46063-002: Yumin County Infrastructures and Municipal

Resettlement Plan

December 2014

PRC: Xinjiang Tacheng Border Cities and Counties Development Project

Prepared by Yumin County Urban-Rural Construction Bureau for the Asian Development Bank.

CURRENCY EQUIVALENTS (as of 28 December 2014)

Currency unit – Yuan (CNY) CNY1.00 = $0.163 $1.00 = CNY6.149

ABBREVIATIONS

ADB – Asian Development Bank AH – affected households AP – affected persons DMS – detailed measurement survey EA – executing agency EMDP – ethnic minority development plan FSR – feasibility study report HD – house demolition HH – households IA – implementing agency LA – land acquisition LAR – land acquisition and resettlement PMO – project management office RP – resettlement plan YCG – Yumin County Government XUAR – Xinjiang Uygur Autonomous Region

WEIGHTS AND MEASURES

ha – hectare km – kilometer mu – Chinese unit of measurement (1mu=666.67 m2)

NOTE

In this report, “$” refers to US dollars.

This resettlement plan is a document of the borrower. The views expressed herein do not necessarily represent those of ADB's Board of Directors, Management, or staff, and may be preliminary in nature. Your attention is directed to the “terms of use” section of this website.

In preparing any 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.

ADB-financed Xinjiang Tacheng Border Cities and Counties Development Project

Yumin County Infrastructures and Municipal Services Component

Resettlement Plan

Yumin County Urban-Rural Construction Bureau December 2014

III

Table of Contents

COMMITMENT LETTER ...... 2 EXECUTIVE SUMMARY……………………………………………………………………… .... 3 1. OVERVIEW………………………………………………………………………………… ... 6 1.1. INTRODUCTION……………………………………………………………………… ….6 1.2.IMPACT SCOPE OF LAND ACQUISITION AND RESETTLEMENT………………………… 8 1.3.OPTIMIZING PROJECT DESIGN TO REDUCE RESETTLEMENT IMPACTS……………. ... 9 2. IMPACT SCOPE………………………………………………………………………….. .. 11 2.1.TYPES OF IMPACTS………………………………………………………………….. .. 11 2.2.METHODOLOGY AND PROCEDURES………………………………………………… .. 11 2.3.IMPACT IDENTIFICATION……………………………………………………………… . 11 2.4.LOSS OF COLLECTIVE LAND………………………………………………………… .. 13 2.5.IMPACTS OF STATE-OWNED LAND ACQUISITION……………………………………. . 14 2.6.IMPACT FOR TEMPORARY LAND OCCUPATION……………………………………… . 14 2.7.AFFECTED VULNERABLE GROUPS………………………………………………….. .. 14 2.8.ETHNIC MINORITIES…………………………………………………………………. .. 15 2.9.AFFECTED ATTACHMENTS AND INFRASTRUCTURE…………………………………. . 15 3. SOCIOECONOMIC PROFILE OF AFFECTED AREAS……………………………… . 16 3.1.SOCIOECONOMIC STATUS…………………………………………………………… . 16 3.2.SOCIOECONOMIC PROFILE OF AFFECTED PEOPLE………………………………… . 16 3.3.GENDER ANALYSIS…………………………………………………………………… . 22 4. LEGAL FRAMEWORK AND POLICIES………………………………………………… 26 4.1.LAWS, REGULATIONS AND POLICIES APPLICABLE TO RESETTLEMENT……………… 26 4.2.ADB’S POLICY REQUIREMENTS ON INVOLUNTARY RESETTLEMENT…………………. 26 4.3.DIFFERENCES BETWEEN ADB AND PRC POLICIES………………………………….. . 28 4.4.ELIGIBILITY AND BENEFICIARIES……………………………………………………… . 30 4.5.COMPENSATION RATES……………………………………………………………….. . 30 4.6.ENTITLEMENT MATRIX………………………………………………………………… . 32 5. RESETTLEMENT MEASURES…………………………………………………………. . 35 5.1.OBJECTIVES OF RESETTLEMENT…………………………………………………….. .. 35 5.2.PRINCIPLES OF RESETTLEMENT RESTORATION…………………………………….. .. 35 5.3.RECOVERY PLAN FOR ACQUIRED COLLECTIVE ARABLE LAND……………………… . 35 5.4.TRAINING………………………………………………………………………………. . 39

5.5.DISADVANTAGED GROUPS SUPPORT PROGRAM…………………………………...... 39 5.6.PROTECTION OF WOMEN’S RIGHTS………………………………………………… ... 40 5.7.ETHNIC MINORITY DEVELOPMENT…………………………………………………. .... 40 5.8.RESTORATION OF INFRASTRUCTURE AND GROUND ATTACHMENTS……………….. .. 40 6. PUBLIC PARTICIPATION AND GRIEVANCE REDRESS……………………… ...... 41 6.1.CONSULTATION AT PREPARATION STAGE ...... 41 6.2.PUBLIC PARTICIPATION AND CONSULTATION PLAN...... 45 6.3.APPEAL PROCEDURE...... 46 6.4.APPEAL CONTACT INFORMATION ...... 47 7. RESETTLEMENT BUDGET ...... 49 7.1.RESETTLEMENT BUDGET ...... 49 7.2.ANNUAL INVESTMENT PLAN ...... 50 7.3.DISBURSEMENT FLOW AND PLAN OF RESETTLEMENT FUNDS ...... 51 8. ORGANIZATIONAL STRUCTURE AND RESPONSIBILITIES ...... 53 8.1.RESETTLEMENT ACTION AGENCIES ...... 53 8.2.ORGANIZATIONAL CHART ...... 54 8.3.ORGANIZATIONAL QUALIFICATIONS AND STAFFING ...... 54 8.4.DIVISION OF RESPONSIBILITIES AMONG AGENCIES ...... 55 8.5.MEASURES TO STRENGTHEN INSTITUTIONAL CAPACITY ...... 57 9. RESETTLEMENT IMPLEMENTATION SCHEDULE ...... 59 9.1.WORK BEFORE RESETTLEMENT IMPLEMENTATION ...... 59 9.2.WORK DURING RESETTLEMENT IMPLEMENTATION ...... 59 9.3.WORK AFTER RESETTLEMENT IMPLEMENTATION ...... 60 10. MONITORING AND EVALUATION ...... 63 10.1.INTERNAL MONITORING ...... 63 10.2.EXTERNAL MONITORING ...... 65 APPENDIX 1 APPLICABLE LAWS, REGULATIONS AND POLICIES ...... 68 APPENDIX 2: RESETTLEMENT INFORMATION BOOKLET (RIB) ...... 82 APPENDIX 3 TERMS OF REFERENCE OF EXTERNAL MONITORING AND EVALUATION ...... 88 APPENDIX 4: MINUTES OF PUBLIC PARTICIPATION AND INTERVIEW ...... 91 APPENDIX 5: DUE DILIGENCE REPORT ON YUMIN ROAD COMPONENT ...... 98 APPENDIX6: LAND COMPENSATION AGREEMENT ...... 109

List of Tables

Table 1-1: Project Roads ...... 6 Table 1-3: Comparison of the Affected Area before and after Design Optimization ...... 10 Table 2-1: Detail Impact Scope ...... 12 Table 2-3: Affected Vulnerable Households ...... 15 Table 2-4: Nationality and Distribution of Affected Minority People ...... 15 Table 2-5: Affected Attachments and Infrastructure ...... 15 Table 3-3: Selected Household Assets of Affected Households ...... 20 Table 3-4: Economic Statistics of the Sample Households in 2012 ...... 21 Table 3-6: Average Household Expenditure Pattern of Affected Households in 2012...... 22 Table 4-1: Unified Annual Output Values of Collective Land ...... 30 Table 4-2: Cultivated Land Compensation Standard of the Project ...... 31 Table 4-3: Attachments and special facilities affected compensation standards ...... 32 Table 4-4: Entitlement Matrix ...... 32 Table 5-1: Net Income Loss and Compensation After Land Acquisition ...... 35 Table 5-2: Affected Households’ Income Restoration Programs ...... 37 Table 5-3: Expected Job Creation of The Project ...... 38 Table 5-4: Training Content and Program ...... 39 Table 6-1: Public Participation Activities during Preparation Stage ...... 42 Table 6-2: Public Opinion Survey Results ...... 44 Table 6-3: Public Participation Plan ...... 45 Table 7-1: Resettlement Cost Estimates ...... 49 Table 7-2: Resettlement Budget Plan ...... 51 Table 9-1: Project Implementation Schedule...... 60 Table 9-2: Resettlement Implementation Schedule ...... 61 Table 10-1: Progress Report on Resettlement for LA and HD ...... 64 Table 10-2: Progress of Fund Utilization ...... 65 Table 10-3: Reporting Schedule of External Resettlement M&E ...... 67

List of Figures

Figure 3-1 Age Distribution of the Affected Population ...... 19 Figure 3-2 Educational Level Distribution of the Affected Population ...... 19 Figure 3-3 Occupation Distribution of the Affected Population ...... 20 Figure 3-4 Educational Level Differences between Men and Women ...... 23 Figure 3-5 Occupation Differences between Men and Women ...... 23 Figure 3-6 Income Differences between Men and Women ...... 24

List of Figures

Figure 1-1: Roads Network of Yumin County ...... 7 Figure1-3: Current Status of Existing Roads to be Rehabilitated ...... 8 Figure 2-1: Acquired Arable Land ...... 12 Figure 3-1: Socioeconomic Questionnaire Survey on Affected People ...... 17 Figure 7-1: Flowchart of Resettlement Fund Disbursement...... 51 Figure 8-1: Resettlement Organizational Chart ...... 54

Executive Summary

1. Project Overview

Yumin County Infrastructures and Municipal Services Project (Project) is one of components of the Xinjiang Tacheng Border Cities and Counties Development Project, which is financed by Asian Development Bank (ADB). The project includes (i) construction of three new roads and (ii) rehabilitation of three existing roads in Yumin County, Tacheng Prefecture of Xinjiang Uygur Autonomous Region (XUAR). The total length of the six roads is 9,734 m, including 4,857 m of the three new roads and 4,877 m of the three existing roads. Land acquisition and resettlement (LAR) for construction of the new roads will be involved. This resettlement plan (RP) is prepared for the LAR of the project. In addition, a due diligence report (DDR) for the existing roads is prepared in order to identify any involvement in the LAR of the existing roads. The project is included in the Yumin Master Plan, and is planned to implement from May 2015 to December 2019. The LAR is scheduled to implement from March 2015 to December 2017. Yumin County Government (YCG) is the executing agency (EA), while Yumin County Construction Bureau (YCCB) is the implementing agency (IA) of the project. 2. Impact Scope

The project will acquire a total land area of 184.65 mu permanently, including 22.85 mu state-owned construction land and 161.79 mu collective arable land. 41 households with 161 people will be affected by the land acquisition (LA), including five (5) ethnic minority HHs with 25 people, accounting for 15.53% of total affected persons (APs). The LA will affect one (1) village, North Hala Bula Village, and one town, Yumin Town. The project doesn’t involve any house demolition (HD). This RP is prepared based on the Feasibility Study Report (FSR) and the initial socio-economic survey data of the project. The RP shall be updated according to of the detail measurement survey and census data of affected persons based on detailed design; the updated RP shall be submitted and approved by ADB prior to start of LAR activities and before the civil works contracts of the project are awarded. 3. Policy Framework and Entitlement

This RP is formulated in accordance with The Land Administration Law of the People’s Republic of China (2004), The Decision of the State Council on Intensifying the Reform and Tightening the Land Administration (Guo Fa [2004] No. 28), Circular of the Ministry of Land and Resources on the Working Paper Concerning Developing the Unified Annual Output Value Standard of Land Expropriation and the Integrated Section Price of Land Expropriation (Guo Tu Zi Fa [2005] No. 144), Notice on the promulgation and implementation of autonomous unified annual output value standard" (new MLR [2011] 19), and Safeguard Policy Statement (SPS) of Asian Development Bank (June, 2009). All the affected people will be compensated for the LAR according to the policies and regulations. The compensation for permanent LA of the collective land includes land compensation, resettlement subsidy, and young crops fee. The compensation standards are (i) RMB 12,000 per mu for land compensation; (ii) RMB 25,500 per mu for resettlement subsidy; and (iii) RMB 600 per mu for young crops. All of the land compensation fee includes land compensation, resettlement subsidies, and young crop compensation shall be fully paid to the affected households (AHs).

4. Resettlement and Restoration

Based on social and economic survey and public consultation with APs, the following measures to restore livelihood of APs are prepared including: (i) with the help of cash compensation, APs can engage in non-agricultural activities, such as transportation or business; (ii) local government will assist APs in adjusting agricultural planting structure, provide planting guidance and technical training, expand planting area of cash crops (the crops are planted for sale), and develop household breeding to improve the income; (iii) during project construction, the PMO will provide unskilled job priority to APs to increase their income. During the production restoration, the PMO will organize technical training for APs, and make sure all affected labors received at least 2 times training on farming and non-agricultural work. 5. Organizational Structure

The IA will be responsible for the project implementation, LA and coordination. The LA management office will be composed of officials of the county land administration bureau, construction bureau, and each affected sub-district office or community committee. Each unit will provide one member to the office to be responsible for LA consultation and income restoration activities. 6. Public Participation and Information Disclosure

From October 26 to November 1, 2013, a survey was conducted for the impact scope of the LAR of the project. During January 3-5, 2014, the PMO and the relevant staff of the RP preparation agency conducted a supplementary survey of the affected land, households and people, and a public opinion and advice survey of the APs and affected entities. Staffs from Yumin Land Administration Bureau, Hala Bula Township and Hala Bula Village are consulted to understand local socio-economic status, and exchanges views on compensation standards and measures of livelihood restoration. The implementation process of the LAR is discussed wth local governments. Representatives from the YCG, the Yumin PMO, Land Administration Bureau, Civil Affairs Bureau, women federation, urban planning bureau and other relevant government agencies as well as affected village and township and APs were attended the public consultation and meeting. The concerns of the APs and their suggestion have been included in the RP. 7. Grievances and Appeals

Yumin PMO has established a detailed complaint and appeal procedure. The APs can complain any problems related to the LAR in following procedures to (i) village committees/sub-district office; then (ii) Yumin County Land Administration Bureau; then (iii) Yumin PMO; and then (iv) the YCG. The responsible agencies must reply to any complains in a definite period. The APs may file lawsuit to the civil court at any time under Civil Procedure Law or report problems to the ADB in accordance with its Accountability Mechanism (2012). The APs may file appeals about any aspect of the LAR. 8. Resettlement Budget

The total resettlement costs is RMB 9.5875 million, including (i) permanent LA of RMB 6.4007 million, accounting for 64.29% of the total cost; (ii) RP preparation, training and monitoring of RMB 105.61 million, accounting for11.02%; (iii) taxes and fees of RMB 1.8106 million, accounting for 18.89%; and (iv) contingency in 10% of the basic cost. The IA ensures that adequate resettlement funds will be available in a timely manner to cover all necessary resettlement issues.

9. Implementation of Resettlement Plan

The LAR will be implemented from March 2015 to December 2017. The project construction will be commenced only after ADB approve the updated RP and the full compensation has been paid to the APs. 10. Monitoring & Evaluation and Reporting

Internal and external monitoring on implementation of the RP will be conducted. The internal monitoring is carried out by the Yumin PMO, and a monitoring report, as one of key contents of project progress reports, will be submitted to ADB quarterly. Tacheng Prefecture PMO will entrust an independent monitoring agency to conduct external monitoring and evaluation and report to ADB every six months during implementation of the project. The monitoring and evaluation fees are included in the total budget of the RP

1. Overview 1.1. Introduction 1. Yumin County Infrastructures and Municipal Services Project (Project) is one of components of the Xinjiang Tacheng Border Cities and Counties Development Project, which is financed by Asian Development Bank (ADB). The project includes (i) construction of three new roads and (ii) rehabilitation of three existing roads in Yumin County, Tacheng Prefecture of Xinjiang Uygur Autonomous Region (XUAR). The total length of the six roads is 9,734m, including 4,857m of the three new roads and 4,877m of the three existing roads. Land acquisition and resettlement (LAR) for construction of the new roads will be involved. This resettlement plan (RP) is prepared for the LAR of the project. In addition, a due diligence report (DDR) for the existing roads is prepared in order to identify any involvement in the LAR of the existing roads. The project roads are presented in Table 1-1. Table 1-1: Project Roads

Width* No. Road Name Road Category Length (m) New/Existing LAR (m) Gui Hua Yi New 1 Secondary road 1,476 30 Yes Road construction Gui Hua Er New 2 Main road 1, 876 40 Yes Road construction Longzhen 3 Secondary road 2, 338 Rehabilitation 20 No Road Yujinxiang 418 Rehabilitation 18 No 4 Secondary road Road 95 3 Rehabilitation 19 No Honghua 5 Brunch 1,168 Rehabilitation 20 No Road Dong Huan New 6 Secondary road 1,505 30 Yes Road construction Total 9,734 Source: From the feasibility study report (FSR) of the project. *It is a proposed width for construction of new roads or existing width for rehabilitation of existing roads.

Figure 1-1: Roads Network of Yumin County (The project roads are presented in red line)

Figure 1-2: Project Roads and Affected Communities

Figure1-3: Current Status of Existing Roads to be Rehabilitated

1.2. Impact Scope of Land Acquisition and Resettlement 2. The project will not involve any house demolition, but involve collective land acquisition (arable land) of North Hala Bula Village. All the main impact of land acquisition are caused by construction of three new roads, including Gui Hua Yi Road, Gui Hua Er Road and Donghuan Road according to the feasibility study report (FSR) of the project. 3. The land acquisition will affect a village and a township of Yumin County, and 41 households (HHs) with 161 people will be affected, including 5 ethnic minority HHs with 25 people. The project will acquire a total of 184.64 mu land, including 22.85 mu state-owned construction land and 161.79 mu

collective arable land, as shown in Table 1-2. Table 1-2: Summary of Project Resettlement Impacts Item Sub-total Note

Affected village 1 North Hala Bula Village

State-owned construction 22.85 land (mu) Land Owned by North Hala acquisition Collective land (mu) 161.79 Bula Village Collective Subtotal (mu) 184.64 Household affected by LA 41 Affected HH population Population affected by LA 161 AP Source: Socio-economic survey of October 2013

1.3. Optimizing Project Design to Reduce Resettlement Impacts 4. In the engineering design phase, the impact of the LAR should be minimum, the main principles are following:  To avoid or minimize the occupation of existing and planned residential areas (rural and urban);  To avoid or minimize the acquisition of high quality arable land;  To use existing state and local roads towards to the proposed construction area;  To avoid or minimize the occupation of environmentally sensitive areas; and  To select the resettlement areas in line with the local development plan. 5. The road route selection should be combined the master planning with existing roads, and the existing road route should be priority choice to avoid or reduce occupancy the existing buildings, and to avoid or minimize the occupation of high quality arable land. 6. The original project plans to build and rehabilitate eight county roads in total, including the three new roads of Gui Hua Yi Road, Gui Hua Er Road and Donghuan Road; and five rehabilitation roads of Yujinxiang Road, Honghua Road, Long Zhen Road, Wan Huayuan Road and Du Bieke Road. Among the existing roads, Wan Huayuan Road has current road width of 15m, while the proposed red line width is 40m, which will cause the house demolition (HD) of 60 residential HHs and 20 small commercial shops. Du Bieke Road has current road width of 16m, while the proposed red line width is 40m, which will cause the HD of 18 residential HHs and 2 small commercial shops. Honghua Road has current road width of 20 m, while the proposed red line width is 28 m, which will cause the HD of 13 residential HHs and 2 small commercial shops and 2 state-owned institutions. Longzhen Road has current road width of 20 m, while the proposed red line width is 30 m, which will cause the HD of 29 residential HHs and 18 small commercial shops and 3 state-owned institutions. Yujinxiang Road has current road width of 18-20 m, while the proposed red line width is 24m, which will cause the HD of 16 residential HHs and 8 small commercial shops and 4 state-owned institutions. 7. After field consultation with the affected village and APs, the PMO and design institute (DI) decided to optimize the design to reduce the LAR impacts, canceled construction of Wan Huanyuan

Road and Du Bieke Road; and repair the bad section of the current roads of the Honghua Road, Long Zhen Road, Yujinxiang road. After the optimization, the HD of 136 residential HHs, 50 shops and 9 institutions are reduced in a total residential area of 24,480 m2, commercial area 1,750 m2, and institutional building area of 3,894 m2, as presented in Table 1-3. Table 1-3: Comparison of the Affected Area before and after Design Optimization Before After design Item Unit design Difference optimization optimization state-owned mu 34.78 22.85 -11.93 construction land

LA Unused land mu 4.54 0 -4.54 Housing land mu 19.55 0 -19.55 Cultivated land mu 161.79 161.79 0 Residential houses m2 24 ,480 0 - 24,480 Commercial stores m2 1,750 0 -1,750 HD Enterprises m2 3,894 0 -3,894 Subtotal m2 30 ,124 0 - 30,124 Number of AHs HH 41 41 0 Land Affected Acquisition person 161 161 0 population Residential houses HH 136 0 -136 Affected person 396 0 -396 HD population Commercial stores HH 50 0 -50 Enterprises unit 9 0 -9 Source: The design institute and resettlement socio-economic survey (2013).

2. Impact Scope 2.1. Types of Impacts 8. Based on the FSR of the project and the preliminary survey, the main types of impacts of the project include: (i) Arable land acquisition; and (ii) Losses of ground attachments and infrastructure. 2.2. Methodology and Procedures 9. The Yumin PMO, design institute (DI) and RP preparation agency conducted a site survey to identify the project impact scope in March 2013 with Yumin construction bureau. 10. In September 16 to 23, 2013, a training to the governmental staff involved in preparation of the Ethnic Minority Development Plan (EMDP) and the RP was held at Tacheng Prefecture Development and Reform Commission for the Xinjiang Tacheng Border Cities and Counties Development Project. Both the PRC and ADB’s policies related to LAR and indigenous peoples, and contents required for the RP and EMDP were introduced. In addition, the detail survey methodology and questions were explained to the survey staff. 11. During October 26-November 1st, 2013, the RP preparation agency conducted a field survey of impact scope of the Project with the DI, including physical indicators of the affected population, houses, land and special facilities, as well as affected residents and rural collective economic organizations, and a case study of affected residents. The surveys were conducted in a combination of field investigation, data collection and inquiry, questionnaire survey and interview, including: Land acquisition survey: The survey team surveyed the area of the acquired land by ownership and type after the DI defined the range of land acquisition by field setting-out. Socio-economic survey: A sampling survey of affected population, including ethnic group, age, educational level and employment status, etc. Scattered tree survey: Scattered trees within the affected areas were counted on spot to differentiate fruit trees and other trees, and registered by species. Special facility survey: The affected water resources, electric power and telecommunication facilities were surveyed based on the existing information of the competent authorities, and verified and registered on spot 2.3. Impact Identification 12. The impact scope of LAR of the Project is determined based on the FSR. There is a township (Hala Bula township), and a village (North Hala Bula village) will be affected, and 161.79 mu collective land of North Hala Bula village will be acquired, directly affecting 41 HHs with 161 people. In addition, a total of 22.85 mu state-owned construction land needs to be occupied. The detail impacts based on the project roads are shown in Table 2-1. Gui Hua Yi Road: It is a newly built road and will occupy 33.30 mu collective arable land of North Hala Bula village. All land belongs to abandoned land (It was cultivated land before, but due to lack of water and fertility decline, it cannot be farming anymore for many years). The road will affect 12 HHs with 48 people, including 3 ethnic minority HHs with 14 people. In addition, a total of 22.85 mu state-owned construction land needs to be occupied. It is noted that Yumin County Government acquired 62 mu collective land in June 2013 for 11

construction of Gui Hua Yi Road and urban development. Gui Hua Yi Road occupied 10.18 mu of the acquired land that affected 4 HHs with 25 people, while the rest land is used for the urban development. The land acquisition was completed in July 2013. In accordance with ADB’s relevant requirements, a due diligence report has been prepared by Yumin County PMO and RP preparation agency, and attached in the RP as Annex V. Planned Road 2: It is a newly built road. The road will occupy 111.15 mu collective arable land of North Hala Bula village, and affect 27 HHs with 105 people, including 2 ethnic minority HHs with 11 people. Donghuan Road: It is a newly built road. The road will occupy 17.34 mu abandoned collective arable land of North Hala Bula village, and affect 2 HHs with 8 people. It is noted that Yumin County acquired 78 mu collective land for Donghuan Road and urban development in March 2012. Donghuan Road occupied 50.39 mu of the acquired land that affected 5 HHs with 23 people, while the rest land is used for the urban development. The land acquisition was completed in January 2014. In accordance with ADB’s relevant requirements, a due diligence report has been prepared by Yumin County PMO and RP preparation agency, and attached in the RP as Annex V.

Figure 2-1: Acquired Arable Land 13. Three existing roads of Longzhen, Yujinxing, and Honghua will be rehabilitated by the project. No land acquisition and house demolition will be involved. During the project implementation period, it may cause temporary inconvenience for operation of street shops and daily routine travel of local residents. The Yumin PMO has decided to take semi-enclosed construction mode, and keep enough road space for residents’ travel and business operations. Therefore, no businesses have to be suspended during the project construction. Table 2-1: Detail Impact Scope Permanent land acquisition State land Collective land Road Subtotal Construction land Farmland Affected Affected Minority Minority (mu) (mu) (mu) HH person HH person Gui Hua Yi 22.85 33.30 12 48 3 14 56.15 Gui Hua 111.15 27 105 2 11 111.15 Er — Donghuan — 17.3 2 8 — — 17.3 Total 22.85 161.79 41 161 5 25 184.64 Source: socio-economic survey October 2013

2.4. Loss of Collective Land 14. For the affected 41 HHs, the minimum land loss rate is 2.58%, and the maximum is 22.50%. The overall rate of land loss is 6.62%, as presented in Table 2-2. Table 2-2: Land Loss Analysis Current Land Acquired Land No. Road Name Population Age Nationality Land Area Loss Area (mu) (mu) Rate Zhang 1 5 62 Han 71.5 2.55 3.57% Qingping Kaken 2 5 51 Kazak 66 2.25 3.41% Halibieke 3 Qiu Zhigang 4 49 Han 44 2.55 5.80% 4 Qiu zhiqiang 4 49 Han 44 2.55 5.80% 5 Zhang Zhifa 4 48 Han 44 2.25 5.11% 6 Gui Hua Yi Liao Yunxian 4 69 Zhuang 44 1.95 4.43% 7 Ren Jinshan 2 43 Han 88 3.75 4.26% 8 Chen Shiyou 3 37 Han 33 3.15 9.55% 9 Tan Xianzao 3 70 Han 44 3.3 7.50% Wang 10 4 48 Han 44 3.45 7.84% Baoqiang 11 Ha lieli 6 54 Kazak 55 2.7 4.91% 12 Wang Haijiao 4 51 Han 44 2.85 6.48% 13 Yan Wenliang 4 65 Han 89 3 3.37% Jiang 14 2 66 Han 22 4.95 22.50% Zuoqiang Wang 15 4 49 Han 44 3.6 8.18% Baoli Li 16 4 47 Han 44 3.45 7.84% Baoping Diao 17 5 47 Han 55 4.95 9.00% Zhiguo 18 Gui Hua Er Ma Xueming 6 63 Hui 121 4.65 3.84% 19 Wu Yancai 5 57 Han 88 3.6 4.09% 20 Ma Shaoyu 4 59 Han 77 6 7.79% 21 Kang Xinmin 5 60 Han 55 5.25 9.55% 22 Zhang Dengji 4 49 Han 55 4.5 8.18% 23 Kang Haojie 3 38 Han 55 3.15 5.73% 24 Zhu Youcai 5 55 Han 33 3 9.09% Zhang 25 4 32 Han 55 4.5 8.18% Yongcheng Gui Hua Er Han (3.15mu) Ma Fengqiang 26 4 49 88 10.73 12.19% Donghuan (Ma Fenglong) Han (7.58 mu) Zhang 27 Gui Hua Er 2 72 Han 122 3.15 2.58% Baocheng

Current Land Acquired Land No. Road Name Population Age Nationality Land Area Loss Area (mu) (mu) Rate Gui Hua Er Han (2.55mu) 28 Tian Junyi 4 65 77 12.31 15.99% Donghuan Han (8.24mu) Xu 29 5 62 Han 55 3.15 5.73% Mengguang 30 Ge Wenan 5 73 Han 77 3.45 4.48% 31 Zhang Ping 2 61 Han 77 3.3 4.29% 32 Wu Ruishuang 3 47 Han 66 4.05 6.14% 33 Yuan Hongjie 3 28 Han 44 5.4 12.27% 34 Song Jianmin 4 67 Han 44 4.05 9.20% 35 Gui Hua Er Ma Fengliang 5 55 Hui 55 4.65 8.45% Ren 36 4 60 Han 77 3.6 4.68% Chengyuan 37 Wang Yanju 3 43 Han 33 3.45 10.45% 38 Yu Xingang 4 49 Han 66 3.15 4.77% Ren 39 4 51 Han 33 3.6 10.91% Quanshun 40 Zhang Tiheng 3 33 Han 82.5 3 3.64% 41 Peng Chunrui 3 50 Han 33 2.85 8.64% Total 161 2,444 161.79 6.6 2% Source: Socioeconomic survey, October 2013 2.5. Impacts of State-owned Land Acquisition 15. Gui Hua Yi Road will occupy a state-owned construction land of 22.85 mu, but no affected people will be involved, because it is an empty land without any buildings and any usage now. 2.6. Impact for Temporary Land Occupation 16. The road construction will be conducted on the acquired land gradually; no temporary land occupation is required. 2.7. Affected Vulnerable Groups 17. Vulnerable groups in the project refer to those individuals whose living standard is lower than the minimal living standard line of Yumin County (for rural people the standard line is CNY123 yuan/month/person and for urban people the line is CNY331 yuan/month/person), including orphan, aged people, handicapped people, mentally disabled persons, impoverished people, and women headed households. 18. According to the survey, there are 2 AHs with 2 people belong to the vulnerable groups, as presented in Table 2-3.

Table 2-3: Affected Vulnerable Households Owned Acquired land N o. Householder Income Source Reason farmland (mu) (mu) Zhang Subsidies, children support 1 71.5 2.55 Poverty Qingping and farming Kaken 2 66 2.25 Subsidie s, farming Poverty Halibieke Source: Socioeconomic survey, October 2013 19. Zhang Qingping, male, 62 years old, Han nationality, a farmer of North Hala Bula Village. His family has five people. Because lack of labor, and water shortage, half of the land are abandoned. Their 3 sons work outside of the village. His wife has bad health conditions, so it is a family in poverty. The project will cause his land loss of 3.57%, which will not affect their income since the acquired land is abandoned farmland and cannot be farmed for many years. 20. Kaken Halibieke, male, Kazak, 51 years old. His family has five people including a disable son. Therefore, this family is in poverty. The project will cause his land loss of 3.41%. 2.8. Ethnic Minorities 21. The land acquisition will affect 5 minority HHs with 25 people of North Hala Bula village, accounting for 15.53% of the total 161 APs. The nationality and distribution of affected minorities are shown in Table 2-4. 22. Affected minority people mainly engage in the farming and enjoy the local social status, and their economic status is consistent with the Han, and retains their national characteristics in the habits and religion. Table 2-4: Nationality and Distribution of Affected Minority People All APs Minority APs Hazak Hui Zhuang No Road HH person HH person HH person HH person HH person 1 Gui Hua Yi 12 48 3 14 2 11 — — 1 3 2 Gui Hua Er 27 105 2 11 — — 2 11 — — 3 Donghuan 2 8 — — — — — — — — 4 Total 41 161 5 25 2 11 2 11 1 3 Source: Socioeconomic survey, October 2013 2.9. Affected Attachments and Infrastructure 23. The ground attachments and infrastructure affected by the project are shown in Table 2-5. Table 2-5: Affected Attachments and Infrastructure Item Amount Ownership Cement poles 8 State-owned Telegraph pole Wooden Telegraph 5 State-owned pole Sporadic elm 5-15 cm 35 State-owned Sporadic poplar 5-15 cm 28 State-owned Source: Socioeconomic survey, October 2013

3. Socioeconomic Profile of Affected Areas

3.1. Socioeconomic Status

24. Yumin County is located in northwest of XUAR in east longitude 82°12'—83°30', latitude 45°24'—46°3'. Its east is connected with Toli county, northeast connected with Emin County, the north is close to Tacheng, and west and southwest is bordered with the Republic of Kazakhstan. The border length is 170km. Yumin County administrates a town, Hala Bula town, and five townships of Hala Bula, Xindi, Aletengyemule, Jiyeke, and Jiangkesi. Its county People's Government is located in Hala Bula town.

25. According to the "Yumin County Statistic Bulletin 2013", the per capita GDP of the county reached 19,698 yuan in 2012, per capita net income of farmers and herdsmen was 9,116 yuan, and per capita disposable income of urban residents was 14,597 yuan. By end of 2012 the total households was 18,829 and total population is 54,081 people, including minority population of 23,912 people, accounting for 44.22%. There are mainly 19 different ethnic minorities, including Kazak, Hui, Uygur, Mongolian, etc.

26. Hala Bula Township is located in 1.5 km southwest of Yumin county, and is a township connecting to the urban area. Local people mainly are engaged in agricultural production, and combined agriculture and animal husbandry. The township is the rural poverty alleviation focused township of XUAR. As of 2013, its total area is 560 square kilometers, and there are 500,000 mu pasture, 86,000 mu of arable land. The township consists of six administrative villages with a total population of 8,301 people, including the Han, Kazak, Hui and other 11 ethnic groups.

27. North Hala Bula village is close to town urban area and is a combination of urban and rural villages. The village has 24,000 mu cultivated land, of which 11,690 mu is irrigated land. Due to lack of water, only half of irrigated land is actually farmed. And the village consists of five ethnic minorities, Han, Kazak, Hui, Russian and etc. It has 762 HHs with a total population of 1,971 people, including 50 ethnic minority HHs with 121 people. North part of the village has production of a combination of agriculture and animal husbandry villages, main products are wheat, safflower, melon and other food crops, in which wheat, crops and safflower are main food crops. 165 HHs with 300 people are low-income HHs.

3.2. Socioeconomic Profile of Affected People

28. In October 26- November 11, 2013, the RP preparation agency conducted a field investigation and a household survey on local socioeconomic status. All of 41 AHs were surveyed. Detailed results of the household survey are presented in Table 3-1.

Figure 3-1: Socioeconomic Questionnaire Survey on Affected People

3.2.1. Affected population

29. The demographic profile of the APs is shown in Table 3-1. The APs include 87 males, 74 females; 136 Han people, 11 Kazak, 11 Hui, and 3 other minority people.

Table 3-1: Demographic Profile of Surveyed Households Men Women Total Type Qty. % Qty. % Qty. % Households 41 Average population 3.93 Age ≤6 years 4 2.48% 1 0.62% 5 3.11% 7-19 years 5 3.11% 3 1.86% 8 4.97% 20 -35 years 27 16.77% 26 16.15% 53 32.92% 36 -50 years 25 15.53% 21 13.04% 46 28.57% 51 -60 years 13 8.07% 13 8.07% 26 16.15% 61 -70 years 11 6.83% 8 4.97% 19 11.80% ≥71 years 2 1.24% 2 1.24% 4 2.48% Total 87 54.04% 74 45.96% 161 100.00% Ethnic group Han 71 44.10% 65 40.37% 136 84.47% Kazak 7 4.35% 4 2.48% 11 6.83% Hui 7 4.35% 4 2.48% 11 6.83% Others 2 1.24% 1 0.62% 3 1.86% Total 87 54.04% 74 45.96% 161 100.00% Education level Preschool 4 2.48% 1 0.62% 5 3.11% Illiterate or semiliterate 1 0.62% 1 0.62% 2 1.24% Primary school 16 9.94% 17 10.56% 33 20.50%

Men Women Total Type Qty. % Qty. % Qty. % Junior high school 49 30.43% 40 24.84% 89 55.28% Senior high school or technical secondary 12 7.45% 10 6.21% 22 13.66% school Junior college or above 5 3.11% 5 3.11% 10 6.21% Total 87 54.04% 74 45.96% 161 100.00% Occupation Preschool children 4 2.48% 1 0.62% 5 3.11% Crop cultivation 48 29.81% 45 27.95% 93 57.76% Stockbreeding 1 0.62% 0 0.00% 1 0.62% Ind ustry 1 0.62% 0 0.00% 1 0.62% Commerce 1 0.62% 1 0.62% 2 1.24% Transportation 1 0.62% 0 0.00% 1 0.62% Official 1 0.62% 0 0.00% 1 0.62% Student 8 4.97% 8 4.97% 16 9.94% Worker 22 13.66% 18 11.18% 40 24.84% Other 0 0.00% 1 0.62% 1 0.62% Total 87 54.04% 74 45.96% 161 100.00% Source: Socioeconomic survey, October 2013. The number of surveyed households is 41HHs with 161 people.

3.2.2. Age

30. The age distribution reveals that the age in 20-35 group for both men and women is in a large proportion (32.92%). In this group, except for students, the rest population is labor force. Secondly, 36-50 age groups accounted for 28.57% of the total population, the other part, 51-60 age group of the population is also the subject of the labor force, the proportion was 16.15%. Therefore, the labor forces in groups of the age 20 to 60 accounts for over 77.64% of the APs.

Figure 3-2: Age Distribution of Affected People 3.2.3. Education

31. Among the APs, 55.28% of the people have received junior high school education, while the people educated in primary school, and senior high school and secondary technical school accounts for 20.50%, 13.66% and 6.21% respectively. The illiterate or semiliterate accounting for 1.24% is those people who are over 60 years old. Men and women among those having received secondary or higher education are almost the same.

Figure 3-3: Education Level Distribution of Affected People

3.2.4. Occupation

32. Among the laborers, 57.76% deal with crop cultivation, 0.62% with stockbreeding, 0.62% with industry and 1.24% with business, 0.62% of cadres personnel in state-owned institutions, 0.62% engaged in the transport sector, and 24.84% engaged in temporary jobs.

Figure 3-4: Occupation Distribution of Affected People 3.2.5. Land Resources

33. The affected household has the largest farmland area of 122 mu, the minimum of 22 mu, and average farmland area is 58.54 mu per household, as presented in Table 3-2.

Table 3-2: Farmland Area of Affected Households

Total Land type Average cultivated land Item Min. (mu) Max. (mu) household area per household (mu) LA 41 Arable land 22 122 59.61 Source: Socioeconomic survey, October 2013

3.2.6. Household Assets

34. Among the AHs, the overall possession rates of TV sets and cell phones are 100%, and the average quantities per household are 1.0 and 2.6, respectively. The overall possession rates of wash machine, refrigerator, electric cooker, motorcycle and PCs are over 80%. It is found that the rate of having basic computer and other appliances have been popular, which indicated that households pursue quick, efficient modern life.

Table 3-3: Selected Household Assets of Affected Households Average qty. per Average qty. per Item Household Possession rate household capita Microwave 2 4.88% 0.05 0.01 Washing 37 90.24% 0.9 0.23 machine

Average qty. per Average qty. per Item Household Possession rate household capita Refrigerator 36 87.80% 0.9 0.22 PC 24 58.54% 0.6 0.15 TV set 41 100% 1.0 0.25 Fixed telephone 25 60.98% 0.6 0.16 Cell phone 105 100% 2.6 0.65 VCD/DVD 30 73.17% 0.7 0.19 Electric cooker 40 97.56% 1.0 0.25 Bicycle 32 78.05% 0.8 0.20 Electric cart 24 58.54% 0.6 0.15 Motorcycle 36 87.80% 0.9 0.22 Tractor 17 41.46% 0.4 0.11 Car 8 19.51% 0.2 0.05 Source: Socioeconomic survey, October 2013

3.2.7. Income and Expenditure

35. The income of Northern Hala Bula village farmers is mainly from farming or agricultural production. Their family members also are engaged in some non-farm work including small business to increase family income. For the affected 5 minority families belong to Hala Bula village, there family income is mainly from farming. The details about family income and expenditure of those affected 41 HHs and 5 minority families are shown in table 3-5.

Table 3-4: Economic Statistics of the Sample Households in 2012 Surveyed Type Item Min. Max. Average St. d. family Annual per capita income (yuan) 3,695 20,000 11,577 3,660.18

Affected Households (total) 41 Annual per capita expenditure 2,386 13,951 7, 303 2,266.51 (yuan)

Annual per capita income (yuan) 2,800 1,9000 10,327 4,308.27 Affected Ethnic Minority 5 Annual per capita expenditure Households 1,976 11,735 6,733 3,177.21 (yuan) Source: Socioeconomic survey, October 2013

36. From Table 3-5, the average household income of North Hala Bula village farmers is mainly from farming, accounting for 57.9%. The second is from migrant work, accounting for 21.9%.

Table 3-5: Average Household Income Sources of Affected Households in 2012 Migrant Item Farming Business livestock Wages Subsidy Other Total work Affected Households 25585 9678 2793 687 4439 72 926 44180 (total)

Proportion 57.91% 21.91% 6.32% 1.56% 10.05% 0.16% 2.10% 100.00%

Affected Ethnic 25630 9153 0 567 4815 295 760 41220 Minority Households

Proportion 62.18% 22.21% 0.00% 1.38% 11.68% 0.72% 1.84% 100.00% Source: Socioeconomic survey, October 2013

37. Table 3-6 showed the composition of average household expenses of the AHs. The expenses on living and investment in agricultural production are accounted for large proportion, 36.5% and 40.6%, respectively.

Table 3-6: Average Household Expenditure Pattern of Affected Households in 2012 Total Affected HHs Affected Ethnic Minority Households Item Average household (Yuan) Proportion Average household (Yuan) Proportion

Water expenses 147 0.54% 154 0.60% Electricity expenses 985 3.65% 879 3.44% Heating expenses 1733 6.42% 1518 5.93% Investment in agriculture 10956 40.58% 10375 40.56% living expenses 9841 36.45% 10080 39.41% running business expenses 476 1.76% 0 0.00% Clothing expenses 656 2.43% 780 3.05% Educational expenses 487 1.80% 318 1.24% Medical expenses 205 0.76% 180 0.70% Traffic expenses 265 0.98% 215 0.84% Communication expenses 568 2.10% 600 2.35% Others 680 2.52% 780 3.05% Total 26999 100.00% 25879 101.17% Source: Socioeconomic survey, October 2013

3.3. Gender Analysis

3.3.1. Gender difference in education

38. It is shown that 55.28% of family members of the AHs have received junior middle school

education, in which men and women accounted for 30.43% and 24.84%, respectively. For the primary school education, men and women accounted for 9.94% and 10.65%, respectively.

Figure 3-5: Educational Level Difference between Men and Women 3.3.2. Gender difference in occupation and income

39. It is shown that the proportion of women dealing with agriculture, business, industry and short-term labor and working at government agencies or public institutions are slightly lower than those of men. In most farming households, men usually work elsewhere or locally in the slack season, and would return home for farming in the busy season.

Figure 3-6: Occupation Difference between Men and Women

40. In order to better identify the income level of the affected male and female laborers, 20 AHs were sampled randomly during the survey. The result showed that the average of annual income of male laborers was 16,552 yuan, while it was 12,683 yuan for female laborers. It is explained that men work outside for non-farm activities longer than women, while female engaged in agricultural production activities at home more than men.

Table 3-7: Income Difference of Male and Female Laborers in 2012 Unit: yuan/year/person

Item Sample size Min. Max. Average St. d.

Male annual income per capita (yuan) 20 8,400 28 ,000 16 ,552 5,398.04

Female annual income per capita (yuan) 20 6,300 21 ,000 12 ,683 4,520.81 Source: Socioeconomic survey, October 2013.

41. In the annual income interval of below 20,000 yuan, men’s average income differs slightly from that of women. In the annual income interval of 20,000-28,000 yuan, men’s average income is much higher than that of women. It is because male laborers mostly deal with business or high-pay jobs and earn more income, while women mostly do housework at home, and have less time and chances to earn more money.

Figure 3-7: Income Differences between Men and Women

42. Table 3-8 showed the proportion of women’s income in household total income among 20 sampling households with female labor (doing farm work mainly, and some dealing with services). The average women’s income is accounted for 20%-76% of total household income, averaging 41%. This shows that women’s economic status is improving. Therefore, great attention should be paid to the protection of women’s rights during project implementation.

Table 3-1: Contribution of Women’s Income to Household in 2012 Item Sample size Min. Max. Average St. d.

Proportion of women’s income in household 20 20% 76% 41% 0.13

Source: Socioeconomic survey in October 2013.

3.3.3. Summary

43. In rural households, women's economic status is gradually improved, and the role of men and women in family life and production become more equal. Female family members have a greater voice on important household matters, such as children’s education and housing purchase. In addition, they also bear the rearing and housework and other family responsibilities. In the slack time, women and men will go out together or in local place to make wages, to increase family income.

44. Except regular housework (e.g., cooking, cleaning, and buying daily necessities), rural female also do farm work in order to secure household income and maintain livelihoods together with men. Their status in family life and agricultural production is essential.

45. According to the survey, women’s concerns about resettlement are essentially the same as those of men, regardless of their occupation:

(i) Compensation should be available timely. (ii) Jobs generated by the project should be provided to women so that they participate in the project.

4. Legal Framework and Policies 4.1. Laws, Regulations and Policies Applicable to Resettlement

46. The resettlement policies of the project have been developed in accordance with the laws and regulations of the PRC, and ADB’s policies, including:

ADB policies:

 Safeguard Policy Statement (2009), Safeguard Requirement 2: Involuntary Resettlement

 Gender and Resettlement Analysis (2006)

Laws and regulations of the PRC

 Land Administration Law of the PRC (effective from January 1, 1999, amended on August 28, 2004)

 Decision of the State Council on Deepening the Reform and Rigidly Enforcing Land Administration (SC [2004] No.28) (effective from October 21, 2004)

 Guidelines on Improving Compensation and Resettlement Systems for Land Acquisition (MLR [2004] No.238) (effective from November 3, 2004)

 Property Law of the PRC (Decree No.62 of the PRC, effective from October 1, 2007)

Policies of XUAR  Measures of XUAR for the Implementation of the Land Administration Law of the PRC (XUAR People’s Congress [1999] No.913, effective from October 1, 1999)

 Document (XPPH [2001] No.500] of the XUAR Development Planning Commission and Department of Finance

 Reply on the Uniform AAOV Rates for Land Acquisition of XUAR (XG [2010] No.323)

 Notice on the Implementation of the Reply of the XUAR Government on Approving the Uniform AAOV Rates for Land Acquisition (XFR [2011] No.161)

 Notice on Implementation of Autonomous Unified Annual Output Value Standard " (new MLR [2011] No. 19)

4.2. ADB’s Policy Requirements on Involuntary Resettlement

47. The objectives of ADB's Involuntary Resettlement Policy are (1) If possible, involuntary resettlement should be avoided; (2) If resettlement is unavoidable, all feasible options should be

explored and the scope of resettlement should be as small as possible; (3) Ensure that the displaced persons have the same economic and social conditions before and after the project; (4) Improve the living standard of displaced poor and other vulnerable groups..

48. Involuntary resettlement is an important part of the project design and resettlement plans. Planning and implementation should take into account the following basic principles:

(1) Screen the project early on to identify past, present, and future involuntary resettlement impacts and risks. Determine the scope of resettlement planning through a survey and/or census of displaced persons, including a gender analysis, specifically related to resettlement impacts and risks.

(2) Carry out meaningful consultations with affected persons, host communities, and concerned nongovernmental organizations, informed displaced persons of their entitlements and resettlement options. Ensure their participation in planning, implementation, and monitoring and evaluation of resettlement programs. Pay particular attention to the needs of vulnerable groups. Support the social and cultural institutions of displaced persons and assist the local population in the resettlement area

(3) Improve or at least remain, the livelihoods of all displaced persons through (i) land-based resettlement strategies when affected livelihoods are land based where possible or cash compensation at replacement value for land when the loss of land does not undermine livelihoods, (ii) prompt replacement of assets with access to assets of equal or higher value, (iii) prompt compensation at full replacement cost for assets that cannot be restored, and (iv) additional revenues and services through benefit sharing schemes where possible.

(4) Provide physically and economically displaced persons with needed assistance, including the following: (i) if there is relocation, secured tenure to relocation land, better housing at resettlement sites with comparable access to employment and production opportunities, integration of resettled persons economically and socially into their host communities, and extension of project benefits to host communities; (ii) transitional support and development assistance, such as land development, credit facilities, training, or employment opportunities; and (iii) civic infrastructure and community services, as required.

(5) Improve the standards of living of the displaced poor and other vulnerable groups, including women, to at least national minimum standards. In rural areas provide them with legal and affordable access to land and resources, and in urban areas provide them with appropriate income sources and legal and affordable access to adequate housing.

(6) Develop procedures in a transparent, consistent, and equitable manner if land acquisition is through negotiated settlement to ensure that those people who enter into

negotiated settlements will maintain the same or better income and livelihood status.

(7) Ensure that displaced persons without titles to land or any recognizable legal rights to land are eligible for resettlement assistance and compensation for loss of non-land assets.

(8) Prepare a resettlement plan elaborating on displaced persons’ entitlements, the income and livelihood restoration strategy, institutional arrangements, monitoring and reporting framework, budget, and time-bound implementation schedule.

(9) Disclose a draft resettlement plan, including documentation of the consultation process in a timely manner, before project appraisal, in an accessible place and a form and language(s) understandable to affected persons and other stakeholders. Disclose the final resettlement plan and its updates to affected persons and other stakeholders.

(10) Conceive and execute involuntary resettlement as part of a development project or program. Include the full costs of resettlement in the presentation of the project’s costs and benefits. For a project with significant involuntary resettlement impacts, consider implementing the involuntary resettlement component of the project as a stand-alone operation.

(11) Pay compensation and provide other resettlement entitlements before physical or economic relocation. Implement the resettlement plan under close supervision throughout project implementation.

(12) Monitor and assess resettlement outcomes, their impacts on the standards of living of displaced persons, and whether the objectives of the resettlement plan have been achieved by taking into account the baseline conditions and the results of resettlement monitoring. Disclose monitoring reports.

4.3. Differences between ADB and PRC Policies

49. Generally speaking, there are many similarities between the ADB’s involuntary resettlement policies and the PRC’s LAR policies, which include:

 Both of them address importance to avoid or reduce resettlement impacts during the planning and design stage of a project;

 Both of them address importance of the restoration and improvement of the livelihood of APs;

 Both of them address importance of the openness and transparency of the resettlement policies;

 Both of them address importance of the participation and awareness of the public during resettlement;

 Both of them require that the formulation and implementation of the resettlement compensation standard must be in accordance with relevant national laws, regulations and policies.

50. However, there are still some differences in some aspects between ABD’s involuntary resettlement policies and the PRC’s LAR policies, which include:

 ADB addresses more importance of the planning prior to the implementation of resettlement, and it requires that a feasible RP to be prepared in accordance with ADB’s involuntary resettlement policies;

 The ADB’s resettlement policies ensure that displaced persons without titles to land or any recognizable legal rights to land are eligible for resettlement assistance and compensation for loss of non-land assets at replacement costs. However, the LAR policies of the PRC provide a different compensation policy to unlicensed structures;

 ADB has specific and clear requirements on public participation and public opinion polls surveys, such as consultation and information on compensation standards must be published;

 ADB policy requires that the compensation should be sufficient to any losses and restore long-term revenue potential. Chinese standards are based on the average annual output value.

 ADB addresses more importance of the special care extended to the vulnerable people during resettlement; and

 ADB addresses more importance of monitoring and evaluation during and after resettlement implementation.

51. Based on the above analysis, during preparation for the LAR, this project have taken full account of the relevant policies of ADB and the following measures:

 The preparation of the Project and RP must be based on concrete social economic survey, physical impact survey, detail social analysis;

 Special cares must be given to vulnerable people including poor, women, during preparation and implementation of the LAR;

 Make compensation at replacement value to buildings without titles to land constructed before the cut-off date;

 After compensation to APs for land loss, the further technical training, public employment, job support should be provided to APs to restore their sustainable livelihoods;

 Publish the RP and resettlement information booklet (RIB) in accordance with requirements of ADB; and

 Establish internal and external monitoring systems for the LAR and conduct monitoring and evaluation during and after implementation of the RP.

52. With the above measures, the ADB’s resettlement policies and the PRC’s LAR policy gaps will be bridged and the smooth implementation of the LAR will be guaranteed.

4.4. Eligibility and Beneficiaries

53. The cut-off date for eligibility for the compensation is January 31, 2015 on which Yumin County Government confirms the RP. Any newly claimed land, newly built house or settlement in the project area by the APs after this date will not be entitled to the compensation or subsidization.

4.5. Compensation Rates

4.5.1. Compensation rates for state-owned land

54. The project is of the construction of public utilities, so the use of state-owned land can be obtained by allocation of urban state-owned land. Based on the document [XinJiJiaFang (2001) No. 500] issued by XUAR Development and Reform Commission and Department of Finance, standard rates for the compensated use of the state-owned land is 8-15 yuan/m2. The rate for land within urban built-up area is 15 yuan/m2, while it is 8 yuan/m2 for the land outside of the urban built-up area. The land use right can be activated after the relevant land formalities are approved.

4.5.2. Collective arable land compensation standards

55. Collective arable land compensation standards are made in accordance with the "Notice on Promulgation and Implementation of a Unified Annual Output Value Standards" (issued by Xinjiang MLR [2011] No. 19). The unified annual output values as a basis for different land grades are presented in Table 4-1.

Table 4-1: Unified Annual Output Values of Collective Land First grade collective Second grade collective Third grade collective Degree land land land Annual Output 1,500 800 600 Value (yuan/mu) Note 1. This table standard applies to arable cultivation of food crops. 2. The annual output value of farmland planted specialty crops, vegetable, orchard farmland should be higher than the first-class standard table; cotton fields should be paid at maximum

of 1.5 times; orchard may not exceed two times; vegetable may not exceed three times; grapes ground shall not exceed 4 times. Compensation for other crops will be estimated by actual annual output. 56. The compensation rate for LA caused by this project is as follows.

(i) Depending on the different planting crops, the base compensation for land acquisition determined as following:

Cultivated land compensation basis is 1,500 yuan/mu

(ii) Land compensation fee unified calculated at 8 times of the compensation basis for land acquisition, it is:

Land compensation fee: 1,500 (basis) × 8 = 12,000 yuan/mu

(iii) Resettlement fee unified calculated at 17 times of the compensation basis for land acquisition, it is:

Resettlement fee1,500 (basis) × 17 = 25,500 yuan/mu

(iv) Young crops will be compensated by actual presence on the acquired land, if no crops, no compensation, but if it has, 600 yuan/mu will be paid as a standard.

Table 4-2: Cultivated Land Compensation Standard of the Project Compensation standardyuan/mu

Type Land Resettlement Yo ung corps Total compensation subsidy

Cultivated land 12 ,000 25 ,500 600 38 ,100 Source Supplied by Yumin County construction bureau and land and resource bureau in October 2013

57. The compensations of resettlement subsidies, young crop fees and ground attachments will be paid to the AHs directly; while the land compensation should be paid to the rural collective economic organizations in accordance with Article 26 of the Regulations for the Implementation of Land Administration Law. For this project, it means the land compensation fee should be paid to North Hala Bula village collective, and all the villagers will discuss the usage of the land compensation together. However, considering the vital interests of APs who lose farmland due to the project, Yumin PMO and Land & Resource Bureau and North Hala Bula village collective have determined to pay the compensation to the villagers directly after public consultation and discussion. It means that all land compensation at 38,100 yuan/mu will be paid to AHs directly.

58. In addition to these costs, the imposition of collective farmland, PMO need to pay new construction land use fees to the Land and Resource Department , land reclamation fees , land resettlement management fees; accordance with the No. 500 document of New house pricing issued by Xinjiang Uygur Autonomous Region DRC and Ministry of Finance, new construction

land use fees is 10 yuan/m2, land reclamation fee is 3,000 yuan/mu, and land resettlement management fee charged at 4% of the total levy charges reversed .

4.5.3. Attachments compensation standards

59. Attachments and special facilities affected compensation standards shown in Table 4-2.

Table 4-3: Attachments and special facilities affected compensation standards Compensation Item Amount Owner standard (yuan) Cement poles 8 150 State-owned Po wer poles Wooden utility 5 90 State-owned poles Sporadic elm 5-15cm 35 100 State-owned Sporadic poplar 5-15cm 28 100 State-owned Source: Yumin PMO

4.6. Entitlement Matrix

Table 4-4: Entitlement Matrix Type of Compensation Policy and Impact Scope APs Entitlements Impact Rates 1 Rights: (1) All land acquisition compensation (including land compensation, resettlement subsidy and crop compensation) in 100%will be paid to the APs; (2) During project construction, the PMO will provide unskilled job priority to APs, so that the APs will generate cash income; Land compensation rate Permanent 41 and (3) the PMO will organize is CNY12, 000 per mu 161.79 mu Land households technical training for APs, resettlement subsidy collective Acquisition with 161 inviting the technical staffs standard is 25,500 arable land, 41 of APs of from agricultural sector and yuan/mu; and crop households Cultivated North Hala the labor and social security compensation is CNY with 161 APs Land Bula Village bureau to carry out trainings 600 per mu. The total is on farming husbandry and CNY 38,100 per mu. other s related, to make sure all APs received at least 2 times training on farming and non -agricultural production. Measures to restore the livelihood of APs include: (1) with the help of cash compensation, APs can engage in non-agricultural

Type of Compensation Policy and Impact Scope APs Entitlements Impact Rates activities, such as transportation or business; (2) adjusting the agricultural structure, via the guidance and technical training from government, to expand the acreage of cash crops, and (3) develop family breeding to improve the economic income. Besides the rights above, they have the more right of (1) During project construction, PMO provide unskilled job 2 priority to them to increase households their economy income; and (2) Vulnerable 2 households with 2 labors of vulnerable families Same as above Groups with 2 APs people should be provided of skill affected by training; employment LA information and guidance to increase job opportunity; (3) setting up special supporting fund of CNY6400 to help them. 5 households Besides the rights above, they Ethnic 5 households with25 have the more right of (1) in Minority Same as above with 25 APs people priority to be employed. (2) In Group affected by priority to get the training. LA Besides the rights in first column, they have the more right of (1) have priority access to project non -technical jobs employment; (2)enjoy the training priorities for female Affected 91 Women 91 people labor, in order to ensure their Same as above women economic status is not compromised; (3) ensure that the resettlement process access to relevant information and be able to participate in consultation related to LAR issues (1) Ground attachment (power See Attachments Ground Including public poles and some elm and polar compensation Attachments Property facility ,trees trees) compensation will be standards in Section and Public owners and so on paid to the owner; and (2) the 4.5. 3: Power poles: Facilities compensation will be 90 to 150 yuan per

Type of Compensation Policy and Impact Scope APs Entitlements Impact Rates determined according to the one ; 100 yuan per replacement cost and tree. The evaluated restoration shall be in replacement cost accordance with the original shall not be lower scale and standards. than above rates.

5. Resettlement Measures

5.1. Objectives of Resettlement

60. The objective of the project resettlement is to restore the AHs’ annual net income per capita to the pre-resettlement level and further improved with local economic development. 5.2. Principles of Resettlement Restoration

61. According to the applicable laws and regulations of the PRC and ADB’s Policy on Involuntary Resettlement, the following basic principles will apply to the resettlement work of the Project: (1) Implement resettlement and the applicable compensation policies properly to improve or at least restore the production level and standard of living of the affected residents; (2) The affected people shall be fully consulted for resettlement programs; (3) The planning layout shall be determined on the principle of “facilitating production and life”; and (4) Resettlement shall be combined with the local urban development, resources development, economic development and environmental protection programs. Feasible measures shall be designed to restore and improve the displaced persons’ production level and standard of living, and create necessary conditions for their self-development. 5.3. Recovery Plan for Acquired Collective Arable Land

62. According to the land loss analysis in Section 2.4, for the affected 41 HHs, the minimum land loss rate is 2.58%, and the maximum is 22.50%. The overall rate of land loss is 6.62%. AHs will lose only a small part of their farmland, and the land was abandoned land for many years, so it will has no impact on their current income from agricultural production. However, considering the long-term life of the livelihood of APs, the PMO conducted a detailed loss analysis of their loss as presented in Table 5-1 in order to provide appropriable compensation. Assuming the acquired land is being cultivated land and the village widely grown wheat, the annual net income of growing wheat can reach 500 yuan/mu. The land acquisition will make 41 AHs lose 80,900 yuan per year in total, or the average AH loss is 1,973 yuan per year, or per capita loss is 502 yuan per year. According to the compensation policy and rates, the 41 AHs will receive 1.9415 million yuan of land compensation, 4.1256 million yuan of resettlement subsidies, and 97,100 yuan of young crops compensation. In total, the compensation is 76 times of its expected annual net income per year from the acquired farmland. Details are shown in Table 5-1. Table 5-1: Net Income Loss and Compensation after Land Acquisition

A: Net Income B : Land Acquisition Compensation (10,000yuan) No. of Times Loss (10,000 AH Land Resettlement Young of B/A yuan/year) Type Total compensation subsidy corp 41 8.09 Arable land 194.15 412.56 9.71 616.42 76

63. In order to restore its original production and living and income levels as quickly as possible, the PMO prepared recovery plan based on full consultation and the status of the AHs.

64. According the survey to the 41 HHs, all AHs require cash compensation. After obtaining the compensation, they will invest primarily in commercial, farming and aquaculture sector and the skills learning. The project resettlement livelihood restoration measures are mainly the following: (1) Engaging in non-agricultural activities with the cash compensation. With the improvement of the city functions and the increased size of the urban, Yumin County's commercial and service sectors have been considerable development. The workers in these sectors increased gradually, the land-loss farmers can use their compensation for commercial and service industry investment. For example: with the increasing improvement of road and urban construction, the increasing demand for taxi, road and public facility maintenance, APs can use the compensation on taxi business, or rented store on the side of the newly build streets, and engage in commercial activities (running department stores, restaurants), to get non-farm income. Most of APs who plan to do taxi business have hold driver license, and some are preparing for examination of the license. APs who like to operate stores or catering can receive relevant business training for opening small business during the project implementation. APs who like to do road and public facility maintenance can start their work from unskilled positions, and they also can receive relevant skill training on the job position. (2) Adjusting the agricultural structure, guidance and training in cultivation techniques by government departments; expanding economic crop acreage; and developing family breeding. Although North Hala Bula Village grow some crops safflower1, mainly engaged in the cultivation of wheat, due to the production of cash crops occupied a larger area, and therefore safflower acreage get smaller. After getting the land compensation, and through guidance of cultivation techniques training from government departments, they can expand safflower acreage to increase income; also can construct vegetable greenhouses to increase income. In addition, APs can combine their location and the actual situation to develop breeding of sheep, cattle, pigs and others to increase income. Local human and social security bureau provides such training to local farmers every year. APs can receive the training without any cost and any entrance examination. The project has prepared such training and will work with local human and social security bureau to conduct training according to specific requirements of APs during the project implementation. 65. Throughout the production restoration process, the PMO will organize the APs for technical training, such as the economic crops and farming as well as training and other types of industries.

1 Safflower oil is an annual herb, flower dual-purpose crops, wider use, high economic value, adaptable, hardy drought salinity; safflower seeds can be used to produce edible oil, safflower petals can be used as medicine, has the effect of promoting blood circulation; higher economic value from. 36

Table 5-2: Affected Households’ Income Restoration Programs

Initiate Responsible Item Revenue Remark investment agencies Yumin County is a tourist city, near from the Annual Tacheng city, convenient income: transportation conditions 50,000 yuan; are ripe to engage in the or the tourist Transport 80,000 yuan, transportation industry. season and So the industry can the harvest develop faster and get season: 500 higher returns. yuan/day Need proper training Labor and driving skills social security N eed to use the land bureau for the compensation to rent a training and Investment house store beside the employment Annual in business Store/ street, and one person guidance; The 45,000 yuan income: shops can run business; PMO PMO for 20,000 yuan can help APs apply for coordinating business licenses the relevant related shops formalities procedures Operating ethnic restaurants, meet the needs of nearby Annual income residents. Daily income Catering 40,000 yuan can reach can reach 300-500 yuan 25,000 yuan during tourist season of Yumin County "Mountain Flower Tourism Festival" from May to August. Labor and Yumin County social security agricultural companies bureau for can buy for crop sales, training and Economic Saffron 1,500-2,000 3, 000-5,000 Yumin County safflower guidance; crops cultivation yuan/mu yuan/mu seed and safflower Agriculture petals acquired bureau for businesses and the planting self-employed more. guidance

(1) Each greenhouse requires 0.2 to 0.5 mu, the remaining arable land per AH has about 55 mu, completely meet the need of greenhouse vegetables; Labor and 25,000 yuan (2) The AHs have no social security in the first experience in department is Greenhouse year, then Net Annual greenhouse cultivation Vegetable responsible for vegetable 5,000 yuan income: techniques. The AHs will greenhouses the training cultivation to 10,000 21,000 yuan be free trained on and yuan per greenhouse cultivation, employment year breeding and others guidance agricultural technologies. e of training time before the land can save a month's time. So they can gain faster from the investments. Note: The restoration program is based on public consultation with affected households and local market survey conducted by the PMO and the RP preparation agency. Affected households can choose the program by themselves.

66. Meanwhile, during the project construction, resettlement implementing agencies will help to support the livelihood restoration, including (1) During project construction, will provide the labor job priority to the APs; such as: arrange some unskilled job; during project construction and operation phase, the non-technical public service jobs generated by the project will be offered priority to vulnerable families. Construction contractors will prepare the number of jobs and labor demand amount before starting construction, and consultation the content about training program, so that more APs can benefit from it. According to the survey, 95% of the APs want to participate in this project in the slack time. After the project completion, road area, green area will be substantial increased, maintenance equipment conditions also improved, which requires more road maintenance workers, green management workers, lighting conservation and management of workers, equipment and vehicle drivers. According procurement project construction content and devices, according to preliminary estimates of the PMO and design institute, the implementation of the project and operation phase will create 123 jobs, as shown in Table 5-3. Table 5-3: Expected Job Creation of The Project Job Type and Amount Project Phase Type Amount (position) Technical jobs 8 Temporary jobs created in Unskilled jobs 100 construction period Sub-total 108 Technical jobs 8 Permanent jobs created in Unskilled jobs 7 Project operation phase Sub-total 15 Source: FSR prepared agency

(2) The PMO will organize technical training for APs during the restoration period, inviting the technical staffs from agricultural sector and the labor and social security departments to carry out trainings on farming husbandry and other related aspects, to make sure all APs received at least 2 more times training on farming and non-agricultural production. 5.4. Training

67. In addition to the cash compensation, a special training program is developed for the AHs. 200 person-times will be trained in total, and at least two person-times of each AH will be trained. 45% of person-times of training will be provided to women. (1) Scope of training: According to the industry structure and market demand of Yumin County and surrounding areas, vocational skills training will be conducted with focus on crop cultivation, stockbreeding and services, including stockbreeding, repair, electric welding, tailoring, etc. Table 5-4: Training Content and Program Training budget Person No Content Target groups Female Time (10,000 yuan) -times Crop Farmers affected February 1 2.5 60 27 cultivation by LA 2015 Stockbreedin Stockbreeding March 2 1.5 40 1815 g HHs 2015 Plan to engaged Small November 3 in commercial 1.42 50 23 business 2015 farmers

Skill training December Farmers affected 2015 to 4 electric 4.0 50 23 welding by LA February 2017 tailoring cooking

(2) Methods of training: Including vocational skills training, single-skill training and on-the-job training, in which vocational skills training will be conducted by training institutions and employers under the leadership of the department in charge of labor and social security, with focus on farming, stockbreeding and crop cultivation skills. (3) Organizational structure: YCG has established the Project Leading Group, and the training working team will be affiliated to the Yumin PMO, which will be located at the Yumin County Labor and Social Security Bureau, and the leading group will be established in village/community.. (4) Funding: The training budget of Yumin Project is 94,200 yuan. The training budget include organizational, teaching material, printing, examination and practice costs, and trainer remuneration, which will be paid by the training working team of the Subproject. 5.5. Disadvantaged Groups Support Program 68. Vulnerable groups affected by the land acquisition can obtain the compensation, and also enjoy a number of other policies:

(1) Provide training to the vulnerable group families, while providing employment information and guidance, in order to increase employment opportunities. (2) During construction projects, giving priority to recruit vulnerable group families for unskilled labor. (3) Providing vocational training and employment Information to vulnerable families labors as well as guidance to increase job opportunity; (4) Listing special supporting fund of CNY6,400 from resettlement budget to help vulnerable group. 5.6. Protection of Women’s Rights 69. Women will participate fully in resettlement activities through information disclosure and village meeting, and enjoy the same rights as men in compensation, employment and training. In addition, the following measures will be taken to help women restore income: (1) At the construction stage, it should be ensured that a certain number of women receive unskilled jobs generated by the project, and women and men will receive equal pay for equal work (2) Skills training, including training on stockbreeding and crop cultivation, will be first made available to affected female laborers so that their economic status is not reduced (3) At the operation stage, cleaning, landscaping and environmental sanitation jobs will be offered to affected women to ensure their income restoration; and (4) Affected women will receive relevant information, and participate in public consultation and resettlement. 5.7. Ethnic Minority Development 70. The population affected by LA includes 5 minority households with 25 persons, mainly being Kazak and Hui people. The minority population will enjoy the same rights to compensation for LA and resettlement as the Han population, and have priority in employment and training. 5.8. Restoration of Infrastructure and Ground Attachments 71. Affected infrastructure and ground attachments will be restored by proprietors after receiving compensation from the owner of the project. Restoration measures must be planned in advance, and suited to practical conditions, so as to be safe, efficient, timely and accurate, with minimum adverse impact on nearby residents.

6. Public Participation and Grievance Redress

72. According to relevant policies and regulations of the state, regional and municipal and county on LAR, it is very necessary to conduct public consultation and encourage active participation of APs in project preparation and implementation stages in order to protect the lawful rights and interests of the APs, reduce grievances and disputes, and realize the resettlement objectives properly by developing sound policies and implementation rules on resettlement, preparing an effective RP, and organizing implementation properly. 6.1. Consultation at Preparation Stage 6.1.1. Completed Public Participation Activities 73. As to all significant topics for discussion involved in the planning stage of resettlement, the PMO has organized meetings and discussions of design institute (DI), consultant agency, local communities and APs to disclose information and conduct public consultation in various ways from March 2013 to January 2014. Including (1) Design optimization discussion in order to minimize land acquisition and resettlement impacts; (2) Impact survey based on the FSR to get detailed information on population, houses, land, special facilities, APs, shops and enterprises in the project area; (3) Consultation with North Hala Bula Village and get the socio-economic background of them and discuss the LA options and the compensation standards with the villagers; and (4) Opinion survey on APs; 74. The public participation and consultation provided a basis for the improvement of the RP. During consultation, Uygur or Kazak language translator is arranged for the ethnic groups who can’t speak Han language. 75. These meetings and surveys played an important role in developing rational compensation rates, restoration programs and training programs. It has been found that the AHs’ main concerns are: (1) Since the LA area is abandoned land, LA will have little impact of their income condition. They only concern whether the compensation can be paid timely and whether crop cultivation training can be conducted. (2) Daily travel inconvenience problems occur because construction of the roads, the construction process may cause noise, dust, construction waste and how to deal with pollution mitigation; and (3) During Road construction period, the construction time should be published promptly to the nearby residents, to ensure construction quality 76. Based on the above discussions, the PMO responded as following:: (1) According to the AHs’ concerns, the PMO has developed a land acquisition compensation standard, which will be informed to the APs in advance, and after the agreement is signed, the land compensation will be paid timely. (2) Discussed with Yumin County People's Government about AHs’ concerns, and

decided to establish leading group of Yumin County land acquisition compensation to oversee the project LA and compensation standard and payment. (3) According to APs most concerned issues, discussed and consulted with Yumin County People's Government, the Land and Resource Bureau and North Hala Bula village, and decided to pay land compensation fee directly to the affected farmers. (4) During the project construction period, PMO will take travel safety of resident into consideration and develop relevant implementation schedule to inform residents of starting time and process of the project. (5) According to APs most concerned issues, PMO discussed with the labor and social security bureau about the relevant training issues for AHs. From the analysis on the response of affected people we can see that participant of the seminar are supportive of the project construction, and they want the construction work start early which will benefit them. Some important issues during the project preparation consultation/meeting are listed in Table 6-1. Table 6-1: Public Participation Activities during Preparation Stage Location Date Participants # of persons Key Topics Introducing the background APs, PMO, community and purpose of the project; March to 75 (25 female officials, DI, RP  how to minimize the May 2013 and 50 male) preparation agency cultivated LA and HD North Hala Bula impacts Village APs, PMO, community  the proposed officials, DI, RP compensation rates; October 26, 80 (32 female preparation agency  options of LA 2013 and 48 male) and Land and  revenue sources of Resource Bureau the village APs, PMO, community  the travel problems Construction October 27, officials, DI, RP 50 (18 female during project bureau 2013 preparation agency and 32 male) construction and L&R Bureau  construction progress APs, PMO, community  The needs of officials, engineering trainings; North Hala Bula October 28, 75 (32 female technicians, RP  labor wishes Village 2013 and 43 male) preparation agency and L  the draft RP; APs, PMO, village  future consultation Construction November committee, RP 80 (36 female plan; bureau 29-30, 2013 preparation agency and 44 male)  future information and L&R Bureau disclosure plan 6.1.2. Opinion Survey Results 77. The respondents included the 41 AHs affected by LA and 29 residential households and proprietors of 15 commercial stores located in the side of the planed roads. The survey was designed to make the IA and DI to know local conditions and the APs’ concerns. The survey showed that among the APs, most of them know that the project is about to be constructed and support for it, and most of them thought the road condition and lacking of

facilities has badly impacted their life. 32.58% think this will improve their living environment, and 11.21% think it will improve their working environment, 46.43% think it will generate more job opportunities; 66.68% are aware or somewhat aware of the compensation and resettlement policies for LA and HD; 97.33% would file an appeal when their lawful rights and interests are infringed on during resettlement. See Table 6-2.

Table 6-2: Public Opinion Survey Results Option 1 Option 2 Option 3 Option 4 Option 5 No. Question Result Result Result Result Result Option 1 Option 2 Option 3 Option 4 Option 5 (%) (%) (%) (%) (%) Do you know that the 1 project is about to be Yes 76.62 Not quite clear 13.48 Unclear 9.9 — — — — constructed? Do you support the 2 Yes 93.14 No 1.02 Don’t care 5.84 — — — — project? Improve traffic Which benefits will the conditions Improving 3 road construction residents travel to 47.22 living 51.25 No benefit 1.53 — — — — have? promote urban environment development How do current road 4 conditions affect your None 12.15 Not serious 16.63 Serious 65.46 5.76 — — lives and work? Improving Generating What benefits will the Improving living 5 32.58 working 11.21 job 46.43 9.78 — — project have for you? environment environment opportunities Potentially What adverse impacts Other Affecting leading to 6 will the project have on No adverse impact 16.55 41.68 1.93 Very serious 38.32 adverse 1.52 traffic safety property you? impacts losses Are you aware of the Improving compensation and 7 Yes 46.74 Somewhat 19.94 No 33.32 mental and — — — resettlement policies physical health for LA and HD? Will you file an appeal when your lawful Reducing 8 rights and interests are Yes 97.33 Don’t know 2.67 — — income due to — — — infringed on during LA resettlement?

6.2. Public Participation and Consultation Plan

78. With the progress of project preparation and implementation, the Yumin PMO, affected village committee, and communities will conduct further public participation, including the LA compensation standard, and the scope of training for the APs, disclosing construction issues, soliciting comments and expectations from the APs during implementation, disclosing the compensation rates and appeal channel, etc., and learning RP implementation progress and the APs’ livelihood restoration. See Table 6-3.

Table 6-3: Public Participation Plan Purpose Mode Time Agencies Participants Topic 201 5.1 Disclosure of Disclosure of Distribution PMO All APs compensation rates, the RIB and appeal channel, Disclosure of ADB website 201 5.1 the RP LA PMO and L&R Disclosure of LA area, Bulletin board, village announceme 201 5.1 Bureau and North All APs compensation rates meeting nt HalaBula Village and LA schedule Announceme nt of PMO and L&R Bulletin board, village Compensation fees compensation 201 5.2 Bureau and North All APs meeting and mode of payment program for HalaBula Village LA Finding out anything omitted to determine PMO and L&R DMS results the final impacts Bureau, Hala verification Preparing a detailed list Field investigation 2015.1 Bula Town and All APs based on final of lost land and North Hala Bula design properties, and the Village sample compensation agreement PMO and L&R Discussing the final Determination Bureau, Hala income restoration of Resident meeting 201 5.3 Bula Town and All APs program and the compensation North HalaBula program for use of plan Village compensation fees Notification of PMO and L&R Notification of compensation Resident meeting 201 5.3 Bureau, Hala All APs compensation fees and amounts and Bula Town and date of payment

Purpose Mode Time Agencies Participants Topic date of North HalaBula payment Village PMO and L&R Bureau, Hala Bula Town and Learning RP Monitoring for 2015.6 - North HalaBula Random implementation Family survey APs 2019.12 Village and sampling progress and the APs’ External livelihood restoration Monitoring Agency

6.3. Appeal Procedure

79. Since public participation is encouraged during the preparation and implementation of the RP, no substantial disputes are anticipated. However, unforeseeable circumstances may arise during this process. In order to address issues effectively, and ensure the successful implementation of project construction and land acquisition, a transparent, accessible and effective grievance redress mechanism has been established. The system has shown in figure 6-1. The basic grievance redress system is as follows:

Stage 1: If any AP is dissatisfied with any land acquisition and resettlement of any other safeguards related problems, he/she may file an oral or written appeal with the community committee/sub-district office orally or in writing. In case of an oral appeal, the community committee/sub-district office shall handle such appeal and keep written records. Such appeal should be solved within 2 weeks.

Stage 2: If the AP is dissatisfied with the disposition of Stage 1, he/she may file an appeal with Yumin City Land and Resources Bureau or the LA and HD management office (depending upon the issue) after receiving such disposition, which shall make a disposition within 2 weeks.

Stage 3: If the AP is still dissatisfied with the disposition of Stage 2, he/she may file an appeal with the Yumin PMO receiving such disposition, which shall make a disposition within 2 weeks.

Stage 4: If the AP is still dissatisfied with the disposition of Stage 3, he/she may apply for administrative reconsideration with Yumin County Government after receiving such disposition within 3 months.

80. APs can also appeal via the ADB accountability mechanism, which provides independent forum and channels. People affected by ADB financed project can appeal and find solutions there. Besides, reporting behaviors which are against ADB’s policies or procedures. Welcomed website is http://www.adb.org/site/accountability-mechanism/. If APs

don’t understand English, the PMO is responsible to translate relevant English contents of the website into local language without any charge.

81. At each stage, when the responsible agencies receive the appeal, it will be also copied to the PMO for discussion, so that the grievance can be redressed at lower levels. All grievances (and their resolution) at each stage will be recorded and kept. The PMO will report the grievances and their resolution) to ADB in semiannual monitoring reports.

82. Accountability-Mechanism/APs may file an appeal on any aspect of resettlement, including compensation rates, etc. The above means of appeal, and the names, locations, persons responsible and telephone numbers of the appeal accepting agencies will be communicated to the APs at a meeting, through an announcement or the RIB, so that the APs know their right of appeal. Mass media will be used to strengthen publicity and reportage, and comments and suggestions on resettlement from all parties concerned will be compiled into messages for disposition by the resettlement organization at all levels.

All agencies will accept grievances and appeals from the APs for free, and costs so reasonably incurred will be disbursed from the contingency costs. During the whole construction period of the Project, these appeal procedures will remain effective to ensure that the APs can use them to address relevant issues

County legal department Yumin County

Government ADB Disciplinary inspection department LRB/PMO

County letters and visits department External M&E Town Agency Government/Village County LA leading Group

APs

Figure 6-1: Grievance Redress Flowchart

6.4. Appeal Contact Information

83. In order that the APs can feed back their grievances timely, contacts have been appointed for different appeal accepting agencies and their contact information disclosed.

Head of North Hala Bula Village:Li Shaokang Tel13399733315 Responsible person for Hala Bula TownshipDilimulati Tel13579793896 Responsible person for Yumin County L&R BureauDong Wenjie Tel13565275999 Responsible person for Yumin County PMOWang Donghui Tel13999483720 Responsible person for Yumin County Construction BureauLi Jindian Tel13899393598 Responsible person for LA and compensation leading groupLiang Jingguo Tel09016522236 Head of the Yumin County letters and visits departmentZhang Peigen Tel13779223322 Head of the Yumin County disciplinary inspection department: Wang Xinsheng Tel13899393186 Head of the Yumin County legal department:Shen Zhenxin Tel13899393598 External M&E agency: uncertain

7. Resettlement Budget 7.1. Resettlement Budget 84. All costs incurred during LAR will be included in the general budget of the project, all resettlement costs will be from domestic funds, which is 9.5875 million yuan in total, as detailed in Table 7-1.

 State-owned land occupation: totaling 228,500yuan (2.38% of total costs);

 Acquisition of collective land: totaling 6.1642 million yuan (64.29% of total costs), including land compensation, resettlement subsidy, and young corps;

 Attachments and infrastructure: 8,000 yuan (0.08% of total costs);

 Other costs: including survey and design fees, external monitoring and evaluation, implementation management fees, skills training costs and contingencies, totaling 1.3762 million Yuan (14.35% of total costs);

 Stipulated fees for land acquisition: totaling 1.8106 million Yuan (18.89% of total costs)

Table 7-1: Resettlement Cost Estimates

Compensation Amount No. Item Unit rate Quantity. (0,000 Percent Remarks (yuan/unit) yuan)

1 Occupation of state-owned land 22.85 2.38 %

Compensation for urban Within ㎡ 15 1,5233.33 22.85 state-owned land built-up area Acquisition of collective cultivated 2 616.42 64.29% land

Land compensation fee mu 12 ,000 161.79 194.15

Resettlement subsidy mu 25 ,500 161.79 412.56

young crop compensation2 mu 600 161.79 9.71

3 Ground attachments 0.80 0.08%

Total of compensation fees for 0.80 attachments

2While all levied arable land are abandoned land, but is still included in the budget, to prevent the implementation of the time change, farmers planted a crop rotation carried out 49

Compensation Amount No. Item Unit rate Quantity. (0,000 Percent Remarks (yuan/unit) yuan)

4 Basic Cost: Subtotal of Items 1-3 640.07

5 Other costs 137.62 14.35%

Based Survey, design and research on basic 4.00% 640.07 25.60 costs Based Implementation management on basic 3.00% 640.07 19.20 costs Based Skills training on basic 1. 40% 640.07 9.60 costs T he special compensation for vuln Based erable groups on basic 0.1% 640.07 0.64 costs Based Supervision and M&E on basic 5.00% 640.07 32.00 costs Based Contingency on basic 10.00% 640.07 64.00 costs Stipulated fees for land 6 181.06 18.89% acquisition

New construction land use fee ㎡ 10 107,860 107.86

Farmland reclamation costs mu 3000 161.79 48.54

4% of LA Land acquisition management compens 4.00% 616.42 24.66 fees ation fees 100.00 Total 958.75 % 7.2. Annual Investment Plan 85. All resettlement funds of the project are from local counterpart funds. Before or during project construction, the civil works and resettlement plan will be implemented in stages in order not to affect the production and livelihoods of the AHs. See Table 7-1.

Table 7-2: Resettlement Budget Plan Year 201 5 201 6 201 7 201 8 Cost (10 95.88 383.50 383.50 95.88 thousand yuan) Percent (%) 10% 40% 40% 10%

7.3. Disbursement Flow and Plan of Resettlement Funds 7.3.1. Disbursement flow 86. During the implementation of the project, compensation fees will be paid to the affected entities or individuals according to the rates identified herein. The disbursement flow is as follows

Fiscal budget Domestic bank loan

Y u m i n P M O rpitr of Proprietors AHs by LA by AHs attachments

Figure 7-1: Flowchart of Resettlement Fund Disbursement 7.3.2. Disbursement plan 87. The land acquisition compensation fee, prior levy management fees will be charged by the Municipal Land and Resources Bureau, land compensation and resettlement fees and compensation for young crops will be directly paid to affected farmers; infrastructure and appurtenances compensation by the implementation of the agency will be paid directly to the relevant units. 88. To ensure that the resettlement funds are available timely and fully, and the APs’ production, livelihoods and income are restored, the following measures will be taken by Yumin PMO:

 All costs related to LA and compensation will be included in the general budget of the project  Land compensation fees and resettlement subsidies and young corps compensation will be paid up before LA so that all APs can get paid.  In order to ensure the successful implementation of LA and resettlement, financial and supervisory agencies will be established at all levels to ensure that all funds are disbursed timely and fully. 89. The budget is a cost estimate of resettlement. Depending on practical changes within the affected areas, and due to the practical impacts of detailed measurement survey (DMS), modifications to compensation and inflation, etc., resettlement costs may be increased, but the County PMO will ensure the payment of compensation fees. The budget incorporates contingencies, and will be applied and revised as necessary.

8. Organizational Structure and Responsibilities

8.1. Resettlement Action Agencies

90. The agencies responsible for the planning, management, implementation and monitoring of the project’s resettlement activities are:  Yumin County ADB Loaned project management Leading Group (Yumin PMLG)  Yumin Project Management Office (Yumin PMO) (EA)  Yumin Construction Bureau (Yumin CB) (IA)  Yumin Land and Resources Bureau (Yumin LRB)  Hala Bula Township  North Hala Bula village  Design Institute (DI)  External M&E agency Yumin PMLG: leading, organizing and coordinating LA and resettlement activities, reviewing the RP, and implementing internal supervision and inspection. Yumin County LA and compensation management group: responsible for supervision of the LA for project and the compensation payment conditions. Yumin PMO: directing the development of resettlement policies and the RP, and LA implementation. Yumin CB: assisting in the preparation of the RP, and conducting resettlement activities in coordination with the land and resources bureau, sub-district offices and affected community committees as the IA Yumin LRB: handling, reviewing and approving LA formalities, and responsible for the coordination, management, supervision and arbitration of LA and resettlement Hala Bula Township: Cooperate with PMO to do the investigation, and sign and acquisition agreement with the L&R Bureau, Cooperate with the land department to implement the land acquisition and resettlement work. North Hala Bula village: Responsible for providing land contract information with the investigation, providing vulnerable groups affected by the work. Committee responsible for mobilizing publicity, accompanied by the relevant technical staff to complete the measurement, the agreement signed by the negotiations, provide a list of affected vulnerable groups. DI: conducting project design and defining the range of LA. External M&E agency: responsible for the implementation of the resettlement plan for independent monitoring and assessment, submitted external monitoring reports to the PMO.

8.2. Organizational Chart

Yumin County Leading Group

LA leading group Internal Design Yumin PMO

Yumin L&R Bureau External M&E agency

Township government/village Yumin CB committee

Community office

Figure 8-1: Resettlement Organizational Chart

8.3. Organizational Qualifications and Staffing

91. The resettlement staffs of Yumin County are from functional departments of YCG. They have rich working experience, have participated in LA and resettlement in a number of local municipal projects, and will play a good organizing and coordinating role in the implementation of the Subproject. The Project Leading Group is composed of the following persons: Leader: Liang Guojing Member of County Committee, Deputy leader of County Government Deputy leader: Xu Hongyan Member of township Committee Members: Habatibieke Director of Government Office Wang Donghui Chief of county DRC, and Secretary for Food bureau Tan Yong Director of Finance bureau Li Jindian Secretary housing and urban construction bureau Dong Wenjie Secretary for Land and Resources bureau Tang Jingshan Secretary for Water Conservancy Bureau Shen Zhenhua Secretary for Audit Bureau Liu Feng Secretary for environment protection bureau

92. The Leading Group office is located in Yumin Development and Reform Commission, Director of the Office is Wang Donghui currently, and deputy director is Wu Yushan (Secretary for Rural Finance Bureau Finance Bureau), Zhang Haijiang (Deputy Secretary of Housing and Urban Construction Bureau) comrades, and staffs of leadership team are from the unit deployed. 93. The primary duties of the leading group is responsible for deploying, directing, coordinating the

county ADB loaned project related work; Leading Group Office main responsibility is to strengthen cooperation with relevant regional counterparts convergence of the various stages of project coordination and management, to ensure the smooth implementation of the project. Development and Reform Commission is responsible for pre-project review of reporting, project coordination and guidance work, finance department is responsible for supervision of the use of project funds, debt service work, housing construction department is responsible for project implementation, technical guidance and quality supervision work. 8.4. Division of Responsibilities among Agencies

8.4.1. Yumin Project Leading Group  Responsible for project leadership, organizing, coordination and policy-making, examining the RP, implementing internal supervision and inspection, and making decisions on major issues arising from resettlement. 8.4.2. Yumin PMO  Entrusting the design agency to define the subproject area;  Organizing the socioeconomic survey;  Organizing and coordinating the preparation of the RP;  Implementing the policies in the RP;  Coordinating the implementation of the RP according to the construction schedule;  Disbursing funds and supervising the use thereof;  Directing, coordinating and supervising resettlement activities and their progress;  Organizing and implementing internal monitoring, selecting an external M&E agency, and coordinating with external M&E agencies;  Reviewing monitoring reports;  Coordinating and handling conflicts and issues arising from implementation;  Coordinating and handling disputes and appeals;  Reporting resettlement progress, fund use and implementation quality to ADB regularly. 8.4.3. Yumin CB  Organizing the socioeconomic survey;  Conducting the DMS and baseline survey;  Organizing public participation activities;  Negotiating resettlement programs and organizing the preparation of the RP;  Applying for the license for planning of land use and the license for land used for construction;  Implementing measures for LA;  Implementing the state policies and regulations on construction land management;  Developing resettlement and compensation programs according to the policies, and

submitting them to competent authorities for approval;  Handling the land use approval formalities;  Implementing the RP;  Entering into compensation and resettlement agreements with the affected economic organizations together with L&R bureau;  Entering into compensation agreements for temporary land occupation;  Entering into compensation and resettlement agreements with the affected households and entities;  Reviewing resettlement implementation;  Managing information on LA, HD and resettlement;  Training staff;  Coordinating and handling conflicts and issues arising from implementation;  Coordinating and handling disputes and appeals;  Reporting LA, HD and resettlement information to the Yumin PMO. 8.4.4. Hala Bula Township 94. Led by the leaders in charge, and composed of party office, land management and other units and various community key officials. Its main responsibilities are:  Participating in the survey of the Subproject, and assisting in the preparation of the RP;  Organizing public participation, and propagandizing the resettlement policies;  Implementing, inspecting, monitoring and recording all resettlement activities within its jurisdiction;  Handling LA formalities;  Responsible for the disbursement and management of land compensation fees;  Supervising LA house reconstruction and resettlement;  Reporting LA and resettlement information to the county land and resources bureau;  Coordinating and handling conflicts and issues arising from its work 8.4.5. North Hala Bula village 95. Composed of key officials of committee. Its responsibilities are:  Participating in the socioeconomic survey and DMS;  Organizing public consultation, and propagandizing the policies on LA ;  Paying and managing relevant funds;  Reporting the APs’ comments and suggestions to the competent authorities;  Reporting the progress of resettlement implementation;  Providing assistance to displaced households with difficulties

 Cooperate with other higher-level units with land acquisition related work 8.4.6. Design Institute  Reducing the impacts of the Subproject through design optimization; and  Identifying the range of LA. 8.4.7. External Monitoring and Evaluation Agency  During the implementation of the resettlement plan, to track, monitoring and evaluation the implementation activities, and track and monitoring resettlement regularly twice a year.  Monitoring progress, quality, funding for resettlement, and give advice;  Verify the Data and conclusions of the internal monitoring reports,  Submit monitoring and evaluation report every six months to Yumin PMO. 8.5. Measures to Strengthen Institutional Capacity 96. In order to implement resettlement successfully, the APs and resettlement staff must be trained under a program developed by the Yumin PMO 8.5.1. Training Program for Resettlement Management Staff 97. A staff training and human resources development system for the county, sub-district and community-level resettlement agencies will be established, Training will be conducted in such forms as expert workshop, skills training course, visiting tour and on-site training. The scope of training includes:  Principles and policies of resettlement  Resettlement project planning management training  Resettlement implementation planning and design  Resettlement implementation progress control  Resettlement financial management  Resettlement quality control  Management information system  Resettlement M&E  Resettlement project management 8.5.2. Measures for Improving Resettlement Agencies (1) Define the responsibilities and scope of duty all resettlement agencies, and strengthen supervision and management; (2) Provide adequate financial and technical support, and improve technical equipment, such as PC, monitoring equipment and means of transportation, etc.; (3) Select staff strictly, and strengthen operational training for administrative staff and technicians to improve professional proficiency; (4) Select female officials appropriately and give play to women’s role in resettlement

implementation; (5) Establish a database and strengthen information feedback to ensure a smooth information flow, and leave major issues to the Project Leading Group; (6) Strengthen the reporting system and internal monitoring, and solve issues timely; and (7) Establish an external M&E mechanism and an early warning system.

9. Resettlement Implementation Schedule

98. According to the project implementation schedule, the project will be planned and implemented for 5 years from 2015 to 2019; land acquisition will begin in March 2015 and end in December 2018. The basic principles for resettlement implementation are as follows:  LA shall be completed at least one month prior to the commencement of civil construction.  During the LAR, the APs shall have opportunities to participate in the project. Before the commencement of civil construction, the scope of LA will be disclosed, the RIB distributed and public participation activities conducted properly.  All compensation shall be paid to the affected proprietors directly and fully within 3 months of approval of the compensation and resettlement program for LA. No entity or individual should use such compensation funds on their behalf, nor should such compensation be discounted for any reason. 9.1. Work before Resettlement Implementation (1) Verification of the scope of LA 99. The scope of the LA will be defined according to the project detailed design and layout. And the resettlement work will be assigned to Hala Bula township and North Hala Bula village via meetings, and then inform to the village committee. The Yumin PMO will survey and register land, houses and attachments, and their ownership within the defined project scope. (2) Field investigation of the range of LA 100. The Yumin PMO will organize relevant staff of Yumin LRB, village to visit the affected areas, investigate and register land, houses, attachments, facilities and equipment, etc., judge the nature and ownership of infrastructure, and keep detailed records. (3) Updating the RP and preparing the budget 101. Before the beginning of land acquisition, and civil works, the RP will be updated based on the detailed design and detailed measurement survey (DMS), and submitted to ADB for approval. According to the survey findings, Yumin County PMO will prepare the RP and budget according to the applicable policies and regulations. (4) Contract signing 102. Under the coordination and direction of Yumin PMO, Yumin CB will enter into land acquisition agreements with Yumin LRB, and pay the contract price. 103. The compensation agreement for land acquisition will be signed based on the compensation rates specified in the RP, and in accordance with the state, provincial and municipal laws and regulations on resettlement. Yumin PMO, LRB, and Township government will negotiate with the affected village committees, residents, enterprises and stores about compensation and resettlement respectively. After consensus, Yumin LRB and PMO will sign the compensation agreement for land acquisition immediately. A copy of such agreement should be submitted. Yumin PMO will supervise and witness the whole process. 9.2. Work during Resettlement Implementation (1) Disbursement of compensation payments

104. The APs will receive compensation timely after signing agreements. (2) Land use license 105. The EA should endeavor to obtain all land use licenses timely. LA certificates must be obtained before the payment of compensation and the acquisition of land, houses and private properties. (3) Internal supervision, and external M&E 106. Internal supervision is the responsibility of the IA, which will submit a progress report to the EA and ADB quarterly. External M&E is the responsibility of the EA, which has entrusted this task to an independent consulting agency who will submit an M&E report to Yumin PMO and Yumin CB, and Yumin PMO will submit the report to ADB semiannually. The purpose of external M&E is to access whether APs’ incomes and living standards have been fully restored or improved after the LA. If the target is not achieved as the RP, further measures should be suggested and taken. 9.3. Work after Resettlement Implementation (1) Continuing with internal supervision and external M&E 107. After the completion of resettlement, the external monitor should prepare a resettlement completion report. (2) Filing and documentation 108. After the completion of the resettlement work, the responsible person should write a supplementary report. Yumin CB to review and archiving. 109. Prepared resettlement implementation activities progress in accordance with the project construction and land acquisition compensation, develop the overall progress of the resettlement plan. Specific implementation time may appropriate adjustments during overall implementation of the project , which has shown in Table 9-1 Table 9-1: Project Implementation Schedule NO. Contract Start Year

Y1 Gui Hua Er Road 2015

Y2 Gui Hua Yi Road 2016

Y3 Dong Huan Road 2016

Y4 Longzhen Road 2017

Y5 Yujinxiang Road 2018

Y6 Honghua Road 2018

Table 9-2: Resettlement Implementation Schedule Responsible No. Task Target Deadline Agencies A: Consultation and Disclosure

1 Distribution of RIB PMO 41HH 201 5.1 North Hala 2 Distribution of draft RP PMO 201 5.1 Bula Village 3 Post RP on ADB Website ADB 201 5.1 Documentation of consultation 2014.11 4 PMO – and any grievances 2018.12 B: DMS and Updating RP Verify DMS based on final PMO, Land and 5 2015.2 design Resources Bureau Update the RP based on the 6 PMO 2015.2 DMS C: Signing Agreements on Land Acquisition and Compensation 41 HHs, Signing Land acquisition Land and 7 North Hala 201 5.4 agreement with AHs Resources Bureau Bula Village 41 HHs, Paying land compensation to 8 PMO North Hala 201 5.4 AHs Bula Village D Resettlement and Rehabilitation PMO, 41 HHs, 9 Training to APs Labor and social North Hala 201. 5 5 - 2017.12 security bureau Bula Village E: Institutional Capability Building Training to Staff who are 10 responsible for compensation PMO 201 5.1 resettlement Establish an Appeal and 11 PMO 201 5.1 Complaint Committee F: Supervision, Monitoring & Evaluation

12 Baseline survey External Monitor 2015.3 Establish an internal 13 PMO 2014.12 supervision system Signing a contract of external 14 PMO 201 5.2 monitoring 15 Internal monitoring & reporting PMO Quarterly 2015.3- 2017.3

Responsible No. Task Target Deadline Agencies

16 External monitoring & reporting External Monitor Semiannual 2015.3- 2019.12

17 Resettlement completion report PMO 201. 9 12

10. Monitoring and Evaluation 110. In order to ensure the successful implementation of the RP and realize the objectives of resettlement properly, land acquisition, property demolition and resettlement activities of the project will be subject to periodic M&E according to ADB’s resettlement policy requirements, including internal and external monitoring.

10.1. Internal Monitoring

10.1.1. Purpose

111. The purpose of internal monitoring is to enable all resettlement agencies to function properly during project implementation, conduct internal supervision and inspection on the whole process of resettlement preparation and implementation, learn resettlement progress, and ensure that the land acquisition, house demolition and resettlement work can be completed on schedule according to the RP, and promote successful project construction.

10.1.2. Organization and staff

112. The internal resettlement monitoring agencies are Yumin PMO and other relevant authorities (e.g., Yumin LRB and CB). These agencies will have a leader who is responsible specifically for the resettlement work. Such leaders should have rich resettlement experience and authority, and be able to coordinate all departments involved in the resettlement work. The members of such agencies should have knowledge on resettlement and social issues so as to perform their duties.

10.1.3. Scope of Internal Monitoring

113. The Yumin PMO will develop a detailed internal monitoring plan for land acquisition and resettlement, including:

(1) Payment, use and availability of compensation fees for land acquisition, and implementation progress and quality of production and development options of APs;

(2) Investigation, coordination of and suggestion on key issues of the resettlement and implementing agencies during LA and resettlement;

(3) Restoration of the household income of APs;

(4) Restoration of vulnerable groups;

(5) Payment, use and availability of compensation funds;

(6) Restoration and reconstruction of infrastructure, ground attachments and special facilities;

(7) Level of public participation and consultation during LA and resettlement;

(8) Resettlement training and its effectiveness; and

(9) Working mechanism, training, working hours and efficiency of local resettlement offices.

10.1.4. Internal monitoring reporting

114. The Yumin PMO will submit a quarterly progress report to ADB. Such report should indicate the statistics of the past 3 months in tables, and this should reflect the progress of land acquisition, resettlement and use of compensation funds through comparison with the budgeted amount and schedule. Table 10-1 and Table 10-2 provide some formats.

Table 10-1: Progress Report on Resettlement for LA and HD ______, ______community, ______sub-district

Cut-off date: MM/DD/YY

Date of completion: MM/DD/YY

Actually Percentage of Item Unit Planned Accumulated completed completion

Permanent land acquisition Mu

Temporary land occupation Mu

Payment of land 10,000

compensation fees yuan

Training Person

Employment Person

Land adjusted Mu

Reported by: ______Signature (person responsible): ______Official seal:

Table 10-2: Progress of Fund Utilization ______, ______Township, ______District (County)

Cut-off date: MM/DD/YY

Date of completion: MM/DD/YY

Percentage Required Compensation Adjusted of Affected entity Description Unit/ qty. investment received compens compensatio (yuan) (yuan) ation n

Village 1

Village 2

Collective

Displaced

household

Enterprise

Reported by: ______Signature (person responsible): ______Official seal:

10.2. External Monitoring

115. According to ADB’s policies, the Tacheng Prefecture PMO will employ a qualified, independent and experienced resettlement agency as the external resettlement M&E agency.

116. The external M&E agency will conduct follow-up M&E of resettlement activities periodically, monitor resettlement progress, quality and funding, and give advice. It will also conduct follow-up monitoring of the APs’ production level and living standard, and submit M&E reports to the Yumin PMO and then Yumin PMO will submit the report to ADB.

10.2.1. Scope and Methodology of External Monitoring

(1) Baseline survey 117. The external M&E agency will conduct a baseline survey on the villages affected by LA to obtain baseline data on the sample AHs’ production level and living standard. Subsequent production level and living standard surveys will be conducted annually to track variations of the APs’ production level and living standards of AHs. This survey will be conducted using such methods as random survey (because the APs are not too much, so all the APs are 100%

surveyed) and acquired necessary information from random interview and field observation. A statistical analysis and an evaluation will be made on this basis.

(2) Periodic M&E 118. During the implementation of the RP, the external M&E agency will conduct periodic follow-up resettlement monitoring semiannually, and annually within two years after completion of the RP implementation, of the following activities by means of field observation, panel survey and random interview:

 Timely payment and amount of compensation  Training  Support measures for vulnerable groups  Restoration and reconstruction of infrastructure, ground attachments and special facilities  Restoration for production and resettlement people  Adequacy of compensation for lost properties  Compensation for lost working days  Timetables of the above activities (applicable at any time)  Resettlement network organization  compensation fee for collective land acquisition and resettlement earnings  Job opportunities generated by the project (3) Public consultation 119. The external M&E agency will attend public consultation meetings held during resettlement implementation to evaluate the effectiveness of public participation.

(4) Grievance redress 120. The external M&E agency will visit the affected village periodically, and inquire with the Yumin PMO, township government and village committees that accept grievances to assess how well grievances have been handled. It will also meet complainants and propose corrective measures and advice for existing issues so as to make the resettlement process more effectively.

121. The external monitor will also verify the data and findings of the internal monitoring reports.

10.2.2. External monitoring reporting

122. The external M&E agency will submit a monitoring and evaluation report to Tacheng Prefecture PMO and Yumin PMO as following schedule.

Table 10-3: Reporting Schedule of External Resettlement M&E

No. Resettlement report Date

1 Baseline survey report Mar 2015

2 M&E Report (No.1) Mar 2015

3 M&E Report (No.2) Sep 2015

4 M&E Report (No.3) Mar 2016

5 M&E Report (No.4) Sep 2016

6 M&E Report (No.5) Mar 2017

7 M&E Report (No.6) Sep 2017

8 M&E Report (No.7) Mar 2018

9 M&E Report (No.8) Sep 2018

10 M&E Report (No.9) Mar 2019

11 M&E Report (No.10) Dec 2019

Appendix 1 Applicable Laws, Regulations and Policies Applicable provisions of the Land Administration Law of the PRC Ownership and right of use of land

Article 8 Land in urban districts shall be owned by the State.

Land in the rural areas and suburban areas, except otherwise provided for by the State, shall be collectively owned by peasants including land for building houses, land and hills allowed to be retained by peasants.

Article 22 The amount of land used for urban construction shall conform to the standards prescribed by the State so as to make full use of the existing land for construction purposes, not to occupy or occupy as less agricultural land as possible.

Urban general planning and the planning of villages and market towns should be in line with the general plans for land use. The amount of land for construction use in the urban general planning and the planning of villages and market towns shall not exceed the amount of land used for construction purposes in cities, villages and market towns fixed in the general plans for the utilization of land.

The land for construction purposes in cities, villages and market towns within the planned areas of cities, villages and market towns shall conform to the city planning and the planning of villages and market towns.

Article 24 People's governments at all levels shall strengthen the administration of plans for land use and exercise control of the aggregate land for construction purposes.

Article 26 Revision of the general plans for land use shall be approved by the original organ of approval. Without approval, the usages of land defined in the general plans for the utilization of land shall not be changed.

Whereas the purpose of land use defined in the general plans for the utilization of land needs to be changed due to the construction of large energy, communications, water conservancy and other infrastructure projects approved by the State Council, it shall be changed according to the document of approval issued by the State Council.

If the purpose of land defined in the general plans for the utilization of land needs to be changed due to the construction of large energy, communications, water conservancy and other infrastructure projects approved by provinces, autonomous regions and municipalities, it shall be changed according to the document of approval issued by the provincial level people's governments if it falls into their terms of reference.

Protection of cultivated land

Article 31 The State protects the cultivated land and strictly controls the conversion of cultivated land into non-cultivated land.

The State fosters the system of compensations to cultivated land to be occupied. In the cases of occupying cultivated land for non-agricultural construction, the units occupying the cultivated land should be responsible for reclaiming the same amount of land in the same quality as that occupied according to the principle of "reclaiming the same amount of land occupied. Whereas units which occupy the cultivated land are not available with conditions of reclamation of land or the land reclaimed is not up to requirements, the units concerned should pay land reclamation fees prescribed by provinces, autonomous regions and municipalities for reclaiming land for cultivation the land reclaimed.

Article 32 The local people's governments at and above the county level may demand units which occupy cultivated land to use the topsoil of the land occupied for use in the newly reclaimed land, poor land or other cultivated land for soil amelioration.

Article 33 People's governments of all provinces, autonomous regions and municipalities shall strictly implement the general plans for the utilization of land and annual plan for the use of land, adopt measures to ensure not to reduce the total amount of cultivated land within their jurisdictions. Whereas reductions occur, the State Council shall order it to organize land reclamation within the prescribed time limit to make up for the reduced land in the same quantity and quality and the land administrative department of the State Council shall, together with agricultural administrative department, examine and accept it.

Article 36 Land shall be used sparingly for non-agricultural construction purposes. Whereas wasteland can be used, no cultivated land should be occupied; whereas poor land can be used, no good land should be occupied.

Article 41 The State encourages land consolidation. People's governments of counties and townships (towns) shall organize rural collective economic organizations to carry out comprehensive consolidation of fields, water surface, roads, woods and villages according to the general plans for the utilization of land to raise the quality of cultivated land and increase areas for effective cultivation and improve the agricultural production conditions and ecological environment.

Local people's governments at all levels shall adopt measures to ameliorate medium-and low-yielding land and consolidate idle and scattered and abandoned land.

Article 42 Whereas land is damaged due to digging, cave-in and occupation, the units or individuals occupying the land should be responsible for reclamation according to the applicable provisions of the State; for lack of ability of reclamation or for failure to meet the required

reclamation, land reclamation fees shall be paid, for use in land reclamation. Land reclaimed shall be first used for agricultural purposes.

Land for construction purposes

Article 43 Any unit or individual that need land for construction purposes should apply for the use of land owned by the State according to law, except land owned by peasant collectives used by collective economic organizations for building township enterprises or building houses for villagers or land owned by peasant collectives approved according to law for use in building public facilities or public welfare facilities of townships (towns).

The term "apply for the use of land owned by the State according to law " used in the preceding paragraph refers to land owned by the State and also land originally owned by peasant collectives but having been acquired by the State.

Article 44 Whereas occupation of land for construction purposes involves the conversion of agricultural land into land for construction purposes, the examination and approval procedures in this regard shall be required.

For projects of roads, pipelines and large infrastructure approved by the people's governments of provinces, autonomous regions and municipalities, land for construction has to be approved by the State Council whereas conversion of agricultural land is involved.

Whereas agricultural land is converted into construction purposes as part of the efforts to implement the general plans for the utilization of land within the amount of land used for construction purposes as defined in the general plans for cities, villages and market towns, it shall be approved batch by batch according to the annual plan for the use of land by the organs that approved the original general plans for the utilization of land. The specific projects within the scope of land approved for conversion shall be approved by the people's governments of cities or counties.

Land to be occupied for construction purposes other than those provided for in the second and third paragraphs of this article shall be approved by the people's governments of provinces, autonomous region and municipalities whereas conversion of agricultural land into construction land is involved.

Article 45 The acquisition of the following land shall be approved by the State Council:

1. Basic farmland; 2. Land exceeding 35 hectares outside the basic farmland;

Acquisition of land other than prescribed in the preceding paragraph shall be approved by the people's governments of provinces, autonomous regions and municipalities and submitted to the State Council for the record.

Acquisition of agricultural land should first of all go through the examination and approval procedure for converting agricultural land into land for construction purposes according to the provisions of Article 44 of this law. Whereas conversion of land is approved by the State Council, the land acquisition examination and approval procedures should be completed concurrently with the procedures for converting agricultural land to construction uses and no separate procedures are required. Whereas the conversion of land is approved by people's governments of provinces, autonomous regions and municipalities within their terms of reference, land acquisition examination and approval procedures should be completed at the same time and no separate procedures are required. Whereas the terms of reference have been exceeded, separate land acquisition examination and approval procedures should be completed according to the provisions of the first paragraph of this article.

Article 46 For acquisition of land by the State the local people's governments at and above the county level shall make an announcement and organize the implementation after the approval according to the legal procedures.

Owners or users of the land acquired should, within the time limit specified in the announcement, go through the compensation registration for acquired land with the land administrative departments of the local people's governments on the strength of the land certificate.

Article 47 In acquiring land, compensation should be made according to the original purposes of the land acquired.

Compensation fees for land acquired include land compensation fees, resettlement fees and compensation for attachments to or green crops on the land. The land compensation fees shall be 6-10 times the average output value of the three years preceding the acquisition of the cultivated land. The resettlement fee shall be calculated according to the number of agricultural population to be resettled. The number of agricultural population to be resettled shall be calculated by dividing the amount of cultivated land acquired by the per capital land occupied of the unit whose land is acquired. The resettlement fees for each agricultural person to be resettled shall be 4-6 times the average annual output value of the three years preceding the acquisition of the cultivated land. But the maximum resettlement fee per hectare of land acquired shall not exceed 15 times of the average annual output value of the three years prior to the acquisition.

The standards for land compensation and resettlement fees for land acquired shall be determined by various provinces, autonomous regions and municipalities in reference to the land compensation fees and resettlement fees for cultivated land acquired.

The standards for compensating for ground attachments and green crops on the land acquired shall be determined by various provinces, autonomous regions and municipalities.

In acquiring vegetable fields in suburban areas, the units using the land should pay new vegetable field development and construction fund.

Whereas the land compensation fees and resettlement fees paid according to the provisions of the second paragraph of this article are not enough to maintain the original level of living, the resettlement fees may be increased with the approval of the people's governments of provinces, autonomous regions and municipalities. But the combined total of land compensation fees and resettlement fees shall not exceed 30 times the average output value of the three years prior to the acquisition.

In special circumstances, the State Council may raise the standards for land compensation and resettlement fees for land acquired according to the social and economic development level.

Article 48 After the plan for land compensation and resettlement fees is finalized, related local people's governments shall make an announcement and hear the opinions of the rural collective economic organizations and peasants whose land has been acquired.

Article 49 Rural collective economic organizations shall make public to its members the receipts and expenditures of the land compensation fees for land acquired and accept their supervision.

It is forbidden to embezzle or divert the land compensation fees and other related expenses.

Article 50 Local people's governments at all levels shall support rural collective economic organizations and peasants in their efforts toward development and operations or in starting up enterprises.

Article 52 In the process of the feasibility study for construction projects, land administrative departments may examine the related matters concerning the land for construction purposes and put forward their proposals according to the general plans for the utilization of land, the annual plan for the use of land and standards for land used for construction purposes.

Article 53 Whereas a construction project approved needs land owned by the State for construction purposes, the construction unit should file an application with land administrative department of the people's government at and above the county level with the power of approval on the strength of related documents required by law and administrative decrees. The land administrative department shall examine the application and submit it to the people's government at the same level for approval.

Article 54 A paid leasing should be gone through in use of land owned by the State by a construction unit. But the following land may be obtained through government allocation with the approval of the people's governments at and above the county level according to law:

1. Land for use by government organs and for military use;

2. Land for building urban infrastructure and for public welfare undertakings; 3. Land for building energy, communications and water conservancy and other infrastructure projects supported by the State; 4. Other land as provided for by the law and administrative decrees.

Article 55 Construction units that have obtained State-owned land by paid leasing can use the land only after paying the land use right leasing fees and other fees and expenses according to the standards and ways prescribed by the State Council.

Starting from the date when this law comes into effect, 30% of the leasing fees for new construction land shall be handed over to the central finance, with the rest 70% to be retained by related local people's governments, for the development of land for cultivation.

Article 56 In using State-owned land, construction units should use the land according to the provisions of the contract for compensated use of leased land use right or according to the provisions of the documents of approval concerning the allocation of land use right. The change of the land to construction purposes should get the consent from the land administrative departments of the related people's governments and be submitted to the people's governments that originally gives the approval for the use of land. In changing the purpose of land within the urban planned areas, the consent should be obtained form the related urban planning administrative departments before submission for approval.

Article 57 In the case of temporary using State-owned land or land owned by peasant collectives by construction projects or geological survey teams, approval should be obtained from the land administrative departments of local people's governments at and above the county level. Whereas the land to be temporarily used is within the urban planned areas, the consent of the urban planning departments should be obtained before being submitted for approval. Land users should sign contracts for temporary use of land with related land administrative departments or rural collective organizations or villagers committees depending on the ownership of the land and pay land compensation fees for the temporary use of the land according to the standard specified in the contracts.

Users who use the land temporarily should use the land according to the purposes agreed upon in the contract for the temporary use of land and should not build permanent structures.

The term for the temporary use of land shall not usually exceed two years.

Article 58 In one of the following cases, the land administrative departments of related people's governments shall recover the land use right of State-owned land with the approval of the people's governments that originally gives the approval or the people's governments with the power of approval:

1. Use land for the sake of public interests;

2. Use land for adjustment in re-building old city districts in order to implement urban construction plans;

3. When the term for the land use right expires according to what is agreed upon in the contract for compensated use of land, the land user has failed to apply for extension or failed to get approval for extension;

4. The use of land originally allocated has been stopped due to cancellation or removal of units;

5. Roads, railways, airports and mining sites that have been approved to be abandoned.

Proper compensation should be given to land use right users whereas the use right of State-owned land is recovered according to the provisions of 1 and 2 of the preceding paragraph.

Article 62 One rural household can own one piece of land for building house, with the area not exceeding the standards provided for by provinces, autonomous regions and municipalities.

Construction of rural houses should conform to the general plans for the utilization of land of townships (towns) and the original land occupied by houses and open spaces of villages should be used as much as possible for building houses.

The use of land for building houses should be examined by the township (town) people's governments and approved by the county people's governments. Whereas occupation of agricultural land is involved the examination and approval procedure provided for in Article 44 of this law is required.

The application for housing land after selling or leasing houses shall not be approved.

Article 63 The land use right of peasant collectives shall not be leased, transferred or rented for non-agricultural construction, except in the case of legal transfer of the land that conforms to the general plan for the utilization of land and legally obtained by enterprises due to bankruptcy or acquisition.

Article 64 Buildings or structures put up before the general plan for the utilization of land and unconformable to the general plans are not allowed to be rebuilt or expanded.

Article 65 In one of the following cases, the rural collective economic organizations may recover the land use right with the approval of the people's government that gives the approval for the use of land:

1. Land needed for building public facilities and public welfare undertakings of townships (towns) and villages;

2. Land not used according to the purposes approved;

3. Land not used any more due to cancellation or removal of the original units.

Proper compensation shall be given to land users in the case of recovering the land owned by peasant collectives provided for in item 1 of the preceding paragraph.

Regulations of XUAR for the Implementation of the Land Administration Law of the PRC

Chapter 1 General Provisions

Article 2 These Regulations shall be complied with by all those who engage in land protection, development, and utilization, supervisory and administrative activities within the jurisdiction of Xinjiang Uygur Autonomous Region.

Article 6 State-owned land shall be used on a compensated basis according to law, and shall not be invaded, traded or transferred illegally by any entity or individual in any form.

Governments at all levels shall take stops to plan, strictly manage, conserve and develop land resources, and prohibit illegal land occupation.

Chapter 2 Land ownership and use rights

Article 8 Users of state-owned land and owners or users of collective land must apply for land registration with the administrative authority for land of a county-level or above government, and obtain a permit to use state-owned land or certificate of ownership or permit to use collective land.

Chapter 4 Farmland protection and land reclamation

Article 20 A compensation system for farmland occupation is practiced in Xinjiang Uygur Autonomous Region. Anyone who occupies farmland for nonagricultural construction with approval must be reclaim farmland of the same amount and quality as the occupied farmland or obtain it by land consolidation; where conditions do not permit farmland reclamation, farmland reclamation fees shall be paid at a rate of 15,000-45,000 yuan per hectare based on the rating of the occupied farmland to be used specifically for farmland reclamation.

Article 21 Anyone who occupies basic farmland with legal approval and has to pay farmland reclamation fees shall pay such fees at 1.5 times the rate for ordinary farmland reclamation.

Article 25 The following types of land shall not be reclaimed:

(1) Prohibited areas identified in overall land utilization plans;

(2) Natural hay fields, artificial pastures, fenced pastures and high-grade pastures;

(3) Woodland and river or lake flat;

(4) Sloping land with a gradient of over 25 degrees and desert land exposed directly to sandstorm; and

(5) Areas whose ownership is disputed.

Chapter 5 Land for Construction

Article 31 The examination and approval procedures for converting agricultural land to construction uses shall be gone through in accordance with the following provisions in case land is occupied by state construction.

(1) In the range of the land for village and town construction defined in the overall planning of township land utilization, the use of the land collectively owned by farmers and herdsmen for construction of township and village enterprises, rural common facilities, public utilities, rural roads, water conservancy projects and other facilities is subject to the approval of autonomous prefecture or municipal people’s government or administrative office according to the control quotas defined by the yearly plan for land use.

(2) In the range of the land for village and town construction defined in the overall planning of land utilization, the use of the land for implementation of the planning is subject to the approval of the People’s Government of the autonomous region or shall comply with the provisions of the laws and regulations approved by the State Council.

Article 35 Land expropriated for state construction shall be compensated according to the following standards:

(1) 8 to 10 times the annual output value of local cultivated land shall be compensated for expropriated basic farmland;

(2) 7 to 9 times the annual output value of local cultivated land shall be compensated for expropriated irrigable land and fish pond other than basic farmland;

(3) 7 to 8 times the annual output value of local cultivated land shall be compensated for expropriated dry cultivated land other than basic farmland;

(4) 6 to 7 times the annual output value of local cultivated land shall be compensated for expropriated forest land, artificial grassland, house site, rural road, threshing floor and other lands;

(5) 6 times the annual output value of local grassland shall be compensated for expropriated natural grassland;

The land as stated in Point (1), (2), (3) and (4) expropriated for construction of major transport, water conservancy and other projects approved by the state or the autonomous region shall be compensated 6 times the annual output value of local cultivated land.

The output values of all types of cultivated lands and grasslands shall be determined to the average annual production value of the three years before requisition.

Article 36 The young crops and their attachments on expropriated land shall be compensated to the following standards:

(1) Common young crops shall be compensated to their average output value of in the last three years. Young root crops shall be compensated to 2 to 3 times their average output value of in the last three years.

(2) The buildings, structures, other facilities and forest trees on expropriated land shall be compensated according to the actual losses under the relevant stipulations.

(3) For the relocation of the tombs on expropriated land, the local people’s government makes an announcement on and time limit of and reimbursement for rebury in pursuance of the relevant prescriptions. Unclaimed tombs and those having not been relocated within the time limit will be removed by the associated department as organized by the local people’s government.

Article 37 The relocation subsidy for expropriated arable land shall be paid under the Land Administration Law of the PRC, Article 47, Clause 2. The relocation subsidy may be appropriately increased provided that the per capita arable land is less than 0.1 hectare before land requisition. However, the total sum of the land compensation and relocation subsidy for expropriated land shall not exceed 30 times its average annual output value before land requisition.

The relocation subsidy for expropriated fish pond shall be paid with reference to that for adjacent cultivated land.

The relocation subsidy for expropriated forest and grass lands shall be determined with reference to that for cultivated land requisitioned. No relocation subsidy shall be paid for the requisition of house sites, rural roads and threshing floor.

Article 39 The compensation for expropriated rural land of collective economic organization is owned by the rural collective economic organization. The compensation for the attachments and young crops on the land is owned by their respective owners.

The collective economic organization expropriated of land shall make the incomings and outgoings of the compensation for land requisition to its members and subject itself to supervision. Misappropriation and peculation of the compensation for the land requisition and other related funds are prohibited.

Article 40 When the people expropriated of land are to be resettled by a rural economic organization, the resettlement subsidy shall be paid to the organization, which manages and uses the money according to laws. If they are to be resettled by other organization, the resettlement subsidy shall be paid to the corresponding resettling organization. In case no unified resettlement is required, the resettlement subsidy shall be paid to the individuals to be resettled or used for pay their insurance expense with their approval. The resettlement subsidy shall be earmarked its specified purposes only without peculation.

Municipal, county and township governments shall enhance the supervision of the use of resettlement subsidy.

Article 46 The areas of the house sites of rural villagers shall follow the following standards (by county for per capita cultivated land).

(1) The area of the house site of each household shall not be greater than 200m2 if the per capita cultivated land is less than 0.04 hectare.

(2) The area of the house site of each household shall not be greater than 300m2 if the per capita cultivated land is 0.04 to 0.07 hectare.

(3) The area of the house site of each household shall not be greater than 400m2 if the per capita cultivated land is 0.07 to 0.1 hectare.

(4) The area of the house site of each household shall not be greater than 500m2 if the per capita cultivated land is 0.1 to 0.14 hectare.

(5) The area of the house site of each household shall not be greater than 600m2 if the per capita cultivated land is 0.14 to 0.34 hectare.

(6) The area of the house site of each household shall not be greater than 800m2 if the per capita cultivated land is over 0.34 hectare.

The above standards for the areas of house sites may be appropriately raised up to twice if unused lands are used for building houses.

"Autonomous notice on the promulgation and implementation of a unified annual output value standard " (Xinjiang MLR [2011] No.19)

Yili Kazak Autonomous Prefecture Land and Resources Bureau, Development and Reform Commission, the Financial Bureau, around the City Land Resources Bureau, Development and Reform Commission, the Financial Bureau:

Autonomous land unified annual output value standard has been approved by the regional government, are hereby promulgated. After January 1, 2011, land for construction of new reporting, involving imposition of collective farmland, garden compensation standards here. Former Autonomous Region Development Planning Commission, Ministry of Finance "On Land and Resources issued the autonomous system of land management administrative fees notice" ( New Price house 500 [2001]) Note A, and table Note C adjusted accordingly

Please do a good job around the convergence of old and new compensation standards work, increase efforts to explain the policy advocacy, and effectively safeguard the interests of landless farmers and herdsmen. Accessories: autonomous land unified annual output value standard

Collective land compensation standard

The First grade The second grade The third grade collective Degree collective land collective land land Compensation standard 1500 800 600 (yuan/mu) Note 1 This table standard applies to arable cultivation of food crops. 2, the annual output value of farmland planted specialty crops, vegetable, orchard farmland should be higher than the first-class standard table; cotton fields should be paid at maximum of 1.5 times; orchard may not exceed two times; vegetable may not exceed three times; grapes ground shall not exceed 4 times. Other crops actual annual output estimates Standard of resettlement subsidy Per capita arable area Times of resettlement subsidy standard (mu) >3.0 mu 12—13 2.0—3.0 14—16 1.0—2.0 17—20 30 times of the sum of land compensation <1.0 mu fees and resettlement subsidy Note: The land compensation and resettlement subsidies multiples of two and 20 times the compensation shall not be less than the base. Land compensation fee is generally 8 times.

Table Notes to Document [XJJF (2001) No.500] Appendix 1 Table 1.1 Calculation bases of farmland compensation Unit: Yuan/mu I II III Grade (High-yield) (High-yield) (High-yield)

Level 1500 800 600

1. These rates apply to farmland on which cereal crops are grown; 2. For farmland on which special crops are grown, vegetable plots and orchards, Notes annual output values shall be higher than that of Grade I farmland; that of cotton land may be up to 1.5times, that of orchards up to 3 times, that of grape land up to 2 times, and that of other cash crops measured at actual annual output value. Note: the amount of land compensation and resettlement subsidy can’t lower 20 times than compensation standard; land compensation is 8 times.

Table 1.2 Calculation bases of pasture land compensation Unit: Yuan/mu Grade I II III Base amount Excellent/good Medium Inferior Level 1 328 262 120 2 262 148 88 3 136 96 63 4 80 69 50

Table 1.3 Standard of resettlement subsidy Per capita arable area Multiple of average annual (mu) output value of the past 3 years >3.5 mu 4 —5 3.0—3.5 6 —7 2.5—3.0 8 —9 2.0—2.5 10—12 1.5—2.0 13—15 1.0—1.5 16—18 0.5—1.0 19—20 30 times of the sum of land compensation fees <0.5 mu and resettlement subsidy

Table 1.4 Standard of compensation fees for urban state-owned land Unit: Yuan/m2 Entity Within built-up area Out of built-up area Urumqi Municipality 30 20

Karamay, Shihezi, Kuytun, Changji, Bole, Yining, Tacheng, Korla, Altay, Turpan, Hami, 20 10 Aksu, Artux and Hetian Municipalities

Other counties (cities) 15 8 Other townships 6 2

Table 1.5 Compensation rates for timber and commercial forests Item / Compensation rate Unit Tree specification (breast diameter, cm) species (Yuan) Broad-leaf / <5cm 10-15. forest / 5-15cm 15-25

Item / Compensation rate Unit Tree specification (breast diameter, cm) species (Yuan) / 13 -30cm 25-35 / >30cm 45 / <5cm 20-30 Coniferous / 5-15cm 30-50 forest / 13 -30cm 50-70 / >30cm 90 / <5cm 20-40 / 5-15cm 40-60 Fruit tree / 13 -30cm 60 -100 / >30cm 120 / Not bearing fruit below 3 years 30-70 Grape / Bearing fruit above 3 years 70 -110 Note: The forest compensation fees of Zhengbo Reserve are higher by 50%.

Table 1.6 Compensation rates for scrub forests Close canopy (%) Rate (Yuan/mu) 20—40 300 40—60 500 >60 600

Table 1.7 Rates of management fees for temporary land uses Nature of land Land type and area Rate Remarks Land for infrastructure Any period less than one construction projects, such as year shall be counted as energy, traffic, water 20 Yuan/year*mu one year, and more than resources, communication and one year but less than two investigation years as two years. Within built-up area 1-2 Yuan/month*m2 Operating temporary land uses 0.1 -0.5 Out of built-up area Yuan/month*m2 0.3 -0.5 Within built-up area Yuan/month*m2 Other temporary land uses 0.1 -0.3 Out of built-up area Yuan/month*m2

Appendix 2: Resettlement Information Booklet (RIB)

(Name of affected person)

In order to relieve traffic congestion, and improve road safety and the county town’s overall image, Yumin County Government (executing agency) plans to use part of an ADB loan to implement a municipal infrastructure in Yumin County, which is one of components of the ADB-financed Xinjiang Tacheng Border Cities and Counties Development Project.

The Project will affect your family (entity) to some extent. This booklet is provided to you so that you understand the basic information of the Project, state policies on land acquisition, house demolition and resettlement, and possible impacts on you.

I. Composition of the Project

The implementing agency of the Project is Yumin County Construction Bureau (Yumin CB). The Project involves 6 newly constructed or alteration roads in the county, with a total length of 9,734 m, including 3 newly constructed roads of 4,857 m and 3 roads alteration of 4,877 m, which will be provided along with illuminations, landscaping and traffic marking facilities, and maintenance equipment road construction, etc.

The project will be constructed from May 2015 to December 2019. The LAR will be started from March 2015 and completed by December 2018.

II. Impacts of the Project

The project does not involve the house demolition, only imposes collective land acquisition(arable land) of North Hala Bula Village. All main impact of land acquisition are caused by construction of Gui Hua Yi Road, Gui Hua Er Road and Donghuan Road. In this stage, land acquisition and impact of this project is determined by the recommended options in feasibility study phase.

161.79 mu collective arable land of North Hala Bula Village need to be acquired for the project, which will affect 41 households with 161 people, including 5 HH ethnic minorities with 25 people.

III. Compensation rates

Collective land compensation (arable land) standard is made in accordance with the "autonomous land notice on the promulgation and implementation of a unified annual output value standard" (issued by Xinjiang MLR [2011] No. 19), as shown in Table 1 and Table 2.

Table 4: Unified Annual Output Values of Collective Land First grade collective Second grade collective Third grade collective Degree land land land Annual Output 1,500 800 600 Value (yuan/mu) Note 1. This table standard applies to arable cultivation of food crops. 2. The annual output value of farmland planted specialty crops, vegetable, orchard farmland should be higher than the first-class standard table; cotton fields should be paid at maximum of 1.5 times; orchard may not exceed two times; vegetable may not exceed three times; grapes ground shall not exceed 4 times. Other crops actual annual output estimates 123. The project land acquisition compensation standards are determined as follows and presented in Table 2:

(i) Depending on the different planting crops, the base compensation for land acquisition determined as following:

Cultivated land compensation basis is 1,500 yuan/mu

(ii) Land compensation fee unified calculated at 8 times of the compensation basis for land acquisition, it is:

Land compensation fee: 1,500 (basis) × 8 = 12,000 yuan/mu

(iii) Resettlement fee unified calculated at 17 times of the compensation basis for land acquisition, it is:

Resettlement fee1,500 (basis) × 17 = 25,500 yuan/mu

(iv) Young crops will be compensated by actual presence on the acquired land, if no crops, no compensation, but if it has, 600 yuan/mu will be paid as a standard.

Table 5: Cultivated Land Compensation Standard of the Project Compensation standardyuan/mu

Type Land Resettlement Young corps Total compensation subsidy

Cu ltivated land 12 ,000 25 ,500 600 38 ,100 Source Supplied by Yumin County construction bureau and land and resource bureau in October 2013

Considering the vital interests of APs who lose farmland due to the project, Yumin PMO and Land & Resource Bureau and North Hala Bula village collective have determined to pay all land compensation at 38,100 yuan/mu to AHs directly. Your rights in the LAR and the recommended measures for your livelihood restoration are summarized in Table 3.

Table 3: Entitlement Matrix

Type of Compensation Policy and Impact Scope APs Entitlements Impact Rates Rights: (1) All land acquisition compensation (including land compensation, resettlement subsidy and crop compensation) in 100%will be paid to the APs; (2) During project construction, the PMO will provide unskilled job priority to APs, so that the APs will generate cash income; and (3) the PMO will organize technical training for APs, inviting the technical staffs from agricultural sector and the Land compensation rate Permanent 161.79 mu 41 labor and social security bureau to is CNY12, 000 per mu Land collective households carry out trainings on farming resettlement subsidy Acquisition arable land, with 161 husbandry and others related, to standard is 25,500 of 41 APs of make sure all APs received at least yuan/mu; and crop Cultivated households North Hala 2 times training on farming and compensation is CNY 600 Land with 161 APs Bula Village non -agricultural production. per mu. The total is CNY Measures to restore the livelihood 38,100 per mu. of APs include: (1) with the help of cash compensation, APs can engage in non-agricultural activities, such as transportation or business; (2) adjusting the agricultural structure, via the guidance and technical training from government, to expand the acreage of cash crops, and (3) develop family breeding to improve the economic income. Besides the rights above, they 2 households have the more right of (1) During Vulnerable 2 households with 2 people project construction, PMO provide Same as above Groups with 2 APs affected by unskilled job priority to them to LA increase their economy income; and (2) labors of vulnerable

Type of Compensation Policy and Impact Scope APs Entitlements Impact Rates families should be provided of vocational training; Employment Information and guidance to increase job opportunity; (3) setting up special supporting fund of CNY6400 to help them. 5 households Besides the rights above, they Ethnic 5 households with 5 have the more right of (1) in Minority Same as above with 25 APs people priority to be employed. (2) In Group affected by priority to get the training. LA Besides the rights in first column, they have the more right of (1) have priority access to project non -technical jobs employment; (2)enjoy the training priorities for Affected 91 female labor, in order to ensure Women 91 people Same as above women their economic status is not compromised; (3) ensure that the resettlement process access to relevant information and be able to participate in consultation related to LAR issues (1) Ground attachment (power See Attachments poles, and elm and polar trees) compensation standards compensation will be paid to the in Section 4.5.3: Power Ground Including owner; and (2) the compensation poles: 90 to 150 yuan Attachments pub lic Property will be determined according to per one; 100 yuan per and Public facility ,trees owners the replacement cost and tree. The evaluated Facilities and so on restoration shall be in accordance replacement cost shall with the original scale and not be lower than above standards. rates.

IV. Appeal Procedure

If you have any complains and problems during the LAR implementation, please follow procedures below and contact relevant persons listed below:

Stage 3: If the AP is still dissatisfied with the disposition of Stage 2, he/she may file an appeal with the Yumin PMO receiving such disposition, which shall make a disposition within 2 weeks.

APs can also appeal via the ADB accountability mechanism. Besides, reporting behaviors which are against ADB's policies or procedures also welcomed. Website is: www.adb.org/Accountability-Mechanism/.

APs may file an appeal on any aspect of resettlement, including compensation rates, etc. The above means of appeal, and the names, locations, persons responsible and telephone numbers of the appeal accepting agencies will be communicated to the APs at a meeting, through an announcement or the RIB, so that the APs know their right of appeal. Mass media will be used to strengthen publicity and reportage, and comments and suggestions on resettlement from all parties concerned will be compiled into messages for disposition by the resettlement organization at all levels.

County legal Yumin County department Government

ADB Disciplinary inspection LRB/PMO

County letters and

visits department External M&E Town agency

Government/Village County LA leading Group

APs

In order that the affected people can feed back their grievances timely, contacts have been appointed for different appeal accepting agencies and their contact information disclosed. Head of North Hala Bula Village:Li Shaokang Tel13399733315 Responsible person for Hala Bula TownshipDilimulati Tel13579793896 Responsible person for Yumin County L&R BureauDong Wenjie Tel13565275999 Responsible person for Yumin County PMOWang Donghui Tel13999483720 Responsible person for Yumin County Construction BureauLi Jindian Tel13899393598 Responsible person for LA and compensation leading groupLiang Jingguo Tel09016522236 Head of the Yumin County letters and visits departmentZhang Peigen Tel13779223322 Head of the Yumin County disciplinary inspection department: Wang Xinsheng Tel13899393186 Head of the Yumin County legal department:Shen Zhenxin Tel 13899393598 External M&E agency: To be determined.

Appendix 3 Terms of Reference of External Monitoring and Evaluation

1. Objective According to ADB policy requirements, Tacheng Prefecture PMO will hire a qualified, and experienced in ADB loaned project external resettlement monitoring agency. External monitoring and evaluation agencies regularly focus on the implementation of the resettlement activities and track the progress of resettlement, quality, financial monitoring and giving advice. tracking and monitoring the production ability and living standards of resettlement people, submit monitoring and evaluation reports to the Xinjiang PMO and Tacheng Prefecture PMO.

2. Content and methods of external monitoring 1 Baseline survey External monitoring agency will conduct baseline survey on affected people, to obtain production and living standards (life, production and income levels) of APs as baseline material. Production and living standards survey conducted once every six months, to track changes in production and living standards. Using follow-up survey of a representative sample (due to less number of affected households, the sample is 100% of affected households by land acquisition), random interviews and field observations and other methods, to take the necessary relevant information and on the basis of statistical analysis to assess.

2 Regular monitoring and evaluation During the implementation of the resettlement program, external monitoring agency conducted twice a year on a regular basis of tracking and monitor of resettlement, through on-site observation, follow-up survey sample households and casual interviews of resettlement monitoring of the following activities:

 Timely payment of compensation and the amount;  Training;  Support for vulnerable groups;  Infrastructure, ground attachments and special facilities reconstruction and restoration;  Production resettlement and recovery;  Compensation for loss of property;  Compensation for loss of working time;  Schedule of these activities (can be applied at any time);  Resettlement organization networks;  Use of collective land compensation fee and resettlement earnings;  Employment income growth. 3 Public consultation External monitoring agency will participate in the implementation of the resettlement during the public consultations and to evaluate the effectiveness of public participation by participating in these consultative meetings,

4 Complained issues External monitoring agencies regularly visit the affected villages, and visit the units who accept the complaint, such as Yumin County PMO, township, village and implementing agencies, to know the way of handling of the complaints. Meanwhile, can meet the resettlement that complain about procedures, and offer suggest for improvements and suggestions. in order to make the resettlement implementation process more effectively. In addition, the data and conclusions of internal monitoring report will be verified from the external monitoring.

3. Monitoring Agency External monitoring and evaluation agency should be approved by Xinjiang PMO and the Asian Development Bank.

4. Organization resettlement monitoring and evaluation Xinjiang PMO should be entrusted to external monitoring agency, to be responsible for investigating, monitoring and evaluation data collection and computational analysis, and check the results.

External monitoring agency should be set up "Project Resettlement Working Group on Monitoring and Assessment", whose main task is to monitor and assessment and resettlement projects, preparation of monitoring and evaluation framework, monitor the target, check the site investigation, monitoring and laboratory analysis; prepared resettlement monitoring and evaluation reports in accordance with ADB's policy.

Xinjiang PMO and implementing agencies should be assistance, during working on-site of monitoring and investigation.

5. Monitoring indicators Baseline survey and follow-up monitoring and post-project evaluation will include the following points, and is not limited to targeted households socio-economic indicators:

i. Educated degree of adults in different sexes ii. Occupational area of adults in different sexes iii. Land area of different types iv. Sources of income v. Different types of expenses vi. The main asset ownership vii. Cropping patterns (different types of area) 6. External monitoring report External monitoring and evaluation agency should submit external monitoring reports to the ADB and the Xinjiang Autonomous Region PMO as following schedule.

Reporting Schedule of External Resettlement M&E

No. Resettlement report Date

1 Baseline survey report Mar 2015

2 M&E Report (No.1) Mar 2015

3 M&E Report (No.2) Sep 2015

4 M&E Report (No.3) Mar 2016

5 M&E Report (No.4) Sep 2016

6 M&E Report (No.5) Mar 2017

7 M&E Report (No.6) Sep 2017

8 M&E Report (No.7) Mar 2018

9 M&E Report (No.8) Sep 2018

10 M&E Report (No.9) Mar 2019

11 M&E Report (No.10) Dec 2019

Appendix 4: Minutes of Public Participation and Interview

1. Villagers seminars

LocationNorth Hala bula village Time morning , January 6, 2014 meeting room,Yumin County Participants: Zhang Haijiang (Yumin County Construction Bureau deputy director), Zhang Xueli (NDRC Project Office Director),Li ShaokangHead of North Hala Bula Village， Li Baoping ( No.4 group leader of North Hala Bula Village), preparation of resettlement unit staff, representatives of the North Hala Bula Village of 50 people, including 5 ethnic minorities (2 males, 3 females) The main issues and content: 1. Zhang Haijiang introduced the basic situation and seminars of ADB road project purpose to the villagers' representatives and hope residents actively speak. 2. Participate in seminars on behalf of all residents, whether or Han Chinese ethnic minorities, are on the project, said the high degree of recognition and extensive support. 3. The Resident Representative said the compensation standards should be announced before the land acquisition. And a detailed survey should be carried out. they support the project, on expropriation of land they don’t have any comments, and want their land to be able to imposed, because of water scarcity, less land can used for plant, general are abandoned land;source of income is single, in addition to growing, temporary work is anther income resource; they wanted to do business and other inputs to increase revenue, no funding, so the old hope of land expropriation compensation; in March 2012 and July 2013 have been levied once the land is due to expansion of urban development in the North need to be imposed, the compensation given standard can also hope that the compensation standards imposed able higher; 4. Residents said they will actively cooperate with the land acquisition work with PMO, because according to the route, currently the acquisition land is essentially abandoned land, but want to give reasonable compensation and resettlement. 5. Yumin County resident representatives show current access road is not perfect, after completion of the project for the county 's environment has greatly improved , but also to improve the people's travel conditions， and will increase the relative investment opportunities too. 6. Some residents expressed that after the project started, they can be involved in the project ,can get employment opportunities when slack, playing temporary workers to increase their income; during the construction phase of construction should be published announcements, and tell villagers the construction period. 7. Women representatives also hope that they can be involved in the project. some job opportunities should also be considered to give women, so as to reflect the gender-equal society , they also want to build the project, the government can provide sanitation and greening management work during operation time, during the construction ,they can run small restaurants, such opportunities to increase income, women can fully reflected the top half of the sky ; If the project can provide some training opportunities for women would be better , such as food service , manual training production, planting and breeding industry , etc., so that they can at home while doing housework while the children wait on.

2. Villagers seminars

Location4th floor of Yumin Time afternoon , January 6, 2014 County construction bureau Participants: Zhang Haijiang (Yumin County Construction Bureau deputy director), Zhang Xueli (NDRC Project Office Director), preparation of resettlement unit staff, representatives of the Tuanjie Street Community, wenhuajie community, the residents of the community on behalf of Industrial Street 46 people, including 16 ethnic minorities (9 males, 7 females) The main issues and content: 1. Zhang Haijiang introduced the basic situation and seminars of ADB road project purpose to the villagers' representatives and hope residents actively speak.

2. Participate in seminars on behalf of all residents, whether or Han Chinese ethnic minorities, are on the project, said the high degree of recognition and extensive support.

3. Yumin County resident representatives show current access road is not perfect, after completion of the project for the county 's environment has greatly improved , but also to improve the people's travel conditions， and will increase the relative investment opportunities too.

4. Some residents believe that the construction of the road is livelihood projects, and therefore should be placed on construction quality, best to stay out of the way enough sidewalks and non-motorized vehicles, motorized and non-motorized vehicles designed to be a reasonable hope that the road is completed, the motor vehicle speed should be to take measures to speed the establishment of speed humps in schools and densely populated areas.

5. Women representatives also hope that they can be involved in the project,as to reflect the gender-equal society , they also want to build the project, the government can provide sanitation and greening management work during operation time.

6. Some residents and businesses are along the street, they said during construction , may give street shops and residents living on both sides of the road brought a temporary effect , it may cause inconvenience to the residents' daily travel; construction process may cause noise, dust, construction waste pollution, construction impact on traffic, the area surrounding the project affect the normal business merchants hope PMO during the construction period , to take appropriate measures to mitigate and solve these problems.

7. Minority residents also want the construction of road construction safety signs signage can bilingual (Chinese and

Kazakh or Uyghur) , because it allows those who do not know Chinese characters for the elderly, during the construction period , when travel more convenient , but also increasing the safety of those who travel .

8. Part of the minority concerned during construction , due to enter a large number of construction workers will have an impact on their religious activities, and therefore, in order to eliminate their worries, they want the construction unit to release some construction workers to understand their habits and customs of ethnic minorities manual allow construction workers to understand the customs of local ethnic minorities, strengthening national unity; in such a way to avoid conflicts arise as a result of workers in violation of local ethnic minority customs events.

3. Agency interviews

Time morning , January 7, 2014 LocatedYumin LRB Participants: Zhang Xueli (NDRC Project Office Director), preparation of resettlement unit staff, Interviewee: Nuer Man (Yumin County Land Bureau, Land Bureau staff); The main issues and content: 1. Zhang Haijiang introduced road project purpose,and hope LRB to cooperate and support.

2. LRB staff said they would actively work to meet the needs of the project; Resettlement prepared staff hope the LRB provide some of the criteria of this project and previous projects related to land compensation fees and charges and related procedures.

3. Collective land compensation (arable land) standard is made in accordance with the "autonomous land notice on the promulgation and implementation of a unified annual output value standard" (issued by Xinjiang MLR [2011] No. 19) required documents，Land compensation fee Unified calculated at 8 times of the compensation radix 1500yuan/mu for land acquisition.so it is 12,000yuan/mu安 Resettlement fee unified calculated at 17 times of the compensation radix for land acquisition. Total is 25,500 yuan/mu,Young crops will be compensated by actual presence on the acquired land, if no crops, will not be compensated, but if it has, 600 yuan / mu will be paid as a standard.

4. All compensations of land acquisition, resettlement subsidies, young cropfees and ground attachments will directly paid to affected households by land acquisition; land compensation fees in accordance with Article 26 of the Regulations for the Implementation of Land Administration Law that The land compensation will be paid to the rural collective economic organizations. And the land acquisition involves collective land of north Hala Bula village, so land compensation fee should be paid to North Hala Bula village, and all the villagers discuss the usage of the land

compensation together.In addition to these costs, the imposition of collective farmland, PMO need to pay new construction land use fees to the Land and Resource Department , land reclamation fees , land resettlement management fees; accordance with the No. 500 document of New house pricing issued by Xinjiang Uygur Autonomous Region DRC and Ministry of Finance, new construction land use fees is 10 yuan / m2, land reclamation fee is 3,000 yuan / mu, and land resettlement management fee charged at 4% of the total levy charges reversed.

5. The project is the public utilities, state-owned land will be allocated to obtain urban land use rights, which is based on The No. 500 document of New house price (2001) issued by Xinjiang Uygur Autonomous Region DRC, and Ministry of Finance. Urban state-owned land use will charge for 8-15 yuan / m2, the occupied region inside the allocated project land of Yumin County charges 15/m2, but the outside the built-up area need 8 yuan / m2; the land use right can be used after the relevant land formalities procedures are proved.

6. For land application process is: applicants → a window to accept → contractors handle →the preliminary examination→ fieldwork → collective land shares leadership review →leadership triage →approval of competent → Undertaker gone through the Secretary for approval → submitted to higher authorities for approval

4. households (vulnerable groups) interviews

Time afternoon , January 7, 2014

LocationNorth Hala bula village meeting room,Yumin County Participants: Zhang Haijiang (Yumin, deputy director of the county construction bureau), Zhang Xueli (NDRC Project Office Director), preparation of resettlement unit staff IntervieweeZhang Qingpinga farmer of North Hala Bula Village，vulnerable groups

Basic conditions 1. Zhang Qingping, male, 62 years old , Han nationality, a farmer of North Hala Bula Village, it has five people in his family, his wife named Ma Shaorong, 62 years old, they have the minimum subsistence allowances, and the main income source is family farming by this old married couple, because lack of labor, and water shortage, half of the land are abandoned; they have 3 sons, who work outside; His wife has bad health

conditions, so it is a family in poverty; monthly subsistence allowances is 123 yuan, farming annual income is about 17 thousand, and children support to sustain their livelihoods. Family has 71.50 mu of arable land in total.

2. From the interview, said Zhang Qingping that the land acquisition has no effect on them, since the occupied land can not be farming anymore, due to lack of water, and the poor soil fertility, so basically it is abandoned farmland, road construction zone basically no arable cultivation. Through interviews with the elderly, they mostly concerned about getting the compensation timely and reasonable, and they want to develop and engage in animal husbandry after getting the compensation; and they hope that during the project construction period, his sons can participate in this project temporarily, to increase family income and improve the quality of life ;

The attitude of the project: 1. Just follow the national policy of compensation, we have no problem, but can not let the people suffer.

2. very support the construction of the project, hoping to start construction as soon as possible;

3. the road condition is poor now, I hope after the road repaired sanitation and other aspects can be improved.

4. I hope to give reasonable compensation and timely get the payment.

5. Shops along the street interviews

Time afternoon , January 7, 2014 locationShops along the Longzhen street

Participants: Zhang Haijiang (Yumin, deputy director of the county construction bureau), Zhang Xueli (NDRC Project Office Director), preparation of resettlement unit staff

Interviewee: Yongfeng Building Materials- shopkeeper

The main issues and content: 1. Zhang Haijiang describes the contents of the ADB road construction projects as well as the purpose of this interview, and hope the store to give good advice and suggestions.

2. Yongfeng mainly engaged in metal shop building materials mainly expressed strong support for the project.

3. shopkeeper said, Before the road starts construction, announcement should be early released to inform residents and businesses along the street, and the start time and completion time should be informed too, construction time should not be too long, it is best completed in March-April; But do not rush period, must ensure that the project quality.

4. He hopes in the construction project should allow sufficient travel channel, to facilitate residents travel and do business, to ensure that the construction of the construction camp sanitation, and in order to prevent the occurrence of dust, frequent watering want on the road.

5. Shop owner tells narrow the existing road pavement can not meet the huge rush hour traffic, resulting in road congestion, combined with evening roadside stall hawkers plus a longer road congestion, traffic and the environment to the inconvenience and hope in road widening after the road environment can be better, but to their shop to bring more economic benefits.

6. The owner said he supports the project, the project has little effect on their lives, but I hope to shorten the construction period to minimize the impact of dust and noise of life.

6. Shops along the street interviews

Time afternoon , January 7, 2014 locationShops along theYujinxiang street

Participants: Zhang Haijiang (Yumin, deputy director of the county construction bureau), Zhang

Interviewee: the Lao maoyuan grain and oil shop shopkeeper

2. This store operating mainly in grain and oil, living necessities, the owner said he supported projects.

3. shopkeeper said that after the project started, will not impact on the turnover of the store, because now the roads department has not good flow of people,hope more people flow after road

constructed and has good impact on economic benefits, but hope to shorten the construction period to minimize the impact of dust and noise of life

Appendix 5: Due Diligence Report on Yumin Road Component

1 Project Overview According to "Yumin County Urban Land Use Plan (2010-2020)" and the urban construction need in north area of Yimin, Yumin County Government (YCG) acquired a total of 140 mu of collective land (cultivated land) from March 2012 to June 2013, including 62 mu of North Hala Bula village within Guihua No.1 Road area in June 2013, and 78 mu of North Hala Bula village within Donghuan Road area in March 2012. Both Guihua No.1 Road and Donghuan Road are two of subcomponents of the ADB financed Yumin County Infrastructures and Municipal Services Component of Xinjiang Tacheng Border Cities and Counties Development Project. According to ADB’s safeguard requirements, Yumin County PMO and a RP preparation agency conducted field survey and prepared this due diligence report (DDR) on land acquisition and resettlement (LAR) on the acquired land. 2 Due Diligence Report The report was prepared by Yumin County PMO and RP prepared agency. In January 2013, RP prepared group had talked with Yumin County Construction Bureau, LRB, the Hala Bula Township, Hala Bula Village, collected some relevant documents about LA, compensation and resettlement agreement, etc., and interviewed part of households affected by LA. The main contents of this report are: (a) to understand the actual situation of LA; (b) to review the process of compensation for LA; (c) to know the process of public participation and the situation of grievance redress; (d) to evaluate the process of LA and resettlement compensation; and ultimately, (e) to draw a conclusion. 3 Project Impact In accordance with the request of "Yumin County urban land use plans (2010-2020)" and the need of northward expanding construction, Yumin County had collected 140 mu collective lands of North Hala Bula village in total, which affected 9 HHs with 48 APs. Including 60.57 mu were occupied for the construction of Guihua No.1 Road and Donghuan West Road (which means Guihua No.1 Road would occupy 10.18 mu, and Donghuan West Road would occupy 50.39 mu), accounting for 43.26% of total LA area; and urban northward expanding construction would occupy 79.43 mu, accounting for 56.74% of total LA area. From March 21, 2012 to January 22, 2013, Hala Bula Township People’s Government had collected 78 mu collective land (cultivated land) of North Hala Bula village within Donghuan road area, which had signed the land acquisition compensation agreement with affected households; then, had collected 62 mu collective land (cultivated land) of North Hala Bula village within the Guihua No.1 Road area in July 5, 2013, which had signed the land acquisition compensation agreement with affected households. It is investigated that, in the acquired land of 7 HHs villagers, 2 HHs villagers had planted alfalfa with low productivity, due to lack of water and rarely irrigated, and 7 HHs villagers had engaged in tillage, while the real situation is the cultivated land were abandoned and had no attachments on the ground, by the reason of water shortage, barren soil and poor fertility. The situation of LA sees in Table 1.

Table 1: Affected dates

Family Acquired arable landmu Mem owned Land loss land use before Road No. Road APs bers/ Acquisition time Urban arable land rate(%) acquisition cons - Total HH development mu truction

Planed 1 Wu yancai 8 88 3.31 12.69 16 18.18% alfalfa July 5, 2013 Road 1

Planed Chen 2 3 33 1.48 10.52 12 36.36% Abandon land July 5, 2013 Road 1 shiyou

Planed 3 Ma lianghui 6 66 2.45 14.55 17 25.76% Abandon land July 5, 2013 Road 1

Planed 4 Wu yongli 8 88 2.94 14.06 17 19.32% alfalfa July 5, 2013 Road 1

Donghuan 5 Wu duoxin 5 55 11.88 8.14 20 36.36% Abandon land March 21, 2012 Road

Donghuan Tan 6 4 44 5.99 2.01 8 18.18% Abandon land March 21, 2012 Road xianzao

Donghuan 7 Ma wenxue 6 66 5.61 2.39 8 12.12% Abandon land March 21, 2012 Road

Donghuan Ma 8 4 88 17.28 10.72 28 31.82% Abandon land January 22, 2014 Road Fengqiang

Donghuan 9 Tian Junyi 4 7 9.65 4.35 14 18.18% Abandon land January 22, 2014 Road

Total 48 605 60.57 79.43 140 23.14 % SourceDue diligence survey in 2013

4 LA Compensation and Payment From February 2012 to November 2013, Yumin County Construction Bureau and the Hala Bula Township People's Government issued a notice on land acquisition within Donghuan Road area; from March 23, 2012 to January 23, 2014, Hala Bula Township People's Government signed land compensation agreement with APs, and land acquisition work completed on April 3, 2012. In May 2013, Yumin County Construction Bureau and the Hala Bula Township People's Government issued a notice about land acquisition within the Guihua No.1 Road area and on July 5, 2013, Hala Bula Township People's Government signed compensation agreement with AHs, and land acquisition work was completed on July 16, 2013. According to the agreement, Yumin Construction Bureau and Hala Bula Township People's Government need pay RMB1.5755.43 million for LA in total to the 9 HHs villagers. The land compensation standards are based on "People's Republic of China Land Management Law", "Xinjiang Uygur Autonomous Region (Land Management Act) approach and the" autonomous land notice on the promulgation and implementation of a unified annual output value standard"(xinjiang MLR [2011]No.19) compensation documents; it ruled that land requisition compensation standards: land compensation fees is 12,000 yuan/mu, resettlement fees is 22,500 yuan/mu; crops

compensation are paid according to the actual planting situation of crops, if the land had no crops, APs would have no corps compensation, while the corps compensation is 600 yuan/mu with crops. On April 3, 2012, Yumin County Construction Bureau and the Hala Bulaford Township People's Government, in accordance with the agreement of compensation standard, had paid CNY 2.4489 million in one-off payment to 3 HHs villages affected by LA within Donghuan Road area; on July 16, 2013, Yumin County Construction Bureau and the Hala Bula Township People's Government, in accordance with the agreement of compensation standard, had paid CNY 1.4063 million in one-off payment to 4 HHs villages affected by LA within Guihua No1. Road area; on January 23, 2013, Yumin County Construction Bureau and the Hala Bulaford Township People's Government, in accordance with the agreement of compensation standard, had paid CNY 1.575 million in one-off payment to 2 HHs villages affected by LA within Donghuan Road area. 5 Public Participation In the process of land acquisition, the Project units and related agencies consulted on project-related impacts with affected people, fully understood the opinions and suggestion of them, and made them take in public participation and negotiation by various ways: (a) Public participation and consultation meetings Before the land acquisition, forums were held for the Hala Bula villagers, focusing on explaining the general idea of urban development, the proposed construction projects, and the scope of planned land acquisition to villagers, as well as listening to their views and suggestions, which were recorded and given consideration and concern during project implementation. (b) Public meeting Before the implementation of land acquisition, relevant policies, regulations, compensation standards, and payment-time and so on should be explained to the villagers. LA should be strictly implemented abiding by relevant policies of Xinjiang Uygur Autonomous Region and RPC. (c) Representatives involved in the LA related work About detailed investigations and measurements, formulation of compensation standards, negotiation of land acquisition agreements and compensation payment, all landless residents participated in the work process, to ensure just, fair, reasonable and transparent of land acquisition. (d) Land acquisition release announcement The main content of the announcement: Project Overview, scope of land acquisition compensation standards and policies, schedules and so on. In January 2013, Investigation team visited Yumin County Construction Bureau, Land Bureau, the township and the Hala Bula village and some villagers, and did some field visits, relevant personnel interviews and questionnaires, they learned the implementation policy of Land acquisition , the impact of the project , compensation standard, payments, etc., and held meetings with some of the villagers to understand public participation in the process of Land acquisition and people’s opinions about LA, asked whether their livelihoods are affected and their opinions on LA..

100

Interviews recorded I TimeJanuary 7, 2014 LocationChen Shiyou’s home in North Hala Bula village (a household affected by LA) Participants: Zhang Haijiang (deputy director of the county construction bureau), Zhang Xueli (Director of County Development and Reform Project Office), Li Baoping (captain of North Halabula Village’s Fourth Team), and RP preparation team staff Interviewee: Chen Shiyou and his family Q: Please introduce the basic situation of your family? A: Chen Shiyou, male, Han nationality, 39 years old, villager of Hala BulaBula village, 3 family members; wife: Juanju Han, 31 years old; and son Chen Xinliang, 12 years old, primary school; has a land area of 33 acres, the main planting wheat and corn, but it is the lack of water, only half of the area planted. Q: Time and location and area of acquired land in your home? A: acquired land in my family is located in scope of Guihua No.1 Road, with a total area of 12 mu Q: What is the difference of your family income and living standard before LA and after LA A: living standard changed a lot for LA. Before LA, source of family income is narrow; mainly from farming and working outside in slack season, with the annual income of around 30-40 thousand, which make us live a hard life and under a loan; After LA, in addition to farming, we used the compensation to buy a vehicle to do a little business, primarily collecting some of the waste materials and farm products, with annual income of about 60,000 yuan, besides, we have the house decorated using the compensation, and now, our living standard is better than before. , Q: Please review the situation at the time of Land acquisition and voice your views and opinions? A: Before the Land acquisition, meetings were held many times and physical measures on all the land were conducted. in March 2013, related agency held a meeting about Land acquisition compensation standards, and agreement signing date is on July 5,2013.we had no objection to the Land acquisition, which not only have no impact on revenue, but also improve our living standard; before LA, for short of water and less planted area, half of the land are abandoned; due to soil fertility, yields is lower, which lead to little income, what else can be done is work outside for money, and never think of doing business, without funds. After getting land compensation, we can use it to do small business, so we have no objection. Q: are you satisfied with land requisition compensation and payment? A: The compensation standard is satisfying which is based on national policies and regulations and Xinjiang relevant policies, the compensation standard is 38,100 yuan / mu, and we got 468,700 yuan compensation; originally land compensation in accordance with the policy should be compensated to the village collective However, after consultation with the Government, land compensation has been given to the farmers, the current compensation standard is quite satisfactory; payment time is based on the time stipulated in the agreement, about 10 days after signing the contract

101

Interviews recorded II

TimeJanuary 7, 2014 LocationNorth Hala Bula Village Clerk's Office Participants: Zhang Haijiang (deputy director of the county construction bureau), Zhang Xueli (Directo of County Development and Reform Project Office), and RP preparation team staff Interviewee: Li Shaokang, secretary and director of the North Hala Bula village Q: Please introduce the basic situation of the village committee? A: North Hala Bula village near the Hala Bula Township is a combination of urban and rural villages. The village has a land area of 24,000 mu, of which 11,690 mu is irrigated land, due to lack of water, the actual area of irrigated land is half of the existing irrigational land, and the rest land mostly is abandoned. The village consists of the Han, Kazak, Hui, Russian and other ethnic minority with 762 HHs and 1971 people; it is also a combination village of farming and stock farming, and main planting crops are wheat, safflower, melon, etc., in which wheat is food crops, and safflower is cash crops. In 2013, the village collective economy income was CNY 0.045 million. Q: What’s situation about LA up to now? Answer: in March 2012, 36 mu land was acquired, in July 2013, 62 mu, in 2104, 42mu, and a total area of 140 mu, but subsequent LA is coming for the county expansion need; people also want the government to acquire their land , because of water shortage, the land can be planted is less, and most of land are abandoned; the income source of local villagers are narrow, only farming and working outside; people want to do some business and other investment to increase income, but no funds, so people want to get compensation for land acquisition. Q: Will the process of village LA and compensation standards? A: The Land acquisition compensation standard is in accordance with national and Xinjiang Autonomous Region relevant standards, the land compensation is CNY 12,000 per mu, resettlement fees is CNY 25,500 per mu, green crops fee depends on whether there are green crops in the field, if there isn’t, no compensation, if there is, young corps compensation is CNY 600 per mu. Before Land acquisition, a number of meetings need to be held to explain to people about scope of LA and compensation standard; related agency also did physical measures, and announced the results; after many times of consultations with the residents, committee, the township government, village affected HHs signed the agreement together. Generally speaking, people are very satisfied with the compensation for Land acquisition, because, originally land compensation in accordance with the policy should be compensated to the village collective; however, after consultation with the Government, land compensation has been given to the farmers. Q: What are villager’s opinions on Land acquisition? A: Yumin County is developing, and it is bound to expand, since our village is close to the county, more land will be acquired in future. Our village has 24000 mu arable lands, for lack of water, only half of the land is planted; and the rest is infertile and cannot be irrigated, so farmers make them abandoned, and now the Project acquired the land. Through compensation for land acquisition, to some extent, people’s living standard will be improved, for example, some people used the compensation to buy cars, and some buy houses in the county. Being a village cadre, l’m very glad our villagers’ life are better and better. LA would not generate negative effects on our village, so we all support the Project construction.

102

The result of the survey shows that: in the process of LA, the Project units and related agencies conducted extensive public participation to fully understand the APs’ opinions and recommendations, and all related matters are implemented based on full public participation; and Yumin County people's government set up a special leading group for LA, to oversee the Project land requisition compensation and report signs and payment work. All LA compensation is paid by the time of the land requisition compensation agreement and resettlement has no legacy issues. And residents think LA will make their living conditions improved, the original land are abandoned, with nothing on the ground, and no income; after land acquisition, the compensation can be used in other investment to improve their living conditions.

103

Public participation I

TimeFebruary 13, 2012 LocationNorth Hala Bula Village meeting room

Participants: Zhang Haijiang (deputy director of the county construction bureau), Zhang Xueli (Director of County Development and Reform Project Office), Zhang Dongnian (chief of Habahe County Land Resource Bureau), Yang Zhiguo (deputy township head of Halabula Town), Li Shaokang (secretary and director of North Halabula Village), Li

Baoping (captain of North Halabula Village’s Fourth Team), related workers, women's directors and affected people. Conference topics:

Consult Meeting about land acquisition for Yumin County urban northward expansion

Content: a. Introduces the basic ideas of county northward integrative development and the situations of the Project; b. Schedule the scope of Land acquisition and implementing time; c. Seek villagers ‘opinions and views. Staffs express their views:

Meeting villagers said they agreed project land acquisition, but before the Land acquisition scope of LA and compensation standard shall be nailed down.

104

Public participation II

TimeMarch 5, 2013 locationNorth Hala Bula Village meeting room

Participants:

Zhang Haijiang (deputy director of the county construction bureau), Zhang Xueli (Director of County Development and Reform Project Office), Zhang Dongnian (chief of Habahe County Land Resource Bureau), Yang Zhiguo

(deputy township head of Halabula Town), Li Shaokang (secretary and director of North Halabula Village), Li

Baoping (captain of North Halabula Village’s Fourth Team), related workers, women's directors and affected people.

Conference topics:

The topic is about arrangements and discussions on the compensation policies and standard, related regulations, and subsequent land acquisition.

Meeting content: a. Explain to the people about related policies, regulations, and compensation standards and so on; b. Discuss and decided the villagers’ representatives who participate in physical measure to ensure the fairness,

justice, rationality and transparency of the LA; c. Discusses the compensation standards, payment process and payment time; d. Ask for opinions and advices from villagers.

Staffs express their views:

Meeting villagers said they agreed upon the compensation standards, payment process, payment time and the arrangements for physical measure.

105

Public participation (consultation) III

TimeJuly 5, 2013

locationNorth Hala Bula Village meeting room

Participants:

Yang Zhiguo (deputy township head of North Hala Bula Village ), Li Shaokang (secretary and director of North

Halabula Village), Li Baoping captain of North Halabula Village’s Fourth Team), related workers, women's directors

and affected people.

Seminars content:

a. Explain the contents of the contract to affected households, such as compensation standard and payment time; b. Confirm the area of LA and compensation calculated according to relevant standard; c. Contract negotiations.

6. Appeal Procedure

If APs have any complaints and problems, they can choose various approaches to appeal. The system has shown in figure 6-1. The basic grievance redress system is as follows: Approach 1: If any AP is dissatisfied with any land acquisition and resettlement of any other safeguards related problems, he/she may file an oral or written appeal to the village committee/township government. And Yumin county demolition office has to solve them within 2 weeks. Approach 2: If the AP is dissatisfied with the disposition of Approach 1, he/she may file an appeal to Yumin County Land and Resources Bureau / PMO, which the two departments should make a

106

disposition within 2 weeks. Approach 3: If the AP is still dissatisfied with the disposition of Approach 2, he/she may file an appeal to the Yumin Leading Group Office for LA Compensation, and the Leading Group Office should make a disposition within 30 days. Approach 4: If the AP is still dissatisfied with the disposition of Approach 3, he/she may apply for administrative reconsideration to Yumin County People’s Government, also may bring an administrative suit to county people's court according to Civil Procedure Law of the People’s Republic of China within 3 months. APs may file an appeal on any aspect of resettlement, including compensation rates, etc. The above appeal approaches had informed to the APs in meetings and other ways, to make the APs know their right of appeal. Mass media will be used to strengthen publicity and reportage, and comments and suggestions on resettlement from all parties concerned will be compiled into messages for disposition by the resettlement organization at all levels. All agencies will accept grievances and appeals from the APs for free, and during the whole construction period of the Project, these appeal procedures will remain effective to ensure that the APs can use them to address relevant issues.

County legal department Yumin County Government

Yumin County People’s Disciplinary inspection court department LRB/PMO

County letters and visits department External M&E agency Town

Government/Village

County LA leading Group

APs

Figure 1 Grievance Redress Flowchart

From the investigation, we can see that all the affected people are very clear about their own rights and the grievance complaint channels. And there is no complain until now, all villagers are satisfied with the grievance redress.

107

7. Conclusion

aAt the early stage and implementation of LA, the PMO and relevant units had organized several different forms of public participation, APs’ opinions are fully respected, and able to implement in the Project construction, all compensation payments had full pay-out, without any negative impacts on APs’ livelihood issues. Overall, all compensation standards and resettlement measures are implemented on account of public participation, which had no remaining problems. (b) During the implementation of the Project and the process of LA, all grievance complaint is operated normally, which has no complaint until now. And all APs support the construction of the Project, and they are satisfied with the compensation standards.

108

Appendix6: Land Compensation Agreement

Land compensation agreement of Tan Xianzao

109

Land compensation agreement of Chen Shiyou

110

裕民县移民安置计划信息手册RIB少

民族发展计划执行摘要及行动计划

信息披露

2014 年 12 月 30 日至 2015 年 1 月 25 日期间，裕民县项目办对移民安置

计划信息手册RIB和少民族发展计划执行摘要及行动计划在社区/村进行了

公布，并且对受影响人也进行了发放，以下是公布时的部分照片