about 3 158 Yuan. In the urban areas of Xining City, a total of 7 channels (Huoshao channel, Baojia channel,

16 Daya Channel, Dujia Challel, Diaogou , Dacao Channel and Xigou) and 9 administrative villages in North city District are in management, of which 7 belong to Ershilibao Town .Besides, 4 administrative villages in West City district , 2 in Mid-city district and 4 in South city new district are also involved in the Project area. There are 7 429 families in the urban district and a population of 30 885, among which 28 232 people are the agricultural population and 1058 ethnic minorities, hereinto 796 people of Hui, 37 Tibetans, 16 Tu people and 209 other minorities. The minorities, including Tibetan and others get into the community through intermarriage or town residence registration in addition to a small settlement of Huis. A total of six channels (Dongxia Channel, Huji Channel, Miaogou, Maojia Channel, Qiaoer Channel, Dameidong ) are managed in Datong county, , involving three towns ( Dongxia Town, Qiaotou Town and Liangjao Town) , 14 administrative villages and 53 villager groups. Altogether 4288 families, 18 607 of them are agricultural population and 9 434 ethnic minorities, of whom 7 886 people of Hui, Tibetan 1391, 88 Tu people and 69 of other ethnicities. In 14 administrative villages, five for the small Muslim village inhabited by a single nation; five are mixed residence of Tibetans and others. Tibetans are relatively concentrated in Erma Village (749), the yuan Dunzi (224) and Liujiazhuang (240). Huang Yuan County manage four channels (Bohang Channel, Lasa Channel, Quanerwan Channel and Hela Big Channel), involving four towns (Chengguan, Bohang, Heping and Shengzhong), 9 villages and 61 groups of villagers. 2 155 families are in the project area, 877 ethnic minority people of the total 8 721, including 355 Hui people, 417 Tibetans and five of other nationalities. In all 9 administrative villages, Tibetan residents live in 7, of which 5 are over 40 Tibetan residents villages, in Husitong (134), Nalong (80) Village live a little more Tibetans. Hui residents distribute in three villages. Three channels(Huoshao Channel, Fengtai Channel, Lu Shaer Channel) are managed in Huangzhong County, , involving two towns (Lu Shaer and Xibao ) 11 villages and 54 villager groups; totally 2 453 families, 10 030 people, 1 636 ethnic minority people , of whom 1 578 are Huis, 58 Tibetans. There are three of 11 administrative villages living Tibetan residents. The Hui residents mainly live in Qingquan village, Lu Shaer Town. (The distribution of Minority communities in project area details in Schedule 3) As is seen above, from the area and river basin that the project actually impact on we can see, only Tibetans and Hui people relatively centralize in the project area and will suffer from the radiation and significantly effect of the project. Specifically speaking, the Tibetans mainly distribute in Donghe basin of Datong County (Erma, Yuandunzi and Liujiazhuang in Dongxia Town), Bohang Channel in Huangyuan County and Huoshao Channel in Huangzhong County; Hui people mainly live in Qiaoergou, Yuanshuer, Dameidong and Xiaomeidong etc in Datong County , Lassa Channel (Chengguan Town)in Huangyuan County and Huoshao Channel in Huangzhong County (Lushaer Town). From the distribution pattern, Hui people live

17 in individual concentrated communities around the mosque, especially prominent in Datong and Huangzhong County;They live together with Han people in Huangyuan County. Tibetans rarely form a single ethnic communities, but the rate of Tibetan covers over 80 percent in Erma Village, Datong County.1 In addition,the adjacent community Yuandunzi, Liu Jiazhuang village, and Husidong,Nalongxi Village of Bohang township,Huangyuan County also have some native Tibetan population living together with the local Han people. From the layout of urban and rural areas, Hui people distribute in the urban-rural intersections and along traffic lines; Tibetans mostly live in mountainous areas, namely the transitional zone of agricultural and pastoral areas, far from cities and the strategic way.

II-III History, Culture and Livelihood of Ethnic Minorities

II-III-I Tibetan

Tibetan is an ethnicity with a long history and excellent cultural tradition. According to historical records, the Tibetan ancients lived on both sides of the middle reaches of the Yarlung Zangbo River as early as before Qin and Han dynasty. They multiplied and expanded gradually and absorbed many other ethnic groups with their expansion, thus covering the whole Qinghai-Tibet Plateau. The geographic distribution pattern of Tibetans today forms around the Tang period and directly relate to the rise of Tubo Dynasty. The main body of Tibetan ethnic group mainly distributes within the boundaries of China, mostly centralizing in Tibet (accounts for 52.84 percent of the total Tibetan population), besides, states of Yushu, Hainan, Huangnan, Haibei, Guoluo, Haixi in Qinghai province, Gannan state and Tianzhu County in Gansu province, Ganzi state, Aba state and the Muli county in Sichuan province, Diqing state in Yunnan province etc are also relatively centralized the Tibetan minority. In addition, Bhutan, Nepal, Sikkim, India, Pakistan and even Europe and America also have a part of Tibetan to live. The Tibetans call themselves “Bobas”, which is divided into “Duiba”(Ali), “Zangba” (Rikeze), “Weiba”(Lhasa) , Kangba (Western Sichuan) and “Anduowa” (Northwestern Tibet, Yunnan and Sichuan) according to the different region . The Tibetan ethnic minority has their own language which is divided into three dialects, Weizang, Kang and Anduo depending on the regionalization.

1 Shuobei Township in Datong county is an ethnic township with the main body of Tibetan, in which Datong village is more focused on the distribution of the Tibetan and the Tibetan population accounts for about 90% of the total population. Jan 8, 2008, the entrusted group and the World Bank expert had a brief investigation in this village with the accompany of the project office in Datong County and otherrelevant departments .however, the whole Shuobei township including Daitong village is not within the scope of the project area and free from disturbance of the project and other negative effects.

18 According to the fifth national population census, the total population of Tibetans in China is 5.416 million, increasing 822 900 compared with the “fourth census” in 1990, with the growth rate of 17.92 percent, and the average annual growth rate is 1.60%. The life expectancy of the population is 66 years old. The urban Tibetan population accounts for 12.83 percent of the total population, while rural population accounts for 87.17 percent. Compared with the data before1990, the ratio of urban population increases 5.76 percentage points. In the population over 15 years old, the illiteracy rate is 47.55 percent, 35.14 percent for men, women accounting for 59.66 percent. Compared with 1990, the illiteracy rate dropped by 21.85 percent. In the population of 6 years old and above, those with primary (including primary school) education account for 48.44 percent, junior middle school or above (including junior high school) education account for 13.27 percent, with high school or above education account for 5.55 percent. Those who have received tertiary or university education account for 1.35 percent, the average level of education is 3.52 years. In the population aged 15 and above, the labor force participation rate is 81.53 percent, 80.87 percent in employment and 0.81 percent unemployment. 86.41 percent of the employment population engage in the primary industry, 2.66 percent in the secondary industry and 10.93 percent in the third industry. As far as the occupation, 86.74% of the population engage in the countryside physical labor, 8.11% in the mental labor work and 5.16% engage in the city physical labor. Tibetans in the projects area live in the edge of Tibetan Centre belonging to mixed living group of the Tibetan. By the end of 2006, the total Tibetan population is nearly 110,000 in Xining City, nearly covering 5.17 percent of the city's total population and 20.24 percent of the city's total minority population; Tibetans living in cities and towns in the province account for about 25 percent of the total Tibetan population, rural Tibetans accounting for about 75 percent. The report confirms that Tibetans who live in the project area and directly affected by the project measures are over 400 households, 1866 people. Dongxia river basin in Datong County is most concentrated. There are four villages whose Tibetan is close to or more than 100, and the total number of Tibetan is 1391, accounting for about 75 percent of the Tibetan population in the red line. 417 Tibetan people are in the red line of Huangyuan County, where the administrative villages which have over 50 Tibetan people is over 5. There are 58 Tibetans in the red line of Huangzhong County, concentrating in Angzang and . See schedule 3 for details.

Schedule3: The list of the distribution of Tibetan population in the related community of project area County Datong County Huangyuan COunty Huangzh ong County Township Dongxia Town Qiaotou Town Bohang Town Hepi Shengz Lushaer ng hong community Yuand Liujiaz Erma Shang Maojia Bohan Nalong Husido Quan Hela Angzang unzi huang Village miao gou g Village ng erwa Village Village

19 VillageVillage Village Village Village Village n Villa ge Population 1240 883 936 1510 1510 1050 1900 960 412 729 867 in red line Tibetan 229 246 761 94 40 51 80 134 73 53 42 population

Tibetans in the project area mainly live on farming, which is often the mainly income of their families.The grain crops they plant include wheat and potatoes, while industry crops are rape and peas, etc. Some Tibetans in the top mountains also plant barley as food crops and they can affrd the food they need, while transportation, animal power, meat and cash income mainly depend on their breeding industry. What they raise including cattle, horses, Tibetan antelope, pig, etc. Some farmers also keep cows or rent pasture in the pastoral areas to develop large -scale raising since the 1990s. After 2000, the implementation of rotation affects the livestock activity, so some farmers no longer raise cattle, sheep, or they change from stocking into seasonlycaptivity. The gathering of herbal medicine and wild fungus and so on are also traditional economic activities in summer or fall season, but it accounts for very small proportion of the household income .Over the past 20 years, the Tibetans are the same with the majority of farmers, to increase their income by the capable migrant labor force, which is also the choice of many Tibetans in the project area. The places where they go for work are mainly in Qinghai Province, such as providing labor force to build house, repair the railing or mine in pastoral areas like Guoluo and Yushu. Tibetan ethnic minority’s livelihood structure and their economic conditions are detailed in Schedule 5. Tibetan residents in the project area mainly live in brick cottage like the local Han and Hui people. Every household have a courtyard, taking the courtyard house as the basic pattern. Main room is in the center, where Buddhist statues are consecrated; houses on its right are for daily living and bedrooms for the elders and superiors, the left are bedrooms for the younger people; the left of the side houses are for the younger people’s bedroom, storage and the right for the animals and wood storage. There are rural roads in Tibetan villages within the project area .Generally the Tibetan residents all have walking tractor for transport, land plow and so on. Some Tibetan villages have equipped the tap water, and villages without tap water have wells, so the drinking water for human being and animals are safeguarded. Labor in the top steep mountain is relatively difficult, Tibetans need trolleys, ox-cart or carriage to transport fertilizer, besides, they also need animal power to turn the soil and manual handling when harvest.Animals are also needed in pulling grind and turning millstone in autumn. The staple food of Tibetan residents is mainly wheaten food, and some high- altitude area residents also have the roasted barley and buttered tea, however, some residents in better conditions buy rice as one of the staple food. They drink brick tea themselves or treat guests. They have diet taboo, namely do not eat dead animals

20 and horse, donkey, mule or dog meat. They cook in their daily life or heat in winter mainly by lump coal or honeycomb briquette,supplemented by cow dung ,using leaves and crops such as straw to light fire; nearly every village has electricity, television and telephone, and some young people also use mobile phones. They use electricity power to have grain processing. Tibetans in the project areas no longer use their mother tongue and basically do not understand Tibetan language, so they communicate in Chinese each other or with others ,and they have switched to Chinese for about five or six generation. The living elder seldom heard the old generation speak mother tongue when they were young. However, some Tibetan residents in a few communities next to Guanghui temple in Dongxia Village of Datong County still know Tibetan language, but they mainly communicate in Chinese in their daily life. Daitong primary school in Shuobei Town use bilingual teaching in recent years for the restoration of the Tibetan language. They invite teachers from the pastoral areas to teach Tibetan language, two classes per week. However, due to lack of language environment, children easy to forget the language when learning it and the effect is not so satisfactory, but the national cadres and the schools are very serious to it. It’s necessary to point out that the communities around Guanghui Temple and Daitong Village do not belong to the scale of this project. The Tibetan ethnic costumes are still in reservation and people wear them mainly during the New Year period or in wedding or funeral ceremony. There is no difference in dress between the Tibetans and the local Han residents in daily life. The Tibetans don’t have any special ethnic holiday and their major holidays are spring Festival, Dragon Boat Festival and Mid-Autumn Festival, which roughly the same with local people. Enshrining the image of Buddha is the only way to maintain Tibetan Buddhism beliefs and custom, however, they do not have the Buddhist Shrine or hang Golden Statue of Buddha. Tibetans in Dongxia Town should enshrine living Buddha in Guanghui Temple. They also go to burn joss sticks on lunar January 15th and lunar June 15th and the first day of the Lunar New Year, meanwhile, they also go to burn joss sticks and ask Living Buddha to touch the top and give Lucky Knot to safeguard peace in the first and mid day every month. The families which have the old shall kowtow in front of the Buddha statues in their own family in the monthly first and 15th day, and some families worship food.

The following is the field investigation interview record that the entrusted party did in Maer village ,Dongxiaer Township of Datong County and Tar Temple in Huangzhong County.

[Case] Discussion attended by villagers and village cadres in Erma Village (Januany 8, 2008 4-6 pm, Up erma village. Lamaocuo, Jia Zhong Yi interviewed and recorded) Erma village lies in 2.5 km to the northwest Dongxia Township government office building, next to Yamenzhuang village to the southeast and Liujia village to the southwest, the boundary in the west is Hualin township,and next to Huangbaiya

21 ditch in the north, bordering on Xinghuazhuang village in the northeast, Erma village covers an area of 8.21 square kilometers, the average altitude is around 2,700metres, the village has 211 households and, 936 peopel, of which more than 180 households are Tibetan families, The rest are Han and a few Tu ethnic group.The meaning of "Erma"is "mountain“ and Erma administrative village includes three natural villages, namely, Up Erma Down Erma and Zancang ditch. According to legend, It is said that Erma belong to the territoriality of Guanghui Temple in Datong since the Qing Dynasty, of which Zancang village is the pasture of Guanghui Temple and Up and Down Erma villages were its farm.At present,there are two ditches in the village,they are ,Zancang ditch (4 km long) and Erma ditch (five kilometers long). 1 Production and Living Condition Erma village has 2170 Mu arable land (dry land), 1,400 Mu barren hills, and mainly plant wheat, oats, canola, potatoes, and so on.The good land accounts for around 700 Mu and about 550 Mu second-class land, the rest are poor land.The good land can yield around 400 Jin wheat per-mu while the poor land only can yield 200 Jin wheatper mu, however, the poor land account for more than a half of the total land. The villagers can produce enough food they need and have adequate food and clothing .There are more than 600 livestocks (sheep ,cattle, horses,mules and others) mainly in captivity.The village gathers all their livestocks in summer and hire labors to herd on the summer grazing pastures.Arable lands have been contracted to households, wihle the barren hills still belongto village collectivity. The villagers mainly depend on working outside for their cash income, about 140 people work outside years long and their trails spread Beijing, Shandong, Shaanxi, Guizhou, Sichuan, Xinjiang, Inner Mongolia as well as places in their province.They mainly run restaurant ,repair electrical equipment, build brick wall, carry and brush rooms. The monthly average income is around 1400-1500 Yuan for men, around 600 yuan for women. The village infrastructure is poor, the unsurfaced road is dirty and clinic is very simple. The Party member activity room and village administritive office got electricity in February 2007 with the support of the county Organization Department (financial aid amount is 10000 Yuan).Women have to go Dongxia Town hospital which is 2.5 kilometers from the village to give birth to children, the New ruralcooperative medical care paid 50 percent of the expense to patients. 2 Customs The living pattern, form and language of Erma village have been basically chinese localized, but their wedding and funeral as well as beliefs still vaguely maintain Tibetan characteristics, that is, different from other ethnic groups. 2.1 Wedding and Funeral Customs Customarily, the locals mainly marry in their own township, also look for mates in the near neighbourhood Xianghua,Hualin and Diaogou etc both in the way of free to choose or matchmakers’ introduction. In Erma village, the proportion of people marry in their own ethnic group and outside is half to half.They have no strict demands when selecting a mate for marriage; they are even possible to get married with Hui people who believe in Muslim. For example, the second daughter-in-law of

22 the proprieter of No 2 Ermavillage is a Muslim. There is some difference between the marriage ceremony of Tibentan and Han people in Erma Village. The most prominent characteristic is that the Han people teases the bride, while the Tibetan ethnic minority does not tease the new couple, however, the marriage banquet of them is almost the same. The Tibetan ethnic minority’s funeral in Erma village is divided into “tear mourning” and “happy mourning”. So-called “tear mourning” refers to the family old person died when the children have not married and begun a career, the deceased still has the extra worries; So-called “happy mourning” refers to the family old person died when the children married, and they do not have the extra worries about the family. When there is “tear mourning”, villagers will go to offer condolences, usually give a basin of wheat for the people in mourning; while they deliver 12 big steamed bread in “happy mourning” to shows mourn. The way in which family member wear mourning clothes to the deceased is that the male does not wear the hat, but wears a white fur-lined coat; Female wear anti-braided sets and paste a small piece of white cloth strip on the ceremonial hat. The funeral way is to bury dead underground and set up the tombstone, simultaneously invite the Buddhist priest to read safety scripture at home. 2.2 Belief Custom Tibetans in Erma village believe in Tibetan Buddhism, the famous Guanghui Temple is 2.5 kilometers from the village.When celebrate holidays, especially from lunar January 1st to 15th or on lunar April 15th. The old of every family will go to kowtow in Guanghui Temple to ask Buddha to bless their entire family’s safe health, the good crop weather and the life to be easy and comfortable.They also go to Obo on mountain top to pray for safty. Moreover,they usually do some “Woi- sang”activity at home.Besides, to express respect to Buddha,The Tibentans here,especially the elder do not wash or change clothes from from lunar January 1st to 15th or on lunar April 15th. 3 Local Knowledge There are some Long-established traditional methods of soil and water conservation in Erma village. One is to plant black thorn: insert the black thorn into woven bags with soil and build layer upon layer to play a role in flood control; another is to dig lotus (Malian) with root and plant layer by layer to play a role of biological dam,the third is to weave wire into wire cages and install stone blocks to build the flood prevention ridge.In recent years,the government take the measure of buidling safe ridge to reduce the the trench washout of flash floods and the effect is not bad.

[Case] Tartemple forum (January 10, 2008 9:30-11:00; Tar Temple Si VIP reception room;Prof. Zhang Haiyang writes up)

Zhang Haiyang (hereinafter referred to Zhang): Auspicious to all super masters and leaders: Xining Water Supplies Department will loan from World Bank to do Huangshui River Valley flood control, soil maintain the ecological management project. There are three small watershed project branches of this project in

23 Huangzhong County, they are: Huoshao ditch, Fengtai ditch andLu Shaer ditch. Two sections of projects Management are done in Lu Shaer ditch: one is 1.9km culvert and channel reinforcement of Jiaomu-ditch , the other is Zhaojiaogou clean and reinforcement work. As we see from the design drawing that the Tar Temple is close to Jiaomu and the straight-line distance is about 800 meters. Viewing from the slope, I feel it closer. Tar Temple is a world-famous Tibetan Buddhist holy site. According to the World Bank’s policies to local residents and local social and cultural safety, we need to do this field survey. Today, we have this forum to listen to you, Living Buddha and lamas in Tar Temple, what aspects you think the project will affect Tar Temple, what are the ways to reduce the negative impact. Firstly, let us clear two things: first is language. I don’t know whether you, the superior masters can understand if we speak in Mandarin, is it necessary to have a translator? The second, although we will not ask particularly sensitive questions today, still, in accordance with the norms of work, we consult with you whether you think someone here influences you to express views and whether they need to evade .Anyhow, we are here to express our thanks to all you superior masters can receive and treat us common people and give a chance to listen to the teachings.

Deputy Director Qianrejianzan: We are pleased and grateful that water Affairs Bureau comes to ask for our advice to do the project. To note a few points: Tar Temple management committee director, living Buddha Zongkang would like to personally host you and said this is a very auspicious fate. But he has an important meeting today, so he specially commissioned me to welcome you and express views. He also asked us to fully cooperate with this investigation, and told us to give you hada to show appreciation. The second is language. Today, though the Living Buddha here are Tibetan, but they have carried forward the Tibetan Buddhism in the Han-Tibetan junction place for many years and can understand Mandarin or dialects, also can express clearly. If we use Tibetan, you will have to need a translater, so we’d better use Mandarin when we are talking about the unreligious circs. The third is the evading issue; we all feel the discussion today of no sensitive topics. With coordination of all aspects, we can finally have this meeting. As long as all present here can stay and hear carefully, they all can play a role in communication and good to the implementation in the future. Therefore, we needn’t mention who need to evade. Buddhism is never far away from the people. Fourth, I briefly introduce Tar Temple. Tar Temple has three major functions in China today: First, world-class religious sites, second, world-famous tourist spots and the third is the state's key heritage conservation units, also will declare the world's cultural heritage. Today we are grateful that you come to solicit opinion and weigh the views and practices of the local and our temple. But I can say that this is a project to improve the city environment and there is no conflict with the existence and development of our temple.That is, there is only positive, no negative effect. Our temple is the temple of peace; we stress the good relations with the local. Now

24 the local is doing construction, we should actively support. Tar Temple is thought lighly by the community in this regard

Zhang: I congratulate it. Now we learn that you represent the temple monks to give a clear positive response to the project. However, we bear the tasks of social assessment and preparation for EMDP, so we would like to know what specificly positive role does the project play and what are the potential negative functions.

Deputy Director Qianrejianzan: What the project management is a drainage and sewage channel in the east of Temple which is shared with Lu Shaer town. This will benefit the surrounding environment and city environment. In other words, this project is of great benefit to Tar Temple. As for the negative impact on our temple, we have the full scope of protection and surveillance zones. The scope of protection is the road outside the wall of Temple for the Buddhist believers to walk around the temple, and mountain root is bounded to the east. The monitoring Zone is bounded to the ridge outside of the Temple walls. To the north end 50 meters to Forestry Station Bridge. The scope outside of the ridge is beyond our monitor and 1 huali from our surveillance zone, so it has no negative impact on the temple. The two living Buddhas can prove that. (Mengjia Living Buddha nodded. Xiage Living Buddha is outside at that moment to meet a visitor).

Zhang: We understand the World Bank’s security policies, including the temple material construction, folk custom and spiritual construction. We know that Tibetans believe that there is Mountain God on the top of the mountain and dragon god at the bottom of the ditch. Now the Water Supply Department is more likely to use machinery to do this project, which may disturb or scare these gods. What are the ways to eliminate this effect? Whether we should invite the Lama Masters to do a comfort ceremony before the start of the project.

Meng Jia Living Buddha had an understanding smile about it

Deputy Director Qianrejianzan: About this, because the project is not within the scope of temples’ monitoring, then the temple is hard to put foreward this requirement. However, if this is achieved by the construction party, then both the Temple monks and Tibetan believers will certainly be happy.

Xiage, Living Buddha: There is no conflict.between the project and Tibetan customs. Temple emphasizes feng shui, and the location of the construction sites is certainly a big part

25 of feng shui, which is a natural form of flood control ditch. The flood control and water and soil maintaince management now is good to people and God.What the temple do will also obey people’s aspiration. What the people think is good, the temple think it good too. From the perspective of the temple, the city improves the environment and makes the surrounding green, meanwhile, the overall environment get improved,which is also very important to the temple. I am the Standing Committee of the CPPCC in the county and know about the situation. Temple also has cooperation with the county. I remember that the streetlight system as well as transformation of dilapidated buildings of Temple was also applied for the World Bank by the county government. we are also in close relationship with Water affairs bereau, Two water projects of the temple, one cost 1 million, the other 880,000, were both provided by Water Affairs Bureau, so we are old friends with the director general Li ’ s affiliation.

Zhang: Thank you, lamas and living Buddhas. The danger of the project is comparatively clearnow. The next question is construction time, is there any stress on it in the Temple? For example, when the project not better make groundbreaking around?

Xiage, Living Buddha: There is not any time to pay attention; the key is that there is some distance from the temple, so it is not sensitive.

Zhang: There is also a small question, that is, the distribution of Tibetan around temples. We know that before the democratic reform, there are farmland around the temple, so there should have been many Tibetans living around the Temple in order to live auspicious. But we ie seems that there are more Muslim shops around Tar temple, then how to understand and explain that, does it have anything to do with Ma’s family rule in Qinghabefore before liberation ?

Xiage, Living Buddha: This idea was good. Generally Tibetan Buddhism temple around is inhabited by the people and provide services for the temple. Tar Temple lies in the Han, Hui, and Tibetan border areas. Hui people stress more on business, so closer to the temple. Tar Temple had six original Tibetan tribes to provde service for the temple. But Huangzhong is a multi-ethnic mixed area since very early. Many Tibetans can not be separated from livestock pasture, so the distribution is comparatively scattered and far from the farm area.

Vice Minister Zhang Wanjiang (County United Front Department): Let me add something. There are 13 ethnic groups in the County and the total population is around 250,000, Han people accounts for the largest part of population

26 in the pattern, nearly 130,000. Hui Secondly, there are nearly 80,000. Tibetan comes third, a total of around 40,000. Lu Shaer town’s situation is: more than 8,000 Hui, Tibetan with monks in Tar temple is nearly 3,000 people.

Zhang: Thank you, Mr. Minister. Thank you, living Buddha and superior masters.These are important issues. Specific figures will be verified in statistics. Today, the key is to understand the impact of projects on the temple. Living Buddha and Lama, if you have any new ideas, please call us. Once again, thank you very much.

II-III-II Hui people

Hui is one of the ethnic groups which believes in Islamism in China which consist of Persian and Arab businessmen, who were known as “fan off” during the Tang and Song Dynasties of China, and ethnicities of Mid-Asia, Persians, Arabs who had the Islamic faith and moved into China at the beginning of the 13th century when Mongolian army in the western expedition , also include Han, Mongolian, Uygur and other ethnic groups that were absorbed through intermarriage after a long-term integration. The Hui is a ethnic group of big area inhabited by several ethnicities and little region inhabited by their own, distributed all over country and centralize in Ningxia, Gansu, Henan, Hebei, Qinghai, Shandong, Yunnan, Xinjiang and other provinces and autonomous regions. The Hui ethnic group mainly uses the Chinese language, but still retains some Arabic and Persian glossary in their religious or daily life. A part of Hui ethnic group which lives together with different ethnic minorities also know the language of the neighbor ethnic group. According to the fifth national population census in 2000, the total Hui ethnic population is 9.8168 million, of which the urban population accounts for 45.30 percent and rural population accounts for 54.7 percent. Life expectancy for the population is 73.36 years old. In the population over the age of 15, the illiterate population ratio is 17.77 percent. Compared with 1990, the illiteracy rate dropped by 15.34 percent. Those of 6 years old or above who have primary school or more education account for 81.67 percent, junior middle school education or above account for 44.88 percent, and high school or higher education account for 15.89 percent. Those who have received tertiary or university education account for 4.08 percent. The average number of years of education is 6.89 years. In the population aged 15 and above, the labor force participation rate is 73.76 percent; 69.7 percent in employment and the unemployment rate is 5.50 percent. In the employed population, 59.59 percent engage in the primary industry, 14.29percent in the secondary industry and 26.12 percent engage in the third industry. As to profession,

27 the ratio of population that engages in manual labor in rural areas is 59.59 percent, 12.39 percent in the intellectual work and the ratio of population who engage in city physical labor t is 28.02 percent. Hui ethnic group began to enter Hehuang district since Yuan dynasty, and increasingly moved to Qinghai province during Ming and Qing dynasty by promoting the immigration policy. By the end of 2006, there were 350,837 Hui people in Xining City, accounting for 16.49 percent of the total city population, and is the most populous ethnic minority in Xining City .The rate of urbanization is on the national average level. Hui people in the cities and towns mostly run catering business, handicraft industry, and fur processing industry, commerce and trade activities, while the rural Hui people engage in agriculture, also working on breeding industry. The common characteristics of Hui people in Qinghai province is that they are proficient in beef and mutton business, fur processing and catering industries, therefore, they become the most active ethnicity in Qinghai commercial trade market. Hui people distribute broadly in the project Area. Besides the urban district, there are Muslim communities in Dameiyao, Xiaomeiyao, Qiaoergou ,Yuanshuer gou and other small watershed (Qiaotou Town, Liaojiao Township) of Datong County, Quanerwan, Lhasa gou (Chengguan Town) of Huangyuan County and Jiaomugou (Lu Shaer town) of Huangzhong County. 9 819 Hui people live in the Red line, including 7886 in Datong County , accounting for 80 percent and concentrating in five Muslim villages; 1578 in Huangzhong, concentrating in Lu Shaer town Chingchuan Village; 171 Hui people in Huangyuan County, Mainly concentrate in Guanghua and Wanfeng administrative villages of Chengguan Town.. See schedule 4 for details.

Schedule4: The list of the distribution of Hui population in the related community of project area

28 County Datong county Huangyuan county Huangzhong county township Qiaotou Chengguan Town Lushaer Town Town communityDatong Meido Baiya SongliQiaoergo Guanghu Wangfen Tongxin Qingqu Qingquan county nggou Villag n u Village a Village Village g an No.1 Village Villag e Villag Village No.1 e e Village Population 2040 1326 1273 1162 2046 1263 1337 811 1016 910 in the red line Population 2040 1326 1373 1162 2046 64 87 20 986 592 of Hui people

The traditional livelihoods of rural Hui residents in the Project Area is mainly planting, and some of the families also run breeding industry and commerce. The crops they plant are mainly wheat, potatoes, and economic crops such as rape and peas. Most household food is basically self-sufficiency, however, there are still some residents who have little arable land and do not have enough rations, so they need buy food to eat. The major livestock they breed are horses, ox and Tibetan sheep, also a small number of farmers raise cows. Horses and cows are mainly kept for animal force while sheep are sold for cash. Since the implementation of returning farmland to forests and grasslands, the grazing land reduced and only left a handful of sheep farmers now. Part of farmers even does not raise draft animals. Most Hui families run business, restaurants, trafficking cows and sheep or other traditional sideline to increase revenue in addition to planting and breeding industry. The Hui people in Datong County mainly work on digging coal and mine. In recent years, some young people also do business or work outside the province. The economic conditions and livelihood structure of Hui people in the project areas are detailed in Schedule 5. Although Hui and Han people live in a mixed pattern, however, Hui people in the communities usually live around the mosque. Hui residents generally live in brick courtyard-style room, which is consistent with the local Han people. The main room is in the north and trees or flowers are planted in the yard. The communities they live in generally access to road, electricity, television and tap water. Most

29 families have walking tractor to turn the soil, transport fertilizer, harvest crops, and daily travel; Young people generally ride motorcycle instead of walking. The dress of men Muslim is slightly the same with the local Han people, but adults generally wear the white flat topping and no brim” top hat” and the elderly often store beard. The religious worship and elderly persons wear “quasi-white” (long coat) and “Tess Daer” (entangle head wrap)females after “Young” (9-12 years old) should wear veils when out, young people often use green, cyan for middle-aged and white for the elderly. Hui people primarily eat wheaten food; they have many strict diet taboos. For example: they are banned to drink muddy water and generally refuse to drink stagnant or filthy water that is trampled by human and animas. They refuse to wash food; generally prohibit tobacco and alcohol also do not treat guest with them. Pig, horse, mule, donkey, dog, pigeon and all meat from self death are all their fasting. They are banned to drink animal blood, mare's milk or Koumiss; they must invite imam or the honest elderly to kill cows, sheep, chickens, ducks, rabbits, camels with the regulations. The birds or animals which are killed by those who do not belong to muslin or not clean and honest in the religion are also regarded as unclean. Hui people in the project area reverently believe in Islamism, which is divided in to new and old religion within it, but they gather in Mosque to have worships together, some communities build Mosque separately for the new and old religion of muslin. Generally there is Mosque administrative committee in the community. They manage the possession of Mosque and organize the religious activities. Major festivals of Hui people are the Lesser Bairam, the Corban Festival and Mawlid al-Nabi (Shengji Festival or the Birthday of the Prophet Mohammed). Hui people implement burial after death. Generally there is a public cemetery in the community where they live together or take the family as the unit to concentrate burying. They do not believe in geomancy, do not select date and time and do not use coffin. The corpse is buried with head to north and feet to south.

The following is the interview situation of a Hui ethnicity community as a case [Case] Yuanshuer village, in Datong County Qiaotou town (Information provided by: the village committee Accountant: Ma Deao, investigators: LU Shunyuan and Tuo Yanqing. Time: Jan 9,2008) 1. Population and Ethnicity There are 488 households, 2040 village population and all of them are Hui people, of whom 1,016 were male and female 1024, labor force 1286, 798 people out for work. all Hui ethnicity. 2. Resources and Industry The village has 1587.66 Mu of arable land, the area of returning farmland to forest area is 492.4 Mu. Planting industry output: wheat 230 Jin, and rapeseed220 Jin

30 3. Income and expenditure The income of village collective is 30,000 Yuan. The people who enjoy the minimal needs are 116. 446 farmers participate in New-type rural cooperative medical care, the average annual cost of primary, secondary and high school students is separately 100,400 and 1500 Yuan. Generally wedding expenditure is about 6,000 Yuan. 4. Organizations and capacity There is Village committee, Village party branches, the Communist Youth League, Militia, the Temple Management Committee. one mosque, one imam, 6Manla belonging to Sunni Islam. 5. Season and work and rest Busy season: April,June,September; Slack farming season: January February,March,May,June,July,August,November,December, Men work outside while women rest. 6. Impact and demand The management area is 5700 Mu and there are 6 villages withn the red line with a population of 2,040 people. Rotation area is 2,700 Mu. Interview Record with the village branch secretary, the village director and accountant: Record by Lu Shunyuan 0.7 Mu of arable land per capita, but all dry land. The area of closing hillsides to facilitate afforestation is 500 mu and need further replanting. Another 1,500 mu of barren hills need planting governance and returning farmland to forests, involving 50 households. Hills towards the sun are suitable for planting black thorn, caragana, and so on, while shady slope can be planted pines, cypress. There are two bifurcated Ditch in the village, one main ditch, and two branch ditches. check dam was bulit in 2003 which belong to small watershed management project. The existing flood dam has been washed out. All drains, no gutter. The project does not involve immigration issues. Labor exports population takes up more than half of the total population, whose revenue account for 70% of the total income. 40% -50% of the young people to coal mining, year-on-year fixed contract,. The employment is based on the physical condition, general strokes below the age of 35, maximum 40-year-old. They have a monthly income of about 1,500 yuan and there is no other treatment. Their income status belongs to the middle part in the village. Team leader’s, income can reach 2,200 Yuan per month. The daily working time is 12 hours, with great intensity. The transport industry is comparatively developed, mainly driving Taxi in the urban county. Thare are 11Xiali cars and nine buses. From the initial acquisition of personal loans, generally rely on the original loan. 11 large long-distance carriers transmit daily necessities from Lanzhou to Lhasa, Tibet, Zhangmu ,Sichuan and other places. Households combine with each other by household management, so they are occupation relations and the goods transmited according to three batches. Their gross profit is 10,000 per month. They operate 8 months a year, and the business is more in busy seasons. The risk is great, also needs large cost, particularly the repair fee is high. 2 people input in per vehicle and employ another person by the

31 wage of 1000-1500 Yuan per month, mainly to village people. 70% of young people in the village have driving licence, and a lot of them drive. There are more than 20 households running business and reatarant. The former can earn 4000-5000 S Yuan net income, and 15,000 Yuan for the later.There are 8 households run restarant in the Mainland. 35 poverty-stricken households and 8 per cent of them enjoy the minimal needs, and the actually poor residents account for one third of the whole village population. Poverty reasons: a lack of labor, disease, laziness, less farmland and less revenue opportunities. “Even the boys were not paid attention to in the past education; however, with the discreasing of children, Villagers also attach great importance to the girls." Planting trees is for ecological protection forest, not economic forest. Forestry income belong to reclamation contract households or families. They cut by themselves and the village committee do management with it, which needs 20 yuan for each households.

II-IV Ethnic Relations in Project Area

The relation of Han, Tibetan and Hui people, and the relation between Muslim of the old and new religious sects in the project area are relatively harmonious. The relationship of all ethnicities can conclude ad follows: (1) Thir living space is adjacent to each other. Han, Tibetan and even Hui people live together or next to each other, forming the general living pattern along Huangshui River. This mixed situation is not only showed as the different ethnic communities in terra connection, but many communities are formed by multi-ethnic polymerization. One of the performances is that intermarriage among ethnic groups is very common, particularly between Han people and Tibetan. Although Hui people have the religious beliefs and living habit restraint, so they are less active in marriages with other ethnic group, however, great change has happened in the past 10 years, the intermarriage between Hui and Han people or Tibetan has gradually increased. (2) The way of livelihood is complementary. From the the way of livelihood, the various ethnicities in the project area are of complementarity.Hui people in the urban diatrict run freight or trade while Huis of other district in the county engage in agricultural production; Tibetans often engage in the livelihood of half agriculture and half animal husbandry. From a historical point of view, Hui and Tibetan has a strong dependence in the mode of subsistence .Tibetans engage in farming and animal husbandry,while the demand of production tools and the flow of their production mainly depend on the trade of Hui ethnicity. While the Hui residents buy products from the hands of Tibetan farmers and herdsmen then sell to benefit from the sale. (3) They respect each other in religious belief. In project area each ethnic minority residents respect mutually in the religious belief, Tibetan Buddhism and

32 Islam, and Islam between the old and new religious sects live in harmony, and have no religious conflict or sectarian conflict. Take Lushaer Town in Huangzhong County as the example, this town enjoys the high reputation freely because of famous Tibetan Buddhism temple Tar Temple, but a big scale mosque is located less than 500 meters from Tar Temple .The entrusted party found that this mosque is enjoyed by both sunni and the Shiah believers together through investigation. They ofthen carry on the two sect’s religious activities in the same temple. These situations showed: No matter the relation between different religions or the different religious sect of the identical religion, they can coexist harmoniously; ans the resident do not hold the prejudice each other because of their different religious belief. (4) The ethnic relation is harmonious in the Mixed living villages. in the village cadres elections of the multi-ethnic communities, there were no inter-ethnic struggle for power. The village cadres are well aware of different ethnic villagers and their family circumstances, reflecting ethnic barriers rarely exist between the cadres and the villagers. Besides,Hui people can bear Tibetan and Han residents raise pigs, eat meat or have the habit of smoking and drinking. There is nearly no contradict and conflict caused by very little mutual respect for each other’s customs and practices. Moreover,school students of all ethnic groups in schools at all levels and the youth from different ethnic communities communicate freely and hold harmonious relations. There is no group fight, no language discrimination, and no national or ethnic boundaries among them. The seventh performance is that the cadres of all ethnicities at all levels of government departments and organizations hold harmonious relation, close cooperation and mutual respect each other. Given the harmonious relations between various ethnic groups in the project area, the ethnic minority development plans must try to avoid dividing Hui ethnic minority, Tibetan and Han into different areas, and should increase public welfare projects while appropriately reduce particular projects which specially aim at the development and support for the ethnic minorities or individual Farmers to reduce the negative stimulus to inter-ethnic relations.

II-V Activities in Ethnic Minority communities and Response of Ethnic Minority Residents to the Project

According to the newest information provided by the county project office, the project activities of Ethnic Minority communities and those contain a few native Hui or Tibetan population have been basically defined. See the table below for details.

33 Schedule 5 The Community Project Activities list of the Ethnic Minority Community (including the native ethnic minority population) I p n r v o 1 e p 0 P s C o 0 t r F r m o % S o t u m I i g t r e o n a n a r n m n v r d n a t t e m g / u r e s e e n t n / m a s i s d t o c c y C e t u t a i n i r n o v l m t c e a u i s e t m W e n i s e t e e s B r p a r t

Planting 33.33 (hm2) 2011-12 91.07 75 25 World Bank Project Office Check dam 50 2011-12 77 75 25 World Bank Project Office Dyke 50(m) 2011-12 0.035 75 25 World Bank Project Office E protection r m Village road Province “village to village a 7(km) 2009-12 120 75 25 rebuilding ”road Barn 100 2011 70 75 25 World Bank Project Office Cattle 100(head) 2011 60 75 25 World Bank Project Office Sheep 300(head) 2011 9 75 25 World Bank Project Office Planting 100.23(hm2) 2011-12 273.83 75 25 World Bank Project Office Pasturage 61.91(hm2) 2011-12 2.14 75 25 World Bank Project Office alternation Check dam 30 2011-12 46.2 75 25 World Bank Project Office Y u

a Livestock n 30 2011 21.00 75 25 World Bank Project Office d shed u n z Cattle 30(head) 2011 18.00 75 25 World Bank Project Office i Sheep 100(head) 2011 3.00 75 25 World Bank Project Office Biogas 31 2011 7.75 75 25 World Bank Project Office digesters Solar cookers 316 2011 6.64 75 25 World Bank Project Office Pasturage 60.3(hm2) 2011-12 2.09 75 25 World Bank Project Office alternation Livestock 37 2011-12 56.98 75 25 World Bank Project Office L shed i u j i Road 5 km 2011-12 75 75 25 World Bank Project Office a z h 2 u Terrace 40(hm ) 2011-12 57.64 75 25 World Bank Project Office a n g Road 5(km) 2009-12 75 75 25 Biogas 30 2011 7.5 75 25 World Bank Project Office digesters Solar cookers 59 2011 1.239 75 25 World Bank Project Office

S 2 h Planting 78.26(hm ) 2012-13 30.98 75 25 World Bank Project Office a n g Pasturage 2 m 1000(hm ) 2012-13 27.08 75 25 World Bank Project Office

i alternation a o Livestock 24 2012-13 44.33 75 25 World Bank Project Office shed Dyke 150(m) 2012-13 0.1 75 25 World Bank Project Office protection Road 5 km 2012 75 75 25 World Bank Project Office Barn 112 2012 78.4 75 25 World Bank Project Office Cattle 25(head) 2012 15 75 25 World Bank Project Office

34 Sheep 160(head) 2012 4.8 75 25 World Bank Project Office Biogas 7 2012 1.75 75 25 World Bank Project Office digesters Solar cookers 379 2012 7.959 75 25 World Bank Project Office Planting 166.1(hm2) 2010-11 61.52 75 25 World Bank Project Office Terrace 26.67(hm2) 2010-11 37.9 75 25 World Bank Project Office Livestock 50 2010-11 69.28 75 25 World Bank Project Office shed

M Dyke

a 150(m) 2010-11 0.1 75 25 World Bank Project Office o protection j i a g Cattle cote 35 2010 24.5 75 25 World Bank Project Office o u Sheep cote 30 2010 18 75 25 World Bank Project Office Cattle 60(head) 2010 36 75 25 World Bank Project Office Biogas 48 2010 12 75 25 World Bank Project Office digesters Solar cookers 360 2010 7.56 75 25 World Bank Project Office Planting 108.71(hm2) 2012-13 40.47 75 25 World Bank Project Office Pasturage 12.67(hm2) 2012-13 0.7 75 25 World Bank Project Office alternation Terrace 20(hm2) 2012-13 29.27 75 25 World Bank Project Office Waterlogged Pool 1 2012-13 18.21 75 25 World Bank Project Office reinforcement

Y Slope 50(m) 2012-13 30.89 75 25 World Bank Project Office u protection a n

s Livestock h 35 2012-13 56.69 75 25 World Bank Project Office u shed e r Dyke 450(m) 2012-13 0.31 75 25 World Bank Project Office protection Cattle cote 30 2012 21 75 25 World Bank Project Office Sheep cote 15 2012 9 75 25 World Bank Project Office Sheep 1800(head) 2012 54 75 25 World Bank Project Office Biogas 2 2012 0.5 75 25 World Bank Project Office digesters Solar cookers 298 2012 6.258 75 25 World Bank Project Office

M Pasturage 2 e 75.88(hm ) 2012-13 4.23 75 25 World Bank Project Office i alternation d o

n Livestock g 7 2012-13 11.34 75 25 World Bank Project Office g shed o u Dyke 100(m) 2012-13 0.07 75 25 World Bank Project Office protection Barn 20 2012 14 75 25 World Bank Project Office

Cattle 80(head) 2012 48 75 25 World Bank Project Office Solar cookers 200 2012 4.2 75 25 World Bank Project Office Pasturage 137.93(hm2) 2012-13 7.69 75 25 World Bank Project Office alternation Livestock 15 2012-13 24.29 75 25 World Bank Project Office shed à Dyke

B 100(m) 2012-13 0.07 75 25 World Bank Project Office a protection i y a Barn 20 2012 14 75 25 World Bank Project Office

Cattle 70(head) 2012 42 75 25 World Bank Project Office Solar cookers 200 2012 4.2 75 25 World Bank Project Office

35 Planting 4.24(hm2) 2010-11 1.72 75 25 World Bank Project Office Pasturage 184.9(hm2) 2010-11 7.53 75 25 World Bank Project Office alternation Livestock 5 2010-11 6.93 75 25 World Bank Project Office shed Dyke 100(m) 2010-11 0.07 75 25 World Bank Project Office protection

S Waterlogged o n

g Pool 1(seat) 2010-11 54.63 75 25 World Bank Project Office l i n reinforcement

Road 4 km 2010-11 60 75 25 World Bank Project Office

Barn 75 2010 52.5 75 25 World Bank Project Office

Cattle 65(head) 2010 39 75 25 World Bank Project Office Sheep 400(head) 2010 12 75 25 World Bank Project Office Solar cookers 245 2010 5.145 75 25 World Bank Project Office Planting 31.87(hm2) 2010-11 12.96 75 25 World Bank Project Office Livestock 2 2010-11 2.77 75 25 World Bank Project Office

Q shed i a o e Barn 50 2010 35.00 75 25 World Bank Project Office r g o u Cattle 50(head) 2010 30.00 75 25 World Bank Project Office

Sheep 500(head) 2010 15.00 75 25 World Bank Project Office Solar cookers 424 2010 8.90 75 25 World Bank Project Office 2 Planting 73.3(hm ) 2010 11 9.90 75 25 World Bank Project Office 2

G 45.6(hm ) 2010 11 u a

n Pasturage g 0.90 75 25 World Bank Project Office h

u alternation a

2(stack) 2010 11 Livestock 3.20 75 25 World Bank Project Office shed

5.1 km 2010 11

Road 76.50 75 25 World Bank Project Office

Barn 68 2010 12 45.6 75 25 Sheep 103 head 2010 11 3.09 75 25 World Bank Project Office T o n

g 2 x Planting 230.7(hm ) 2010-11 31.20 75 25 World Bank Project Office i n g

Pasturage 201.3(hm2) 2010-11 4 75 25 World Bank Project Office alternation Livestock 13 2010 11 20.90 75 25 World Bank Project Office shed Livestock 139 head 2010 11 6.87 75 25 World Bank Project Office Barn 161 2010 11 106.20 75 25 World Bank Project Office

36 93.14(hm2)

W 2012 13 a n f

e Planting 36.54 75 25 World Bank Project Office n g

Livestock 6 2012 13 9.66 75 25 World Bank Project Office shed Livestock 146 head 2010 11 2.61 75 25 World Bank Project Office Barn 99 2010 11 114.40 75 25 World Bank Project Office

Q 105.84 hm2 2012--13 u a n

e Forest

r 2.07 75 25 World Bank Project Office w protection a n

Livestock 9 2012 13 14.49 75 25 World Bank Project Office shed 68head head 2010 11 Livestock 11.58 75 25 World Bank Project Office

Barn 36 2010 11 25.20 75 25 World Bank Project Office Planting 72.82 hm2 2009 10 14.62 75 25 World Bank Project Office 7 2009 10 B o

h Livestock a 11.27 75 25 World Bank Project Office n

g shed

31head head 2010 11 Livestock 9.03 75 25 World Bank Project Office

Barn 108 2010 11 72.10 75 25 World Bank Project Office Terrace 163.04 hm2 2009--10 288.65 75 25 World Bank Project Office 14.52 hm2 2009 10 n a l o

n Planting 2.91 75 25 World Bank Project Office g

Forest 2 63.63 hm 2009 10 2.87 75 25 World Bank Project Office protection Livestock 121 head 2010 11 72.30 75 25 World Bank Project Office Barn 118 2010 11 82.60 75 25 World Bank Project Office Terrace 125.65 hm2 2009 10 222.45 75 25 World Bank Project Office 5

h 2009 11 u s i d

o Silt dam 110.36 75 25 World Bank Project Office n g

Livestock 14 2009 10 22.55 75 25 World Bank Project Office shed Livestock 19 head 2010 11 0.57 75 25 World Bank Project Office Barn 122 2010 11 73.20 75 25 World Bank Project Office Planting 127.5 hm2 2011 12 41.75 75 25 World Bank Project Office 379 hm2 2011--12 h

e Pasturage l

a 6.95 75 25 World Bank Project Office alternation

37 Silt dam 1 2011--12 25.67 75 25 World Bank Project Office Livestock 15 2011--12 24.16 75 25 World Bank Project Office shed Barn 113 2010 11 77.10 75 25 World Bank Project Office Planting 8.96(hm2) 2012-13 6.91 75 25 World Bank Project Office q i Pasturage 2 n 49.37 hm 2012-13 0.90 75 25 World Bank Project Office g alternation q u a Barn 20 2012 7.20 75 25 World Bank Project Office n y i

Cattle 94(head) 2012 9.30 75 25 World Bank Project Office Sheep 310(head) 2012 28.50 75 25 World Bank Project Office Planting 20.35(hm2) 2012-13 13.61 75 25 World Bank Project Office q

i Pasturage n 45.24 hm2 2012-13 0.80 75 25 World Bank Project Office g alternation q u a Barn 4 2012 1.44 75 25 World Bank Project Office n e r

Cattle 39(head) 2012 3.60 75 25 World Bank Project Office Sheep 120(head) 2012 11.70 75 25 World Bank Project Office Planting 81.11(hm2) 2012-13 12.30 75 25 World Bank Project Office Pasturage a 2

n 69.91 hm 2012-13 1.49 75 25 World Bank Project Office g alternation z a n Barn 21 2012 7.56 75 25 World Bank Project Office g Cattle 60(head) 2012 4.50 75 25 World Bank Project Office Sheep 150(head) 2012 18.00 75 25 World Bank Project Office

As is shown in the schedule above, the project activities that 8 ethnic minority communities involved in the project are mainly two types: one is soil and water conservation management measures, including forestation, rotation, check dam, slope protection works, strengthening flood pool and changing slope into terrace, etc; the other is livelihood supporting and infrastructure construction projects, mainly including the construction of livestock sheds, the development of breeding (cattle, sheep), biogas digesters, solar cookers, as well as transformation of rural roads. Other community management measures, livelihood supporting and infrastructure construction involving ethnic minorities are basically the same. According to the investigation of the entrusted party to 17 communities and 130 households, the communities and residents of all ethnic groups welcome the project, and the support rate to the project is 100% in the resident representatives of the community. In the Household interviews, the support rate of the interviewed residents also reached around 95%. From the informed situation, communities and residents interviewed all knew about the project, and the way they have access to relevant information is mainly conveyed by township government and village cadres who are entrusted by the county project office or publicity in the General Assembly. The city and county level Project Office did spot investigation, plan design and the small watershed management research by the small watershed particularly management expert group all played a very good publicity role. From the pre-estimation by the residents to the positive effect of this project, they list many advantages, such as the improvement of ecological environment, prevention of soil erosion and increase environmental security, infrastructure

38 improvement, production development, prosperous lives promotion and the benefit for future generations, community environment beautified and many other benefits. A small number of residents also believe that project is good on poverty alleviation and marriage to the local young people. It shows that the residents have confidence and full of expectations to this project. From the negative impact of the project that the residents worry about, more than 90 percent of residents believe that on the whole the project will not have adverse impact on their production and life. About 10 per cent of the residents worry about the occupation of cultivated land, house demolition, or grazing activities restriction as a result of not knowing the specific measures of the project. There are several families are still difficult to judge now. To verify by the entrusted party, all the project activities of minority community management do not involve the use of cultivated land and house demolition. Only the two major eco-management measures of forestation and rotation will restrict grassland grazing activities for the time being. In view of this brief, local and limited impact of the project, the project office has cleared to have captive breeding and other measures to make up in accordance with the recommendations of experts. During the interview in minority communities Erma and Yuanshuer Village, the entrusted party found that residents and village cadres all support the development of captive breeding and welcome it; to the requirements of fodder, they have previously carried out the returning farmland to forest project and accumulated successful experience of the alternative way, which is making use of crop straw, having artificial grass or using surplus grain as part of the solution and so on. The Supporting construction of this project, such as biogas digesters and solar cookers will reduce the demand for firewood to a certain extent and will also benefit the ecological environment protection. What is more, the plan of the fund that is needed to carry out the above-mentioned activities of the project is that 75% of the project investment, 25% of the inside allocation; the burden of farmers will be converted through the input of labor and work, so there will not be a burden to them, and the poor families will not be limited benefiting from or participating the project. In the way of participation in the project, the residents agreed to the former three of the four basic options " training provision," "representative participation" , "personal participation" , "other" They both understand they need appropriate knowledge and skills to participate and want their families to have direct participation. In safeguarding the rights and interests of their own, the majority of residents opted for the township government and village committee as a safeguard commission object of their own rights; some of the villagers choose to safeguard their rights by themselves. It shows that the grassroot political power have greater influence in the political life of the residents. Some of the villagers choose to defend their own right by themselves, which prove s that the residents have more confidence in their own ability.

39 On monitoring and assessment issue of the project , the residents agreed the four basic options "government department" and "experts and scholars", "World Bank designation” and "residents reprehensive ". From the investigation of small watershed participatory management planning group and the feedback of the survey by city and county level project office, the conclusion they made is basically the same with the SA group, which can explain that the project construction is in accordance with the aspirations and demands of all ethnic groups and the community residents have relatively more understanding and awareness on this project. The local residents also have certain psychological preparation on how to better promote and maintain their own right and interest through the project. Feedback of community and residents’ opinion see Annex Schedule 4.

40 III The Relevant Laws, Policies and Other Basis in Compiling EMDP

III-I The Chinese Government Policy Spirit

The People’s Republic of China established in 1949 and the ruling Chinese Communist Party always advocate the interests of the people and serve the people. Since 2000, the country has enriched the connotation of the concept of serving the people and proposed” humanist” and scientific development concept, striving to build a harmonious society. These thought and the idea, become guiding principle for all levels of the government to formulate the social policy and process social affair. In ethnic and religious issues, the CPC and the Chinese government in accordance with international pop values, claim national equality and freedom of religious belief in the principle of “three inseparables” (Han people can not be separated from ethnic minorities, ethnic minorities can not be separated from the Hans, ethnic minorities can not be separated from each other) and “ethnic and religion is no small matter” ,using “unite to struggle and promote common prosperity and development ” as a basic principle, striving to build “equality, solidarity, mutual assistance and harmony” socialism Ethnic relations. At the policy level, the Chinese central government base on the basic national condition of regional, urban and rural, ethnic imbalance in the development, and stress that advanced to help backward, the Han to help ethnic minorities, developed areas to support poverty-stricken backward areas. Since the 1980s, the government has implemented poverty elimination and the western development strategy. Since 1998, in order to reverse the trend that the land ecological environment is deteriorating, the nation carry out policies like returning farmland to forest, drawing back the herd to grass with national strength .As China's ecological barrier, the western region is key areas of the projects above mentioned. In recent years, the state energetically improve the social security situation of urban and rural residents and implement financial transfer payment system on state-level poor counties, eight provinces and autonomous regions (including the Qinghai) with large proportion of ethnic minority population and all the ethnic autonomous areas . Meanwhile, the government speeds up rural material and spiritual civilization construction through the implementation of socialism new rural construction. The guiding ideology, policies and measures reflect that the Chinese Communist Party and the Chinese government sincerely serve the people and the society, caring for ethnic minorities and like to accelerate their development, which has made universally acknowledged achievements in practice.

III-II Current Laws and Regulations in China

This project involves environmental, social, ethnic, religious, and other issues, and many laws and regulations can be applied. We will have a brief review on the

41 ethnic and religious laws and regulations. There are three parts of relevant laws and regulations: the Constitution, the ethnic and religious laws and the general laws and regulations.And the the ethnic and religious laws include the Law on Regional Ethnic Autonomy, ethnic autonomous regulations and relevant general regulations; the general laws and regulations are the national special laws and branch laws.

III-II-I The Constitution (Amended in 2004)

Chapter I Article 4 All nationalities in the People’s Republic of China are equal. The state protects the lawful rights and interests of the minority nationalities and upholds and develops a relationship of equality, unity and mutual assistance among all of China’s nationalities. Discrimination against and oppression of any nationality are prohibited; any act which undermines the unity of the nationalities or instigates division is prohibited. The state assists areas inhabited by minority nationalities in accelerating their economic and cultural development according to the characteristics and needs of the various minority nationalities. Regional autonomy is practiced in areas where people of minority nationalities live in concentrated communities; in these areas organs of self-government are established to exercise the power of autonomy. All national autonomous areas are integral parts of the People’s Republic of China. All nationalities have the freedom to use and develop their own spoken and written languages and to preserve or reform their own folkways and customs. Article 30 The administrative division of the People’s Republic of China is as follows: (1) The country is divided into provinces, autonomous regions and municipalities directly under the Central Government; (2) Provinces and autonomous regions are divided into autonomous prefectures, counties, autonomous counties, and cities; (3) Counties and autonomous counties are divided into townships,nationality townships, and towns. Municipalities directly under the Central Government and other large cities are divided into districts and counties. Autonomous prefectures are divided into counties, autonomous counties, and cities. All autonomous regions, autonomous prefectures and autonomous counties are national autonomous areas. Article 36 Citizens of the People’’s Republic of China enjoy freedom of religious belief. No state organ, public organization or individual may compel citizens to believe in, or not to believe in, any religion; nor may they discriminate against citizens who believe in, or do not believe in, any religion.

42 The state protects normal religious activities. No one may make use of religion to engage in activities that disrupt public order, impair the health of citizens or interfere with the educational system of the state. Article 48 Women in the People’s Republic of China enjoy equal rights with men in all spheres of life, in political, economic, cultural, social and family life. The state protects the rights and interests of women, applies the principle o, f equal pay for equal work to men and women alike and trains and selects cadres from among women. Chapter III, Section 6, Article 112 The organs of self-government of national autonomous areas are the people’s congresses and people’s governments of autonomous regions, autonomous prefectures and autonomous counties. Article 113 In the people’’s congress of an autonomous region, autonomous prefecture or autonomous county, in addition to the deputies of the nationality exercising regional autonomy in the administrative area, the other nationalities inhabiting the area are also entitled to appropriate representation. Among the chairman and vice-chairmen of the standing committee of the people’’s congress of an autonomous region, autonomous prefecture or autonomous county there shall be one or more citizens of the nationality or nationalities exercising regional autonomy in the area concerned. Article 114 The chairman of an autonomous region, the prefect of an autonomous prefecture or the head of an autonomous county shall be a citizen of the nationality exercising regional autonomy in the area concerned. Article 115 The organs of self-government of autonomous regions, autonomous prefectures and autonomous counties exercise the functions and powers of local organs of state as specified in Section 5 of CHAPTER III of the Constitution. At the same time, they exercise the power of autonomy within the limits of their authority as prescribed by the Constitution, the Law of the People’’s Republic of China on Regional National Autonomy and other laws and implement the laws and policies of the state in the light of the existing local situation. Article 116 The people’s congresses of national autonomous areas have the power to enact regulations on the exercise of autonomy and other separate regulations in the light of the political, economic and cultural characteristics of the nationality or nationalities in the areas concerned. Article 117 The organs of self-government of the national autonomous areas have the power of autonomy in administering the finances of their areas. All revenues accruing to the national autonomous areas under the financial system of the state shall be managed and used by the organs of self-government of those areas on their own. Article 118 The organs of self-government of the national autonomous areas independently arrange for and administer local economic development under the guidance of state plans. Article 119 The organs of self-government of the national autonomous areas independently administer educational, scientific, cultural public health and physical

43 culture affairs in their respective areas, protect and sift through the cultural heritage of the nationalities and work for a vigorous development of their cultures. Article 121 In performing their functions, the organs of self-government of the national autonomous areas, in accordance with the regulations on the exercise of autonomy in those areas, employ the spoken and written language or languages in common use in the locality. Article 122 The state provides financial, material and technical assistance to the minority nationalities to accelerate their economic and cultural development. The state helps the national autonomous areas train large numbers of cadres at various levels and specialized personnel and skilled workers of various professions and trades from among the nationality or nationalities in those areas. Section 7, Article 134 Citizens of all China’’s nationalities have the right to use their native spoken and written languages in court proceedings. The people’s courts and people’s procuratorates should provide translation for any party to the court proceedings who is not familiar with the spoken or written languages commonly used in the locality. In an area where people of a minority nationality live in a concentrated community or where a number of nationalities live together, court hearings should be conducted in the language or languages commonly used in the locality; indictments, judgments, notices and other documents should be written, according to actual needs, in the language or languages commonly used in the locality.

The articles above indicate that: the basic rights of Chinese citizens are respected and protected by the State; the ecological environment and historical treasures and cultural heritage are treasured and protected by the state; the minority rights of autonomy are guaranteed by the state; the economic and cultural development of minority nationalities are highly appreciated in this country; the Constitution of China Stressed equality of all nationalities ,prohibited any form of ethnic discrimination, pursuited the common prosperity of all ethnic groups and development.

III-II-II Ethnic and Religious Laws

The Chinese government implements the regional autonomy for the safeguard the right of domestic ethnic minorities and help to speed up their development. In 1984 the government developed fundamental law “Law on Regional Ethnic Autonomy” whose status is lower than the constitution but higher than the criminal law, and obtained the revision in 2001. Besides reiterate the right that "Constitution" entrusts with the ethnic minority and ethnic minority area, “Law on Regional Ethnic Autonomy” also particularly makes it clear: Chapter VI, Article 54 Resolution, Decision, Order and Instruction of the higher authority State agency related to ethnic autonomous areas should be suitable for the actual situation of the ethnic autonomous areas.

44 Article 65: When exploring resources or making construction in ethnic autonomous areas, the state should take care of the interests of the ethnic autonomous areas and the arrangements made should benefit the economic construction of the ethnic autonomous areas, should take care of the local production and life. State should take measures to give certain benefit compensation to the ethnic autonomous areas for output of the natural resources. Article 66, Item 3: Any organizations and individuals developing resources or making construction in ethnic autonomous areas, should take effective measures to protect and improve the local living and ecological environment, prevent pollution and other hazards. To ensure the implementation of Law on Regional Ethnic Autonomy, the Chinese State Council promulgated “Implementation of The Chinese State Council ‘People's Republic of China Law on Regional National Autonomy’ certain provisions” in 2005, especially stressed that: Article 5: when making medium or long-term plan of economic and social development, the higher authority people's government and Functional departments should listen to the views of the Ethnic autonomous areas and the national department, should base on the characteristic of ethnic autonomous areas and their demands, meanwhile, should support and help to strengthen the infrastructural facilities, develop the human resources, optimize economic structure and use natural resource reasonably, should strengthen the ecological building and the environmental protection, accelerate the development of economic, education, science and technology, culture, health, sports and other utilities to achieve a comprehensive, coordinated and sustainable development. In order to safeguard citizen's religious belief right, the Chinese government has promulgated “Regulations on Religious Affairs”, which came into effect from March 1, 2005. In order to guarantee the urban ethnic minority resident's legitimate rights and interests, the Chinese government has also formulated “Urban Ethnicity Work Rule” authorized by the State Council and issued the execution by the State Ethnic Affairs Commission on August 29, 1993. In addition, Datong Hui and Tu Ethnic Minority Autonomous County in the project area promulgated the regulations on autonomy in 1990, basing on“ People’s Republic of China Law on Regional Ethnic Autonomy” and connecting the local realities. The regulation, together with laws and regulations established by central government and organs at higher levels constitute a system of laws and regulations to safeguard ethnic minorities’ rights and interests. It is also the basic standard which this project construction should follow.

45 III-II-III General Laws and Regulations

Any stakeholders’ rights and obligations of all parties involved in the project construction, governments at all levels and Functional departments will have the quite perfect laws and regulations to carry on the standard. For example: On Project establishment and bidding, guaranteed by “Law of the People's Republic of China on Tenders and Bids” (January 1, 2000) and so on; On land acquisition and demolition, guaranteed by “Land Administration Law of the People’s Republic of China” (August 28, 2004),” “Law of the Peoples Republic of China on Land Contract in Rural Areas” (March 1, 2003), “Real Right Law of the People's Republic of China ”(March 16, 2007), “Xining Regulations for Management of Urban House Demolition ” (September 20, 2002), “Regulations on City Planning of Xining” (July 24, 1998) and so on. Environmental safety and ecological protection, guaranteed by “Environmental Protection Law of the Peoples Republic of China” (December 26, 1989), “Law on Environmental Impact Assessment in People's Republic of China” (September 1, 2003), “ Forest Law of the People’s Republic of China ” (1998), “Law of the People’s Republic of China on Water and Soil Conservation” (1991), “Law of the People's Republic of China on Prevention and Control of Water Pollution.” (May 15, 1996) and "People's Republic of China Water Pollution Control Act Rules" (March 24,2000), “Law of the People's Republic of China for the Protection of cultural relic” (October 28, 2002) and “Rules of the People's Republic of cultural relic conservation” (May 1992), “returning farmland to forests Ordinance” (January 20, 2003), “on the Qinghai Provincial People's Government to further strengthen the work of energy-saving emission reduction policies and measures”(July 19, 2007), “Xining water and soil conservation management approach”(August 27, 2001)and “Xining Urban residents living pollution prevention approach”(July 1, 2001),etc.

III-III World Bank Policy

The World Bank, which has the widespread international background and the multi-disciplinary training background first-class expert team and the management troop develop numerous domain aid project in the global scale, accumulating the rich project experience for more than a half centuries, has forming the scientific standard project establishment and examination procedure, and also owning the advanced development idea. The service policy it draws up has the important instruction value to the numerous countries and the area, specially the developing country and the area. This project is suitable for World Bank service policy like the safety security measures OP 4.01 (environmental impact assessment), OP 4.10 (ethnic minority), OP 4.11 (cultural relic) and OP 4.12 (involuntary resettlement) and so on.

46 Through comparative analysis, this assessment group beholds that: the goal of the World Bank’s relevant operational policies and legal framework is consistent with China’s existing policy in the promotion of economic and social development in less developed areas, increase residents rights, and safeguarding the interests of vulnerable groups, protection of minority cultures and sustainable development foundation. As the World Bank’s policy is to face the vast number of developing countries and regions, so, it bears the nature of guidelines in practice, while policies and regulations in China are more focused and practical. However, the World Bank’s policy emphasizes on informed consent and participation in decision- making, which plays an important guiding role in practice of this project. Relevant policies and regulations in China benefit the society, and the determination and sincerity of China to pursue sustainable development, promote social justice and harmony, help accelerate economic and social development in ethnic minority area is of the high degree of unity with the World Bank's policies of standard, tightness, cautiousness. All these ensure the project design optimization, construction projects evolvement smoothly, protection of the rights of residents and the achievement of the project. Therefore, the editorial group believes that this project implementation does not need to formulate the special supporting policies.

III-IV Relevant Basis

EMDP aims to magnify ecological and social benefits of this project, enhance chances to participate the project for the local ethnic groups and individual residents, minimize the negative effects that the project bring to the living of local people, compensate the unavoidable loss the project constructions imposed on the local ethical residents, minimize the project's social and cultural risks and safeguard the image of project. The plan is based on the materials of communities, households and individuals that the entrusted party obtained from the field survey in 2 districts, 3 counties and 15 communities. According to the operating norms of participatory rural appraisalPRA and field survey methods of sociology and anthropology, the materials that the entrusted party obtained by the on-site visit, multi-level discussions, questionnaire, interview and the full participation of resident representatives are true and reliable. And those materials are key information to the project. Obviously, this is mainly thanks to the full support of the Project Office and active cooperation of Resettlement Group and Small Watershed Participatory the entrusted party. Considering that the information obtained in field survey are lack of macro, perspective, overall, and diachronic view, SA group also collected and exploited the following materials. (1) Policy papers of China government about the western development strategy, poverty elimination, “the issues of agriculture, rural areas and peasants”, the ethnic minority and religion issues, etc; current version of World Bank about social development policies.

47 (2) Local policy documents that Qinghai Province, Xining City and their lower levels of government and subordinate unit carried out the above policies from central government. (3) Summary report of “10th Five-Year Plan” and “11th Five-Year Plan” of Qinghai Province, Xining City and their lower levels of government and subordinate unit. (4) Local policy documents on economy, culture, education and social development. (5) Project plans and summary materials of environmental management, ecological conservation, water resource exploition and protection projects carried out by the governments in project areas. (6) Work reports of governments in project areas of recent years. (7) Updated statistics of governments in project areas (8) Work programmes, work summaries and investigation reports of water supplies, agriculture, forestry, finance, hunting, poverty relief, ethnic and religion and other units of in project areas. (9) County annals, ethnographies of project areas. (10) Research data of minority nationality such as published ethnohistory, papers and relevant digital data. (11) Physical geography and human geography data of project areas (12) Materials of survey spots such as official list of residents, village regulations and project application report, etc. (13) Memorandum of Project Preparation Mission.

On the basis of literature review and data analysis, the entrusted party confirm thatthis project is consistent with development program of local governments and some preliminary projects; this plan should embody the principles of laws and regulations of different levels of government and basic aim of World Bank policyconvey the participant requirements of relevant ethnic minorities and group in project areas, and express the good will of SA group that stakeholders of project can reach a win-win situation.

48 IV Land System in the Project Area

IV-I Land System Change

More than half a century since the 1950s, China’s land system experienced three major changes: The first time was in the early 1950s; the land reform abolished the feudal land ownership and practiced “the cultivator had its field” small farmer system of ownership, the general farmers obtained Land-use autonomy. The second time was collectivization of agriculture during the mid-1950s to the late 1970s, when farmer collective ownership substitutes for the small farmer system of ownership, the land use right concentrated in village groups and teams. Third is the late 1970s and early 1980s, based on not changing the nature of the collective ownership of land use to practice household contract responsibility system, farmers got the land (mainly farmland and woodland) contracted by the operational autonomy. From 1998, the project areas carried on the second round of land contract on the basis of household contract system in 1980-1982, that is, the rural households contract will be extended for a period of 30-50 years through the formal signing of the contract between the collective and farmers. The system of this phase will become the land based system during the process of the implementation of this scheme or project when the issue of land item involved.

IV-II Land Laws and Regulations

“Law of the Peoples Republic of China on Land Contract in Rural Areas”(March 1, 2003) says that: Article 4: The State protects, in accordance with law, the long-term stability of the relationship of land contract in rural areas. Article 9: The State protects the legitimate rights and interests of the owners of the collective land and the right of the contractors to land contractual management, which no organizations and individuals may infringe upon. Article 10: The State protects the circulation of the right to land contractual management, which is effected according to law, on a voluntary basis and with compensation. Article 20: The term of contract for arable land is 30 years. The term of contract for grassland ranges from 30 to 50 years. The term of contract for forestland ranges from 30 to 70 years; the term of contract for forestland with special trees may, upon approval by the competent administrative department for forestry under the State Council, be longer. Article 24: After a contract goes into effect, the party giving out the contract may neither modify nor revoke the contract due to the change of the representative

49 for the party giving out the contract or the responsible person concerned, or due to the split or merger of the collective economic organization. Article 26: During the term of contract, the party giving out the contract may not take back the contracted land. Article 27: During the term of contract, the party giving out the contract may not readjust the contracted land. Article 32: The right to land contractual management obtained through household contract may, according to law, be circulated by subcontracting, leasing, exchanging, transferring or other means. Article 42: For the purpose of developing the agricultural economy, the contractors may, of their own free will, jointly pool their rights to land contractual management as shares to engage in cooperative agricultural production. In addition to “Law of the Peoples Republic of China on Land Contract in Rural Areas”, governments at all levels of the project areas also issued related land management provisions, such as “the implementing method of Qinghai Province on‘Land Administration Law of the Peoples Republic of China’ ” ( revision in 2006), “Xining City Interim Procedures for the collective land expropriation ”(February 16, 2001), “Management approach on using rights transfer of urban state-owned land in Xining City”(October 1, 2001) , “Management approach on idle land in Xining City”(October 1, 2001) etc, clearly defining the ownership of rural land resources, development and utilization, expropriation, compensation standards and so on. The basic spirit of these laws and regulations is to ensure the contract farmers have long-term land use rights and to protect their enthusiasm and independency of agriculture management, also to avoid the waste of land and protect the limited arable to make farmers have a basic source of livelihood. The ultimate goal is to safeguard farmers enjoy a good and prosperous life and the society is harmonious ordered.

IV-III Nature Resources and Land Use Structure of Ethnic Minorities

Although Qinghai Province is a vast territory with a sparse population, yet for the cold highland climate, most districts only suit the forage grass to grow, area that is suitable for forestry is not big; the suitable agriculture's land is less. The arable land only accounts for 0.85 percent of the area, woodland (including woodland, stocked land and shrub land) only 4.68 percent, meadows accounting for 50.5 percent and the rest is desert, desertification, which is hard for human being to explore and make use .The total arable land in the Province is 515 600 hectares, per capita arable land area is only about 1.5 mu. The Huangshui valleys where the Project area covers only accounting for around 4 percent of Qinghai land area, while centralizes 72 percent of arable land of and support about 85 percent of the

50 population the Province, causing the situation of many people and less land, cultivated land tension and serious shortage of back-up land resources. Residents of all ethnic groups living in the rural project areas are in the agriculture-based livelihoods. Tibetan communities are concentrated away from urban and suburb of the larger population density , usually in farmland and pasture intersection mountainous area, therefore the village territory is broad, the land area is wide , per capita arable land is relatively more and have abundant land types. such as Dongxia Town Maer village in Datong County, Bohang Town Nalong Village in Huangyuan County, the per capita arable land area is more than 2 mu (land in Nalong Village is irrigated land, Maer Village only has slope land ), 4-5 per capita acre of barren hills and meadows , and some woodland. Therefore, their traditional mode if living is planting and breeding, mainly to agriculture and a small collection of resources. Muslim communities are mainly in suburbs, along the transportation routeThe community density is big while villages territory is small, per capita cultivated land is generally less than 1 acre, some communities do not have irrigated land also barren hills and meadows are less, nearly few large areas of forest land. So they have mixing livelihood business based on the planting industry, combining agriculture and commerce, restaurants, fur processing, slaughtering and trafficking. Tibetan areas lie in relatively high altitude, and more in the 2 700-3 000 meters. Their farming System is one-year maturity. They plant and fertilize per year from March to April, and harvest crops around September, they turns the soil around November. Their main crops are wheat, barley, potatoes, broad bean, etc. In general, families mainly grow grain, of which wheat, potatoes, rape are planted in their basic land while barley, broad bean in the high mountain regions. The potato production per acre is approximately 1 000 kilograms, the wheat class production per acre is 150 to 200 kilograms, the Tibetan barley yield per acre is approximately 100 kilograms, rape per-acre production is about 150 kilograms, and broad bean per-acre yield is about 200 kilograms. In addition to the arable land contracted at the beginning of household contract responsibility system ,families of large population and labors wealthy also reclamation a number of slope lands in the barren hills and slopes .In more than 10 years, since there are many young migrant workers and the relatively stably employed minority families will be transferred their arable land to their relatives and friends for free , resulting in the actual acreage land of some families is to 2-30 mu, while some families basically not planting anything, but rely on migrant workers to make a living. The barren hills and slopes belong to village’s collective ownership, mainly as public grazing land. Families of large population and ability can have land cultivation according to their need, which are not necessary to pay rates for the collectivity. Since the increasing young and strong migrant labors, so little barren land is newly explored and most round to rest lands are stopped being farmed. The shady side region plants the birch tree, the spruce

51 and so on, some region of serious soil erosion also stopped plowing and plant trees, grass for restoration in recent years. Hui people mainly live in the region of an altitude of 2 700 meters or below. Their farming System is also one-year maturity. Families in general are fighting for self-sufficiency in food; arable lands are mainly used for species of wheat, potatoes, and a small number of rape and broad bean. As most arable lands lie in the gentle slope, so there is less loss of soil and fertilizer, meanwhile, farmers put into much chemical fertilizers and other agricultural materials , therefore, the per-acre yield is relatively high, in 1200-1500 kg of potatoes, wheat and rapeseed about 200-300 kg, broad bean 200-250 kilograms. As less barren hills and slopes and a lack of arable land reserves, the per capita arable land is decreasing with population growth. To transfer employment to the non-agricultural area has increasingly become a necessary survival and development choice of the Hui people.

V-IV the Influence of the Projects on the Land System

The project has both positive and negative impact on the livelihood of residents of all ethnic groups in the project area and the current land system, of which the major positive impact is the following aspects: First, restoring measures like herd limited, rotation, planting trees and grass in the small basin is conducive to water and soil conservation as well as the improvement of ecological state in the project areas. Second, the project to reinforce slope cropland on both sides of the steep valley and change slopes for terrace is conducive to maintaining water and soil fertility, also can consolidate the arable area. Third, the construction of check dam, flood prevention wall and dam etc in the gully area can effectively reduce threat of mountain torrent to farmland and villages during the rainy season, also prevent further deep channel and reduce sediment, the villagers also facilitate the use of plot water for irrigation. Fourth, the long-term benefit of forestation is to increase local live standing timber reserves and the lumber reserves, if managed well can also increase the income of local communities. Fifth, increasing energy alternative measures such as building biogas digesters, solar cookers can reduce farmers’ demand of dry wood and grass as well as the input of labor force, meanwhile, can release ecological pressure. The negative effects are mainly from forestation and measures like rotation and taking care of the forest caused by it. These activities will make the higher utilization of public pasture surrounding community reduced (eg, The Up and down Erma Village plan to plant 500 mu forest) and grazing activity is restricted. As is mentioned above, the project office has foreseen the impact and taken corresponding measures, that is, supporting the construction of new animals shed and develop captive breeding. As the corresponding funds are mainly from projects and local

52 financial matching ,while the residents only need to input work and force or explore local resources, so it will not increase their burden ; while the local residents have accumulated experience of captivity in 2000 when the implementation of the returning farmland to forest project started. Therefore, the impact of forestation and rotation measures could be largely offset, which will not affect the income of residents and their living and production, not to mention lower their living standards. In addition, although changing slope to terrace , biogas digesters and solar cookers need to invest more, while the city and county project office made it clear that: they encourage the community to make full use of the materials such as stone available in changing slope to terrace, the work and labor force that the villagers input can be converted into their income ,and the project will provide cement ; 75% of the investment of biogas digesters and solar cookers will be burdened by the project. The local financials match part of the funds; the households’ income will also be converted by work and labor. Therefore, these activities will not increase the financial burden on local residents.

53 V Ethnic Minorities Participation

V-I Ethnic Minorities’ Informed Condition and Experience

According to the situation of field research, because the project offices of city and county levels have already begun the project propaganda in each small watershed before the end of 2007,and various village committees also held the villagers conference successively to convey the related news according to requirement of the higher authority government , therefore, residents in the project areas, including Tibetan and Hui ethnic minorities generally reflected that they have already learned the information that this project will be implemented in the local soon. What they are only not very clear about is the specific project content and scale of it or how they are hoped to co ordinate in it. Since 1998, deployed according to the Central authorities’ unification that ecology restoration projects like multi-round returning farmland to forest and drawing back the herd to grass are implemented in the project area, so the residents have actual feeling about the influence of exclusion and forestation on their life and production, They are also having practice and exploration on how to deal with the impact of such measures. In some serious soil erosion channels, all levels of the governments in the project area have already taken the partial project measures, like constructing check dam, retaining wall, river bank protection and flood discharge trench, changing slope into terrace and so on; therefore the local residents are also familiar to the major project measures of this project. The livelihood supporting activities planned to have by the project office , such as promoting biogas digesters, solar cookers or developing stable breeding and so on have had prior practice and got comparatively good ecological and economic efficiency , so all the ethnicities know the project activities and welcome them. In addition, Xining Project Office also invited small watershed participation management experts did separate social assessment on the small watersheds chosen from New District in South city and three Counties under the city governs; the entrusted party had PRA and Project Participation Assessment survey on ten small watershed; the immigration group also carried out a comprehensive investigation on Xining urban district. Therefore, we are convinced that: residents of all ethnic groups in this project area have a comparatively comprehensive understanding on the project, they also have accumulated the necessary experience to participate in the project.

V-II Participation Desire

Through village forums, cadre interviews, household surveys and community resident representatives participate in assessment survey, the entrusted party learns that the residents in the project area, especially the Tibetan and Hui residents ’ participation desires are as follows:

54 (1) To help communities repair or improve the construction of the irrigation infrastructure to ensure irrigation protection of existing irrigated land, and further expand them, increasing productive basic farmland area through the implementation of project . (2) To support the infrastructure construction and improve the community and surrounding drainage, flood channels, increase Transfer Bridge, road hardening etc which facilitate residents’ production and daily life (3) To require an appropriate increase of the area of returning farmland and planting trees and grass on barren hills, meanwhile, to give corresponding compensation in accordance with national policies. (4) To absorb the local community residents to participate in the project Construction as far as possible; local communities select staff in responsible for new forest management and protection , and the owners should give the staff adequate remuneration. (5) To support the construction of new shed, greenhouse cultivation, and so on, to guid the development of new breeding, cultivation, increase the farmers ’local employment, create income opportunities. (6) To have practical knowledge and skill training to the rural labors in order to help them adjust industrial structure and get employed outside the home. (7) To help improve education, health care, communications and other infrastructure conditions and improve the service quality and level.

Schedule 6 Statistical table of Residents’ demands in Project area Residents’ Project participative demands Concentration degree To improve road infrastructure, harden and widen the road to make 100% the esidents enjoy convenient traffic condition. To improve school facilities, increase teacher staff, improve 77.8%% the teaching quality and solve the problem of education. To constructs the canal and solves the human and animals’ 66.7% potable water problem To develop technical training, construct greenhouse facilities 66.7% and bring into livestock-breeding to develop breeding industry. The government should strengthen the employment 55.6% information service and skill training to solve the rural labor force’s hard hiring problem To built formal health care, and equip the doctors with high 55.6% technique and the necessary medical equipment. To manage dirty and chaotic drainage, and solve the problem 44.4% of its infiltration. To repair communications towers and improve 33.3%

55 communication facilities. To engage in greenhouse cultivation of vegetables and 33.3% develop a variety of economic crop cultivation. To re -forest on barren hills, reduce soil erosion and improve 33.3% the ecological environment. To improve housing conditions, solve the housing 33.3% difficulties. To Implement the new rural reconstruction project. 33.3% To manage the littering issue 22.2% To strengthen “five guarantees” and establish pension institutions. 11.1% To construct cultural centers and enrich cultural life of the 11.1% villagers. Sources: According to the collect of participative assessment investigation and base line survey that the entrusted party did in Erma, Qingquan, Qiaoergou, Guanghua,Nalong, Huodong, Huoxi and Shangye village and so on.

V-III Participation Principle

Given the he characteristic of this project, Construction and maintenance needs and the development demands of the local ethnic minorities, combining with the relevant policies and regulations of China and the World Bank, the entrusted party thinks that to bring ethnic minority development plan (EMDP) into effect mainly lies in carry out the following principles: One Overall Planning, Two Ensurances and Four promotions. One Overall Planning Due to the project belongs to investment project and the fund that can be directly used to help the development of communities and residents is limited, so local governments should use this opportunity of the project construction, through the promotion by higher level Government and the coordination of relevant departments to have the local poverty alleviation, returning farmland to forest , infrastructure construction(village to village road), skill training for farmers, rural cultural construction, rural medical facilities construction, the new rural construction, and other types of project funds properly integrated and have focus investment, meanwhile, connect with project-related construction to support and complement each other, to strengthen the promoting role of the project to the ethnic minority community construction and lead to the development of all ethnicities , enhance the social recognition of the project. Two ensurances First, To ensure the establishment process of the project, and establish a consultation mechanism with the participation of local governments, related departments and residents in the decision-making process to improve project measures and the appropriate, feasibility, sustainability of the project to embody

56 relevant departments’ function and community residents of all ethnic groups are in respect. The Consultations should include the project design and construction programme, error-correcting mechanism of construction, the problems left over from the aftermath of mechanisms, project construction and operation, common development programme of community residents and its implementation mechanisms. Second, To ensure that the the arrangement of project will not heve long term negative effect on residents of local ethnic minority ’s living conditions and the level of maintaining and improvement. Four promotions: First, To promote minority residents’ livelihood transform in reasonable manner with sustainability, and to causes the local humanities environment and the ecological environment long-time harmonious Second, To promote infrastructure construction of minority communities and the improvement of the local economy to create favorable conditions for development. Third, To promote ethnic minority residents’ skill and quality, especially the quality of workers so that they can get more development opportunities through the project building. Fourth, EMDP should be conducive to the promotion of ethnicity and the harmony of ethnic relations.2

V-IV Program Identification

According to the participation demands of Tibetan, Hui people and the above- mentioned principles of participation, in light of the contents confirmed in the World Bank memorandum, the entrusted party recommends that the focus should be involved in the implementation of the following projects: (i) Infrastructure projects: To construct and improve the drainage and flood channel in and around the communities, to help communities repair or construct irrigation infrastructure, increase Transfer Bridge, widen and harden the existing road and some other infrastructure construction. We propose that the fund of this part of project should be collected by project fund and local input (that is, the province, city and county infrastructure construction fund and matching fund of new socialism countryside) in accordance with the proper ratio. The input funds of this project should be involved into the Resettlement Plan3 ; local residents’ labor input should be

2 The survey found that the single living communities by Hui people is relatively more, largely concentrate in Datong County Qiaotou town, Liangjiao township; Huangzhong, Huangyuan County of Hui and Han are basically mixedliving, or mixed living with the Tibetan together Noby single Tibetan residents living ethnic community, the largest proportion of the population of Tibetan in Erma village ,Dongxiaer Town in Datong County accounts for about 80 percent; Nalong village,Bohang township in Huang Yuan County , There are 30 Tibetan households, besides, 5 Households in Bohang village-, five Chingchuan No 2 village, but they have been living there for more than a hundred years, and have relatively clear ethnic consciousness, while not new households formed by marriage in recent years. therefore It is proposed: all minority communities with the proportion of ethnic population over 10 per cent, or the number of minority residents are more than 50, should be classified as EMDP focused supporting community, residents of all ethnic groups within the community should be treated alike, appropriately fuzzy ethnic boundaries, so as to facilitate ethnic unity; lower than the proportion of minority residents or the size of the community, in the course of implementing the project, it should support the minority as one of the key factors for consideration, to reflect the EMDP weighs the same to mixed living minority. 3 According to the budget that the immigration group makes, that it only arranged 1.504. Million Yuan for the

57 converted into investment as an integral part of local input; the rest of local input should come from the local financial and special funds. Infrastructure construction project is the most concentrated and widespread public demand that the entrusted party heard in the process of field investigation, which is also an important constraint to the majority of China’s western region development and progress including the project area. With the Central Government of China has continuously increased support and financial transfer payment for rural infrastructure construction to the west and ethnic areas, the corresponding fund that governments at all levels may dominate increase every year, so with co-ordination, to take the leading infrastructure investment in the project area is possible and necessary. By improving infrastructure, traffic and transportation conditions will be improved in the various communities of the project area; meanwhile, the use of mechanized operations, reducing the human, animal force dependence will become possible. This outlook is particularly looking forward to the background of large migrant labors and livestock is somehow limited. Some farmland will be irrigated which is conducive to the stable and high production of land; widening and hardening of village road will also facilitate the residents’ daily communication and benefit the beautification of the old village. Covering the gutter and drainage inside and outside the village will greatly increase the safety of residents’ walking day and night, but also conducive to purifying the environment. If the Infrastructure project can not cover all the ethnic minority communities in a short time, at least it should ensure the infrastructure construction matching program of 8 ethnic minority communities, they are Erma, Yuanshuer,Qiaoergou, Baiya, Meidonggou,Songlin Village in Datong County and No 1 and 2 Qingquan Village in Huangzhong County (2)Livelihood supporting projects: mainly to construct new animal shed and greenhouse cultivation to help residents develop dairy cattle breeding and promote biogas digesters, solar cookers or change slope into terrace, etc. These activities are good to widen the farmer’s way to increase income. Grass and labor input should be reduced in the area of some pastures which are caused brief difficulty by livestock limited. Although the input of this part of activity is not too big, still we should ensure the participation of the poor families, so it is still necessary to provide low or free interest loans. Loans should be coordinated mainly by all levels of government in the project areas .Daitong village in Shuobei Town is a successful a village to develop anti-season vegetable planting. Every household invested about 10,000 Yuan, in recent years, the average household vegetables planted revenue is around 20,000 Yuan. It is relatively easy for farmers to master the technology and they can afford the initial investment. According to the investigation in Erma village, Dongxia town, the villagers also have more consideration on the development of breeding. They provide the following information: Pig – in 2007, piglet is 120 yuan per head, feed stuff needs around 500 yuan, can be slaughtered after raising seven months, 150 jin, six Yuan per Jin, net income 2oo-300 Yuan, but this year, piglet is 420 yuan per head; pork is 13

infrastructure and road attachment construction is far beyond the actual needs.This part of expense should belong to the fund requirement of “Three Original” compensating principle and do not increase input,so we advise the project offict to increase the corresponding budget.

58 yuan per jin, each head can have income of around 1,000 yuan. However, because of piglet is too expensive, many household dare not invest on it; the people who buy piglet pay great attention to it and feed milk or eggs to it like to raise a baby; there are vets in village sand towns, rare classical swine fever happen. Cattle - one-year-old high bred cattle (cows) sold at 1,800 yuan; local types of cattle sold at 900-1000 yuan. Cattle are of great animal force. to buy a 4-7-year-old first-class cattle (cows) need around 4,000 Yuan. a cow can produce 780 jin milk per year, one yuan per Jin and net income is 500 yuan each cow . The best period of milk production for each cow is 4- 12 years of age; raising cow is profitable for it can give birth to little cows and farmers can earn money by selling them. The village would like to develop breeding industry. There are 57househols in the villages built livestock sheds of 60 square meters, the Government grants 1,500 Yuan to each per shed, the rest to be raised by the farmers (village cadres: all cost is 7,200 Yuan, the younger son of the head of Uperma village said their shed cost a total of around 5,000 Yuan, the Government provide 500 bricks, 25 bags of cement). Now the sheds have been completed, but farmers can not afford to buy cattle. The village plans to seek government subsidy money to buy cattle. Village cadres look foreword to cattle, pig-raising and breeding industry. From the site survey, we can see breeding industry has been in successful practice and the local residents have accumulated experience. The residents’ enthusiasm is relatively high and the benefit scale is large .That is suitable for development in scale, therefore, we recommend to provide farmers with Interest-free loans under the coordination of government departments, or give subsidies to farmers loan interest from the fund of this project. (3) Skill training projects: To provide loans to develop breeding industry, skill and technology training to young rural laborers and to provide professional training to the vocational school and secondary school students, such as planting and breeding technology training. This part of the training item funded by the project and all levels of governments in the project area. Considering the vocational school, secondary school students’ planting and breeding skill and practical technical training, their training structure can be adjusted by increasing teachers or other ways. The actual cost of this item will be 200 million Yuan. Through this measure, the livelihood restructuring plan and its sustainability will get labor force safeguarded. Meanwhile it can also improve the employment of workers in many fields, reducing pressure on arable land and other traditional resources so as to achieve ecological restoration and maintenance. This program should aim at the present young labors and youth in the rural areas while not distinguish whether they are ethnic minority or not. (4) Poverty Alleviation Program: When arrange the project of new livestock shed greenhouse cultivation, or other support projects, as well as labor skills training, properly increase in the proportion of poor families and ensure their children afford education etc., to achieve the objective of helping the poor. At the same time, all levels of government at the project areas should comparatively focus poverty alleviation fund in the project area to ensure the parallel progress of project construction and poverty alleviation. From the available survey data, there are a total of about 1000 poor families, 4517 person in the project areas, the poverty of these

59 families is mainly caused by lack of labor, or illness and education. Therefore, this project should contribute to poverty reduction (in fact, this is also the general expectation of the residents investigated in the project area), in addition to the above- mentioned investment, the key is to set out helping and supporting mechanisms in communities, such as the large households help the poverty-stricken households, CCP member’s household help the poverty-stricken households and grass-roots cadres devote to poverty-stricken households in contracting mode all can bring for reference .Besides, can also use the inherent blood among residents / relatives within communities or other traditional ties of mutual assistance. As long as the item provides development opportunities and conditions to poor families through the government coordination of loans, home aid or providing project support etc, the mechanism will be able to play a role.

V-V Safeguard Ethnic Minorities Participating in the Plan and Relevant Measures

V-V-I Participation plan

(1) Participation approaches Organization means: the residents of all ethnic groups should participate in the project mainly basing on the existing villager groups or natural village .Since there is no land acquisition and demolition influence and so on in the ethnic minority community of this project; project programs and biological measures are implemented on the barren hills and slopes or in the village's public channel. So no matter pre- launch organization, informed consultation, or maintenance and management of the latter period, are all suitable to carry out with village as the basic unit. Measures: In order to ensure the full participation of the community and households, a General Assembly of residents or residents of representatives must be held in the project preparation stage to have fully informed consultation so that the content of the project arrangements, design and implementation of the program will absorb the views and wisdom of the residents, and get their understanding and recognition. (2) Participation type The level of resident participation may be considered as three forms: infrastructure is mainly participated in the form of the village collective ;skills training, livelihood supporting and poverty alleviation are mainly in the form of individual and family participation ;at the same time, in order to reduce the loan risks of the livelihood supporting project and increase the driven effect by loan project, which may encourage the farmer’s families to combine cooperation group freely while the collective proposes the project plan .

60 Resident’s participation should be voluntary and autonomous, government departments at all levels and the project office can not impose organization mode, participation way, the type and amount of fund, etc on the people of all ethnicities. However, the government departments and project office do need to provide relevant information services, safeguard the people's right to know, and make the request of participation as simple as possible. Since the vast majority of villages in the project area belonging to multi-ethnic mixed community, in order to provide a good social infrastructure to implement the project, the government should encourage the participation of all ethnic groups and compose inter-ethnic working Group on the project so that the implementation of the project can strengthen while not undermine the relations among various ethnicities. (3) Participation in Decision-making Process The construction period of the project is rather long and the later operation will be longer. During this period will possibly present some situation that is not estimated in advance and need to amend the original plans and program to deal with. Therefore, the entire process of the project construction and operation need to maintain openness of policy and transparency of information to ensure that residents of the communities involve in the decision-making on any change of their own interests and have the right to know and full right to participate.

V-V-II Safeguard Mechanism of Participation

(1) Women's federations, Civil affair, Poverty alleviation, Agriculture, Forestry, Animal husbandry and other departments in cities, counties, townships and towns should be involved in the project institutions, and give the relevant policy advice during the entire process of implementation of the project, meanwhile, they should provide ethnic community project experience ,knowledge and technical guidance. (2) To elect one from each corresponding ethnicities' county or township cadres who are from project area and familiar to situation there, besides, they also have experience to join in the project management. If there is related ethnic cadre in the related department and they have rich experience, then these personnel should better represent this department into the project management team, to provide advice, communication services and play a supervisory role. (3) To set up a Service Association in the township for farmer’s production and operation, its members should include the township agricultural, animal husbandry and veterinary, forestry, science and technology department cadres and experienced representatives in every village. They will become an important bridge in the communication of village farmers, counties, township technical support Agencies, and county and township project offices. They will be directly involved in the planning

61 design, implementation, evaluation and other activities to ensure that farmers in the township-level participation in the implementation. (4) To elect villager representatives in every village to form project management teams, and organize residents to participate in specific activities; members in the management team should be considered factors like gender, ethnic, religion and so on in order to avoid significant omission when considering the needs and wishes of members in the community. (5) In multi-ethnic mixed villages, if the project can not cover all, at least to ensure that all ethnic groups in accordance with the same proportion, and based on the principle of voluntary participation in project. The scattered ethnic minorities should be directly included in the scope of participation under the premise of their own willingness (6) Cities and Counties should implement the project in accordance with its content, implementation steps and the needs of the project content to maintain regular contact and close communication and consultation with the villagers in the project area, the scene should be in the village to facilitate participation by the masses. (7) Through the relevant training to absorb the local residents as far as possible to participate in the project implementation process.

V-VI Training Participation

The project needs the ethnic minority farmers to achieve two fundamental changes: from the traditional industry that rely on the expansion of farmland, increasing grain production to ensure food rations and the expansion of breeding industry development - the extensive primary agriculture, to intensive agriculture which is based on a limited number of quality farmland, through improving varieties and management as well as increasing production input to increase output and income ; from the traditional closure livelihood patterns of self-sufficiency approach to the open Livelihood patterns of the market-oriented, the pursuit of double eco - economic benefits. This change need the minority farmers to learn and master new technology, labor skills, to understand and gradually adapt to the market and are familiar with as well as gradually adjust to the new production and lifestyle. Only in this way can they really complete the necessary preparations of knowledge, skills and psychological aspects to participate in the project. To this end, they need to receive the necessary training.

(1) Local Knowledge Training. As the projects have to rely on local resource endowments, and the local people live there for generations, so the folk knowledge need to be summed up and spread. Especially those who rely on local resources leading the family to rich, the elderly who have rich experience are all objects of study for villagers, especially young generation. The knowledge and skills of these

62 native “masters”, including measures to reduce soil erosion of arable land, crop production increase methods, tree species suitable for the local cultivation, cultivating all kinds of crops in the best season and ideal environment, specific crops cultivated in different soil or slope by reasonable planting distance, and so on. Project Office at all levels should organize experts to compile such data and materials knowledge with these “masters”, or even directly employ or organize these “masters” to teach for the villagers and enhance the training target and efficiency. (2) New knowledge and technology transfer training. When it comes to new varieties, new production materials, new technology but lack local resources to use , city and county level project offices not only should organize professional and technical personnel to establish the guide with the materials available to farmers, but also should organize scientific and technical personnel go to farms to guide the farmers involved in the project field operations, if necessary, teach them by showing examples, try to avoid large-scale organized training courses or carry out abstract instruction. (3) Pay special attention to mobilizing ethnic minority women to participate in training. In recent years, because gradually increased men energetic labor work out on wage, agricultural feminization becomes a trend. Therefore, the project office at all levels should attach importance to the women involved in the project of training to help them improve the knowledge and ability. Taking into account the Hui, Tibetan women less appear in the non-festive occasions and their educational level is generally lower than men, therefore, It is proper to open a class for their training, and should mainly take the form of on-site introduction. If the project office can invite appropriate scientific women technical personnel to teach and communicate with them, the effect will be better. (4) Youth training. Most of Young people were receiving primary or secondary education at school before engage in farming, so they are not familiar with the agricultural production and relatively lack local knowledge, but they are often quite fast to master new knowledge and new skills. Therefore, when the project office run in the relevant training, should pay attention to the participation of young farmers, on one hand ,to strengthen the local knowledge indoctrination, on the other hand ,it is necessary to highlight new technologies, new knowledge ,to teach them can combine written guide , class teaching and on-site field guide together. (5) The role of county and township science and technology cadres. County and township science and technology cadres will be an important part in technical support system, they are also the main force of relative training and play a leading role in it. However, due to the lack of education and training, the condition that knowledge of middle-aged or above in science and technology cadres of the county and township is out of date, while young people lack of local knowledge is quite common. Therefore, in order to truly play their role in the project, project office at all levels need to organize the county and township science and technology cadres to receive training in qualified institutional education. At the same time, the project should provide funds support.

63 (6) Loan training. The loan is a necessary arrangement to support the development of project. county and township project office should organze the entrusted financial institutions to participate in farmers’ relevant training, including teach them how to reasonably loans, the corresponding obligations of loans, loan procedures and formalities, etc and enable them to understand the nature and characteristics of the project loan and their rights and obligations in it, put an end to eliminate doubts and avoid the irresponsible action. (7) Market knowledge training. Training will be organized by project offices of all levels. Farmers should generally attend training, of whom, the head of farmers’ spontaneous collaboration group as well as young farmers in the higher educational level, flexibility and promising are the focus of the training. Most minority farmers only have superficial market knowledge ,and the general training of farmers can not hope them to fully understand the market economy, however, it is necessary to help them establish such a basic understanding: They can not blindly engage in production, and must pay attention to the market situation and gathering relevant information; a single household is very difficult to survive on the market and they farmers must combine each other, support each other and jointly break through the market. In focus staff’s training, the office should organize them to learn outside and accept or actual – site training. (8) Paying attention to religious sensitivities. Hui people are devout Muslims; basically Tibetans believe in Tibetan Buddhism. Relevant regulations and production and living custom formed upon it need understanding and respecting each other. Therefore, the project Office in the organization of training should take avoiding using sensitive language as a principle, meanwhile, to remind that the relevant staff should always consult the relevant knowledge. (9) Avoid cram teaching in training. During the training, the project should deal well with contradiction that experts, scientific and technological personnel accustom to classroom instruction while the residents are used to learning by doing, not accustom to abstract explaining. So they should repeatedly remind the experts, scientific and technical personnel, who have the task of training should try to use practice teaching, encourage farmers participate actively and more questions, more discussion so that the problem can be solved in time.

64 VI Implementation Steps of EMDP

VI-I Stage and Task

Ethnic Minority Development Plan should be implemented in four Stages: Stage 1: Informed consultation and Project selection.Widely Organize the residents of various small watershed community to participate in the implementation of small watershed management, and through adequate publicity and broad mobilization to ensure the residents’ right to know and learn their participation demands; Select the projects that both owners and residents can accept by their full consultation. Stage 2: Knowledge skill training and organizing construction, according to the project screening results, clarify content and methods of knowledge and skill training; establish relevant training institutions with availability of teachers to organize training activity. Meanwhile, mobilize residents to create appropriate organizations according to the actual needs of project implementation, including the residents support group, the village's project management team or group on behalf of the villagers, enact rules and regulations to cooperate the implementation of the project. Stage3: Organization the implementation of the project. Form a system of norms according to the project content; coordinate the corresponding funds and other related resources to promote each project. Stage4: Operating and maintaining in the late period of the project. After the project construction is completed, the Project Office should clarify the later operating and maintaining responsibility of the villages and residents on various projects by the form of signing responsibility letters of the project or so to identify the main responsibility and ensure the fund for the implementation of relevant tasks and other content.

VI-II Progress Schedules

Stage 1: Divide into two small stages, January to the end of April, 2008 and May to the end of July. In the former small stage, based on summing up the full participation of pre-watershed management pilot experience, fully develop the small watershed participatory management led by city and county level project office , and involve in experienced officials from women's federations, agriculture, forestry, animal husbandry, civic affairs and other departments in all levels of government in the project area; try to complete the task of informed consultation and project screening work,forming fairly completed project plan and fulfill it into villages before the official World Bank project assessment. In the latter small stage, further amend and finalize the plan.according to assessment experts’ advice and consultation results with the communities and residents. Stage 2: From August 2008 to February 2009. Stagger the busy seasons August and September, use farmer slack seasons August, October in 2008 and February in the

65 next year, carry out relevant knowledge and skills training and organization construction by the organizing and coordination of Project Office; training in this phase mainly focus on projects. Labor training and transfer should be a long-term work and organized by agriculture, forestry, poverty alleviation, women’s federation and education and other departments. Training in the farmer slack seasons, not only benefit the residents to receive training, also good to the villagers outside work returning home to participate in, further more, it leaves full consultation and discussion time for organization and system construction. Stage 3: March 2009 to before or after 2014 is the comprehensive construction period of the project; in addition to the engineering project, resident development projects like livelihood supporting etc, should be-test-adjusted and avoid carrying out together. The purpose of this project is to reduce the risk, meanwhile to guarantee necessary turnaround time of the loans. Stage 4: after 2014. After the completion of the initial construction works of the project, farmers’ development support project (livelihood supporting, labor training, etc.) and the latter period of the project management and maintenance work still need ongoing. Project Office and governments of all levels should make clear their responsibility and ensure the continuity of the project. At the same time, fulfill the responsibility of the community involvement in maintaining woek through a contract. According to the project planning, project construction period is about five to six years, and begin with the time when it pass the assessment of World Bank. The establishment and implementation of EMDPshould be in line with the project, which should be basically completed in five to six years and bring about effect. Therefore, it should be divided into six stages, detailed in the table below:

66 Schedule 7: Implementation Stage and Tasks of EMDP Fund Main tasks Specific content Target Organizer Time Stage resource Stage1 Survey the project Organizing experts to have baseline Safeguard the right to know Project offices of Project May, 2007 to needs and research and participatory watershed of each kind of resident city and county. Office March, 2008 demonstrate, plan, to understand needs and in community, and their mobilize in aspirations of residents, and know local participation communities knowledge; independency and centering on the To provide guidance and promotional enthusiasm; goal of EMDP materials to the residents in project area, Forms feasible Ethnic through meetings, radio, notices and Minorities Development other forms of project publicity plan; Plan (EMDP); Stage2 Collect the To identify the specific participation way Ensure that the program is The city and Project April to feedback from of every project community; specific and feasible; county project Office December,20 relevant parties To establish the necessary institutions or Ensure the full participation office; 08 (including World organizations and clarify the of community residents; Towns Bank), and organizational functions; Guarantee a reliable and government and further improve Identify family participating plan; reasonable fund source. the two village the Organizing corresponding training ; committees. implementation Clarify relevant sources of funding; programme of EMDP Stage3 Implementate Continue to conduct training; Make the residents have The city and Project January to EMDP according Implementation of the participation plan; appropriate skills; county project Office December, to the scheme. Complete part of the project tasks; production and lifestyle office; 2009 adjustment to the project Town government and the two village committees

67 Stage4 Continue to Communities and farmers have Maintain the dynamic The city and Project January to implement assessment on project construction and optimization of project county project Office March, 2010 EMDP, carry out participation benefit and make plan; office; mid-term recommendations for improvement; To promote community and World Bank; assessment, and Project Office and the independent expert residents adjust to the Community fine-tune the assessment and make recommendations new production and Resident programme in for improvement; lifestyle; Representatives accordance with Continue to receive relevant training; To create sustainable or the two the problems that Continue the implementation of the development ability; village may come along project plan; To resolve project risks committees Stage5 Continue to Community and the residents have Ensure that tasks of EMDP The project Project March 2010 implement independent assessment on the project completed on schedule; Office World Office to the EMDP and benefits; Ensure the win-win project completion of evaluate the Organize experts to have project and get general Bank projects results of the assessment and approval to the project; agreement of community Resident project and residents. representatives implementation; or the two check and accept village the results committees. Stage6 Operate and Maintenance of infrastructure; To ensure the sustainability The project Project Is expected maintain the Maintenance of the outcome of the of project results, and Office World Office after 2013 latter part of the ecological construction; continued to benefit project, Continuing to improve livelihoods; communities and Bank consolidate the Improvement of the related system; residents Resident achievement of representatives EMDP or the two village committees

68 According to World Bank assessment time for this project (in late March 2008), the project is expected to formally start in around October 2008. Since September and October are fall harvest season in the project areas, November to March the next year is precisely farmer slack time, so the project action of the villages will be satisfactory from November. We propose the EMDP implementation progress in the following based on such expected time for reference:

69 Schedule 8 Preparation of EMDP and Implementation Schedule Time/Duration Event/Activity Officials/Agencies Participants Requirements Source of Fund 07/05-11 Carry out baseline study in Project Offices of Staff of Project Offices; Make full use of the advantages of PMO project areas (including counties, city and county. Township cadres and local government agencies which towns and communities), and village cadres; get hold of the relevant data, be propose specific community and Villagers’ familiar with the local people and farmer-oriented projects representatives. affairs and have strong previous project management experience, forms Complete baseline database that covers various communities within project area and screens the project 07/11- SA group conduct baseline study Project offices of Current project Cover major communities of PMO 2008/03 centered on the typical city and county; communities; Tibetan, Hui residents or typical communities and farmers as the Social Assessment Villagers’ communities; main target, including the Goup; representatives; Ensure that all types of villagers counties and towns, and refer to the small watershed Various sample farmer (especially women and poor survey reports of the small participate- household; people ) have their representatives; watershed participate- management Technical or senior staff Concern about local knowledge management planning/ planning/ of government agencies and relevant experience. resettlement group. On this basis, resettlement group such as agriculture, Social Assessment group will forest, Animal propose EMDP proposal. Husbandry, etc. 08/04-07 Conduct publicity and Project Offices of All project communities Must guarantee inform right and mobilization in-depth, refine the city. and household. the right to equal participation of project design of community residents; EMDP according to various Consult fully and mine PMO aspects feedback. opportunities for participation

70 Explain in detail when aspirations can’t be meet.

08/08-12 Make EMDP confirm to the Project Offices of Cadres of communities, Collect funds in every way, PMOand residents’ city and county; villagers’ increases the chances of relevant realities; relevant representatives, project participation; government Improve the organizations and government participants (farmer Ensure that the programme are departments institution; agencies. and/or villagers’ opened to the public and residents are also Equip with resources organizations) participate voluntarily. supporting Encourage collaboration among some of the residents, and provide organization projects motivation in appropriate way funds 09/01-03 Conduct comprehensive skills Project Offices of All Households of Practical Technology training on community residents city and county; project, especially the Successful experience in the slack seasons, and arrange expert in full-time laborers in Field demonstration PMO the opportunities of probation agriculture, forestry, agriculture at home. The courses shouldn’t be abstract, and view and emulation. animal husbandry; Residents Cooperation empty. constructors of the Organization is project, etc. responsible for. 09/04-12 Communities and residents Project Offices of All Households of Allocate funds in time. implement EMDP; implement city and county; project. Relative sectors should go down to PMO and/or funds; Related departments Agriculture, the grass roots at regular intervals, relevant provide timely guidance and forestry, animal provide guidance and assistance to sectors and assistance to the community and husbandry, and the community and the family. financial the family other relevant Sum up the experience and lessons sector departments; When due to light and provide farmers necessary, the with the corresponding model.

71 financial sector (such as micro- credit) 10/01-03 The first round of summary and Project Offices of Households of project Project Offices and relevant discussion. city and county, communities sectors should carry out relevant investigations and studies. PMO government sectors Residents participate the summary and discussion in-depth. After 2010, repeat the above activities the slack seasons (Jan.-Mar.) and busy seasons (Apr.-Dec.). Project implementation period will become the period of intensive training of household that participate the project to ensure that their skills can adapt to the needs of livelihood supporting. every two years SA group SA experts, Independent academic research Special since project mid-term inspection ethnologists institutions; project launched anthropologists Decided by the consensus of funds World Bank and Project Office. Periodical The monitoring survey on the SA group SA experts, Decided by the consensus of Special Assessment project implementation will ethnologists World Bank and Project Office. project not synchronous promote the project develop anthropologists Independent academic research funds with the mid-term smoothly. institutions; inspection

72

VI-III the Case Analysis of Ethnic Minority Community Development Project

The following will take a Tibetan community Erma village of Dongxia Town , Datong County as an example to analyze the concrete project implementation way of EMDP. [Case 1] Erma Village in Dongxia Township, Datong County 1 Villages Overview 1.1 The Population Composition Erma village lies in Dongxia Town, Datong County in Xining City, Qinghai Province, whose major residents are Tibetans. The entrusted group access to the basic structure of the village residents through research, which is as follows: Schedule 9:the statistic of ethnic minorities in Erma village Unit individual Stat. Ethnicity composition

l

a r

description t o o

t b

e s a n n c d r L a l o

i

i o t l o t

f n n

o h a e a r

l l a e g t

r e e o a u s

n e l i n g c

b p u o a i b r m u a a u i o o e o L h f T M H H P M M f T

Stat.value 936 471 465 211 572 200 749 11 0 0 186

Percentage 100 50.3 49.7 61.1 21.4 80.0 1.2 0 0 19.9 % Statistical data shows that Tibetan covers80 percent of the total village population and Han people accounts for 19.9 percent, while Tu people only accounts for 1.2 percent. The gender ratio in the village is 50.3 to 49.7, which is comparatively symmetry. There are572 labor force accounting for 61.1 percent of the total population, migrant labor workers are 200, 21.4 percent of the total population. Nearly every household has migrant labor workers 2 Resources and Industry Erma Village is located in the mountain area and the local Tibetan residents mainly engage in farming activities, also dealing with animal husbandry. As is located in the mountains, the village area is large and many forest resources are available. The table below shows the specific resource statistics data:

73 Table 10 Resources and Industry In Erma Village unit muYuanTouZhikg. Stat. Area Crops and production Breed and number Others and number of description employee 9000 Arable land Forest Land Land Grass Returnd Land wheat Rape Yam beanSoy sheep cattle Pig others mining gathering Transportation Trade

Stat.value 2482 1700 3000 99.2 400 250 1000 190 150 200 150 mul 12 1 4 e

74 Statistics show that villagers in Erma mainly engage in planting, and dealing with animal husbandry. A small number of farmers run business activities of other industries. Besides, the income of young labor force working outside has become the mainly cash income of most families. The county Project Office and Poverty Alleviation Office reminded that Erma village is one of the poorest village of Datong County. (II) Ethnic Consciousnesses and Self-development Cognition of Villagers in Erma 1 Ethnic consciousness and culture Characteristic Compared with the nomadic Tibetan herdsmen or the farming Tibetan in Pingan County, Qinghai Province, the culture Characteristic of the Tibetan residents in Erma village is not so obvious. First of all, in language, most Tibetans in Erma village no longer speak Tibetan language. One interviewee said" Many people in our village could speak Tibetan language till the 1940s and 1950s, with many Han Chinese moving to neighboring communities, we began to speak their “Tuhua” (the local Chinese dialect), from generation to generation, the Tibetan residents speak more Chinese dialect but less Tibetan language, now only some old individuals can speak Tibetan language. In recent years, a few Tibetan girls from Yushu, Guoluo and other places married here and can speak the Tibetan language .However, because the villagers can not communicate with them in Tibetan language, so they only can get used to communicating in Chinese.”On apparel, villagers of Erma village rarely wear Tibetan costumes; Their wearing is not much different from the Han Chinese residents around. Many customs and etiquette are also not different from the Han people. However, on their self-identity, many people insist that they are Tibetan. They believe that although they are similar to Han people in their courtesy, there are still differences on some details. For example, Tibetans will wear hats inside out during the mourning period. In communicating with other ethnicities, they always identify their own ethnic borders by these small differences. Tibetan villagers in Erma village also have a system of mountain god worship; and Tibetan villagers in Erma village will identify their ethnic ownership into Tibetan group via mountain god worshipway. In day-to-day life, they have maintained their own historical memory. Through the history memory of the past ancestors and the imagination to other Tibetans outside the village, Tibetan villagers will closely maintain their ethnic identity in the vertical axis of time and the horizontal axis of

75 space. In the communication with Han people, they often joke with each other. It is just because of the usual joke that makes the Tibetans villagers maintain their own ethnic borders, which are not fixed but changing with the situation. This is the drift border but can not wash it away. 2 Villagers self-awareness to development Villagers in Erma village have a lot of views on their own development situation. The social assessment group learned many local villagers’ views through individual interview and group discussion, the conclusion includes following aspects: (i) Most villagers fully affirmed that the local material conditions improved. Many villagers thought that their present life change a lot compared with the previous life, especially in the past few years. Now even the village primary school has a medical clinic, the village roads were repaired. And every household already has a TV, which is installed satellite signal; many families have a telephone installed. Production tools are also greatly changed; many families no longer use animal power, which is replaced by tractors and agricultural vehicles. Young people have become accustomed to motorcycle riding instead of walking. (ii) On welfare, the state completely removes the agricultural tax burden on farmers; all of their agricultural production income belongs to the farmers themselves. Besides, Since the implementation of the new rural medical care, which will give more than 50 percent of the cost relief of serious illness as long as per person pays 10 Yuan every year, so the condition that rural residents can’t afford the medical care cost has changed much. (iii) Many villagers show the psychological contradiction in understanding of the outside world. On one hand, they are longing for the outside world, but on the other hand, they fear that their own little world will be completely broken.During the investigation, an elderly man said with interest"the outside world belong to young people, while the world here belongs to us old people; you know, it is impossible for us to become young again." What he said seems appropriate to point out the mentality of local people on modernization. On one hand, they persue the convenience and rapid speed of modernization, but on the other way around, they are reluctant to abandon their own cultural traditions. (iv) On belief, the local Tibetan residents believe in Tibetan Buddhism. They, especially the old regularly go to Guanghui Temple which is not far from the Village to pilgrimage. There both have ancestral spirit beliefs and folk worship system in the

76 village. When the the social crisis outside world implicate their village, they will defuse the crisis in such way. Many villagers said that these belief systems will be Fund-raising proportion 10 Total Project extent/sco Start/en Sources of Community investm 0% activities pe d time resources ent Worl Counter d part Bank 33.33 2011- World bank forestation 91.07 75 25 (hm2) 12 project Office Check 2011- World bank 50(Zuo) 77 75 25 dam 12 project Office Gully 2011- World bank head 50(m) 0.035 75 25 12 project Office protection Rural-road The province Erma 2009- transforma 7(km) 120 0 100 “village to village 12 tion village project” Provincial/count Livestock 100 Zuo 2011 70 0 100 y poverty sheds reduction offices World bank Bre Cow 100(Tou) 2011 60 75 25 project Office edi She World bank ng 300(Zhi) 2011 9 75 25 ep project Office extended to the next generation, and will continue from generation to generation.

(III) Measures and Influence of the Project and Demands of Villagers Schedule 11: Activities this Project Planning to Carry out in Erma Village As is shown in schedule 11 that the project proposes to have 33.33 hectares of forestation in Erma village, and mainly manage the end part of Erma Channel which has more serious soil erosion and already cause real threat to the safety of villagers in Erma village, at the same time, increase check dam density of Erma Channel and Zanjiang Channel, newly to build 50 check dams on the basis of the original management works. The supporting activities matching with the project are mainly the transformation of the existing rural-roads, construction of the 100 livestock sheds and supporting dairy farmers to develop breeding industry. Forestation is aiming at the ditch slopes on both sides, the original part of the slope has been included in the implementation of the pilot projects of returning farmland to forests; Bai ,Yang and other cold-resistant species will be mainly planted

77 in this project to enhance the capacity of soil and water conservation. According to the experience of village residents, generally people can not graze in the newly planted forest until 8 years later. As a result, the project requires measures to restrict the residents grazing activities, at least not grazing in spring and summer, but can cut grass artificially. Due to that there are still 3,000 hectares of pasture grass in the village, so forestation and grazing activities restricted in the period of young forest will not have a significant impact on the activities of community residents. During the interview, we learned what the villagers most worry about is not the impact of rotational grazing on animal husbandry, instead, since the state compensate for returning farmland to forest policy, which has generated certain ecological effects And residents get subsidies such as money and grain, so they support measures that the project take very much. What the local residents comparatively worry about is the ownership of the trees and woods after exclusion. Some residents put foreword that the interest that exclusion brings in should belong to entire village collective and property right should belong to the villages themselves rather than nation or individual. Two flood disasters occurred in this area in the 1950s and 1980s. Because of funding problems, the village does not have measures to solve the flood problem except building more than 10 check dams and 1 flood prevention wall. So the villagers hope that through the implementation of this project, the flood management problem will be completely solved. Therefore, their enthusiasm to participate in the project is relatively high. The villagers also hope that the implementation of the project will help the development of the whole village and they think water source is the most important issue. The water that the villagers divert is pumped from the lower reaches of the river, which is not only power-consuming, but also very inconvenient. What is more, the water diverted is not as good quality as the water of the upper reaches .There is a water source in the upstream of a slope of the village, which is of high quality but not reasonable use. During the rainy season the heavy rain will lead to the water level rise, and pose a threat to the villages at the lower reaches. By the villagers, if we can build dams in the upstream to fetch water, both the water problem and the flooding problem will be solved; also will save energy and water supply equipment. Besides, villagers have a relatively strong desire to repair a straight Village Road from Up and Down Erma village to county and township way ,which can shorten by about one kilometer distance, but also can help them to avoid tonnage of vehicles limitation when they pass the exit of the Yamenzhuang from the existing Village Road. (Villagers in Yamen village collect money to build a village road, which is

78 narrow and of thin concrete layer, so they only allow villagers in Erma village passing their road loaded below 5 tons. ) (IV) The recommendations and benefit analysis of the entrusted party to EMDP 1. Infrastructure projects: (i) Source of drinking water: the villagers raise the requirement to have access to water supply from the water source of the end of village, since there is stable and clean water and the methods of access is energy-saving, which also can avoid a large quantity of spillway erosion of the channel in the rainy seasons. Therefore, it should be supported. By consultations of the entrusted party and relevant departments of Datong County, the Water Supplies Department has made it clear that: they will arrange human and livestock drinking water project in the years 2009-2010 to meet the requirements of the villagers. (ii) Village Road transformation: the village has a 7 km surrounding village road, which connects 3 natural villages and links up to Dongxia town streets. But the road has not yet been hardened, and some sections have sharp slope, dusty in fine whether while difficult to pass in the rainy season; besides, when villagers pass the exit of the Yamenzhuang from the existing Village Road, the tonnage of vehicles is restricted. So the villagers require hardening and straightening the village road. This requirement has been incorporated into the 2007"Village to Village “program of the province Ministry of Transportation and has 1,200,000 Yuan special project fund. Given that the current price is rising, the local Department of Transportation is trying to raise funding gap and have the project started by the end of 2008 or early 2009. The two projects above will improve the production and living conditions of villagers to a greater degree, so that the water quality that the villagers use is ensured, besides, they can drive farm vehicles and motorcycles in all the four seasons. 2. Livelihood support projects: The village currently has 60 poor households having received early support to build new animal sheds, with a construction cost between 5000-7000 Yuan. The villagers have become more confident in the development of dairy and pig farming by the practice of recent years. By consultation with the entrusted party, the county Agriculture and Animal Husbandry bureau made it clear that: in 2009, they will support 100 more households and build 100 new animal sheds. The entrusted party suggested that: the newly adding 100 households should cover poor families of the village as much as possible; in order to make animal sheds truly effective, the county government should also help to coordinate the Agricultural Bank and other financial institutions to provide interest-free or low-interest small agriculture loans to farmers for the purchase of breeding stock; and they also should contact with the dairy products business to establish reliable relations between the supply and marketing for

79 the villagers; In addition, Agriculture and Animal Husbandry bureau should contact animal experts to test water ,soil and climatic conditions of Erma village to recommend suitable grass varieties for livestock farmers planting to ensure that the livestock have high quality of fresh fodder. Farmers of the village said that in recent years they have been using potatoes, corn and straw as feed crops, reducing the cost of feeding and having good results. Besides, they have relatively more arable land, hills and slopes area, so planting grass will not affect livestock rations. From the experience of farmers as well as the practice of Husidong village etc in Huangyuan County, it is certain that the prospect of the project is comparatively substantial. 3. Technical training programs: Aiming at the situation of the village, technical training will include three areas: (i) Raising technical training: including feeding, care, disease prevention of the breed of cows; transportation and preservation of fresh milk, fodder processing, feed mixing and so on; these technical and knowledge training should be provided by the experts of Agriculture and Animal Husbandry bureau at county and township level or technicians of dairy companies, or can also invite the experienced village farmers to participate in; the project office should provide financial support and be mainly in the way of village or household spot guidance. Special attention should be paid to women, the elderly and youth training, as they are the major force in the operation of the family in the situation of a large number of strong men labor outside. (ii) Technical training for workers: At present, the villagers outside have a wider employment area, such as catering business, mining, construction and other industries, of which more villagers help to build fence and houses in pastoral area. As a result, the focus should be to improve the technical aspects of construction. Students in the junior or high school may adopt technical training courses provided by schools to improve their skills for future employment. (iii) Training in construction participation of this project: forestation or construction of check dams of the project may have the villagers participate in under the guidance of on-site supervision of technical staff, who can provide some necessary technical training points to the villagers before construction. Breeding and work training programs can be included in “whole village promotion’’ program which has been confirmed by the Poverty Alleviation Office and do not need funds putting into of this project. 4. The management and maintenance of the project in the latter period. The trees planted in this project need long-term management and protection; and the facilities of check dams also need taking care by the villagers, particularly in the rainy season, it is necessary for the villagers to fulfill corresponding responsibilities such as observing and removing dangers in time. The activities involved in should be organized by

80 village committees, while the project fund in part to subsidize the villagers and village cadres who participate in. It should be pointed out: due to the maintenance the latter period of the project do not ask for much technical, therefore, personnel with appropriate ability from the poor families should be considered, especially the elderly and women who have proper hearing, vision and the ability to walk, so that they can have a certain amount of subsidy from the fund of the project operation and maintain.

81 VII Monitoring and Assessment

VII-I The Main Body of Monitoring and Assessment

Monitoring and Assessment of the project is an important step to ensure the economic and social effects of this project, also an important correcting and participation mechanism. In order to ensure the extension and objectivity of Monitoring and Assessment, the plan propose: to establish independent, but mutual communication assessment and monitoring teams by four representatives of the Government, World Bank, Project Office and Residents , the focuses of the monitoring and Assessment of each team are: Government monitoring and assessment group: Mainly concern about whether the EMDP is implemented, whether ethnic minority or the ethnic farmers face problems or help them to solve problems that may arise, so as to avoid accumulation of the problems. Their memberships include officials from Departments of agriculture, forestry, animal husbandry, science and technology, poverty alleviation, women’s federations and civil administration. World Bank monitoring and assessment group: mainly concentrate on the project progress, the implementation effect of EMDP, the residents participation and satisfaction degree, the implementation of rules and regulations, the reasonable fund usage and the work carried out by the other three monitoring and assessment teams, and so on. World Bank assessment group consist of independent experts of assessment, immigration, participatory watershed management, finance, water conservation, agriculture, forestry, and other aspects who are employed by the World Bank. The Project Office monitoring and assessment group: to urge the relevant government departments and community residents implement the responsibility system and to assist and promote the mornitoring work of government, resident representative, meanwhile,put forward concrete proposals to perfect EMDP. Resident representative monitoring and assessment group: mainly to have monitoring and assessment on the implementation situation of EMDP by village-level project management team, the effect of the project implementation, and whether the project can achieve objectives on schedule. They should be elected from the farmers who are involved in the project, represent various ethnic groups, and have the courage to speak; moreover, they are not overlap with the team members in the village administration.

VII-II Index System of Monitoring and Assessment

The emphases of monitoring and assessment are: (1) Whether the right of minorities and the equal participation right of the ethnic minorities in the project is effectively protect ed?

82 (2) Whether minority communities and the residents indeed benefit from project construction and design? (3) What specific measures do the local project offices take to protect minority residents and community participation? How is the effect and flexibility of these measures? (4) Whether the mechanism of multi-sectoral organizations involved in the project organization, guidance and implementation is effective? Is there any improvement measures? (5) How do minority residents evaluate these measures? Does the main crowd of these measures have any specific evaluation? (6) Whether the monitoring and sssessment mechanisms of EMDP have been established? What about the effectiveness? Assessment methods and specific monitoring and assessment indexes, see SA: 10.3,10.4.

VII-III Period of the Monitoring and Assessment and Information Publicity

EMDP monitoring and assessment, including two basic forms, annual assessment and periodic assessment .Four monitoring and assessment groups can carry out their work separately or together with other groups. It will be better to have a joint consultation of monitoring and assessment every year. The fundamental purpose of monitoring and assessment is not to make troubles, but to find reasons or countermeasures of the problems and solve or reduce them. Therefore, monitoring and assessment is a constructive mechanism. Consultation of monitoring and assessment of projects is organized and coordinated by the project office, so the running fees should be incorporated into the project budget. The work of monitoring and assessment should be formed into report and submit to project offices, the government in the project area,World Bank and comminites, furthermore,should be public in the World Bank and government website, community and village affair column and so on to accept the supervision from all sides, in particular to ensure that residents in the project area are informed.

——The End——

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