Environmental and Social Management System Monitoring Report

February 2017

People’s Republic of China: Gansu Featured Agriculture and Financial Services System Development Project

This environmental and social monitoring report is a document of the borrower. The views expressed herein do not necessarily represent those of ADB’s Board of Directors, Management, or staff, and may be preliminary in nature. Your attention is directed to the terms of us section of this website. In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.

Gansu Featured Agriculture and Financial Service System Development Project 甘肃特色农业金融服体系建目

Safeguard Monitoring Report 保监测告

No.: 3312-PRC 贷款 3312-PRC

Reporting Period 告期 st st From 1 Julyto 31 Dec. 2016 2016 7 1日 12 31日

Prepared by the Project Management Office of Gansu Featured Agriculture and Financial Service System Development Project 甘肃特色农业金融服体系建目管理公室编制

Date: Feb.27, 2017 日期 2017 2 27日

目录 TABLE OF CONTENTS

执行摘要 EXECUTIVE ABSTRACT ...... 3 I. 引言 INTRODUCTION ...... 9 II. 告期要行工作 ACTIONS AND PROGRESS RELATED TO ESMS OF THE RPOJECT ...... 11 i. 系能力建 Institutional Capacity Building ...... 11 ii. 完首笔子贷款的准备行前 The completion of the preparation for the first sub loans and to be pre-reviewed by ADB ...... 18 iii. ESMS 的履行 The implementation of ESMS ...... 25 iv. 公示申诉机制 The Publicity of the grievance mechanism...... 29 III. 注点效果 THE EFFORTS OF THE CONCERNED ISSUES ...... 35 i. 境影响 Environment impact...... 35 ii. 社会影响 Social impact ...... 38 iii. 贫困 Poverty ...... 40 iv. 社会别 Social gender ...... 41 IV.开展 ESMS 相活遇到的题解决 ISSUES ENCOUNTERED DURING THE IMPLEMENTATION OF ESMS ACTIVITIES AND THE SOLUTIONS ...... 42 i. 遇到的题 Issues encountered ...... 42 ii. 题的解决 Settlement of issues ...... 43 V. 验和面临的挑战 EXPERIENCES AND CHALLENGES FACED ...... 44 i. 验 Experiences ...... 44 ii. 面临的挑战 Main challenges faced ...... 45 VI. 一要工作计划 WORKING PLAN FOR NEXT STEPS ...... 46

Attachments:

1. 修改的ESMS评表中文版 The Revised Working Sheet for the ESMS in Chinese Version 2. 修改的ESMS评表英文版 The Revised Working Sheet for the ESMS in English Version 贷款长单表 3. Statement and Verification of the Long List 指标监测表 4. The Index Monitoring Table

执行摘要EXECUTIVE ABSTRACT

1.目相中介银行县区目，在省目内咨询家的指导，于2016 6 2日 12 31日间，完了2016 半度工作内容如 1建了各自的目执行团队，并任命了境和社会官员/ 理 2据2016 半行长指发的本土 ESMS制度，效开展制度的各活，将执行ESMS制度作目工作的要部 3 针对目群体开展ESMS相督导计23期，效提升目利益相者对ESMS制度的认知程度和执行能力 4 在省目内咨询家的指导和帮， 5个的时间，于12 27日前，11个目县区的首笔子贷款前料全部通过了行批5 各目和中介银行建立了各自的申诉机制，并按照相流程，对于通过银行批的境非自愿移民和原民是C类的子贷款活在目实施区域内行了公示

During 2nd June to 31st Dec. 2016, under the instruction of PPMO and domestic consultants, the relevant FIs and County PMOs involving in the project implementation have completed the second semi-annual work as follows: respectively completed the construction of project implementation teams, and designated the project officer specifically in charge of environment and social safeguards; effectively carried out project activities following the localized ESMS issued by the head of the banks at the first half year of 2016, and take the implementation of ESMS as the crucial component of project management and implementation; totally conducted 23 times of project supervision and training activities involving in the implementation of ESMS targeting different groups of project beneficiaries, to effectively promote the capacity for project stakeholders to the understanding and implementation of ESMS ; under the instruction and support from PPMO and domestic consultants, all the pre-reviewing materials for the application of first sub-loans submitted by the 11 County (district) PMOs have been approved by ADB before 27th Dec. during the period of 5 months; PMOs at each level and FIs have respectively set grievance mechanisms, by following the relevant procedures, it has publicized the activities of sub-loans approved by the banks and listed in category C which involve the issues of environment impact, non-volunteer resettlement and aborigines etc. in the project area.

2. 2016 半，各目中介银行将 ESMS制度明白人作工作的点，通过参式会场督导研讨等多种形式，累计开展各类ESMS 题计23期，各中介银行员工和目工作人员计462人次，中省 351人次，县 111人次，确保了县区目和中介银行的工作人员能够准确掌握境和社会管理制度的本内涵别流理念注实施少数民和弱势群体的包容发展，显著提升了能力建的质和效果各类中，各目非常视妇女的参程度，在省目的4次中，参会人员总计351人，中女 149人，占总人数的42.5%，在针对益人的中，县目视妇女的参程度，2016 半接术的农民总数 12,978 人，中女人数 5,362人，占总人数的41% 贫困人数 2,897人，占总人数的22% 活益人参目活提供了力的术保障，虽然女人数和贫困人数未能达到监测目标要求的标准，但随着2017 目活的深入开展，更多的农户合作社和企业将入目建中，弱势群体在目中的参度将得到更一的注，监测目标将实

At the second half of 2016, the PMOs at each level and FIs had respectively taken the training of staffs to fully understand what and how to run the ESMS as the priority. By 3 taking varieties forms of training, such as participatory training, meeting, field- supervision, workshops etc, it had totally conducted 23 times of training activities thematically focusing on the ESMS, with 462 person time of total trainees including staffs from FIs and PMOs at each level. Of which 351 person time training activities were organized by provincial level, and 111 person time of training activities were organized by county level, to ensure the relevant staffs from County PMOs and FIs to accurately understand the basic connotation of the ESMS, the concept of gender mainstream, the inclusive development integrating minority ethnics and vulnerable social groups, which had greatly enhanced the quality and effectiveness of capacity building activities. During the process of conducting training activities, the PMOs at each level has paid great attention to the participation of women involving in training activities. Among 4 times of training activities organized by PPMO, 149 out of total 351 trainees were females accounting for 42.5% of total trainees. Regarding the training activities specifically targeting project beneficiaries, similarly, the county PMOs paid special attentions on the participation of women. During the second half of 2016, the total number of farmers who had received training activities had amounted to 12978 persons, of which 5362 females accounting for 41% of the total, 2897 poverty stricken population accounting for 22% of the total trainees. Those completed training activities had forcefully ensured the project beneficiaries to actively participate the implementation of all project activities. Although the actual number of trainees who are females and poor have not yet met the targeted monitoring criteria, with the further implementation of project activities in 2017, there would be more project households, cooperatives and enterprises involving in the process of project construction, the issue of participation in the project for the vulnerable groups would be more concerned which will gradually ensure the achievement of project monitoring targets.

3. 2016 半省目和内咨询家花费大精力指导各中介银行准备校对和完善首笔子贷款前料，特别是对ESMS评表和土地流转尽职调查告提供了大的业术指导通过前批准的11个县区中， 6个县区土地流转，中介银行按照行要求请家行实地调研，并准备和提交了土地流转尽职调查告 2个县区少数民，别是和县和崆峒区，按照ESMS制度文要求，和县少数民当地居民，到面影响，故需被监测C类，崆峒区的少数民仅 7 少数民员工，故无需监测C类 11笔首笔子贷款的境影响类别均 C类，故11个县区均无需提交初始境查IEE

At the second half of 2016, PPMO and domestic consultants have worked a lot on providing guidance and instruction to the FIs of each level for the preparation, rectification and accomplishment of all pre-reviewing material for the application of first sub-loans. Especially, a great amount of professional technical advice has been provided on working out the evaluation tables of ESMS and the preparation of DDR reports. Among the 11 project counties whose submitted pre-reviewing materials have been approved, of which 6 project counties involving the issue of land transferring which DDR reports had been prepared and submitted in accordance with the requirements from ADB, following the field survey conducted by the consultants invited by FIs; and 2 project counties involving in the issue of minority ethics which are respective Hezheng county and Kongtong district. Based on the requirements of ESMS, it needs to conduct the relevant monitoring in Hezheng county since its minority ethnics are local residence and this project has a positive impact on them, but no need for monitoring in Kongtong district because of its only 7 minority ethnic staffs. Since all project activities involving first sub-loans in 11 project counties are listed in category C according to environment impact evaluation, it does not need for the 11 project counties to submit the Initial Environment Evaluation (IEE). 4

4. 榆中浦发镇银行在2016 8 16 首次提交了ESMS前料，在省目和内咨询家的指导，对行反馈意行完善并于10 17日通过了行的前作第一个通过行前的目县，榆中县前料余的10个县区的前料的准备起到了参考作用，截 2016 12 27日，11个县区前料均获得了行的批复在ESMS的准备前和履行的过程中，由于缺乏对参外资目实施的验，中介银行遇到了很多题，如行提出的ESMS 料缺乏目在建期和运营期的境影响的缓措施缺乏监测告机制殖目境影响的类等，省目境和社会家指导中介银行据行的反馈对题行了完善，如在ESMS 3的工作表1中新增一监测告，述持续发展农业措施境影响措施和水资源利用的监测告机制通过对殖目的规模境影响缓措施等行了深度的研究讨论并确定境影响类别等

Yuzhong Shanghai Pudong Development Rural Bank submitted the pre-reviewing materials first time in 16th Aug. 2016. With the support and instruction provided by PPMO and domestic consultants, the revised version of pre-reviewing materials which has fully accepted the feedbacks from ADB had been approved by ADB in 17th Oct. 2016. As the first project county in Yuzhong county which submitted material has been approved by ADB, it has provided valuable references for the rest 10 project counties in preparing their pre-reviewing materials. As of 27th Dec. 2016, all pre-reviewing materials submitted by the 11 project counties (district) had been approved by ADB. During the process of preparation, pre-reviewing and implementation of ESMS, the FIs have encountered a lot of problems because of the inadequate experiences involving in the implementation of foreign capital financed projects. For example, regarding the submitted ESMS material following the requirement of ADB, it mostly lack of the descriptions on “the mitigation measures to the environment impacts which might be caused during project construction and operation”, “the monitoring and reporting mechanism”, “the classification of environment impacts for the livestock project activities” etc.. Under the guidance and support from PPMO and environment and social expert, the FIs have completed the rectification and responded all questions specified by ADB. For example, it has added a new column of “monitoring and reporting” on the worksheet 1 of attachment 3 of ESMS, and added the descriptions of “sustainable agriculture development measures”, “mitigation measures of environment impact” and “water resources utilization” in the Monitoring and Reporting Mechanism. The further study and discuss have been carried out focusing on the issues of the acceptable livestock quantity under the project, the potential environment impact and relevant mitigation measures etc. so as to determine the category of environment impact to the project activities.

5. 在ESMS制度的执行过程中，除前料中出的题外，视的题 1 在目执行过程中，能会遇到部中介银行工作人员岗，影响ESMS 相活的展 2 县目和中介银行工作人员对ESMS的体管理和操作规程理解够，对目的评估和管理在一定影响，亟待行省目和内咨询家开展针对题，省目极召开会，排并部署各单 1 要求银行方面尽保持人员的固定，如若发生人事调，请相工作人员离岗之前和离岗对新员工提供，保证新员工对ESMS 一定的理解能力和执行能力 2 断地强能力建，增强县目中介银行独立开展工作的能力通过县区相部门人员的自身学和来自于省目家团队的断，随着目业的全面开展，他们将对ESMS制度熟掌握并运用自如

During the implementation of ESMS, except the issues exposed in the pre-reviewing 5 materials, the following issues also should be concerned: the vacancies for some staffs in FIs might be changes during project implementation, which might put off the progress of ESMS related project activities; Staffs in county PMOs and FIs have not yet fully understand the concrete requirements for the management and operation of ESMS, which might interfere the evaluation and management of the project to some extents and urgently needs to carry out training activities by ADB, PPMO and domestic consultants. Regarding these issues encountered, PPMO has actively organized relevant meeting to make further arrangement to the involved parties: the relevant involved FIs should fix the staffs on the project related vacancies as much as possible, if the shifting of staffs occurred, the training to the new staffs should be provided before or after the former staff left, so as to ensure the new staffs could be capable of understanding and implementing the ESMS related project activities; to constantly enhance institutional capacity building, and promote the capacity for county PMOs and FIs to independently implement the project. Following the self-taught conducted by the staffs from relevant departments at county (district) level and constant training provided by PPMO and consultants team, with the overall implementation of all project activities, they would be able to skillfully and functionally operate the ESMS in the whole process of project implementation.

6. 中介银行各县区目在省目和内咨询家的帮，极完善行反馈的意认真汲验，在个过程中，中介银行领悟了行目的内涵注点，累了目实施验，如对目能的境影响要提前准备缓措施对境的负面影响保和支持目的弱势群体贫困人妇女等的利益对于殖目境影响的类别判定要点注殖规模通过能力会等方式，建立效的沟通调机制，保障信息一和验传递，提升中介银行独立完 ESMS内容的能力等中介银行行省目和内咨询家力，一完善了目相制度和目计，使更符合各县区的自身特色更注弱势群体更注目质更利的未来的工作验将目实施，并将在更大范围内实复制广，农济境和社会综合衡和持续发展做出献

With the support and instruction provided by PPMO and domestic consultants, the FIs and County PMOs have actively learned experiences and advisers proposed by ADB. During this process, the FIs have gradually understood the connotation and main concerns for ADB projects, and have accumulated relevant experiences on project implementation. For example, it requires to prepare mitigation measures in advance if environment impacts might be caused by the implementation of proposed project so as to reduce the negative impact to the environment; it requires to pay attentions and concerns to the interests of the project affected vulnerable groups (poorer, women etc); it requires to concern the quantity of the proposed livestock project based on the category of its environment impact which might be caused by the project implementation; it requires to set up an effective communication and coordination mechanism by conducting a set of capacity building activities such as organizing training or meeting etc, to ensure the consistence of transferred information and the applicability of experiences so as to promote the capability of the involved FIs to independently complete the implementation of ESMS contents etc. Under the jointly efforts paid by the FIs, ADB, PPMO and domestic consultants, it has further accomplished the designs of proposed project activities and required relevant project institutions to enable them to be more applicable matching themselves characteristics, to concern more about the vulnerable groups, to pay more attentions on the quality of project and promotion the project implementation much smoothly in future. These valuable experiences drawn from the process of current project preparation and implementation would greatly promote the successful implementation of 6 the project and would be scaled up in much larger scope, which would significantly contribute the balanced and sustainable development for rural economy, environmental friendly and social development.

7. 在2017 一目实施中，各目县区目中介银行将结合2016 已获的ESMS执行相验，格按照制度相要求，序目活，包括 1 各目继续开展ESMS 题 13期，待农金融服提供商确定，各中介银行将大对农金融服提供商员工的ESMS 2 据行目的相规定，省目咨询家将制定出适合参行目的农金融服提供商执行的简版ESMS制度，并提交行行 3 省目内咨询家将一起深入到11个目县区，结合目县区的实情况 ESMS的实施情况中遇到的题，给予相的业术指导，一指导并监督中介银行农金融服商效完 2017 半子贷款贷活的ESMS 工作 4 省目将大力度监督中介银行和县区目开展申诉机制的公示记录工作，并确保 2 工作持续发挥作用，保证目中影响的群体在到本目影响，熟知相程序，利用机制效维自身的合法权益 5 强各部门之间的沟通调，特别是县区目保部门极沟通，开展多角度多领域的目境监测工作，规范监测程序监测手段监测方法，将目负面影响降到最的时极开展目监测评工作，各目将在2017 半开展目监测评会 12期，认真总结析半各监测目标实情况，并针对题提出一的解决方案

Regarding the project implementation plan for the next steps in 2017, all county (district) PMOs and FIs will strictly follow the relevant requirements specified for the implementation of ESMS to constantly promote the project implementation progress, based on the relevant experiences on the implementation of ESMS obtained in 2016, which respectively include the follows: PMOs at each level will sequentially carry out 13 times training activities focusing the theme of ESMS. As long as the RFSP Rural financial service provider is designated, the FIs at each level will increasingly provide training on ESMS to the staffs of RFSP; In accordance with the relevant requirements specified in the Project Agreement issued by ADB, PPMO and consultants will prepare a simplified version of ESMS to be submitted to ADB for review, which should be applicable to be implemented by the RFSP which participate the ADB project; PPMO and domestic consultants will jointly visit the 11 project counties (district) to provide specific professional advisers to the counties based on their actual needs and problems encountered during the implementation of ESMS, to further instruct and supervise the FIs and RFSPs to effectively complete the reviewing of ESMS supporting the processing of sub-loans in the first half of 2017; PPMO will enhance the supervision to the FIs and county PMOs in carrying out the publicities and recordings during the implementation of grievance mechanism, and ensure these 2 items of work to be sustainably functional, so as to insure the affected groups could be familiar with the relevant procedures to effectively protect their own rights and interests by utilizing the grievance mechanism; It will further enhance the communication and coordination among line sectors, especially promote the active communication between the county PMOs and local environmental protection bureaus. By carrying out multiple dimensional and interdisciplinary project monitoring on environment impacts, to regulate the monitoring procedures, monitoring methods, so as to minimize the negative impacts which might be caused by the project and actively implement project monitoring and evaluation work. The PMOs at each level will organize 12 times conferences focusing on

7 the theme of project monitoring and evaluation at the first half of 2017, to carefully brief and analyze the results of all monitored targets achieved during the first half year, and to further explore the accessible solutions to the targeted issues.

I. 引言INTRODUCTION

8.洲开发银行简行于2015 11 12日批准了甘肃特色农业金融服体系建目简目，行中府于2015 12 8 日签署了贷款，目于2016 3 14日生效目计划总投资 2亿美元，中包括行贷款1 亿美元，中介银行投入6,858万美元，目益人投入2,467万美元，甘肃府投入675万美元目贷款实施期5 ，将于2020 12 31日竣工，2022 6 30日帐户目行贷款期限 15 ，中含宽限期9 ，目贷款到期日 2030 11 1日

Asian Development Bank (hereinafter refers to “ADB”) has approved the appraisal of Gansu Featured Agriculture and Financial Service System Development Project (hereinafter th refers to “Project”) in12 Nov. 2015. The Loan Agreement of the Project has th been signed jointly by ADB and Chinese Government in 8 Dec. 2015, which has been th effective since the date of 14 March 2016. The planned total investment of the project is USD 200 million, including USD 100 million Loan funded by ADB, USD 68.58 million financed by FI (Financial Intermediary) and USD 24.67 Million contributed by the project beneficiaries, in addition to USD 6.75 million funded by Gansu Provincial Government. The project implementation period expects 5 years, which aims to complete the project st th implementation in 31 Dec. 2020, and plans to close the project account in 30 June 2022. The repayment period of ADB loan proposed in this project is 15 years, including 9 st years of grace period. The date of ending the repayment of loan is 1 Nov. 2030.

9. 2016 6 2日在甘肃省召开的目实施启会标志着目入实质实施阶段，半的要工作包括ESMS的准备制定前履行在确定了由符合资质的目境家社会保障家和目管理家的家咨询团队，省目家咨询团队指导了3家中介银行开展了如工作建各自的目执行团队据前期制定的ESMS完善了各自的ESMS等制度文通过4次大型能力建，提升了目相人员的目执行能力，尤是对中介银行工作人员在目管理实施和申诉公示方面的，确保了3家中介银行未来独立完目的能力

nd In 2 June 2016, the inception conference was hold in Lanzhou, Gansu province, which has set the benchmark to physically start the implementation of the project. During the second half of 2016, the main tasks of project implementation included the preparation and finalization of the ESMS, as well as going through the necessary procedures of pre- reviewing and implementation of the approved ESMS. After the establishment of consultant team which composes of the qualified project environment expert, social safeguards expert and project management specialist, PPMO and the consultant teams have jointly provided instruction to the 3 FIs to complete the following works, which include: to set up project implementation team respectively in 3 FIs; to further respectively finalize the documents such as ESMS etc based on the prepared relevant documents; to carry out 4 times of large-scaled capacity building activities, which have significantly improved the capacity of the relevant staffs to support the project implementation; especially, to conduct a set of training activities on project management, project implementation, appeals and publicity etc to the staffs in the FIs, it has greatly enhanced the institutional capacities for the 3 FIs to independently complete the implementation of the project.

10. 通过省目家咨询团队中介银行和11个县区目的力， 11个县区的首笔子贷款于2016 12 27日之前全部通过行前截目前， 11个县区中已 3个县永靖县和县和石山县在2016 12 8日-12 9 日间完了第一笔贷款的发，贷款金额5万-20万人民，发给了1-3 最借款人在申诉公示方面，据ESMS的模板，目前县区目已建立了申诉机制，要内容包括 1 向他目机构阐述各自在申诉机制中的职 2 在网站公了申诉机制，并任命了县区目的境和社会官员执行ESMS 3 建立了一个简单的记录制度，记录并跟踪接收到的申诉处理情况包括记录投诉/申诉的表格解决法，当最借款人的子贷款获得批复之，各县区中介银行对于境非自愿移民和原民是C类的子贷款活在目实施区域内行了公示，公示内容包括置活潜在影响最借款人和中介银行县目境官员和社会官员的联系方式等

By the hard work jointly contributed by PPMO, consultant team, FIs and 11 County (district) PMOs, the first sub-loans for the 11 project counties have been fully approved th the pre-reviewing by ADB before 27 Dec. 2016. As of present, 3 project counties (Yongjing County, Hezheng County and Jishishan County) out of the 11 have completed th th the delivery of the first sub-loans to 1-3 end-borrowers in 8 -9 Dec. 2016, with total amount of loans 50,000 to 200,000 Yuan (RMB). Regarding the completed work in the aspects of appeals and publicity, based on the template of ESMS, currently, the County PMOs have established the grievance mechanism, which mainly includes: 1 The respective duties in the complains mechanism explained to other project institutes; 2 The grievance mechanism has been publicized on the relevant websites, and has respectively designated one staff in the County (district) PMOs as environment and social officer to be specifically in charge of the implementation of ESMS; 3 A simple recording system has been established, to record and trace the received appeals and processing results (including the tables of recording appeals / complains and handling solutions). After the sub-loans of the end-borrowers have been approved, the FIs in each project county (district) have publicized the activities of sub-loans listed in category C which involves in the issues of environment impact, non-volunteer resettlement and aborigines etc. The details of publicity include: the location of project activities, concrete project activities, potential impacts, the end-borrowers, the FIs and the name of environmental and social officers in County PMOs, and the contact numbers etc.

11. 作一个新目，本目他传统模式运行目最大区别就是在农业目中引入金融中介贷款模式，通过选符合资质的中介银行，将 90% 目贷款转贷给中介银行，通过府中介银行间的密作，银行通过信贷资金模式对当地特色农业发展行支持在过程中，府充发挥宏调和各各层能力建的作用，银行充发挥资金监管运营的势，使服于特色农业发展的限资金滚

使用发挥最大效益，并探索出一条金融支持农业的持续发展模式时，目注中介银行自身能力建和对新型农金融提供商，包括镇银行小贷公和资金互社等的支持，促农地区金融服能力和多元农金融体系的发展在金融中介贷款模式，ESMS 是落实和贯彻行境和保措施的一个要手段，是内继业银行赤道原之在银行信贷活中引入行境和保措施的另一大举措，一举措中府倡导的绿色发展理念高度契合期

望通过目的实施，累验供在更大范围复制广，农济境和社会综合衡和持续发展做出献

As an innovative project, the biggest difference between this project and the other traditionally operated project is to introduce the FI (financial intermediary) involving in agriculture production activities. By screening out the qualified FIs, it is to on-lend 90% of project loans to the FIs, enabling the development of local featured agriculture with the support of credit loans provided by the banks, through the closely cooperation between the government and FIs. During this process of project implementation, government would fully exert its role in regulating macro economy and capacity building from tiers of local governments, the banks could fully perform their advantages in the operation, monitoring and supervision of loans processed, to maximize the revenue and efficiency of the rolling-based usage of the limited fund supporting the development of featured agriculture, to initiate a model of agriculture development supported by a sustainable financial service system. In addition, the project would focus on supporting the capacity building of the FIs, and the development of the new types of RFSP Rural financial service provider , including rural banks, small loaning companies and mutual-aid funding cooperatives etc.，in order to enhance the capacity of rural financial service provider and promote the development of diversified rural financial service system. Following the performance of the lending model involved by FIs under this ADB project, the ESMS is required as an important measure to ensure the application of social and environment safeguards for ADB loaned project to be followed, which is also an another important initiative in the credit activities of the banks in China following the “Equator Principle” borrowed and applied by the Industrial Bank. It shows that the application of ESMS in the project has been highly consistent with the concept of green development advocated by Chinese government. By the implementation of this initiative project, it would accumulate more valuable and replicable experiences for the scaling up of the initiatives in larger scope, to contribute the achievement of the sustainable development in rural area by comprehensively balancing the development of rural economy, environmental protection and social development.

II. 告期要行工作ACTIONS AND PROGRESS RELATED TO ESMS OF THE RPOJECT 12. 目 ESMS相的要行展包括了系能力建完了首笔贷款的行前公示了申诉机制，中11个县区的首笔贷款的ESMS的准备行前工作是半工作的心

The main actions and progress related to ESMS for the project include: it has organized and completed a set of capacity building activities, and has completed the pre-reviewing for the first sub-loan by ADB, and has publicized the prepared grievance mechanism. The core work involved and completed for the second half of the year is to prepare the ESMS for the first sub-loan in 11 project counties, and complete the relevant pre-reviewing procedures required by ADB.

i. 系能力建 Institutional Capacity Building

13. 目启，省目发县区目和中介银行的工作人员虽然初掌握了ESMS框架填写能评估要点等，但因ESMS对县区目和中介银行而言，是一个全新的领域，跨业很强，如果行特的能力建，在短期内无法胜任境社会影响评估的工作因，省目充发挥管理过多个目的势和验，通过调研多次境和社会家行讨论，最决定采用形式多的，包括参式会场督导研讨等，系强确保了县区目和中介银行的工作人员能够准确理解行的目理念境和社会管理的本内涵社会别理念注实施少数民和弱势群体的包容发展，并将行的目目标任中的持续发展策紧密结合，显著提升了能力建的质和效果时，省目督促各县区别对工作人员术人员农民女贫困人等行了能别和发展等方面的，显著促了利益相群体对行目的深度理解

After the inception of the project, PPMO has noticed although some staffs in County (district) PMOs and FIs have learned the basic knowledge on the understanding of ESMS framework, the skills of filling tables and evaluation points etc, it still is a brand new and interdisciplinary field for them to catch up. Without carrying out more specific and intensive training activities on capacity building, it would be hardly incapable for them to undertake and complete the tasks of ESMS required. Thus, PPMO has fully exerted its advantages and experiences learned from previous management of multiple international organizations funded projects, and finally decide to organize diversified forms of training activities, including participated training, workshops, field supervision missions and seminars etc, based on field survey and widely consultation with the environment specialist and social development specialist. A series of intensive training activities conducted has significantly ensured the accurate understanding of some new concepts for the staffs in County PMOs and FIs, including the designing concept of ADB project, the basic connotation of environment and social management for ADB project, the concepts of gender issues and the inclusive development, and giving priority in supporting the development of minority ethnics and vulnerable groups. These training activities also have closely integrated the PDO and main tasks of the ADB project with the sustainable development policies advocated by Chinese government, which have significantly enhanced the quality and efforts of capacity building activities conducted. In addition, PPMO has suggested and supervised the county PMOs to respectively conduct the training activities to their relevant staffs, technicians, farmers, females, and the poor etc. on skill enhancement, gender equality and development etc., which have significantly promoted these stakeholders to deeply understand the concept and requirement of ADB project.

14. 了目明白人，省目先举了4次相，参的人员包括中介银行总行的相工作人员中介银行各目县区支机构相工作人员和 11个目县区相工作人员，总计351人会通过参式会场督导研讨等，显著提升了会的质，确保了县区目和中介银行的工作人员能够准确理解行的目理念境和社会管理的本内涵社会别理念注实施少数民和弱势群体的包容发展，并将行的目目标任中的持续发展策紧密结合，显著提升了能力建的质和效果除省活

之外，各县区中介银行对工作人员术人员农民女贫困人等行了能别和发展等

In order to foster staffs to be project sensible, PPMO has successively organized 4 times of relevant training activities, with totally about 351 trainees, including the relevant staffs from the headquarter of FIs, the relevant staffs from the branch of FIs in the project counties and relevant staffs from the 11 project PMOs. By taking the diversified training activities including the participatory training, workshops, field supervision missions and seminars etc, it has greatly ensured the staffs in County PMOs and FIs to accurately understand the concept the designing concept of ADB project, the basic connotation of environment and social management for ADB project, the concepts of gender issues and the inclusive development, and giving priority to support the development of minority ethnics and vulnerable groups. These training activities also have closely integrated the PDO and main tasks of the ADB project with the sustainable development policies advocated by Chinese government, which have significantly enhanced the quality and efforts of capacity building activities. In addition to these training activities conducted by PPMO, the project counties and FIs also have respectively carried out relevant training activities to their staffs, technicians, farmers, females, and the poor etc. on skill enhancement, gender equality and development etc..

15. 省能力建 Training for capacity building at provincial level 16. 本告期内，省目举了4次能力建活表1

During the report preparation period, PPMO has organized 4 times of capacity building activities (see table 1 in details)

表 1. 本告期间省目行的 ESMS

参的单参要内容参的者

日期人数男/女

省外资相人员内咨 2016.7.16 ESMS 的执行情况 117(63/54) 省目，

询家团队中介银行各个 -2016.8.3 场督导内咨询家

目县区支机构相 2016.8.24 针对目提款账 82(52/30) 省省

人员县目相人员 -2016.8.2 管理等内容目内

6 行咨询家

省特人员省外资 2016.9.25 针对行目监评 110(64/46) 省目，

相人员内特家 -2016.9.2 指标数据收集内咨询家

内家团队中介银行各行目度/执行 8 个目县区支机构相告提和ESMS 告

人员县目相人员提等行讲解

省外资相人员内咨 2016.11.1 对前料出的 42(23/19) 省目，

询家团队中介银行各个 4-2016.11 题注意事内咨询家

目县区支机构相 .16 行讲解行贷款

人员县目相人员目 2017预算工

作计划采购计划

Table1:The Training Activities on ESMS Conducted By PPMO during Period of the Report Preparation

Number of

Name of the institutes or Date of

Main training activities trainees Trainer

banks organizing trainees training

(Male/Female)

th 16 July Field missions conducted PPMO, domestic rd to 3 Aug. for the supervision of the 117(63/54) consultants

2016 implementation of ESMS

Specific training on the Provincial th 24 Aug. relevant themes of project Financial

th to 26 expenditures reimbursement 82(52/30) Department, Relevant staffs from PPMO, domestic consultants team, Aug. 2016 and financial management of PPMO, domestic the project. consultants relevant staffs from the branches of FIs at project counties, relevant staffs from

County PMOs.

Participants specially invited Lectures focusing on the th by Provincial Financial 25 Sep. explanation of monitoring 110(64/46) PPMO, domestic

th to 28 Department, relevant staffs indicators, data collection consultants from PPMO, domestic Sep. 2016 required by the ADB project, consultants team, relevant and the outlines for the staffs from the branches of preparation of project

FIs at project counties, implementation progress relevant staffs from County report and ESMS report.

PMOs.

Explanation to the issues th Relevant staffs from PPMO, 14 Nov. identified in the document 42(23/19) PPMO, domestic

th to 16 domestic consultants team, during pre-reviewing consultants relevant staffs from the Nov. 2016 procedures and matters branches of FIs at project needing attentions; Annual counties, relevant staffs from budget and working plan for

County PMOs. ADB loaned projects in

2017and Project Procurement

Plan in 2017.

17. 督导获得了如产出

The following outputs have been obtained from these training activities and supervision conducted:

a) 达到了督导的目的，提高了利益相群体的业能力对行目的理解能力对ESMS的理解评估和填能力

It has achieved the expected objectives of training and supervision, and has improved the capacity of these stakeholders groups on their professional performance, understanding to the requirements of ADB project, and their capacities on the understanding of ESMS, evaluation and reporting capacity;

b) 理了利益相群体省县目公室中介银行目益人家咨询团队等之间的系，强了各方之间的职和，促了利益相群体之间的合作

It has disentangled the relations among the stakeholders (including PPMO, county PMOs, FIs, project beneficiaries, consultant teams etc), and further clarified the responsibility and obligation for each involved party, which has greatly promoted and enhanced the cooperation between the different groups of the stakeholders.

c) 解决了层目益人和中介银行提出的各种题

It has settled all kinds of issues raised by the PMOs at grass levels, project beneficiaries and FIs;

d) 发部中介银行提出的贷款新业例如，银行立了针对行目的新型金融产品行绿色金融产品，账算榆中县浦发镇银行在降贷款担保方面采灵活措施，用保证联保等信用做担保实物担保用产资产和款，而用流转土地合等做担保

It has noticed several innovative credit programs initiated by some FIs. For example, Lanzhou Bank has set up a new type of financial service product to specifically match the demand to support the implementation of the ADB loaned project, which is known as the green financing product for ADB project, to conduct accounting settlement by setting special account; Yuzhong County Shanghai Pudong Development Rural Bank has taken some flexible measures by reducing the threshold of mortgage for loaning, which is to take pledge and joint guarantee etc as assurance of credit; The physical assurances for the application of loan could be the real estate, assets and savings, or even the contract of land transformation etc..

e) 力地促了行目工作展，一目的实施奠定了坚实的础

It has forcefully promoted the progress of the implementation of ADB project, which has set a stable base to support the implementation of project for next steps.

18. 督导活显著促了11个县区目中介银行等利益相群体对 ESMS的掌握和熟运用程度，督促各县区目落实好计划做好提款账的前期准备，场解答各种相题，促了利益相群体按照行的要求利目实施

The training and supervision activities have significantly promoted the understanding and skillful utilization of ESMS for the relevant stakeholders including the county PMOs in 11 project counties and FIs etc. It has promoted the preparation of working plan for implementation and reimbursement. The session of question and answer (Q&A) organized at the site of training has greatly improved the smoothly implementation of project for the relevant stakeholders following the requirements of ADB.

19. 县区能力建 Training for capacity building at county level 20. 家中介银行支机构，在各自的目县区内行了目工作人员表表等提升了目相能力建 2 3 利益相群体社会别和发展，工作人员对目的理解和执行能力提升了农民和妇女等弱势群体的能，保证了目利实施的时，惠周边影响社区

The 3 of FIs and their branches also have organized some training activities supporting the capacity building for the staffs working in relevant project counties (see table 2 and table 3), and have carried the training activities on gender issue and development to the stakeholders.

表 2. 本告期间中介银行行的能力建活

参的单参日参的

要内容者

期人数(男/女)

榆中文小额 ESMS 表 SOE 表的调查和填榆中浦发

2016.10.10 3(2:1) 贷款限公写，属诺书的填写签署镇银行

甘肃银行镇原行 ESMS 场督导 2016.8.1 4(3:1)

甘肃银行镇

支行相工作

行贷款目管理原支行 2016.10.9 4 4:0 人员

ESMS 表的填写，SOE 表的填甘肃银行泾写甘肃银行泾 2016.10.26 4(3:1) 支行相人员规范，属诺书的填写支行

灵县富鑫农 ESMS SOE 表的调查和填写，甘肃银行灵

2016.10.17 3 2:1 牧场属诺书的填写签署支行

2016.7.26 ESMS 筛选评估填方式 6 4:2

甘肃银行县甘肃银行

2016.9.29 行贷款目情况介绍 6 4:2

支行相人员县支行

2016.11.18 行贷款发流程提款账 6 4:2

2016.7.22 行 ESMS 场督导 11 9:2

银行临夏银行临

2016.8.31 行贷款目管理 11 9:2

行相人员夏行

行贷款提款账 2016.10.12 11 9:2

2016.7.21 行 ESMS 场督导 6 4:2

银行岷县 2016.8.30 行贷款目管理 6 4:2 银行岷

支行相人员 2016.10.11 行贷款提款账 6 4:2 县支行

2016.11.22 行贷款目 2017 预算 6 4:2

临洮县金城 2016.8.22 行 ESMS 场督导 6 4:2

临洮县金城

镇银行相人 2016.9.16 行贷款目管理 6 4:2

镇银行

员 2016.11.30 行 2017 度计划 6 4:2

Table 2: Capacity Building Activities Conducted By FI during Period of the Report Preparation Number of

Name of the banks Date of

Main training activities trainees Trainer providing trainees training (Male/Female)

Yuzhong Surveying and filling the tables of

Shanghai

th Yuzhong Wenhua 10 Oct. 2016 ESMS and SOE, and the filling, 3(2:1) Pudong

Small Loan Ltd Co. signature of the attached Development

commitment letters Rural Bank

st Staffs of Zhenyuan 1 Aug. 2016 4(3:1) Zhenyuan Sub On-site supervision on ESMS

conducted by ADB mission Sub branch, Gansu branch, Gansu th 9 Oct. 2016 Bank Management for ADB loaned 4 4:0 Bank

Projects Jingchuan

Staffs of Jingchuan Filling the tables of ESMS and 4(3:1) Sub Sub branch, Gansu regulations for the filling of SOE branch, Gansu

Bank table, and the filling of the attached Bank

commitment letters

16 Number of

Name of the banks Date of

Main training activities trainees Trainer

providing trainees training

(Male/Female)

th 26 Oct. 2016

Surveying and filling the tables of Fuxin Farm and Lingtai Sub th 17 Oct. 2016 ESMS and SOE, and the filling, Ranch, Lingtai 3 2:1 branch, Gansu

County signature of the attached Bank

commitment letters

Methods of screening and th 26 July 2016 evaluation, as well as the filling of 6 4:2

Staffs of Huan ESMS tables Huan County th 29 Sep. 2016 6 4:2 County Sub branch, Introduction the briefs of ADB Sub branch,

Gansu Bank loaned project Gansu Bank th 18 Nov. The procedures of ADB loan 6 4:2

2016 processing and reimbursement nd 22 July 2016 11 9:2 On-site supervision on ESMS

Staff of Linxia conducted by ADB mission Linxia st 31 Aug. Management for ADB loaned

Branch, Lanzhou 2016 11 9:2 Branch,

Projects Bank Lanzhou Bank th 12 Oct. 2016 Reimbursement of ADB loan 11 9:2

st 21 July 2016 6 4:2 On-site supervision on ESMS

conducted by ADB mission th Staffs of Min 30 Aug. Min County Management for ADB loaned 6 4:2

County Sub branch, 2016 Projects Sub branch, th 11 Oct. Lanzhou 2016 Reimbursement of ADB loan 6 4:2 Lanzhou Bank Bank nd 22 Nov. Budget of ADB loaned project in 6 4:2

2016 2017 nd 22 Aug. On-site supervision on ESMS 6 4:2

2016 conducted by ADB mission Staffs of Jincheng Jincheng th 16 Sep. 2016 Rural Bank, Lintao Management for ADB loaned 6 4:2 Rural Bank,

Projects County Lintao County th 30 Nov. Annual plan of the ADB loaned 6 4:2

2016 project in 2017

表 3. 本告期间县区目行的能力活

题参人数总人方

工作人员农民数

总/女妇女贫困总人

数

建立惠的境省目县目 153 4499 2011 11220 1137 好型特色农业生产农牧局 3 地

支持农业合作社和农 299 797 487 1572 1871 省目县目

业企业发展农牧局

发展农金融服体 90/40 - - - 90 中介银行

系 5/3 - - - 5 农金融服提供商

强目执行和管理省目 11/6 - - - 11

能力 75/33 - - - 75 县目

Table 3:Capacity Building Activities Conducted By County (district) PMOs during Period of the Report Preparation Number of trainees

Staffs Farmers

Thematic Training total

Activities number / Female The Sub

poor total

Female

Total Trainers

number

trainees

The construction of an 153 4499 2011 11220 11373 PPMO, County PMOs, universal and County Agriculture

environmental friendly and Animal Husbandry

featured agriculture Bureau

production base

Funding and enhancing the 299 797 487 1572 1871 PPMO, County PMOs, County Agriculture development of Farmers’

Cooperatives and and Animal Husbandry agriculture entrepreneurs Bureau

FI Financial The construction and 90/40 - - - 90

enhancement of rural Intermediary

financial service system RFSP Rural Financial 5/3 - - - 5 Service Provider

The enhancement of 11/6 - - - 11 PPMO

capacity building in

project implementation 75/33 - - - 75 County PMOs

and management.

21. 通过省目各个中介银行各个县区目行的多次能力建，

提高了利益相群体的业能力对行目的理解能力对ESMS的理解评估

和填能力在能力建过程中，层目益人和中介银行依据各个目县

区的实情况，执行期间遇到的题，向家提出疑，家团队给予耐心解

答，都效的了目的利行

Through the implementation of training activities respectively conducted by PPMO, each FIs and PMOs in each project county (district), it has strongly promoted the capacity for the relevant stakeholders on their professional performance, capacity on the understanding of ADB project, ESMS and the evaluation and reporting of ESMS etc. During the process of capacity building, the county PMOs, project beneficiaries and FIs have made consultation to the experts regarding the issues met during the period based on the actual situation in each project county. The consultant team has been patiently provided explanations, which have effectively promoted the smooth implementation of the project.

ii. 完首笔子贷款的准备行前 The completion of the preparation for the first sub loans and to be pre-reviewed by ADB

22. 在省目和内家咨询团队的指导，各县区行了长单表的计，并提供给中介银行，中介银行对目县区长单贷款户行了 2 18

评估和筛查，并按照行要求行了首笔贷款的前工作据行要求，各县区向行提交的前料包括ESMS 告 3中英文版属诺函中英文版借款合 SOE表尽职调查告若和初始境查告若等，本目的11个县区的前料均按照行的要求，谨的完了份料，得到了行的最认和通过 2016 9 通过了榆中县的行前，省目和家咨询团队榆中县前料模板，结合各县区自身情况，指导中介银行行了余10个县区的首笔子贷款料准备和前工作，在行长达个的密沟通过程中，个县区的前料皆耗费了很多精力和时间行断完善

Under the instruction of PPMO and the domestic consultant team, each project county has designed the sample table of the Long List (attachment 2). The FIs also have conducted evaluation and screening to the clients who have applied for loan on the Long List provided by the project county, and completed the pre-reviewing procedures for the first sub-loans based on the requirements of ADB. In line with the requirements of ADB, the documents submitted by each project county to ADB for pre-reviewing should include the finalized English and Chinese version of ESMS report and attachment 3, the English and Chinese version of the attached commitment letters, loan borrowing contract, SOE tables, DDR report (if it is needed) and the primary environment impact reviewing report (if it is needed) etc. Concerning the progress of this project, each of all documents submitted by the 11 project counties to ADB for pre-reviewing has been prepared carefully and clearly based on the requirement of ADB, and has been recognized and approved finally by ADB. The PPMO and the loan implementation consultants, based on the first sub-loan in the Yuzhong County which was approved by ADB at the end of September 2016 as well as the actual conditions of the rest 10 project counties, guided the relevant FI branches in those counties to prepare their first sub-loan applications for ADB prior-review. Close communication and coordination were maintained with ADB on the preparation and improvement of first sub-loan prior-review materials. It took five months, consuming a great deal of energy and efforts, to complete the prior-review of the first sub-loan applications of the entire 11 project counties.

23. 除榆中县外，10个县区的前料别于2016 12 初和12 27日通过行批，批通过5个县 12 初通过的是县镇原县和县石县和永靖县，中，县和县石山县和镇原县前料的首次提交是11 14日，永靖县的首次提交时间是11 16日，期间行别对 5个县行了2次反馈，反馈的要题集中在前料的写作够规范境影响的述充企业用地权属题明确等，省目境社会家指导中介银行据行的反馈对题行了完善，最通过了行前 12 27日通过的是崆峒区泾县灵县岷县和临洮县，中，临洮县前料于2016 11 27日首次提交于行，崆峒区前料于11 28日首次提交行，灵县前料于12 2日首次提交行，泾县和岷县前料于12 7日首次提交行，前期间行对个县区行了3-4 次反馈，反馈的要题包括目在建期和运营期的境影响的缓措施监测告机制泾县和岷县境类是B类是C类等，省目境和社会家指导中介银行据行的反馈对题行了完善，如在ESMS 3的首页备注中增了持续农业措施在工作表1备注中增了境影响的缓措施

在工作表1的境影响评表中新增一监测告境影响措述持续发展农业措施施和水资源利用的监测告机制，据行要求目点实情况确定泾县和岷县境影响 C类等

Except Yuzhong county, the pre-reviewing document submitted by the 10 project counties to th ADB has been respectively approved at the beginning of Dec. 2016 and 27 Dec. 2016, and 5 project counties approved each time. At the beginning of Dec., the pre-reviewing documents prepared by Huan county, Zhenyuan county, Hezheng county, Jishishan county and Yongjing th county were approved by ADB, of which the first submission of the documents was in 14 th Nov. by Huan county, Hezheng county, Jishishan county and Zhenyuan county, and in 16 Nov by Yongjing county. During the period of pre-reviewing these submitted documents, ADB has respectively conducted twice feedback to the 5 project counties. Regarding the main issues addressed by ADB, it included that the pre-reviewing document prepared had not been standardized, without sufficient description to the environment impact, and unclearly ownership of land use rights for the enterprises etc. Based on the feedback of ADB, PPMO and environment and social specialists have instructed FIs to further review and accomplish th the revision of document which have been finally approved by ADB. In 27 Dec., the pre- reviewing documents prepared by Kongtong district, Jingchuan county, Lingtai county, Min county and Lintao county were approved by ADB, of which the first submission of the th th nd documents was in 27 Nov. by Lintao county, in 28 Nov by Kongtong county, in 2 Dec th by Lingtai county, in 7 Dec by Jingchuan county and Min county. During the period of pre- reviewing these submitted documents, ADB has respectively conducted 3-4 times feedback to each project counties. Regarding the main issues addressed by ADB, it covered the rectification on “Environment Impact and Mitigation Measures During Project Construction and Operation”, “Monitoring and Reporting Mechanism”, “Clarification of C or B environment impact category for the projects in Jingchuan county and Min county etc.. PPMO and environment and social specialists have instructed FIs to further review and accomplish the version of document, for example, it suggested to add “sustainable agriculture measures” as the note in the front page of attachment 3 ESMS, add “Mitigation Measures of Environment Impact” in the column of working sheet 1, and add additional section of “Monitoring and Reporting” in the table of environment impact evaluation on the working sheet 1 to descript the monitoring and reporting mechanism by “the sustainable agriculture development measures, mitigation measures of environment impact and utilization of water resources” etc. Based on the suggestions of ADB and the actual situation of project implementation sites, the category of environment impact for the proposed projects in Jingchuan county and Min county has been finally classified as C etc..

24. 通过目前工作开展，提升了中介银行执行行目的能力，促了11个目县区相人员对行目的熟悉了解，中介银行利完 ESMS 料和 ESMS相活提供了良好的借鉴除了次首笔子贷款外，当中介银行拟向个人或农户发的子贷款额超过等值10万美元或向任何他最借款人发的子贷款额等于或超过等值100万美元时，中介银行按照转贷的规定，向行提交子贷款申请，供批，前资料准备次相

By the implementation of pre-reviewing work of the project, it has greatly improved the capacity building for the FIs to implement the ADB project, and also has promoted relevant staffs to be more familiar with the requirements of ADB project, which would accumulate some valuable experiences for FIs to smoothly complete the preparation of relevant documents and the promotion of relevant activities for ESMS. Except this first sub loan processing, when any IF plans to process sub loan to individual or farmer with the amount exceeding or equaling USD 100,000, or lend to any other end-borrower with the amount exceeding or equaling USD 1million, the involved FI has to submit the application to ADB for the approval following the description specified in the On-lending Agreement. The document prepared for pre-reviewing should be as same as that prepared this time.

25. 11个目县区首笔贷款前中，贷款户 5家农业企业，5个业合作社和1个农业生产地中合作社贷款 2个石山县和永靖县是农户依托个人贷款，余合作社贷款 1个农业生产地和县的啤特果地，是农户依托生产地的贷款 5家农业企业中，除了镇原县的农业企业采用租赁府的土地外，余4家企业均土地流转，土地流转尽职调查得知4家企业土地流转均合规无遗留题目贷款要用于农业种植或殖地建和产业发展，额度从20万人民到800万人民等，表4

Among the pre-reviewed first sub-loans- in 11 project counties (district), the clients include 5 agriculture enterprises, 5 farmers’ cooperatives and 1 cropping production base. Of which 2 (Jishishan county and Yongjing county) out of the 5 farmers’ cooperatives clients are individual-based lending to farmers, while the rests are lent to the cooperatives; 1 cropping production base refers the Piteguo Cropping Base in Hezheng County, which is the base-oriented funding to project households; for the 5 agriculture enterprises, except the agriculture enterprise in Zhenyuan county has rented the government-owned land, the rest 4 enterprises have involved land transferring. After the DDRs focusing on the issue of land transferring to the 4 enterprises have been conducted, it shows that all procedures for land transferring are legal and regulated, without any remaining issues. The processed loan from the ADB project will be mainly used for the construction of bases for cropping or animal raising, and supporting the development of agriculture. The amount of processed loan ranges from 200,000 to 8 million Yuan (RMB). (See table 4 in details).

表 4. 11 个目县区前情况统计

中介中介银行子目子贷款申请子目境社会影响评银行前料属县目活人贷款额影响提供机构内元/ 类非自愿土地流少数民容人民移民转情况影响类类影响尽影响是否类别职类别监测调查榆中榆中浦发榆中县发展榆中康源蔬菜 500 万 C 类 C 类 C 类 C 类否浦发镇银行施产销业合作镇农业社银行

21 甘肃甘肃银行崆峒区产业凉惠丰农 300 万 C 类 C 类 C 类 C 类否银行凉崆峒发展牧开发限公镇支行资金

甘肃银行泾县牛泾县盛腾牧 300 万 C 类 C 类 C 类 C 类否泾支行地业限任公

甘肃银行灵县苹果灵县富鑫农 1100 C C 类 C C 否灵支行地牧场万类类类

甘肃银行县产业县世强殖 300 万 C 类 C 类无 C 类否县支行发展业合作社资金

甘肃银行镇原县产业甘肃新世纪食 300 万 C 类 C 类无 C 类否镇原支行发展品限公资金

银行临洮县羊临洮县东荣 20 万 C 类 C 类 C 类 C 类否银行临洮金城地殖业合作社镇银行

银行岷县产业甘肃洮源生态 800 万 C 类 C 类 C 类 C 类否岷县支行发展农业科开发资金限公

银行永靖县温室永靖县富种 205 万 C 类 C 类 C 类 C 类否临夏行大棚植农民业合地作社

和县啤特和县合镇 86.21 C 类 C 类无 C 类是果尕新庄啤特万地果生产地

石山产业石山万胜花 60 万 C 类 C 类无 C 类是县发展椒收购业合资金作社

Table 4: 11 个目县区前情况统计

Financi Name of Location Activit Name of loan Amo Envi Social impact evaluation al banks of the y of applicant unt ron Interme providin sub- the of ment Non- Category of diary g project sub loan impa Volu impact on (FIs) pre-revie project (000 ct ntar ethnic wing 0’Yu Cate y minority materials an) gory reset of FIs tlem ent Land transfer- Category D Imp Moni of D act torin impact R cate g gory

Facilit Yuzhong Yuzhong Yuzhong a Kangyuan 500 C C C Y C No Shangha Shanghai county ted Farmer i agricul Pudong Pudong t Cooperative Develop Develop ure for Vegetable ment ment Production Rural Rural and Bank Bank Marketing, Yuzhong County Gansu Kongton Kongton Industr Huifeng Farm 300 C C C Y C No Bank g g district y Development Guzhen develo Limited Sub pment Company, branch, fund Pingliang Pinglian g City Branch, Gansu Bank

Jingchua Jing- Cattle Shengteng 300 C C C Y C No 22 n Sub chuan Fatteni Livestock

branch, county ng base Farming

Gansu Limited

Bank Company,

Jingchuan

County

Lingtai Lingtai Apple Fuxin Farm C C C N C No 11

Sub county product and Ranch,

branch, ion Lingtai

Gansu base County

Bank

Huan Huan Industr ShiQiang 300 C C No C No County county y Livestock

Sub develo Farming

branch, pment Cooperative,

Gansu fund Huan County

Bank

Zhenyuan Zhen-yua Industr 300 C C No C No Sub n county y New Century branch, develo Food Limited Gansu pment Liability Bank fund Company of

Gansu

Jincheng Lintao Sheep Dongrong 20 C C C Y C No Rural county fattenin Livestock

Bank, g base Farming

Lintao Cooperative,

Lintao County County

Min Min- Industr Gansu 800 C C C Y C No County Xian y Taoyuan

Sub county develo Eco-agricultur

branch, pment al Technology

Lanzhou fund Development Lanzhou

Bank Co., Ltd Bank

Yong- Green- Fujing 205 C C C Y C No Jing house Planting

county based Cooperative,

Yongjing

County

He- Piteguo Hezheng C C No C Yes Zheng base County Sanhe

county Town 86.2

Xinzhuang 1 Village’s

Linxia Piteguo base Branch, Jishi- Industr Wansheng 60 C C No C Yes Lanzhou Shan y pepper Bank county develo acquiring

pment cooperative, fund Jishishan

County

26. 通过首笔子贷款ESMS前工作，省目境社会发展家和中介银行获得了如验

By carrying out the pre-reviewing work of the first sub loan used for ESMS, the following experiences have been drawn for PPMO, environment and social specialists, FIs etc:

a) 在 ESMS 前料的填写过程中，尽的述贷款的本信息境和告社会影响的影响的缓措施监测机制等，在保证实贷款用途境的时，顾境和社会影响，保周边目的时照顾弱势群体利益，实效益最大

During the process of filling the tables of ESMS for pre-reviewing, it should give

23 detailed description of the basic information of loan, environment and social impact, mitigation measures, monitoring and reporting mechanism etc.. While ensuring the right usage of the loan, it should integrate the consideration of environmental and social impacts brought by the project implementation, to concern the interests of the vulnerable groups and environment surrounding, so as to maximize the effectiveness of the project. b) ESMS 表需据前发的题一完善例如，们在 ESMS 3 工作表 1 中增了 1新的内容，即监测告，包括监测机构监测频率监测时间和监测告 4 部 1 ，对 ESMS 表格的完善，利于更科学的评估

The ESMS tables need to be further improved, based on the issues identified during the pre-reviewing. For example, we have added the new contexts in the working sheet 1 of the attachment 3 in ESMS, which includes 4 sections of monitoring and reporting, monitoring frequency, monitoring period and monitoring reporting. The accomplishment to the tables of ESMS would be helpful to conduct a scientific evaluation to the effectiveness of project implementation.

c) 对 ESMS 确定的 A B C 类的划，既要符合中出的相保策，又要符合行的保策

Regarding the classification of A, B, C category identified by ESMS, it should not only conform to the relevant environmental protection laws and policies issued by Chinese government, but also accord with the safeguard policies specified by ADB. d) 们仅要注评估结论，而要注未来目实施过程中对贷款企业如何开展监测评估例如，殖企业诺对牛粪行无害处理，但们在 ESMS 表格中要明确哪机构监测评估殖企业的无害处理？如何开展续定期定期的境影响监测？

We should not only concern the conclusion of the evaluation, but also should aware of how to carry out monitoring and evaluation to the clients which have obtained the ADB loan with in project implementation period. For example, the livestock farm has committed to carry out innocent treatment to cow dungs, but we have to clarify in the tables of ESMS that which monitoring institute would take the responsibility to perform monitoring and evaluation to the innocent treatment? And how to periodically carry out the follow-up monitoring to the environment impact? e) 行目既注境影响，又注社会影响，例如，土地流转妇女和少数民等行目的实施理念于中在实施发展目时，对社会影响日益视，促包容发展

ADB project always gives great attention to the issue of environment impact which might be caused during project implementation, in addition concerning to its social impacts. For example, prior concerns have been given to the issues of land transferring, gender equality and minority ethnic groups etc by ADB. The concept of ADB project would be helpful for promoting the achievement of inclusive

development in China, and addressing more attentions focusing on the social impact which might be caused during project implementation.

f) ESMS 将于促中金融系统向持续发展包容发展的转，，绿色金融发展，提升企业社会任

The application of ESMS will be good of improving the financial service system in China to be transformed to the direction of sustainable and inclusive development, to promote the development of green finance and motivate the social responsibility of the enterprises.

iii. ESMS的履行 The implementation of ESMS

27. 本告期内，11个目县区中介银行各支机构任命了境理和社会理， 11个目县区的目境社会官员负目实施，11个目县区中介银行各支机构确定了负执行ESMS的户理相人员参了目实施 ESMS评估等方面的，照执行了ESMS中于子目支持倾向支持或支持的策格按照ESMS实施骤对子贷款申请行了筛选评估和类等判定

During the preparation of the ESMS report, all brunches of FIs in 11 project counties have respectively specified one client manager who will be responsible for the implementation of ESMS, and have individually designated the environment manager and social manager as well, who would jointly take responsibilities with the environment and social officers specified by the county PMOs in 11 project county. All relevant staffs have joined the training activities on the implementation of the project, evaluation of ESMS etc, and have strictly carried out the policies evaluation required in ESMS as Yes or No to support the project. To strictly follow the steps and procedures specified in ESMS, it has conducted the screening, evaluation and classification or grading to the application of sub loan processing.

28. 通过ESMS 行前，11个县区据ESMS 别开始实施目活，截目前，11个县区中已 3个县永靖县和县和石山县在2016 12 8日 -12 9日间完了第一笔贷款的发，贷款金额5万-20万人民，发给了1-3 最借款人余县区在提行贷款发贷款

After the pre-reviewing of ESMS has been approved by ADB, the 11 project counties have respectively carried out the implementation of project activities. As of present, 3 (Yongjing county, Hezheng county, Jishishan county) out of 11 project counties have th th completed the processing of the first sub-loan to 1-3 end-borrowers between 8 to 9 Dec. 2016, amounting 50000 to 200,000 Yuan (RMB). The rest project counties have been gradually processing the Loan of ADB project for delivery to the end-borrowers.

29. 11个目县区依据行评通过的ESMS 料，实施了相的目活，ESMS 履行的体情况表5

Based on the document of ESMS approved by ADB, the 11 project counties have implemented a set of project activities. Table 5 shows the details of the implementation progress of ESMS. 25

表 5.各县 ESMS 履行情况

目县展情况要内容出的题解决方法

区

崆峒区完凉惠丰农 1 笔通过了行前，缺乏境影响在 ESMS 3 工作表 1 新增监测

牧开发限公余 3 笔在首笔批通过缓措施的监告栏，补充对持续发展农

ESMS 评估工作，并，将按照已通过批的测告机制业境影响缓措施和水资

通过行前，对前料中行相要求源利用的监测告频率执行机

长单他企业均行查目前无申诉抱构等，并县区保部门水

行调查情况利部门等沟通明确各自职

泾县完泾县盛腾牧 1 笔通过了行前， 1. 肉牛殖 1. 殖规模 20 亩，肉牛栏 80

业限任公余 11 笔在首笔批通过目，中介银行在头，规模较小，境影响相对较小，

评估工作，符，将按照已通过批的行境影响缓措施得当，在省目和咨询 ESMS 合评估要求前料中行相要求类的评估时家指导行意将境类 ESMS 行查目前无申诉抱在困难定 C 类

情况

2.前周期长， 2. 快贷款的投，少目检测的

企业资金需求内容，真了解企业的资金需求

无法时满足

灵县完灵县富鑫农告期内收到 1 笔贷款申缺乏境影响在 ESMS 3 工作表 1 新增监测

牧场 ESMS 评估工请，已通过 1 笔贷款申请，缓措施的监告栏，补充对持续发展农

作，符合评灵县富鑫农牧场贷款测告机制业境影响缓措施和水资 ESMS 估要求申请源利用的监测告频率执行机

构等，并县区保部门水

利部门等沟通明确各自职

县完世强殖业告期内收到 1 笔贷款申种羊殖目，殖规模 60 亩，肉羊栏 2700

合作社 ESMS 评估请，已通过 1 笔贷款申请，中介银行在头，但大部由社员，即当地农户散

工作，符合世强殖业合作社贷行境影响，境影响较小，缓措施得当， ESMS 评估要求款申请类的评估时在省目和家指导行

在困难意将境影响类定C 类

镇原县完甘肃新世纪食在本告度内，中介银 1.前料的写 1.按照行要求完善前料

品限公 ESMS 行收到子贷款申请 1 作够规范

评估工作，符合笔，并行了的筛 ESMS 2.通过查阅行内相料，补

ESMS 评估要求选类评估 2. 境影响的充境影响的缓措施

述充

临洮县完临洮县东荣本告期内，银行临 1.前料的写 1.按照行要求完善前料

殖业合作社洮县金城镇银行理作够规范

ESMS 评估工作，符 1 笔子贷款申请，完了 2.通过查阅行内相料，补

合 ESMS 评估要求 ESMS 的筛选类评境影响的充境影响的缓措施 2. 估

述充

岷县完甘肃洮源生态在本告度内，中介银

奶牛殖目，殖规模 90 亩，栏 600 头，

农业科开发限行收到子贷款申请 2 中介银行在殖规模相对较小，并在效的

公评估工笔，并全部行了行境影响缓措施，在省目和家指导 ESMS ESMS 作，符合评的筛选类评估类的评估时参照行建将境影响类定 ESMS 估要求在困难 C 类

榆中县完榆中康源蔬菜 1 笔通过了行前， 1.前料填写 1.按照行要求完善前料

产销业合作社余 3 笔在首笔批通过规范题

评估工作，符，将按照已通过批的 ESMS 2.查阅内策文，结合自身情况

合 ESMS 评估要求前料中行相要求水资源利用情完善水资源利用述 2. 行查况

永靖县完富种植农民 1 笔通过了行前， 1. 最借款人 1.要求最借款人实相题之

业合作社 ESMS 余 21 笔在首笔批通过对子目在实，提供于目到的相题

评估工作，符合，将按照已通过批的

26 ESMS 评估要求前料中行相要求施过程中的相的准确答案行查题的述和县完和县啤特果在本告度内，中介银准确，需要最 2. 要求最借款人对缓影响境地 ESMS 评估工行收到子贷款申请 1 借款人新的措施全面补充作，符合 ESMS 评笔，并行了 ESMS 的筛确认估要求选类评估

石山完石山万胜花在本告度内，中介银 2. 对子目县椒收购业合作社行收到子贷款申请 1 行境方面的 ESMS 评估工作，符笔，并行了 ESMS 的筛类和评估时，合 ESMS 评估要求选类评估最借款人对缓影响境的措施排全面，需要借款人补充或修缮

Table 5: The Implementation of ESMS in each Project County

Project county district Progress Main activities Main issues Solutions

It has completed the 1 sub loan has been Without Added a new column Kongtong evaluation to the approved by ADB monitoring and "Monitoring and Report" in district ESMS of Huifeng pre-reviewing, after report system for ESMS Appendix 3 worksheet 1 Farm Development the rest 3 sub loans the to descript the monitoring Limited Company, are approved, the implementation of frequency and implement Pingliang City, and reviewing will be mitigation institution of "Sustainable has passed the conducted based on measures of agricultural measures"," pre-reviewing of the material environmental mitigation measures of document by ADB. approved by ADB; impacts environmental impact" and Investigation to the currently, there is no "water usage", and assure enterprises listed on any complain relevant county departments like the long name list. occurring yet. Environmental protection department know their responsibility in monitoring system of this project. It has completed the 1 sub loan has been 1.Cattle rearing 1.The enterprise has an annual evaluation to the approved by ADB project, FI had slaughter of 600 cows in total 20 Jingchuan ESMS of Shengteng pre-reviewing, after problem in mu land, it's a relatively small county Livestock Farming the rest 11 sub loans categorizing the rearing scale, with less Limited Company, are approved, the environmental environment impact and proper Jingchuan County, reviewing will be impact . mitigation measures have been which has met the conducted based on 2.The period taken, under the guidance of requirements of the material waiting for PPMO and consultants and ESMS evaluation. approved by ADB; pre-reviewing of agreement of ADB, FI assessed currently, there is no loan application is the categorization as C. any complain quite long, which 2.To accelerate the processing of occurring yet. is hard for loan, and reduce the contents of enterprises to examination and check, so as to obtain the truly understand the demand of acquired fund fund for the enterprises. timely. It has completed the During the period of Without Added a new column Lingtai evaluation to the report preparation, it monitoring and "Monitoring and Report" in county ESMS of Fuxin has received 1 report system for ESMS Appendix 3 worksheet 1 Farm and Ranch, application of sub the to descript the monitoring Lingtai County, loan, which has implementation of frequency and implement which has met the been approved. The mitigation institution of "Sustainable requirements of loan is applied by measures of agricultural measures" , ESMS evaluation. Fuxin Farm and environmental "mitigation measures of Ranch, Lingtai impacts environmental impact" and County. "water usage", and assure relevant county departments like 27 Environmental protection department know their responsibility in monitoring system of this project. It has completed the During the period of Sheep rearing The cooperative has an annual Huan evaluation to the report preparation, it project, FI had slaughter of 2700sheep in total county ESMS of ShiQiang has received 1 problem in 60 mu land, but most of sheep Livestock Farming application of sub categorizing the are reared by cooperative Cooperative, Huan loan, which has environmental members(local farmers)' home, County, which has been approved. The impact . just left a little of them in met the loan is applied by cooperative's sheds, so there is a requirements of ShiQiang Livestock relatively small impact on ESMS evaluation. Farming environment, and proper Cooperative, Huan mitigation measures have been County. taken,. Under the guidance of PPMO and consultants and agreement of ADB, FI assessed the categorization as C. It has completed the During the period of 1.Pre-reviewing 1.Revised the materials to meet Zhenyuan evaluation to the reporting, FI has document ADB's request; county ESMS of New received 1 prepared had not 2.Revised the problems by Century Food application of sub been checking relatively regulations Limited Liability loan, which has standardized and roles in China government Company of Gansu, been screened, 2.Without and ADB which has met the classified and sufficient requirements of evaluated through description to the ESMS evaluation. ESMS. environment impact, and unclearly ownership of land use rights for the enterprises It has completed the During the period of 1.Pre-reviewing 1.Revised the materials to meet Lintao evaluation to the reporting, Lanzhou document ADB's request; county ESMS of Dongrong bank, Jincheng prepared had not 2.Revised the problems by Livestock Farming Rural Bank, Lintao been checking relatively regulations Cooperative, Lintao County has received standardized and roles of Chinese government County, which has 1 application of sub 2.Without and ADB met the loan, which has sufficient requirements of been screened, description to the ESMS evaluation. classified and environment evaluated through impact, and ESMS. unclearly ownership of land use rights for the enterprises It has completed the During the period of Cow rearing The cooperative has an annual Min evaluation to the reporting, FI has project, FI had slaughter of 600 cows in total 90 county ESMS of Gansu received 2 problem in mu land, there is a relatively Taoyuan applications of sub categorizing the small impact on environment, Eco-agricultural loans, which have environmental and effective mitigation Technology all been screened, impact . measures have been taken,. Development Co., classified and Under the guidance of PPMO Ltd, which has met evaluated through and consultants and agreement the requirements of ESMS. of ADB, FI assessed the ESMS evaluation. categorization as C. It has completed the 1 sub loan has been 1.Pre-reviewing 1.Revised the materials to meet Yuzhong evaluation to the approved by ADB document ADB's request; county ESMS of Kangyuan pre-reviewing, after prepared had not 2.Revised the description by Farmer Cooperative the rest 3 sub loans been checking relatively policies of for Vegetable are approved, the standardized Chinese government and ADB Production and reviewing will be 2.Without Marketing, Yuzhong conducted based on description of County, which has the material Water usage met the approved by ADB; requirements of 28 ESMS evaluation.

It has completed the 1 sub loan has been 1. The 1.It requires the end-borrowers Yongjing evaluation to the approved by ADB end-borrowers of loan to provide the accurate county ESMS of Fujing pre-reviewing, after gave an unclearly solutions on the involved Planting the rest 21 sub loans and inaccurate relevant issues, after the issues Cooperative, are approved, the description to the have been checked; Yongjing County, reviewing will be relevant issues which has met the conducted based on identified during 2. It requires the end-borrower requirements of the material the of loan to fully accomplish the ESMS evaluation. approved by ADB; implementation of measures for the mitigation of It has completed the During the period of the sub project, environment impact. evaluation to the reporting, FI has which needs to be Hezheng ESMS of Hezheng received 1 reconfirmed by county County Sanhe Town application of sub the Xinzhuang Village’s loan, which has end-borrowers Piteguo base, which been screened, 2.During the has met the classified and classification and requirements of evaluated through evaluation made ESMS evaluation. ESMS. to the sub project It has completed the During the period of from the aspect of Jishishan evaluation to the reporting, FI has environment county ESMS of Wansheng received 1 impacts, the pepper acquiring application of sub end-borrowers cooperative, loan, which has have taken Jishishan County, been screened, uncompleted which has met the classified and arrangement for requirements of evaluated through mitigation ESMS evaluation. ESMS. measures, which needs to be rectified or accomplished by the end-borrowers.

iv. 公示申诉机制 The Publicity of the grievance mechanism

30. 据省目发于建立行贷款甘肃特色农业金融服体系建目申诉机制的函甘外资函 2016 15文行于申诉机制的规定， 11个目县区均建立了各自的申诉机制，机制包含了境和社会题申诉的处理程序 1 ，要内容包括

Based on official notice issued by PPMO about The Letter for the Establishment of a Grievance Mechanism Required by Gansu Featured Agriculture and Financial Service System Development Project (2016) 15# and the relevant regulations on the grievance mechanism by ADB, 11 project counties have respectively set up the grievance mechanism, which mainly includes the procedures of handling the complains related with environmental and social issues (diagram 1). The main content of the mechanism includes the follows:

31. 1 阐述了他目机构在申诉机制中的职

It gives description of relevant duties for other institutes in the grievance mechanism.

32.2 任命了县区目的境和社会官员，公示了联系方式，在收到投诉时，目机构时向县目汇，县目境官员和社会官员将评估适用

哪一个申诉机制境或社会

It has designated the environmental and social officers in county PMOs, and publicized the contact number. After receiving complains, the project implementation institute would timely report to county PMO, and the specified environmental and social officers in county PMO would take evaluation for the selection of the applicable grievance mechanism (environment or social).

33. 3 建立了一个简单的记录制度，记录并跟踪接收到的申诉处理情况包括记录投诉/申诉的表格解决法

A simple recording system has been established to record and trace the received appeals and processing results (including the tables of recording appeals / complains and the handling solutions).

34. 目的申诉机制 GRM 是用识别提出和解决任何公对目活产生的境和/或社会题的担忧，通过一系骤接收记录解决任何影响人的申诉抱申诉机制适用于社区的员申诉方式多，包括面谈书面申诉电话谈邮和社会媒体等申诉机制将会在目的15 执行期内持续效执行

The mechanism of grievance (GRM) of the project is to identify, propose and settle the issues appealed by any publics to their worries on environmental and social impact which might be caused by project implementation. By take a set of procedures or steps, it is to receive, record, settle the appeals proposed by any affected persons. This mechanism of grievance is applicable to all persons in the affected communities. The appealing method is diversified, including interview, written complains, telephone interview, emails and social media etc. This mechanism of grievance will be effective with 15 years of project implementation period.

35. 各县区中介银行在收到行批复，对于境非自愿移民和原民是C类的子贷款活在目实施区域内行公示表6 ，公示内容包括置活潜在影响，最借款人中介银行县目境官员和社会官员的联系方式等在申诉机制公示的过程中，特别是针对少数民妇女贫困人识的人，县区目的境官员和社会官员用他们理解的语言和方式，时而充地向发了目的相信息，确保相利益群体知晓并熟悉申诉机制的相内容，在目区影响随时就目实施中的境土地流转和少数民发展等题按照机制中的方式方法行合理申诉，维自身的权益和利益

After receiving the approved document from ADB for the FIs in each project county, the publicity has been conducted in the county for the approved sub loan project activities listed in the category C (table 6) which has been sensitive to the issues of environment impact, non-voluntary resettlement and aboriginals. The contents of publicity include: the location of project activities, contents of activities, potential impacts, the end-borrowers, FIs and the contact number of the environment and social officers in the county PMO etc. During the process of Grievance Mechanism publicity, especially regarding the minority ethnics, females, the poorer, illiteracy etc, the environment and social officers had timely and fully disseminated the relevant project information to them by using easy language and applicable method, to ensure the relevant information of the grievance mechanism to 30 be understood by the stakeholders groups. Inside project county, as long as affected by the issues of environment, land transferring and the development of minority ethnic groups during the project implementation, their rights and interests could be protected by following the procedures specified in the Grievance Mechanism.

36. 到本告期结束，11个目县区均未出申诉情况

As of the ending of this report, there is no any complains emerged in the 11 project counties (district).

境相的申诉社会相的申诉

影响的人影响人

0 1

天天

最借款人或者包商委会

镇农站 15

天

0 1

县农牧局

天

县目

天

记录 & 调

利益相者会

农土地纠纷仲裁庭

天

题得解决

1. 申诉机制

Diagram 1: the Grievance Mechanism 表 6.11 个目县区申诉机制情况述

目县公示日期公示地点方式是否是否金融中介的申处区任命任命角色诉理境社会情情官员官员况况崆峒区 2016.8.9-201 9 个目建地镇委会告是是县目无 — 6.8.22 示栏，对少数民 /妇女/贫困人 / 执行申诉识的人，用入户通知头通机制，发生任知等方式，时而充地向影响何投诉时人群发了目的相信息时向县目汇

泾县 2016.7.29-20 10 个目建地镇委会告是是县目无 — 16.8.9 示栏，对少数民 /妇女/贫困人 / 执行申诉识的人，用入户通知头通机制，发生任知等方式，时而充地向影响何投诉时人群发了目的相信息时向县目汇

31 灵县 2016.8.12-20 13 个目建地镇委会告是是县目无 — 16.8.23 示栏，对少数民 /妇女/贫困人 / 执行申诉识的人，用入户通知头通机制，发生任知等方式，时而充地向影响何投诉时人群发了目的相信息时向县目汇

县 2016.8.1-201 9 个目建地镇委会告是是县目无 — 6.8.10 示栏，对少数民 /妇女/贫困人 / 执行申诉识的人，用入户通知头通机制，发生任知等方式，时而充地向影响何投诉时人群发了目的相信息时向县目汇

镇原县 2016.8.1-201 13 个目建地镇委会告是是县目无 — 6.8.12 示栏，对少数民 /妇女/贫困人 / 执行申诉识的人，用入户通知头通机制，发生任知等方式，时而充地向影响何投诉时人群发了目的相信息时向县目汇

临洮县 2016.8.1-201 6 个目建地镇委会告是是县目无 - 6.8.11 示栏，对少数民 /妇女/贫困人 / 执行申诉识的人，用入户通知头通机制，发生任知等方式，时而充地向影响何投诉时人群发了目的相信息时向县目汇

岷县 2016.7.21-20 10 个目建地镇委会告是是县目无 — 16.8.10 示栏，对少数民 /妇女/贫困人 / 执行申诉识的人，用入户通知头通机制，发生任知等方式，时而充地向影响何投诉时人群发了目的相信息时向县目汇

榆中县 2016.7.22-20 10 个目建地镇委会告是是县目无 — 16.8.4 示栏，对少数民 /妇女/贫困人 / 执行申诉识的人，用入户通知头通机制，发生知等方式，时而充地向影响任何投诉时人群发了目的相信息时向县目汇

永靖县 2016.7.27-20 12 个目建地镇委会告是是县目无 — 16.8.5 示栏，对少数民 /妇女/贫困人 / 执行申诉识的人，用入户通知头通机制，发生任知等方式，时而充地向影响何投诉时人群发了目的相信息时向县目汇

和县 2016.8.2-201 8 个目建地镇委会告是是县目无 — 6.8.11 示栏，对少数民 /妇女/贫困人 / 执行申诉识的人，用入户通知头通机制，发生知等方式，时而充地向影响任何投诉时人群发了目的相信息时向县目汇

石山县 2016.7.21- 7 个目建地镇委会是是县目无 — 2016.7.31 告示栏，对少数民 /妇女/贫困人执行申诉 / 识的人，用入户通知机制，发生头通知等方式，时而充地向任何投诉时影响人群发了目的相信息时向县目汇

Table 6: The Description of Grievance Mechanism in the 11Project Counties (district)

If an If a social

Project environmen officer is

county t officer is designate

district designated? d?

Date of Sites and ways Role of FIs Appeals Action

publicity of publicity

It has set publicity board in Assist county —

9 project construction PMOs to No th 9 to sites, townships, villages Yes implement

nd 22 committees, to timely the Grievance

and fully disseminate the Mechanism, Aug. relevant information on the to timely

Kongtong 2016 project to the affected report to district persons, by taking the county PMOs

forms of visiting when any

households, oral complains

Yes announcement etc to happened.

minorities/women/poor/

illiteracies etc.

Yes Yes No It has set publicity board in Assist county —

10 project construction PMOs to sites, townships, villages implement

committees, to timely the Grievance

and fully disseminate the Mechanism,

relevant information on the to timely th Jingchuan 29 July

project to the affected report to th county to 9 persons, by taking the county PMOs

Aug. forms of visiting when any

2016 households, oral complains

announcement etc to happened.

minorities/women/poor/

illiteracies etc.

Yes Yes No It has set publicity board in Assist county —

13 project construction PMOs to sites, townships, villages implement

committees, to timely the Grievance

and fully disseminate the Mechanism,

relevant information on the to timely th Lingtai 12 to

project to the affected report to rd 23 Aug. county persons, by taking the county PMOs

2016 forms of visiting when any

households, oral complains

announcement etc to happened.

minorities/women/poor/

illiteracies etc.

Yes Yes It has set publicity board in Assist county No —

9 project construction PMOs to sites, townships, villages implement

committees, to timely the Grievance

and fully disseminate the Mechanism,

relevant information on the to timely st th 1 to 10 project to the affected report to

Aug. persons, by taking the county PMOs

2016 forms of visiting when any

households, oral complains

Huan

announcement etc to happened.

county minorities/women/poor/

illiteracies etc.

33 It has set publicity board in Yes Yes Assist county No —

13 project construction PMOs to sites, townships, villages implement

committees, to timely the Grievance

and fully disseminate the Mechanism,

relevant information on the to timely

Zhenyuan project to the affected report to

county persons, by taking the county PMOs

forms of visiting when any

households, oral complains st th 1 to 12 announcement etc to happened.

Aug. minorities/women/poor/

2016 illiteracies etc.

It has set publicity board in Yes Yes Assist county No -

6 project construction PMOs to

sites, townships, villages implement

committees, to timely the Grievance

and fully disseminate the Mechanism,

relevant information on the to timely

project to the affected report to

persons, by taking the county PMOs

forms of visiting when any

households, oral complains st th Lintao 1 to 11 announcement etc to happened.

county Aug. minorities/women/poor/

2016 illiteracies etc.

Yes Yes No It has set publicity board in Assist county —

10 project construction PMOs to sites, townships, villages implement

committees, to timely the Grievance

and fully disseminate the Mechanism,

relevant information on the to timely

project to the affected report to

persons, by taking the county PMOs

forms of visiting when any

households, oral complains st Min 21 July announcement etc to happened.

th county to 10 minorities/women/poor/

Aug. illiteracies etc.

2016

Yes Yes No It has set publicity board in Assist county —

10 project construction PMOs to sites, townships, villages implement

committees, to timely the Grievance

and fully disseminate the Mechanism,

relevant information on the to timely

project to the affected report to

persons, by taking the county PMOs

forms of visiting when any

households, oral complains nd Yuzhong 22 July announcement etc to happened.

th county to 4 minorities/women/poor/

Aug. illiteracies etc.

2016.

Yes Yes No It has set publicity board in Assist county —

12 project construction PMOs to sites, townships, villages implement

committees, to timely the Grievance

and fully disseminate the Mechanism,

relevant information on the to timely

Yongjing project to the affected report to

county persons, by taking the county PMOs

forms of visiting when any

households, oral complains th 27 July announcement etc to happened. th to 5 minorities/women/poor/

Aug. illiteracies etc.

2016

34 It has set publicity board in Yes Yes Assist county No —

8 project construction PMOs to sites, townships, villages implement

committees, to timely the Grievance

and fully disseminate the Mechanism,

relevant information on the to timely

Hezheng project to the affected report to

county persons, by taking the county PMOs

forms of visiting when any

households, oral complains nd 2 to announcement etc to happened.

th 11 Aug. minorities/women/poor/

2016 illiteracies etc.

Yes Yes It has set publicity board Assist county No —

in 7 project construction PMOs to sites, townships, villages implement

committees, to timely the Grievance

and fully disseminate the Mechanism,

relevant information on to timely

the project to the affected report to

persons, by taking the county PMOs

forms of visiting when any

nd 2 July households, oral complains

st Jishishan to 31 announcement etc to happened.

county July minorities/women/poor/il

2016 literacies etc.

III. 注点效果THE EFFORTS OF THE CONCERNED ISSUES

i. 境影响Environment impact

37. 11个目县区在目建和运营期间能的境影响包括产生固体废弃物使用学品产生废水产生噪声灰尘和污染等，虽然对境了一定程度的影响，但都相的缓措施，如使用吸声隔声料来噪声生活垃圾时清运保持殖场卫生境，粪便储处理施置在风向或侧风向，少臭气等表7 ，措施将境影响降到最，因在前中据行和内相规定，将11个县区的境类均定Ｃ类

The environment impacts which might be caused by the project implementation during the project construction and operation in the 11 project counties include the follows: the solid wastes, chemicals, wasted water, noise, dusts and contaminants etc. Although the implementation of the project would cause a certain of impact to the environment, the relevant mitigation measures have been taken, such as to reduce the noise by using the sound absorption and sound resistance materials in the construction; to keep a hygienic environment by quickly moving the living garbage, keeping sanitation of the livestock farm, setting the feces storage and disposal facility at the back of wind direction or the side direction of wind so as to reduce the odor etc. (See table 7 in details). These mitigation measures could minimize the impact to the environment. Thus, during the pre- reviewing process, all project activities implemented in the 11 project counties have been environmentally classified as Category C based on the relevant regulations required by ADB and national regulations.

38. 在水资源利用方面，过实地调查场评估等多种方式得知，11个目县区

中 7个利用的是地水，2个利用的是雨水，1个利用的是地表水水，1个利用是地表水和地水通过测评估得出县区用水均符合甘肃省水许和水资源费收管理法的规定，无需理用水许证

Regarding the usage of water resources, based on the field survey and on-site evaluation etc. conducted in the 11 project counties, it shows that the underground water has been used in 7 project counties, raining water has been used in 2 project counties, surface water (reservoir) has been used in 1 project county, and both the surface water and underground water have been used in 1 project county. In line with the measures and evaluation, the water quotas consumed in all project counties have been conformed to the regulations specified in the Management Methods of Water-taking Permission and Water Resource Fee Toll, without need to get the water-taking permission certificate.

表7. 目的境影响

目子目境利用境影响缓措施县活类水源区崆峒产业发 C 地水产生噪声和振产生尽能少非本地物种和种子区展资金固体废弃物使用学的引，先使用本地种子对品运营期产生噪音和于引的非本地物种和种子，会臭气使用或引非本请相植物家行论证，证实地物种会引起物种侵袭生态破坏时才使用

泾牛 C 地水建或运营产生噪声使用噪声的备和工艺，在通县地和振产生固体废弃风机鼓风机等出装声器等物使用学品建从声源少噪声和振格期产生灰尘和噪声操作规程，降人噪声等

灵苹果 C 地水使用学品使用家禁或限制使用的县地农药肥学防治使用留毒的学品等

县产业发 C 地水建或运营产生噪声使用吸声隔声料保持殖展资金和地表和振产生固体废弃场卫生境，粪便储处理水物使用学品产生施置在风向或侧风向，废水运营期产生噪声少臭气和臭气

镇原产业发 C 地水产生固体废弃物产生目建过程中立旱厕，少县展资金废水产生噪音灰尘和生活污水用做绿等废水废液污染处理达标再外排等

临洮羊 C 地水使用学品产生噪保持殖场卫生境，粪便储县地水声臭气和灰尘产生处理施置在风向或侧固体废弃物风向，少臭气等

岷县产业发 C 地水产生噪声和振产生粪便采自然堆发酵方式展资金水固体废弃物产生废行无害处理，处理施的置水建期内灰尘噪离各类能地表水体距离声运营期噪声臭气小于 400 米，置在风向或没采用清粪工艺侧风向，防恶臭污染

榆中发展 C 地水产生固体废弃物使用生活垃圾时清运使用家县施农业学品产生废水产禁或限制使用的农药肥等 36 生噪声灰尘和污染

永靖温室大地表水使用学品产生噪声原料运输堆要求遮盖， C 县棚地家和灰尘少灰尘时清理场地的废

峡水渣，洒水灭尘等

和啤特果雨水使用学品使用家禁或限制使用的 C 县地农药肥学防治使用

留毒的学品等

石产业发雨水使用学品使用家禁或限制使用的 C 山县展资金农药肥学防治使用

留毒的学品等

Table 7: Environment Impacts Affected by Project Implementation

Project Environ County ment Mitigation measures

district Category

Sub project Water Environment

activities resource impact

C Making noise and To minimize the introducing of Kongtong vibration; producing non-native species and seeds, to

district solid wastes; using optimize the plantation of local

chemicals Noise seeds; regarding the introduced

and odor produced non-native species of seeds, it plans during project to organize appraisal meeting with Industry Under

operation; using or the invited botanic experts to make development ground introducing evaluation. It could be planted only fund water

non-native species. if the invasion of species and

ecological destroy would not be happened and approved.

C Under Making noise and To use the equipment and Jingchuan ground vibration during technology with lower noise; to

county water project construction install muffler near the ventilator

and operation; and air blower to reduce the noise

producing solid and vibration from the source of

wastes; using noise; to strictly follow the

Cattle chemicals dusts and operational specification, to reduce

fattening base noise produced the man-made noise. during project

operation;

Using chemicals C Under Without the application of pesticide,

Lingtai ground fertilizers which have been county water forbidden for use by the county; to

use the chemicals with less residuals

and lower toxics.

Apple

production

base

C Under Making noise and To reduce the noise by using the Huan ground vibration during sound absorption and sound

county water and project construction resistance materials in the

surface and operation; construction; keeping sanitation of

water producing solid the livestock farm, setting the feces

wastes; using storage and disposal facility at the

Industry chemicals wasted back of wind direction or the side

development water; noise and direction of wind so as to reduce the fund odor produced odor etc. during project

operation;

Zhenyuan Industry C Under Producing solid During the project construction, it 37 County development ground wastes; wasted will set up the pit toilet and irrigate

fund water water noise and the plants with a few of sewage etc;

contaminants The wasted water and liquid have to produced during be treated and meet the standard for project operation; discharging. Using chemicals C Under Dusts, odor and ground keeping sanitation of the livestock noise produced Lintao water farm, setting the feces storage and

during project county well disposal facility at the back of wind

water operation; direction or the side direction of

producing solid wind so as to reduce the odor etc. Sheep

wastes.

fattening base

C Making noise and The innocent treatment of feces has Min vibration during to be conducted by natural storage

county project construction for fermentation. The facilities for

and operation; the treatment of feces should be put

producing solid far away from the sources of surface

wastes; using water with diversified functions

Industry Under chemicals Wasted (more than 400m). It should be set

development ground water; dusts and at the back of wind direction or the fund water

noise produced side direction of wind so as to well during project reduce the odor etc. water construction; noise

and odor during

operation period;

without taking the

technology of dried

cleaning feces.

Yuzhong Facility C producing solid To timely remove the living county agriculture wastes; using garbage; Without the application of

development chemicals Wasted pesticide, fertilizers which have

water; dusts, noise been forbidden for use by the and contaminants county; produced.

Under

ground

water

using chemicals The base of C Surface It needs to be covered for the Dusts, noise Yongjing vegetable water transportation and storage of raw produced. county plantation Liujiaxi materials, and reduce the dusts; to a gorge greenhouse timely clean and remove the wastes reservoir on the ground yard, and sprinkling

water for reducing dusts etc. using chemicals Hezheng The base of C Raining To reduce the noise by using the

county Piteguo fruit water sound absorption and sound cultivation resistance materials in the

construction; keeping sanitation of

the livestock farm, setting the feces

storage and disposal facility at the

back of wind direction or the side

direction of wind so as to reduce the

odor etc.

using chemicals Jishishan Industry C Raining Without the application of pesticide,

county development water fertilizers which have been fund forbidden for use by the county; to

use the chemicals with less residuals

and lower toxics.

ii. 社会影响 Social impact

39. 据行ESMS要求，目评估和考察目对周边社区和公带来的社会影响，包括地非自愿移民少数民和土地流转 11个目县区的首笔子贷款都

到地非自愿移民少数民的崆峒区和和县，少数民类 C类，而由于崆峒区只到几少数民员工，需要监测，而和县的少数民需要监测 11个目县区中 7个县区土地流转，体情况如

Based on the requirements of ESMS from ADB, it suggests conducting evaluation to identify the social impact to the surrounding communities and general public which might be caused by the project implementation, including land acquisition, non-voluntary resettlement, ethnic minorities and land transferring. It shows that all first sub loans for 11 project counties have not involved in the issues of land acquisition and non-voluntary resettlement. The project activities implemented in Kongtong district and Hezheng County have involved in the issues of the development of ethnic minority group, which have been classified as category C. Because there is only a few of minority staffs involved in the issue in Kongtong district, without needs for monitoring, but it needs to conduct monitoring for the minority ethnic groups in Hezheng county. 7 project counties (district) out of the 11 have involved in the issue of Land transferring. It shows the details as followings:

40. 地非自愿移民目县区首笔贷款均地非自愿移民

Land Acquisition and Involuntary Resettlement: the first sub loans processing in all project counties has not involved in the issues of land acquisition and non-voluntary resettlement.

41. 少数民据境社会管理制度ESMS 的少数民框架要求，对于少数民影响评估需要考虑目对带来的影响和少数民社区的脆弱程度通过省目内咨询家团队对11个目县区的场评估和入户调查，了解到 2个县区到少数民回，别是崆峒区和和县，但目活能够带当地少数民农户改善生计，增收入，而和县少数民社区人较多，脆弱程度，崆峒区少数民只是几企业内打工人员，因个县的少数民影响 C类对于个县的少数民是否需要监测的题，省目家团队据行对于本目C类少数民监测的界定，即“若少数民但少数民是定居于当地，或者只是合作社和企业当中几少数民社员和员工，那就需要行监测，否需要监测”，因判定崆峒区少数民无需监测，和县少数民需要监测

Ethnic Minorities: Based on the requirements to the minority ethnic groups from the framework of ESMS, it needs to consider the social impact caused by the project implementation to the minority ethnic groups and the vulnerability of the communities during conducting evaluation to the ethnic minorities. By conducting on-site evaluation and household interview by PPMO and the domestic consultant team in the 11 project counties, it noticed that 2 project counties have involved in the issue of minority ethics, which respectively is Kongtong district and Hezheng County. However, the implementation of the project would motivate local minority ethnic household improving their livelihood and increasing income. In addition, there are much more minority population in local communities of Hezheng county, with lower vulnerability, and there is only a few of minority workers inside of local enterprises in Kongtong district. Thus, the social impacts to the minorities in the 2 project counties have been classified as category 39

C. Regarding the issue if the impact monitoring to the minorities should be conducted in the 2 project counties, PPMO and the consultant team have made identification based on the requirements of the project classified as category C by ADB, which are described “if the involved minorities are not locally resided, or there is only a few of minority worker and staffs in local enterprises or farmers’ cooperatives, then the monitoring would not be needed, otherwise it would be needed”. Therefore, it is concluded that the social impact monitoring to the minorities would not be taken in Kongtong district, but it is needed in Hezheng county.

42. 土地流转 11个目县区中 7个县区土地流转，别是榆中县崆峒区泾县灵县永靖县临洮县岷县，触发了行和府意的土地流转框架的要求，因 2016 9 2016 11 间对7个土地流转的县区行了相的尽职调查，在尽职调查期间收集到389份调查告，中女签的 286份，占比73.5，符合行提出的少70%的土地流转女签的要求土地流转尽职调查保障了影响农户在土地流转过程中的利益损，保障了目对目区公的负面影响降到最，保障目在目区利实施

Land use rights transfer: 7 out of 11 project counties have involved in the issue of land transferring, which respectively are Yuzhong county, Kongtong county, Jingchuan county, Lingtai county, Yongjing county, Lintao county and Min county. It has trigged the requirements of the land transferring framework agreed by ADB and local government. Thus, from Sep. to Nov. 2016, the DDRs have been conducted in 7 project counties involving the issue of land transferring. During the preparation of DDRs, totally, it has collected 389 copies of investigation reports, of which 286 copies have been signed by females accounting for 73.5% of total, which has met the requirement of ADB in terms of “at least 70% of land transferring agreement should be signed by females”. The DDRs completed have greatly ensured and protected the rights and interests of the affected farmers in the process of land transferring, and significantly ensured the negative impacts caused to the general public in project counties to be minimized, which have ensured the smoothly implementation of the project in project counties.

iii. 贫困 Poverty

43. 甘肃省于中的西地区，地理区离治和济中心，生态境脆弱，贫困程度峻甘肃省个县区，中家贫困县就个，占比高达 86 52 60.5%，是中最贫困的省份之一，省目在目的管理和实施的过程中，更注贫困人的发展，明确规定了贫困人要作先益的对象如于“支持农业合作社和农业企业发展”的目标，省目和各县区目农民 1572人，中贫困人 487人，占比31%，高于行提出的的贫困人少于 30%的要求，措施将快目县区的脱贫目标，提高当地贫困人的收入

Gansu province is located at the northwest of China, where is far from the political and economic center of China, suffering from the fragile economic environment and severe poverty. There are totally 86 counties (district) in Gansu, of which 52 national designated poverty counties accounting for 60.5% of total counties in Gansu. Thus, during the project management and implementation, PPMO has paid more attentions on the development of the poor, to clearly specify that the priority of project activities should 40 focus on the needs of targeted poor population. For example, it has set the objective to support “the development of cooperatives and agriculture enterprises”. As of present, it has carried out training activities to over 1572 farmers organized by PPMO and CPMO in each project county, of which 487 trainees are the targeted poor accounting for 31% of the total, which is higher than the required over 30% by ADB. These measures would greatly accelerate the achievement of eradicating poverty in the project counties, and increase the incomes for local poor population.

iv. 社会别 Social gender

44. 行目非常注社会别，因省目自目启来，非常视目的实施对社会别理念的倡导和促，要求目益人群中女的比例于30% 在本告期目实施中，于“建立惠的境好型特色农业生产地”的目标，省目和各县区目农民112,200人，中女 4,499人，达到了 40%的比例，术人员153人，女达到了49人，占总数的31.2%

The ADB project has paid great concerns to the issue of social gender. Thus, since the inception of the project, PPMO has paid attentions on the advocacy and promotion of social gender issues during the project implementation, which requires the ratio of female beneficiary amounting more than 30%. During the period of preparing this report, it has set one of the project objectives which is to establish a universal, environmental friendly featured agriculture production base. 112,200 farmers have joined the training activities organized by PPMO and county PMOs in each project county, of which 4499 females accounting for 40% of the total; and 150 technicians have been trained, including 40 females accounting for 31.2% of the total.

45. 中介银行在行的ESMS 中，都明确规定了女参的比例，大部中介银行妇女的比例都达到了30%，甚达到了50%.从全省范围来看，中介银行在本告期中员工90人，女 40人，占比 44.4％

During the training on ESMS conducted by FIs, it also has specified the ratio of female participants. Mostly, the ratio of female in total trainees has amounted 30% or even 50% in the training activities organized by the FIs. From the views of the Gansu province, during the period of preparing this report, it has provided training activities to 92 staffs by the FIs, of which 40 females accounting for 44.4%.

46. 省目和县区目在在人员结构排注别因素，增女员工的数例如，省目总人数11人，女 6人，达到了54.4％的比例，县区目总人数82人，女 35人，达到了42.7％的比例，高于行要求的女员工数占比于35%”的指标

The factor of social gender also has been concerned in the arrangement of staff structure by PPMO and county PMOs, which is to increase the quota of female staffs. For example, it totally has 11 staffs in PPMO, of which 6 females accounting for 54.4%of total; in county PMOs, there are totally 82 staffs, of which 35 females accounting for 42.7% of total, which is higher than “the ratio of female over 35% required by ADB”.

47. 时，省目和县区目在目管理实施和ESMS的中，

贯彻落实了增女参度的要求在本告期内，省目员工数 11人，女 6人，占比54.4％，县区目参的员工数75人，女 33人，占比44％，超过行提出的各目人员行目管理管理和实施ESMS/EMDP/SGAP/M&E方面的，少 35%女职员的要求

Meanwhile, during performing the project management, implementation and the training on ESMS conducted by PPMO and county PMOs, it also has carried out the requirements of “increasing the participation of females in the project”. During the period preparing this report, 11 staffs in PPMO have been trained, of which 6 females accounting for 54.4% of total, and 75 staffs in county PMOs have been trained, of which 33 females accounting for 44% in total. The ratio of females trained under the project has exceeded the requirement raised by ADB, which is to “enable at least 35% female staffs to be trained on project management, financial management, and the training on the implementation of ESMS/EMDP/SGAP/M&E etc.”

48. 从全省来看，11个目县区的前期执行都更注女的利益，注女的参们确信，随着目的断开展，目益群体中的女会越来越多时，目前中农的人状况，留人女居多，因，省目将在续的目实施期间，针对妇女计一特色目,例如，在蔬菜种植殖业等体力耗较的产业，先考虑支持妇女贷款对妇女作法人的企业，先提供贷款支持在各种能力建活中，要求参的妇女的比例于30% 通过措施的实施，完全能够保证参和直接益的女比例于30%

From the view of whole province, great concerns have been paid to the protection of females’ rights in 11 project counties during the previous project implementation period, to pay attentions on the participation of women. We are sure that there will be more female beneficiaries gradually involving in the project activities. Meanwhile, based on the actual situation of rural population, there are more females staying in the countryside. Thus, in the future, PPMO plans to design some featured project activities specifically targeting the rural women. For example, vegetable cropping, livestock farm etc activities, which require less labor force input, and the priority of processing loan to woman should be considered. For the enterprises enjoying female legal person, priority of processing loan also should be given; among all kinds of capacity building activities, it requires more than 30% of women participated. By the implementation of these measures, it would fully ensure that over 30% of female would join the training activities and directly benefit from the project.

IV.开展ESMS相活遇到的题解决ISSUES ENCOUNTERED DURING THE IMPLEMENTATION OF ESMS ACTIVITIES AND THE SOLUTIONS

i. 遇到的题 Issues encountered

49. 中介银行对行目制度要求等没彻的理解，体表在ESMS 料的编写过程中出较多题，如表格填写规范境影响述充没提出境影响缓措施监测告制度完善等

The FIs have not yet fully understood the regulations and requirements of the ADB project. It shows that there are much problems happened during the process of compiling 42

ESMS materials, such as the tables have not yet been regularly filled out, without sufficient description of environment impact, without mitigation measures regarding the environment impact, with the unaccomplished monitoring and reporting system etc..

50. 行在最先通过了榆中县的前，各县区按照行要求榆中县模板编写ESMS前料，然而行在余县区前料时断改原模板的内容和要求，反复的修改增了中介银行的工作的时，一定程度导目贷款展滞，到2016 12 ，仅永靖县石山和县个目县发了首笔子贷款

ADB has firstly approved the pre-reviewing document submitted by Yuzhong county, and each project county has taken the approved materials of ESMS prepared by Yuzhong county as the sample or template for the preparation of its own document. However, ADB has repeatedly kept on modifying the contents and requirement on the original template, which has increased the heavy burden of FIs and led a delayed processing of loan. As of the end of Dec. 2016, there are only 3 project counties including Yongjing county, Jishishan county and Hezheng county had completed the process of the first sub-loan.

51. 在目执行过程中，能会遇到部中介银行工作人员岗，影响ESMS 相活的展

During the implementation of the project, the changes of vacancies for the staffs involving in the project management might happen in FIs, which would hamper the progress of relevant activities of ESMS.

52. 县目和中介银行工作人员对ESMS的体管理和操作规程理解够，对目的评估和管理在一定影响，亟待行省目和内咨询家开展

The relevant staffs in county PMOs and FIs have inadequate understanding to the concrete management and operational procedures of ESMS, which might affect the evaluation and management of project to some extents, and urgently need to carry out training activities by ADB, PPMO and domestic consultants.

ii. 题的解决 Settlement of issues

53. 要求中介银行认真总结首笔子贷款的前中出的题，尤是境和社会官员对行目前要求深谙于心，在未来工作中免类似题的出

It requires FIs to carefully analysis and sum up the issues identified during the pre- reviewing of the first sub-loan; especially the environment and social officers should be much more familiar with the pre-reviewing requirement of ADB project in order to avoid the similar issues occurring in future.

54. 建行快目批度，贷款的发，保证贷款尽早的发到最借款人手中，尽快的投入生产使用，产生济值

It suggests that ADB should accelerate the approval of project evaluation, and speed up loan processing, so as to ensure loan applied under the project could be delivered to the end-borrowers as early as possible, and to be used in production in order to generate additional economic value as quick as possible. 43

55. 对于银行工作人员调整题要求银行方面尽保持人员的固定，如若发生人事调，请相工作人员离岗之前和离岗对新员工提供，保证新员工对ESMS 一定的理解能力和执行能力

Regarding the issue of the changes of staffs in FIs, it suggests that the FIs should fix their relevant staffs involving in the project as much as possible. If the changes of staffs happen, the training activities should be provided to the new staffs by the original staffs before left, so as to ensure the trained new staffs could be capable of understanding and carrying out the activities of ESMS.

56.断地强能力建，增强县目中介银行独立开展工作的能力通过县区相部门人员的自身学和来自于省目家团队的断，随着目业的全面开展，他们将对ESMS制度熟掌握并运用自如

Capacity building should be further strengthened, so as to enhance the institutional capacity for county PMOs and FIs to implement the project activities independently. By taking self-learning and continue training carried out by PPMO and consultants team, the relevant staffs from county level would be much skillful in handling the requirement of ESMS system.

V. 验和面临的挑战EXPERIENCES AND CHALLENGES FACED

i. 验 Experiences

57. ESMS 场督导和在ESMS 场督导和过程中，参的各方人员包括省目县目和中介银行相工作人员内咨询家团队评估和填写目活的境和社会影响，省目领导内咨询家手把手地指导中介银行的境和社会目理，并场答疑，在短期内效提升了中介银行对境和社会影响的认识和实的评估能力

The on-site supervision and training have greatly supported the implementation of ESMS. During the process of supervision and training on ESMS, all participants (including relevant staffs from PPMO, county PMOs, FIs and the domestic consultant team) have jointly carried out the evaluation and filled out the tables related to the evaluation of environment and social impacts which might by caused by the project implementation. The leaders of PPMO and the domestic consultants have provided instruction by face to face to the designated mangers that are in charge of environment and social issues in FIs. The session of asking questions and answers (Q &A) also has been arranged, which has greatly enhanced the capacity of the FIs to better understand the social and environment impact caused by project implementation and capacity to independently and actually conduct evaluation work.

58. ESMS本土省目通过内咨询家团队，督促中介银行利完了ESMS 的本土，前料利通过了行的，并获得了认，效地了家中介银行支机构对行目的了解认知

The ESMS has to be localized. With the support of the domestic consultant team, PPMO has motivated the FIs to smoothly complete the localization of ESMS. The submitted pre- reviewing document has been recognized and approved by ADB, which has greatly 44 improved their understanding to ADB project among the trilateral parties of PPMO, FIs and the branches of FIs.

59. 能力建省目中介银行和11个目县区的多次能力建活效的弥补了目相人员境和社会知识的匮乏，提高了境保意识和包容发展理念，符合内外的法律法规策，保了弱势群体的利益

Capacity building has been improved. The multiple capacity building activities respectively organized by PPMO, FIs and 11 project counties have effectively made up the shortage of knowledge on environment and social issues for the relevant staffs. It has greatly promoted the dissemination of the concept of inclusive development and the awareness of environment protection, which has not only conformed with the relevant laws and regulations applicable both at home and abroad, but also has protected the rights and interests of the vulnerable groups.

60. 独立开展ESMS监测评估各个目区独立完 ESMS监测评估，面临的题得到内家的指导，并利解决，一批子目的利开展奠定了良好础

The monitoring and evaluation of ESMS has been independently conducted. The monitoring and evaluation of ESMS has been independently carried out in each project county. Some issues encountered by the project county during the evaluation, which have been smoothly settled under the timely instruction provided by the domestic consultant team. It has set a stable base ensuring the smoothly implementation of the next batch projects.

61. 沟通调省目行境社会管理家中介银行和11个目县区时行沟通和调，是保障目利行的键

Communication and coordination is forcefully. PPMO has respectively performed a timely and effective communication and coordination with ADB, environment and social experts, FIs and the 11 project counties, which is crucial to ensure the smoothly implementation of the project.

ii. 面临的挑战 Main challenges faced

62. 中介银行念转面临挑战在ESMS的监测和前料的查过程中发，县区目，特别是中介银行，将ESMS 入贷款评，打破了中介银行长期只注济效益而忽视保和社会影响的理念，之金融领域工作人员缺乏境和社会影响方面的业知识，导他们在用ESMS对企业行监测评估时，出差错，需要省目和境社会家对他们行多次沟通指导，延误监测评估的时间

The challenges of changing views faced for FIs. During the process of conducting ESMS monitoring and reviewing the pre-reviewed document, the county PMOs, especially the FIs have integrated the implementation of ESMS into the procedures of loan processing, which have broken the views of these FIs which have been only focusing on their economic performance but ignoring the environmental and social impacts for a long time. In addition, most of staffs working in financial institutes are in lack of the professional knowledge on the environment and social impacts, which have resulted in the mistakes 45 caused during evaluating the enterprises by using ESMS. It needs PPMO and the environment and social officers to timely assist them for the completion of the evaluation work, which would cause the delayed monitoring and evaluation.

63. 行的效沟通因目起，省目境社会家行的沟通效率高，在前过程中对于某小题反复讨论，能很好的达一意，对目利产生了一定影响

To be more effectively communicating with ADB. Since it just started the implementation of ADB project, PPMO and environment and social experts have not yet efficiently communicated with ADB. During the process of pre-reviewing document, it has to repeatedly discuss some small issues and hardly reached agreement, which has caused a certain of impact to the smoothly implementation of the project.

VI. 一要工作计划WORKING PLAN FOR NEXT STEPS

64. 实施目活各目县区据2017 度计划，结合2016 工作验，格实施ESMS相活

The implementation of project activities: based on the annual working plan of the project in 2017, each project county (district) will strictly implement the ESMS related project activities referring the working experiences learned in 2016.

65.强能力建在2017 半目执行过程中，将强对目相人员，尤是对县区目中介银行的境社会官员/ 理的能力，提高业的执行能力和对ESMS的一理解能力体做法要表在各目在 2017 半工作中，将针对目群体继续开展ESMS 题 13期，待农金融服提供商确定，各中介银行将大对农金融服提供商员工的ESMS 各目县区目中介银行在各类目中，将高度视女贫困人参的比例，按照目建目标，序目 ESMS的各工作

The enhancement of capacity building: during the implementation of the project in the first half of 2017, it would enhance the capacity building for the relevant staffs, especially the staffs in county PMOs, FIs and the social and environment manager etc.to improve their capacities on implementing project activities and their capacities on the understanding of ESMS. The main practices as follows: during the project implementation in the first half of 2017, PPMO will sequentially carry out 13 times training activities focusing the theme of ESMS. As long as the RFSP Rural financial service provider is designated, the FIs at each level will increasingly provide training on ESMS to the staffs of RFSP; each county PMOs and FIs will highly concern the ratio of females and poorer in total trainees. Based on the targeted project construction objectives, it will orderly promote the implementation of project activities related with ESMS.

66. 发挥家作用在2017 半工作中，，将继续发挥内咨询境和社会家的指导引领作用，面对各目县区出的题，家利用自身的业知识并结合当地的实，提供极效的指导，促整个目的利实施体做法要表在省目内咨询家将一起深入到11个目县区，对各个县区目员工中介银行员工农金融服商员工等目相人员行目管理

管理和实施ESMS/EMDP/SGAP/M&E等方面的能力建，并结合目县区的实情况 ESMS的实施情况中遇到的题，给予相的业术指导，在2017 半中介银行子贷款贷活的ESMS 中，将一指导并监督中介银行农金融服商效完 ESMS的料的收集准备，资料的填写制度的履行等工作

To further exert the role of consultants: during the implementation of project activities in the first half of 2017, it will further exert the instructive and guiding role of environment and social experts. Facing the issues emerged in each project counties during the project implementation, the experienced experts could provide effective instructions based on their professional knowledge, with the consideration of local actual conditions, so as to promote the smooth implementation of the whole project. Concretely, PPMO and domestic consultants will jointly visit the 11 project counties (district) to carry out capacity building activities to the counties on project management, financial management, the implementation of ESMS / EMDP/SGAP/ M&E etc, and provide specific professional advices based on their actual needs and problems encountered during the implementation of ESMS. During the processing of sub-loans in the first half of 2017, the consultants team will further instruct and supervise the FIs and RFSPs to effectively complete the work involving collection and preparation of ESMS materials, tables filling, reviewing and implementation of ESMS.

67. 执行申诉机制 2017 半，省目将大力度监督中介银行和县区目开展申诉机制的公示记录工作，并确保 2 工作持续发挥作用，保证目中影响的群体在到本目影响，熟知相程序，利用机制效维自身的合法权益体做法要表在在接来的子目实施的过程中，各目督促中介银行按照申诉机制相程序对通过批的子目相内容行公示，公示内容包括置活潜在影响，最借款人中介银行县目境官员和社会官员的联系方式等公示地点要目建地镇委会告示栏等对少数民 /妇女/贫困人 / 识的群体，将采入户通知头通知等方式行公示时间少于天，确保影响的群体，熟知申诉程序，公示并 10 利将影响情况向相机构申诉中介银行将采集影资料并将申诉结果汇总记录在2017 半的保监测告中

The implementation of Grievance Mechanism: At the first half of 2017, PPMO will enhance the supervision to the FIs and county PMOs in carrying out the publicities and recordings during the implementation of grievance mechanism, and ensure these 2 items of work to be sustainably functional, so as to insure the affected groups could be familiar with the relevant procedures to effectively protect their own rights and interests by utilizing the grievance mechanism; The concrete measures are as follows: during the process of project activities implementation, PMOs at each level will supervise FIs to publicize the relevant contents of project activities approved following the relevant procedures specified in the Grievance Mechanism.The contents of publicity include: the location of project activities, contents of activities, potential impacts, the end-borrowers, FIs and the contact number of the environment and social officers in the county PMO etc. Sites of publicity are mostly selected is in project construction sites, townships, villages committees to set publicity board. Regarding the minorities/women/poor/illiteracies etc,

47 by and taking the forms of visiting households interviewing, oral announcement etc., the publicity would be made to them for more than 10 days, ensuring the affected persons to be fully announced and familiar with the procedures, and be able to smoothly appeal the affected situation to the relevant institutes. FIs will collect video materials and record the results of grievance in the semi-annual report of safeguard monitoring for the first half of 2017.

68.强监测评强各部门之间的沟通调，特别是保部门极沟通，开展多角度多领域的目境监测工作，规范监测程序监测手段监测方法，将目负面影响降到最的时极开展目监测评工作，各目将在 2017 半开展目监测评会 12期，认真总结析半各监测目标实情况，并针对题提出一的解决方案体做法是强目中介银行保部门农牧局的沟通，定期定期的对相的企业和合作社行境监测，目前各县区监测频率 1-2次，在实工作中将据目活的体情况增监测频率，并完善监测告对于规范的实施状况，县区目和县区农牧局保部门将结合企业自身情况省内他相似企业的先术等，对企业提供术指导和整改意，在满足行要求的时符合内相目建境规定

Enhance project monitoring and evaluation: It will further enhance the communication and coordination among line sectors, especially the active communication with environmental protection bureaus. By carrying out multiple dimensional and interdisciplinary monitoring on environment impacts, to regulate the monitoring procedures, monitoring methods, so as to minimize the negative impacts which might be caused by the project and actively implement project monitoring and evaluation work. The PMOs at each level will organize 12 times conferences focusing on the theme of project monitoring and evaluation at the first half of 2017, to carefully brief and analyze the results of all monitored targets achieved during the first half year, and to further explore the accessible solutions to the targeted issues.The main practices as follows: It will enhance the communication and coordination among PMO, FIs, County (District) Agriculture Farm and Livestock Bureau, and Environment Protection Bureau, to periodically irregularly and regularly conduct monitoring of environment impact to the relevant enterprises and cooperatives. At present, the frequency of monitoring frequency is 1-2 times per year.In practices, it will increase the frequency of monitoring based on the actual needs for the implementation of project activities, and to improve the quality of monitoring report. Regarding those enterprises with poor performance following the requirements of ESMS, County PMO, County (District) Agriculture Farm and

Livestock Bureau, and Environment Protection Bureau will provide give guidance and suggestions for rectification ,combining with the enterprise’s circumstance and advanced technologies used by other similar enterprise. It will follow the relevant specifications required on environment impact for the domestic project construction while meet the requirements from ADB.

69.据行目的相规定，省目咨询家将对参行目的，制定农金融服提供商执行的ESMS制度行简出相的适合农金融服提咨询供商的，并提交行行，目家和中介银行将在实工作 ESMS 48 中监督并指导农金融服提供商在目活中执行行批的ESMS制度

According to the relevant provisions of ADB's "Project Agreement", PPMO and consultants will prepare a simplified version of ESMS to be submitted to ADB for review, which should be applicable to be implemented by the RFSP which participate the ADB project. During the actual work, PPMO, consultants and FIs will provide instruction and supervision to the RFSPs to implement the ESMS approved by ADB.

Attachments:

1.修改的ESMS评表中文版

The Revised Working Sheet for the ESMS in Chinese Version

2.修改的ESMS评表英文版

The Revised Working Sheet for the ESMS in English Version

3.贷款长单表

Statement and Verification of Long List

4.指标监测表

The Index Monitoring Table

49 附 3

附 3. 子项目筛选和分类工作表本工作簿包括 5 个工作表，将中介银行职员和最借款人沟通填写

本工作簿应打印出来，本行信员随身携带，在前实地考察时借款人论填写中介银行和/或农村金融服提供商应将处理一笔子款申请时填写的一套工作薄档

1 一个子项目一套单独的工作薄，体填写内容表

中介银行或农村金融服提供商的

信员

实地调研时间

子项目实体的

子款申请人姓 2

子款申请人性别

子款申请人民

申请的款额

申请款的子项目相关信

例如，出栏 3000 头的肉羊养殖场，占地面100 亩子项目内容包括项目规模和内容 100 亩的土豆种植等

子项目属县

子项目属 /镇

子项目属村

项目及的面

及的农户数

及的农民数

及的贫困户数

及的贫困人数

及的少数民户数

及的少数民人数

少数民的 *

及的妇女人数

备注

*请说明是保安东撒拉是回

1 如果子项目是农民合作社或者农业中小企业实施，则个子项目需填写一套完整的工作表如果子项目是农户建 2 设的地，则一个地填写一套完整的工作表，而是按照单个的农户来填写和记录如果借款人是实体的话，请写明农业企业或者合作社的如果借款人是实体的法人或者农户的话，请记录对应的姓附 3

工作表 1 快环境评清单

1. 请在假定“无缓措施”的条回答第一个问题是否有可能发生？问题的要目的是判断项目可能会产生的影响

2. 如果答案是，请填写列- “是否可逆？” 及“是否可将影响降到最？”

3. 如果答案否，请在最一列填 C”

4. 前列是否有可能发生？是否可逆？及是否可将影响降到最？需要在实地考察中最借款人论填写在各评级记录评级的依据

5. 最一列判定行项目的环境“A” “B” “C”类影响，体述如

A 类项目类子项目通常对环境有较大可逆可除的影响，并影响将扩散项目区外

类项目要求要准备环境影响评告 EIA ，并包含环境管理计划例如湿地的改于

或者邻自然保区的子项目对水资源有大染的子项目等

B 类项目类项目对环境成的负面影响可逆的程度较小 A 类项目相较之，类项目更容

易设计一缓措施来削负面影响类项目要求准备初始环境审查 IEE ，中包含环境管理

计划例如项目用地已种植过类作物农业会引起水资源使用压力等

C 类项目子项目对环境影响很小甚没有负面影响行要求准备 EIA 或者 IEE，但是对环境的

潜在影响是要进行评估例如小办公室的建设流资金或者计划等

如果答案是

是否有可能

序号筛选问题发生？是/ 可逆？是否可行

将影响降分类否是/否

到最？

子项目选址 A 项目区是否毗邻或于 1 文化遗址在地 A.1 2 法定保区3 湿地或者 4 生物多

样性保的特定区域？

洪水旱暴风雨和泥石流等极端天气事和 A.2 气候条是否会影响到项目选址？

潜在的环境影响 B B.1 子项目是否会……？

B.1.1  损害历史/文化遗迹毁坏景或可能损失/

破坏物质文化资源？

 扰珍贵的生态系统如敏感栖地或保 B.1.2 区？

施工工地生废和他物质的排或在 B.1.3  施工过程中使用化学物质，导地表水质

降？

项目建设或营导空气染日益重？ B.1.4  B.1.5  项目建设或营导噪声和振？

B.1.6 产生固体废弃物或者有害废弃物？  3 B.1.7  使用化学品包括化肥农药柴油等？

在项目建设或行过程中产生废水？ B.1.8  B.2 在土地整和他土建工程可能在的影响

 在坡度大于 25°的地方开垦？

3 任何在农业部农业部 199 号，2002 或者世卫组的农药禁清单中的农药都得在本项目中使用附3

如果答案是

是否有可能

序号筛选问题发生？是/ 可逆？是否可行

将影响降分类否是/否

到最？

 建筑灰尘和侵蚀 B.2.2 B.2.3  地排水系统的改

C 建设畜禽养殖圈舍或者他构筑物时遵循甘肃省畜禽圈舍建设规可能在的问题

C.1  选址在居民区/水道的 500 米内？

C.2  建设期影响-灰尘噪声

行期影响-噪声臭气 C.3  C.4  没有采用清粪工艺

机温室泵及通风设备用电可能会在的问题

 发电机的温室气体和气的排 C.5 C.6 供水和废水处理

C.6.1  用水水源是什么？

C.6.2  会否成用水突？

C.6.3  对有限的水资源成累影响

D 种子树苗，化肥及农药的处理输和储可能会在的问题

 化肥和农药的增使用未得到很好的管理- D.1 导进入土壤和水的增

 输处理和储等过程中的噪声灰尘和 D.2 染

 农膜进入土壤和水体的增 D.3 D.4  作物的多样性丧失自留地丧失

D.5  使用或引进非本地物种/种子

在改或者建立灌溉系统，包括井渠道管道等配额制的灌溉系统将会导 D.6

D.6.1  用水水源是什么？

D.6.2  会否成用水突？

D.6.3  对有限的水资源成累影响

建立设施用于收集处理和处置回用的过程将会产生的影响有 E /  废水处理或者使用液态肥，土壤和水体 E.1 染

 牲畜粪饲料或肥料，染土壤和地水 E.2 监测告备注中第条监测机构监测频率监测时间监测 F

告

 可持续发展农业措施 F.1 F.2  用水及水染监测

F.3  可能成的环境影响的缓措施

环境分类请圈出分类结果

A B C

得出结论的原因: 附 3

备注附 3

工作表 2-4 征地非自愿移民土地流转和少数民

子项目是否及土地性质改或土地使用权更在某一群体内部的土地调整或式将土地流转给第方？

是 否

问题子项目使用的土地目前的有权及使用权状态？ 1) 有权国有农场; 集体土地国有土地 2) 使用权企业合作社村/小组 或农户个体

工作表 2 征地和非自愿移民筛选清单

可能的非自愿移民影响是若是，请列出影响人数和户数否

本子项目是否会及征地？* 子项目的土地使用是否会成土地使用权的丧失如拓展村级道路？

子项目及的土地在 3是否发生过征地？**如果有，请在备注栏写明职调查结果会会因征地或建设而拆迁，导人们无屋可？

是否会临时占用土地，影响人们的土地财产或生计/生意？

是否会有农作物树木坟墓和固定资产损失？人们是否会失去使用自然资源公共设施和服的权利？

如果土地使用改，是否会对社会和济产生利影响？

使用公共或国有土地和资源的权利是否会限?

* 查实是否及地发展规划特别是城市发展规划中的征地 **如果是，需要做职调查，确定是否应排除子项目如在悬而未的征地和/或移民问题如果只是临时占用土地，成的影响很小，那么应准备一份职调查评估

非自愿移民类别的总体结论请勾选一个

A B C 附 3

备注中介银行款支持的子项目应是 C 类对于发生在前的征地，应做职调查证实土地没有任何未事项

得出述结论的理

备注附 3

工作表 3 土地流转影响筛选清单

子项目是否需要进行土地流转或已流转的土地是否有土地流转合？是/否如果“是” ，请填写表，并收集合复印

是否

类别* 及的合作社及的企业及的生产地及的农户农地面亩

合计 *种植养殖等

土地流转合

新的土地流转合是否如果否，请说明原因

合是否按照附 6 中的土地流转框架准备? 第方机构是否开展了职调查？若是，请收集职调查文的复印，并在备注栏注明调查结果

合是否获得镇农村济营管理站的认可？

有影响农户是否均签署了合？

合是否夫妻双方共签署？

已在的土地流转合是否如果否，请说明原因

合是否符合附 6 中的土地流转框架?

第方机构是否开展了职调查？若是，请收集职调查文的复印，并在备注栏注明调查结果合是否获得镇农村济营管理站的认可？

有影响农户是否均签署了合？

合是否夫妻双方共签署？

没有未事项？若有，请在备注栏说明

土地流转合的总体结论

有合，内容可接符合土地流转框架 合需作进一的职调查 合需解未的问题 合是可接的符合土地流转框架 附 3

得出述结论的理

备注附 3

工作表 4 少数民影响筛选清单

本子项目是否及任何的少数民？是/否如果是，请填写表，如果否，请跳过

是 否

少数民通常是东保安撒拉或回

评估应考虑 1 影响程度包括使用土地和/或资源的传统俗权利，及获得土地和

/或资源的途径，社会济地，文化和社区完整，健康，教育，生计和社会安全状况，对原民/少数民知识的认知 2 影响社区的脆弱程度

可能成的原民/少数民影响是若是，请列出影响人数和户数否

子项目是否会直接或间接针对或少数民家庭益？

子项目是否会影响少数民家庭的谋生体系？如食品生产体系，自然资源管理，工艺品和易，就业状况等

是否有对少数民文化资源和知识的商业开发？

是否有对少数民传统用地围内的自然资源如森林草原或猎场的商业开发，可能会影响少数民的生计或特有的文化礼仪和精神？

子项目是否会及已在的或新的土地流转合？

拟的子项目瞄准的村庄数少数民家庭户数少数民人口有利影响利影响

少数民类别的总体结论请勾选一个

A B C 需被监测的 C 无需监测的

4 东保安和撒拉只在于石山县和县，他们通常比回更脆弱，但需要视体子项目情况而定附 3

备注少数民 A 类的子项目将被排除在外，或重新设计 B 类需要最借款人根据附 7 中的少数民发展框架准备一份少数民发展计划C 类需要开展体的少数民行，但社会和性别行计划附8 中的措施将被应用和监测某没有要求体少数民行的子项目可能然需要监测结果

得出述结论的理

备注附 3

工作表 5 可持续农业设计和最佳实践

本工作表旨在提高帮提高子项目的设计和行中介银行和农村金融服提供商要倾向于给资源可持续节能节水的子项目提供款，要包括水资源使用效率能源效率，农膜回收土壤保实践和原则土肥管理，化肥及包装袋化处理处置地购买架子牛等济效益气作处理粪的一种方式畜禽粪便工有机肥

使用本工作表识别最适合子项目的做法，在填写本工作表时最借款人需要县农牧局的农技广员和县项目办的环境官员协作完成，便将相关措施纳入子项目设计

地和行可持续农业的要特征

大地中草药，如百合蔬菜，如黄瓜子辣椒西红柿芹菜马铃薯种，育苗等

土地准备和土地整土壤保措施包括 1 浅耕和翻土 2 间作时使用绿肥 3 在山坡修 4 检查排水地的水坝 5 保沟头

灌溉设施井渠道灌溉管节水技术包括 1 管道灌溉，而是采用露天渠道 2 滴管或喷灌 3 道水资源分配系统和监测灌溉设施的维及按植物生产需要进行灌溉 4 根据季节的水衡来开发有示性的可持续性灌溉措施

生产资料包括 1 认证的种子来源 2 认证的无机肥 3 有机肥 4 认证的杀虫剂 5 列入县农牧局回收计划中的农膜

生产实践土壤准备种植植物营养包括 1 有机肥 2 有机农膜 3 免耕法 4 农药残留处病虫害管理收割置计划

技术支持在本项目中需要有如的技术支持根据门的作物种类进行土地准备，耕作标准，施肥，灌溉，病虫害制和管理技术

温室大棚和塑料大棚地蔬菜

土壤准备整土地土壤保原则 1 浅耕和翻土 2 间作时使用绿肥 3 在山坡修 4 检查排水地的水坝 5 保沟头

施工寿命 3-5的防紫外线塑料膜，及处置和/或回收温室大棚厚砖墙钢架储水塑料膜保温层和农膜的明确策略卷帘机塑料大棚地钢架储水塑料膜

灌溉设施灌溉井泵水管喷洒系统根据季度的水衡来开发有示性的可持续性灌溉措施

供电包括 1 在水泵安装 VFD 制器 2 在设计时采用被式热制冷 3 利用地周边景制冷

生产资料包括 1 病害虫综合管理 2 认证的种子来源 3 认证的无机肥 4 有机肥 5 杀虫剂

技术支持文的技术支持

养殖地牛和羊

羊圈和牛棚的建设甘肃省畜禽养殖场养殖小区建设规一

饲料储甘肃省畜禽养殖场养殖小区建设规一

家畜本地农户购置，便地社区带来济效益

附3

供水和用水根据季度的水衡来开发有示性的可持续性灌溉措施，要备明确的节水特色

饲料本地农户购置，便地社区带来济效益

供电 1 在水泵安装 VFD制器 2 在设计时采用被式热制冷 3 利用地周边景制冷

废弃物管理 1 废水收集生产气 2 水处理和建储 3 用畜禽粪便生产有机肥

技术支持在本项目中需要有如的技术支持 1 羊圈和牛舍的标准化建设及毒设施的建设指导 2 建立毒和检测体系 3 指导并监督水和畜禽粪便的处理设施的建设和行 4 指导并监督喂料技术和疾病制 5 疫病防结合国内疫病防计划开展

APPENDIX 3. WORKBOOK FOR SCREENING AND CATEGORIZING SUB-PROJECTS

This workbook comprises five worksheets. The worksheets are to be filled out by FI staff in consultation with the end-borrower.

The workbook can be printed out and carried into the field by Bank staff, for site assessments and discussions with end-borrowers. The workbook is retained by the Bank and/or RFSP in their records for each sub-loan application.

1 Each sub-project is recorded in a separate workbook. Complete the details below.

Name of FI or RFSP Name of Loan Officer Date of site visit Sub-project title (name of entity) 2 Name of sub-loan applicant Gender of sub-loan applicant Nationality of sub-loan applicant Amount of loan application Information on the proposed sub-project Proposed sub-project activity (project scope and scale) County Town/Township Village Area of proposed activities (mu) # farmer households involved #farmers involved # poverty households involved # poverty people involved # EM households involved # EM people involved Name of EM group* # women involved Notes:

EM = Ethnic minority, FI= Financial intermediary, RFSP = Rural financial service provider, NA= Not applicable. * specify one of Bao’an, Dongxiang, Salar, or Hui.

1 For a sub-project to be implemented by a farmer cooperative or ASME, the worksheets will be recorded as a separated workbook. For a production base to be established by farmer households, the worksheets will be recorded based on production base, not individual households. 2 If the applicant is the entity, please add the name of the ASME or farmer cooperative; if the applicant is the legal person of the entity, please add his/her name; if the applicant is a farmer, please add his/her name. WORKSHEET 1: Rapid Environmental Assessment Checklist

1. Answer the first question (“Will it happen?”) assuming that no mitigation measures will be conducted. The purpose is to identify potential impacts.

2. If the answer is “Yes” then fill out the next two columns, “is it irreversible?” and “can it be minimized?”

3. If the answer is “No” then place a “C” in the final column.

4. The first three columns (“will it happen?”, “is it irreversible?”, “can it be minimized?”) should be filled out by discussions with the end-borrower and a site inspection. Adequate notes should be written to address each categorization as necessary.

5. The final column refers to the ADB categories “A”, “B” and “C” for environmental impacts. They are defined below. Use these definitions to decide on the category.

Category A. Sub-project likely to have significant adverse environmental impacts that are irreversible, diverse, or unprecedented. Impacts may extend beyond the sub-project sites. Environmental impact assessment (EIA) including environmental management plan (EMP) is required. Examples: conversion of wetlands; sub-projects in or next to protected areas; large scale pollution of water resources.

Category B. Potential adverse environmental impacts are site-specific, few if any are irreversible. In most cases mitigation measures can be designed more readily than for Category A sub-projects. Initial environmental examination (IEE) including EMP is required. Examples: crop farming on land already used for the same crop type; farming which does not result in increased pressure on water resources.

Category C. Sub-project likely to have minimal or no adverse environmental impacts. EIA or IEE not required. Environmental implications need to be reviewed. Examples: construction of small offices, financing, training, or planning activities.

If YES

ADB

No. Screening and Impact Questions Will it happen? Y/N Is it irreversible? Can it be

Category Y/N minimized?

A Sub-project Siting

A.1 Is sub-project in or next to (i) a cultural heritage

site, (ii) a protected area, (iii) wetland or (iv)

special area for protecting biodiversity?

A.2 Is siting of the sub-project likely to be affected

by climate conditions including extreme

weather related events such as floods, droughts, storms, landslides?

B Potential Environmental Impacts B.1 Will the sub-project cause…

• B.1.1 damage to historical/cultural areas or physical cultural resources?

• B.1.2 disturbance to precious ecology (e.g.

sensitive or protected areas)? B.1.3 • deterioration of surface water quality due to

silt runoff and sanitary wastes from

worker-based camps and chemicals used in construction?

B.1.4 • air pollution due to sub-project construction

and operation? • noise and vibration due to sub-project B.1.5 construction or operation?

B.1.6 • generation of solid waste and/or hazardous

waste? If YES

ADB

No. Screening and Impact Questions Will it happen? Y/N Is it irreversible? Can it be