Ethnic Minority Development Planning Document

Ethnic Minority Development Plan Document Stage: Draft for Consultation Project Number: 42012 January 2010

PRC: Urban-Rural Infrastructure Development Demonstration Project

Prepared by Chongqing Development and Reform Commission, project management office for the Asian Development Bank (ADB).

The ethnic minority development 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.

ETHNIC MINORITY DEVELOPMENT PLAN

Chongqing Development and Reform Commission

November 2009

TABLE OF CONTENTS

ABBREVIATIONS EXECUTIVE SUMMARY 1. INTRODUCTION 1 1.1. BACKGROUND AND CONTEXT 1 1.2. THE PROJECT 2 1.3. ETHNIC MINORITIES IN PRC AND CHONGQING 4 1.3.1 Tujia People 4 1.3.2 7 2. LEGAL AND POLICY FRAMEWORK 7 2.1. GOVERNMENT POLICY AND PROGRAMS 7 2.2. ADB SAFEGUARDS 9 2.3. COMPARISON OF PRC LAW AND ADB SAFEGUARDS 10 3. ETHNIC MINORITY PEOPLE IN PROJECT AREA 11 3.1. GENERAL 11 3.2. SOCIO-ECONOMIC CHARACTERISTICS OF ETHNIC MINORITY PEOPLE 12 3.3. DATA BY COMPONENT AND SUB-COMPONENT AREA 15 3.3.1 Qianjiang 15 3.3.2 Youyang County 16 3.3.3 Xuishan County 17 3.3.4 Qingshui Township, Yunyang 18 4. CONSULTATION 18 4.1. CONSULTATION FOR THE PROJECT 18 4.2. RESULTS OF THE FGDS 19 4.3. NEEDS, ASPIRATIONS AND EXPECTATIONS 21 4.4. GRIEVANCE REDRESS 21 5. PROJECT BENEFITS, IMPACTS AND RISKS 23 5.1. BENEFITS OF WATER SUPPLY SUB-COMPONENTS 23 5.2. BENEFITS OF ROAD SUB-COMPONENTS 24 5.3. OVERALL PROJECT BENEFITS 26 5.4. RISKS AND NEGATIVE IMPACTS 26 5.5. CONCLUSIONS 28 6. ETHNIC MINORITY DEVELOPMENT PLAN 32 6.1. OBJECTIVES AND CONTENT OF EMDP 32 6.1.1 Mitigation Measures 32 6.1.2 Enhancement Measures 32 6.2. STRATEGY FOR PARTICIPATION 33 6.3. BUDGET AND FINANCING SOURCES 33 6.4. IMPLEMENTATION ARRANGEMENTS 34 7. MONITORING AND EVALUATION 39 7.1.1 Internal Monitoring 39 7.1.2 External Monitoring and Evaluation 39

ABBREVIATIONS

ADB Asian Development Bank AIDS Acquired Immunity Deficiency Syndrome AP affected person CMG Chongqing Municipal Government CNY Chinese Yuan (currency) DRC Development and Reform Commission EA Executing Agency EIA environmental impact assessment ERAB Ethnic and Religious Affairs Bureau EMDF ethnic minorities development framework EMDP ethnic minorities development plan EMP environmental management plan FGD focus group discussion FYP Five-Year Plan GDP gross domestic product HIV Human Immune-deficiency Virus IA Implementing Agency IEC information, education and communication IP Indigenous Peoples NGO non-governmental organization PMO project management office PPMS project performance management system PPTA project preparatory technical assistance PRC People's Republic of PSA Poverty and Social Assessment RP resettlement plan SAP social action plan STI sexually transmitted infection TA Technical Assistance TOR terms of reference WBI waterborne infection

EXECUTIVE SUMMARY

The Project. Chongqing Municipal Government (CMG) is implementing the Chongqing Urban- Rural Infrastructure Development Demonstration Project with support from Asian Development Bank (ADB). The Project will support physical investment in road and water supply upgrading in eight priority districts and counties. The Project will include 30 sub-components including 21 road sub-components and 9 water supply sub-components.

Project benefits and risks. The key Project benefits will be (i) improved road access linking rural communities directly with markets, increasing incomes, reducing costs through transport savings, and providing access to jobs in the towns; (ii) improvements to the quality and quantity of the water supply reducing the incidence of waterborne infections (WBIs) and associated medical costs; (iii) the creation of a significant number of temporary jobs in the construction areas, which, together with the impacts of local procurement, will facilitate local economic development; and (iv) increased health and hygiene awareness (including public and environmental health).

The potentially negative impacts will be (i) temporary impacts associated with construction such as dust and noise; (ii) the need for resettlement and land acquisition; and (iii) the possible disruptions that could arise for neighboring villages from construction camps – in particular, in relation to the spread of communicable diseases.

Trigger for EMDP. Of the eight components, Qianjiang, Youyang and Xiushan, the three southeastern component areas, are Tujia-Miao autonomous district and counties with respectively 72.8%, 83.9%, and 52.3% ethnic minority people. Qingshui Township in , in the northeast, is an ethnic minority township where nearly a third of the population is ethnic minority. In the overall Project Area the ethnic minority population accounts for approximately 8.1% of the total population.

The poverty rate in the three ethnic minority counties ranges from 8.8% in Qianjiang (ranking 7th out of the eight components for poverty) and 13.8% in Youyang (ranking 2nd out of the eight components for poverty). The poverty rate in Yunyang ranks this county 5th, in the Project Area, and although not an ethnic minority autonomous area it does comprise one town that is classified as an ethnic minority township. The three ethnic minority district and counties also rank in the top four components in respect of the proportion of all villages that are classified as poverty villages (Youyang 1st, Qianjiang 3rd, Xiushan 4th), and Youyang also ranks lowest for per capita GDP.

Benefits and Impacts on Ethnic Minority People. The assessment of the nature and distribution of project benefits and adverse impact has been conducted. This indicated that neither the positive nor negative impacts are likely to impact differentially on either the minority or Han people. While the ethnic minority groups have to some degree retained their own culture and livelihoods, the livelihood patterns of Han and the minority are similar. Both minority and Han people will experience resettlement impacts; no ethnic minority communities will be split as a result of relocation.

The Project will not affect the customary rights of use or access to land and natural resources, will not affect the cultural or communal integrity or social security status nor undermine the recognition of indigenous knowledge. The Project will have a positive impact on the socio- economic status, health, education and livelihoods of ethnic minority people in the Project areas. The Project’s resettlement plans, environmental management plan (EMP), gender action

plan (GAP) and social action plan (SAP) will ensure mitigation of negative impacts, and enhancement of positive impacts on ethnic minority people as well as Han within the components. The assessment concludes that none of the negative impacts will disproportionately affect ethnic minority people by virtue of their ethnicity.

A key benefit of the Project – employment during construction – will be maximized for ethnic minority people and women through assurances requiring a target of 30% employment.

The EMDP. To ensure that there are no unforeseen Project consequences for minority peoples, attention is given to their involvement and participation in planning and decision-making throughout the entire Project cycle, especially with respect to issues relating to consultation, resettlement, health and hygiene awareness raising, prevention of communicable diseases, and benefits from temporary employment opportunities.

An Ethnic Minority Development Plan (EMDP) has been prepared. Key issues addressed in the EMDP include (i) development of mechanisms to ensure that affected ethnic minority people are involved in planning, implementation and monitoring of the Project; (ii) ensuring that impacts and risks are mitigated, and measures or strategies to mitigate risk, such as awareness and prevention of communicable diseases, are developed in a way that can mitigate impacts for ethnic minority, as well as Han, people; and (iii) seeking opportunities to enhance delivery of culturally appropriate benefits under the Project. Participation of ethnic minority people in design, implementation and monitoring and evaluation of the Project is the basis for achieving the above objectives and therefore has been emphasized in the EMDP.

1. Introduction

1.1. Background and Context

1. The Poverty and Social Assessment (PSA) for the Chongqing Urban-Rural Infrastructure Development Demonstration Project (the Project) indicates that there are two main ethnic minority groups present in the Project Area. In three of the eight component counties and districts there are significant ethnic minority populations; the ethnic people are inter-mixed with the majority Han people, and will experience the same Project impacts. The Project will not directly or indirectly affect the dignity, human rights or culture of the ethnic minority people, nor will it affect the territories or natural or cultural resources that they own, occupy or claim as ancestral domain or asset. The livelihood systems of ethnic minority people, along with Han, will be adversely affected to varying degrees through land acquisition and resettlement. The Project will continue to consult with ethnic minority communities to ensure that they (i) receive culturally appropriate social and economic benefits, (ii) do not suffer adverse impacts as a result of the Project, and (iii) can participate actively in projects that affect them.

2. In addition, the Project seeks to maximize benefits for all poor and vulnerable households regardless of ethnicity. Nonetheless, it is important to ensure that ethnic minority people are able to benefit equally from the Project, and that any negative impacts that might affect them are avoided if possible, and if not possible that the adverse impacts are reduced or mitigated. It is to this end that an Ethnic Minorities Development Plan (EMDP) has been prepared.

3. The first part of this EMDP describes the ethnic minority population in the Project Area, provides an overview of their socio-economic situation in the villages in which they live, and examines the positive and negative impacts that the Project might have upon them.

4. The EMDP that follows has been prepared, based on consultations in selected villages in the Project Area and with the Ethnic and Religious Affairs Bureau (ERAB) in the three ethnic minority components, to ensure the equitable sharing of project benefits and to specify required mitigation measures to address any adverse affects of the Project for the ethnic minority groups. Adequate measures to enhance the economic conditions of vulnerable groups, including ethnic minorities, have been incorporated into the Project design. Provisions for special mitigation measures have been included in the resettlement plans, which will help ensure that negative impacts from land and asset acquisition on vulnerable groups, including ethnic minorities, are fully mitigated. The EMDP synthesizes information from these sources.

5. However, while the overall Project design seeks to maximize benefits for all poor and vulnerable households, regardless of ethnicity, to ensure Project implementation successfully responds to any special needs or concerns for the ethnic minority populations, it will be important for them to continue to be consulted and involved during the subsequent stages of the Project cycle. Accordingly, in addition to synthesizing relevant action recommended in the overall Project design and specific sub-components such as resettlement, the EMDP presented here pays particular attention to mechanisms that might be adopted to ensure the participation of ethnic minorities during further design, implementation and monitoring of the Project’s sub- components.

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1.2. The Project

6. Chongqing Municipal Government (CMG) is implementing the Project with support from Asian Development Bank (ADB). The Project will support physical investment in priority districts and counties with urgent needs for urban/rural roads and water supply infrastructure development accompanied by environmental management and will assist CMG’s development program and contribute to poverty reduction. The Project comprises 30 sub-components in two sectors – roads and potable water supply – located across the eight component districts and counties. Table SA-N1.2.1 provides a summary description of the components and sub- components.

Table SA-N1.2.1: Components and Sub-components Number of sub-components Location Component district/county Sub-total Roads Water supply Circle 2 2 0 1 1 0 Southeast Wing Youyang County 5 3 2 Xiushan County 1 1 0 Yunyang County 7 4 3 6 4 2 Northeast Wing Wushan County 6 5 1 2 1 1 Total 30 21 9

7. The total of 21 road sub-components in eight components can be divided into four types with distinct functions: (i) inter-urban roads (four roads totaling 110 km); (ii) urban-rural roads (11 roads totaling 308 km); (iii) tourism sector roads (five roads totaling 130 km); and, (iv) mining resource roads (three roads totaling 84 km).

8. The Project includes nine water supply sub-components in five counties. The total design capacity is 72,500 m3/d with the smallest scale being 800 m3/d for Hongtu Township water supply (Fengjie) while the largest is 30,000 m3/d for Longtan Town water supply (Youyang). In total in the order of 184,000 people are expected to be beneficiaries of the sub- components being served with safe piped water, and associated wastewater and sanitation facilities provided by CMG.

9. To demonstrate linkages and synergies between improving water supply and road infrastructure, in four of the component areas sub-components will be implemented in the same areas and serve the same catchment areas. Access, connectivity and water supply, taken together, will promote synergistic and sustainability principles of urban-rural development. Where they occur in combination, water availability creates the potential for economic activities at the urban-rural interface, which in turn are supported by roads. Where road and water supply sub-components are undertaken in villages and townships in isolation their positive impacts directly accrue to beneficiaries, predominantly the rural poor, and will be derived from reduced time and resources spent on travel and collecting water, respectively, potentially providing opportunities to take part in other livelihood-enhancing activities.

10. The Project Area includes half of Chongqing’s national poverty districts and counties and also includes one of the four municipal poverty districts (Fuling); approximately half (49%)

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of the poor population in Chongqing are concentrated in the Project Area. Some 39% of Chongqing’s poverty villages are located within the Project Area.

11. The Project will improve infrastructure in 36 towns and 127 villages, including 22 poverty villages. In total some 40% of project beneficiaries are in the Project Area’s three poorest counties (Chengkou, Youyang and Wushan) and these three counties are amongst the six poorest in Chongqing Municipality. Overall some 12.4% of all Project beneficiaries are poor.

Table SA-N1.2.2: Beneficiaries by Component and Sub-component

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Component Sub- District/County component villages Number of of Number Number of of Number of Number Number of of Number beneficiary beneficiary component component beneficiaries beneficiaries beneficiaries Distribution of Distribution served by sub- served Number of poor poverty villages beneficiaries (%) (%) beneficiaries beneficiary towns beneficiary Fuling Road 3 11 23,965 2,109 1 6.3 Qianjiang Road 5 12 32,468 5,455 5 8.5 Road 4 9 25,873 3,570 5 6.8 Youyang WS 2 16 87,418 12,064 22.9 Xiushan Road 2 9 25,150 2,892 4 6.6 Road 5 13 40,398 3,194 3 10.7 Yunyang WS 3 15 63,788 7,080 16.7 Road 7 18 37,792 3,893 4 9.9 Fengjie WS 2 3 16,285 1,677 4.3 Road 2 5 8,819 1,023 2.3 Wushan WS 2 5 8,941 1,037 2.3 Road 3 12 14,371 2,098 3 3.8 Chengkou WS 1 6 7,334 1,071 1 1.9 Note: 1 Poor beneficiaries calculated using 2008 official poverty rates.

12. Included in the above, in Chengkou, Fengjie, Wushan and Yunyang components are five towns and ten villages that are beneficiaries of both road and water supply subcomponents, some 16,253 people will receive benefits from both subcomponents, of whom 1,869 are poor.

Poor among Poor Beneficiary Beneficiary Beneficiary Beneficiary beneficiary beneficiaries towns villages population poverty villages population as % of total All road 31 92 208,836 25,524 22 12.2% beneficiaries All WS 10 45 183,766 22,929 1 12.5% beneficiaries Common 5 10 16,253 1,869 1 11.5% beneficiaries Total 36 127 376,349 46,584 22 12.4% beneficiaries

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1.3. Ethnic Minorities in PRC and Chongqing

13. There are 55 minority nationalities or groups officially recognized in PRC, which collectively comprise about 9% of the total population. Since 1949, the Government has defined ethnicity on the basis of shared language, territory, economic base, and traditions/culture. Under this definition, the Han constitute the majority nationality in the PRC. Some minority nationalities (e.g., Hui and Man) have become assimilated with the Han, adopting the language and traditions of the latter, but are still recognized as minority nationalities.

14. Most of the PRC’s ethnic minority peoples live in eight provinces and five minority autonomous regions in the northern, western and south-western parts of the PRC. Non-Han nationalities were officially registered during the 1950s in a systematic process of research, interpretation and discussion with minority group representatives. This definition of ethnic nationalities has provided the basis for implementing Government policies designed to recognize ethnic equality, and supporting ethnic minority groups catch up the mainstream population.

15. The Government began creating ethnic autonomous areas in 1947, and by 2005 there were 155 ethnic minority autonomous areas (including five autonomous regions, 30 autonomous and 120 autonomous counties). According to the Fifth National Population Census (2000), of the 55 ethnic minority groups, 44 groups live in their own autonomous areas and the population of these 155 areas accounts for 71% of all ethnic minority people in PRC. The autonomous minority prefectures and counties that have been established are concentrated in , and Qinghai provinces and five ethnic minority autonomous regions.1

16. In Chongqing, the ethnic minority people are concentrated in the southeast of Chongqing, an area that accounts for 93% of the total ethnic minority people of the municipality. The Municipality includes one ethnic minority autonomous district (Qianjiang) and four ethnic minority autonomous counties (Youyang, Xiushan, Pengshui and Shizhu). Qianjiang, Youyang and Xiushan are in the Project Area. In Chongqing there are some 1.97 million minority people (6.4% of the total population), the predominant groups being the Tujia (72%) and Miao (24%).

1.3.1 Tujia People

17. The Tujia, with a total population of over 8 million, is the 6th largest ethnic minority in the PRC. The Tujia were officially recognized as one of the 55 ethnic minorities in January 1957, and a number of autonomous prefectures and counties were subsequently established. They live in Wuling Mountain Ranges, straddling the common borders of , and Guizhou Provinces, and Chongqing Municipality. Although there are different accounts of their origins, the Tujia may trace their history back over twelve centuries, and possibly beyond, to the ancient Ba people who occupied the area around modern-day Chongqing some 2,500 years ago.

18. The Tujia people called themselves "Bizika", which means "native dwellers". According to records, ancestors of the Tujia people settled in the present western Hunan Province and western Hubei Province as early as 2,000 years ago, where they were referred to as “Wulingmans” and “Wuximans”. It was in the Dynasty (960-1279) that the Tujia as an

1 Including Inner , Xinjiang, and , and Xizang ethnic minority autonomous regions.

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ethnic minority group came into being, and with the founding of the PRC, they were officially recognized as the Tujia ethnic minority.

19. Originally the Tujia people had their own language, belonging to the Tibeto-Burman group of the Chinese-Tibetan . The Tujia language did not have a written script, and Mandarin (or dialect of) characters were adopted. Now, the vast majority of the Tujia across PCR use some form of Mandarin; very few monolingual Tujia speakers remain.2 Children learn Mandarin from childhood. Now in Chongqing, Tujia people speak Chongqing dialect but understand written Mandarin as the characters are similar. During the TA both the household survey and village consultations confirm this. Tujia people have become socially and economically mainstreamed with the Han, and records show intermarriages as far back as (AD 1368-1644).

2 With increasing assimilation into Han culture, Tujia language became used less frequently, and in many areas, the massive influx of Han settlers after the gaituguiliu reforms of the early 18th century led to the swift abandonment of the Tujia language. There are now only about 70,000 Tujia speakers, that is less than 1% of the total Tujia population, most of whom live in the northern parts of Xiangxi Tujia and Miao Autonomous in north- western Hunan Province and in Enshi Tujia and Miao in south Hubei Province.

5 Chongqing Urban-Rural Infrastructure Development Demonstration Project

Figure 1: Location Map of Tujia People

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1.3.2 Miao People

20. With a population of more than seven million, the Miao people form one of the largest ethnic minorities in . They are mainly distributed across Guizhou, Yunnan, Hunan and provinces, Chongqing Municipality and Guangxi Zhuang Autonomous Region, and a small number live on Island in Province and in southwest Hubei Province.

21. As early as the Qin and Han dynasties 2,000 years ago, the ancestors of the Miao people lived in western PRC in present-day Sichuan, Yunnan, Hunan and the eastern part of Guizhou provinces. They were referred to as the “Miaos” in documents of the Tang and Song period (AD 618-1279).

22. As a result of large-scale migrations over many centuries the Miao people became widely dispersed. Such a wide distribution and the influence of different environments have resulted in marked differences in dialect, names and clothes. Today the Miao are mostly concentrated in Yunnan province, the only area where they still speak Miao language. In Chongqing, Miao people speak Chongqing dialect or Mandarin.

2. Legal and Policy Framework

2.1. Government Policy and Programs

23. After 1949, the Government of PRC adopted a policy of ethnic equality, in which all groups are regarded as legally and constitutionally equal. However, given the poorer social and economic conditions of most minorities, the government has subsequently adopted a policy of positive discrimination in favor of the minority groups to help them ‘catch up’. Policies and regulations incorporate a variety of measures to address the needs of ethnic people, including autonomous governments at various levels, special consideration in education, and funding of programs for the development of ethnic people.

24. The EMDP complies with the relevant laws and regulations related to ethnic minorities of the PRC, the ADB’s policies on ethnic minorities and involuntary resettlement and relevant regulations of the districts and counties Project Area. The relevant Laws and Regulations of PRC include:

• Constitution of PRC • Ethnic Minority Autonomous Law of PRC • Village Committee Composition Law of PRC • Regulation of PRC for the Administration of Ethnic Minority Autonomous Township • Tenth Five-year Scheme for Ethnic Minority Enterprise Development

25. The 1954 Constitution specified mechanisms for exercising autonomy in minority areas. Nationality autonomous areas have representation in government bodies at all levels, and government subsidies are provided in the following areas: special access to relief funds, loans, subsidies and tax relief, including a lower agriculture tax to assist in economic development).

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26. Since the early 1980s, governments of autonomous areas have also been able to decide on economic policy, including what to produce. They have some latitude in allocating government subsidies, and within set guidelines, education and budgeting based on the Law on Ethnic Regional Autonomy (1984). Two counties and one district, as well as one township, have been established as ethnic minority autonomous areas.

27. The “Notice of State Council on the Establishment of Ethnic Minority Villages” (1983) stipulates the condition for the establishment of ethnic minority townships or villages as an area in which ethnic minority people are concentrated and comprise at least 30% of the population. The Notice provides for establishment of ethnic minority townships or villages with a smaller proportion than 30% under special circumstances.

28. Other relevant content of the above laws and regulations:

• Except for the common rights that are shared equally by all local governments, the local autonomous governments share these additional rights: autonomously making laws, local political affairs self-administration, local economy self- administration, local finance administration, local science, education and culture self-administration, local public safeguard force self-composition, and use and development of ethnic minority language, etc.; • People of PRC have the right to practice their chosen religion, which is protected by national government and local autonomous government; • Development of administration systems and regulations to promote the development of the economy and culture of ethnic townships, assure ethnic minority legal rights and strengthen the union among all ethnic groups; • Except those specifically deprived of political rights, all people over 18 years old share the rights to vote or be voted for, regardless of their ethnic group, nationality, sex, occupation, family, religion, education, property, or residence period; • The national government should assist to accelerate the development of the economy and culture of ethnic minorities from the aspects of finance, materials and techniques, etc.; • All ethnic groups have the right to use their indigenous language; they are guaranteed the freedom of using and developing their indigenous language, and to advocate and encourage all ethnic groups to learn their language.

29. Minority areas also have special access to relief funds, loans, subsidies and tax relief, to assist in economic development. For the eight provinces in the PRC where minorities are concentrated, government subsidies in the past have been substantial. There are two existing funds to support poverty minority villages, the ethnic minority fund and the ethnic minority development opportunity (operating at both municipal and provincial levels).

30. District and county governments through the Ethnic and Religious Affairs Bureau (ERAB) undertake projects and programs aimed at improving infrastructure and wellbeing of ethnic minority communities. Projects and programs undertaken in the areas and communities who are also Project beneficiaries, between 2006 and 2009, are shown in Table SA-N2.1.1.

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Table SA-N2.1.1: ERAB Projects and Programs in Ethnic Minority Communities CMG State Township Component Project type funds funds (project location) (CNY) (CNY) Ganxi, Heishui Building village roads in Ganxi Village, etc. 600,000 and Maoba Building a cistern (300 m3 capacity) and 4 Heishui Town 100,000 Youyang km pipeline (Malu Village) Ganxi Town Heishui Middle School 200,000 Heishui, Ganxi Building health center and purchasing 1,200,000 and Muye equipment Building a new cistern with a capacity of Meijiang Town 200,000 150 m3 in Limu Village Training for 1,450 migrant workers Xiushan County 430,000 returning home Purchasing 41 computers, 31 sets of table Meijiang Town and chairs for Minzu Primary School in 150,000 Xiushan Minzu Village Building a new road of 6 km with a width of Meijiang Town 200,000 4 m in Caitang Village Providing assistance for ethnic minority Xiushan County poor students, including 55 senior high 80,000 school students and 7 university students Building a new road of 9.6 km with 10 Huangxi Town culverts from Xinmin Village to Chashan 100,000 Village Building 5 km road (No. 4 Village Group, Shihui Town 100,000 Village) Building a new road of 8 km from Anshan Baishi Township 100,000 Village to Watang Village Rebuilding and improving a bridge with a Baishi Township length of 41.5 m, width of 6.6 m and height 100,000 of 42 m in Fuxing Village Building a new road of 3 km with a width of Qianjiang Heixi Town 4.5 m in Shengdi Community and Gaige 100,000 Village Building a new road of 3 km and rebuilding Xiaonanhai Town 100,000 a road of 14 km in Shuangyuan Village Building a new road of 3 km (Gongnong Shihui Town 100,000 Village) Supporting 556 ethnic minority poor high Qianjiang District 50,000 school students Qianjiang District Training for 1,660 migrant workers 460,000 Protection for featured houses in Xinjian Xiaonanhai Town 1,000,000 Village Source: ERABs in Project Districts and Counties (2009).

2.2. ADB Safeguards

31. ADB notes that the contexts in which indigenous peoples live are varied and changing and no universally accepted definition exists. Indigenous peoples may be referred to in different countries by such terms as indigenous communities, ethnic minorities, indigenous cultural communities, aboriginals, hill tribes, minority nationalities, scheduled tribes, or tribal groups.

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32. For operational purposes, ADB uses the term indigenous peoples in a generic sense to refer to a distinct, vulnerable, social and cultural group possessing the following characteristics in varying degrees:

• Self-identification as members of a distinct indigenous cultural group and recognition of this identity by others; • Collective attachment to geographically distinct habitats or ancestral territories and to the natural resources in these habitats and territories; • Customary cultural, economic, social, or political institutions that are separate from those of the dominant society and culture; and • A distinct language, often different from the official language of the country or region.

33. The indigenous peoples’ safeguards (Safeguard Requirements 3: Indigenous Peoples) are triggered if a project directly or indirectly affects the dignity, human rights, livelihood systems, or culture of indigenous peoples or affects the territories or natural or cultural resources that indigenous peoples own, use, occupy, or claim as their ancestral domain.3

34. The safeguard requirements focus on the circumstances of indigenous people and on identifying and satisfying the needs and development aspirations of these people. It emphasizes the participation of indigenous groups in development and the mitigation of negative effects and impacts on particular groups by virtue of their culture and traditions.

35. The approach adopted by ADB is to seek the greatest possible reduction in poverty amongst indigenous peoples and in cases where adverse cultural effects are unavoidable, to minimize these effects through identification of appropriate mitigation measures. Furthermore, where a project is to affect indigenous people, it is important to incorporate mechanisms into project planning that will ensure the equal or enhanced enjoyment of culturally appropriate social and economic benefits by them, and that adverse impacts will be avoided to the maximum extent possible. Where avoidance is possible a plan is required to set out the measures to minimize, mitigate or compensate for adverse impacts.

36. If indigenous peoples are the sole or the overwhelming majority of direct project beneficiaries, and when only positive impacts are identified, the elements of a plan could be included in the overall project design in lieu of preparing a separate plan. In such cases, the project document will include a summary of how the project complies with indigenous peoples safeguards. In particular, it will explain how the requirements for meaningful consultation are fulfilled and how the accrual of benefits has been integrated into the project design.

2.3. Comparison of PRC Law and ADB Safeguards

37. All relevant policies and laws and regulations of the PRC are comparable with ADB objectives, that is, centered on the equality and development of ethnic minorities, and paying special attention to the development of the ethnic minority economy, society and culture, with the view of maintaining the rights of ethnic minorities and promoting their socio-economic status.

3 ADB: Safeguard Policy Statement, Manila Philippines (June 2009)

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3. Ethnic Minority People in Project Area

3.1. General

38. In the overall Project Area the ethnic minority population accounts for approximately 8.1% of the total population. Of the eight components, Qianjiang, Youyang and Xiushan, the three south-eastern component areas, are Tujia-Miao autonomous district or counties with respectively 72.8%, 83.9%, and 52.3% ethnic minority people. Qingshui Township in Yunyang County, in the northeast, is an ethnic minority township where nearly a third of the population is ethnic minority.

39. In the Project Area, the Tujia and Miao ethnic minority groups in Xiushan and Qianjiang live in mixed communities with Han and are culturally, as well as economically, integrated. In Youyang the Tujia and Miao live in communities with one another but fewer Han (villages in the sub-component area range from 95% to 100% ethnic minority). Local dialect (Tujia/Miao language) is no longer spoken, with lingua franca for all people (ethnic minority and Han) being Chongqing dialect for 98% and few people speaking the official language of Mandarin. Only a few elderly people wear traditional dress, and special customs or traditions are no longer adhered to with the exception of special days. In Youyang the county government organizes a festival around competition of “Baishou” (Tujia hand waving dance) and “Shange” (folk songs), the competitions are open to all people, including Han, and through this process a larger proportion of the population can now perform a simplified version of Baishou.

40. Table SA-N3.1.1 shows the presence of ethnic minority people in each of the components. In five components the proportion of ethnic minority population is less than 2%, and as noted above in three components the minority population ranges from more than half (52%) to 92%. The poverty rate in these same three counties ranges from 8.8% in Qianjiang (ranking 7th out of the eight components for poverty) and 13.8% in Youyang (ranking 2nd out of the eight components for poverty). The poverty rate in Yunyang ranks this county 5th, in the Project Area, and although not an ethnic minority autonomous area it does comprise one town that is classified as an ethnic minority township.

41. While the ethnic minority groups of Tujia and Miao are economically integrated with Han, they are poor and vulnerable to economic shocks. It should be noted that these three ethnic minority counties also rank in the top four components in respect of the proportion of all villages that are classified as poverty villages (Youyang 1st, Qianjiang 3rd, Xiushan 4th), and Youyang also ranks lowest for per capita GDP.

Table SA-N3.1.1: Distribution of Ethnic Minorities and Poverty in Project Area Number EM as % of % of EM population Poverty Poverty Component of ethnic total Other villages as (%) Tujia Miao rate (%) groups population groups of all villages Fuling District 32 0.5 62.1 5.5 13.4 5.5 15.9 Qianjiang District 26 72.6 81.3 8.8 0.1 8.8 48.2 Youyang County 29 92.2 84.4 13.8 0.0 13.8 50.4 Xiushan County 30 52.2 74.5 11.5 0.3 11.5 43.5 Yunyang County 23 0.4 74.0 11.1 24.7 11.1 29.1 Fengjie County 21 1.5 95.0 10.3 4.5 10.3 33.1 Wushan County 20 0.8 97.7 11.6 2.1 11.6 29.8 Chengkou County 14 0.1 11.9 14.6 79.8 14.6 50.0 Source: District/county Ethnic Minority Bureaus & Poverty Alleviation Offices (June 2009).

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42. It should be noted that in Yunyang the road sub-component traverses two townships and some eight villages; however only half of these are located in the ethnic minority township of Qingshui; it is the information for Qingshui that is included in the table below. There are 22 poverty villages in the Project Area, Table SA-N3.1.2 shows that 14 of these poverty villages have very high proportions of ethnic minority people. In the beneficiary townships and villages with ethnic minorities, the proportion of ethnic minority people is larger than for the component area overall. In Qianjiang and Youyang the poverty rate in the sub-component areas is higher than the rate for the district/county overall. Village data is provided in Section 3.3.

43. In summary, the ethnic minority communities are located in classified poverty areas and lack basic infrastructure, which compounds their vulnerability. The Project seeks to redress this imbalance through provision of road/access and reliable and safe water supply.

Table SA-N3.1.2: Data on Ethnic Minority Counties at Sub-component Level Number of Number of Number of poverty Village % % ethnic Component towns villages villages population poor minorities Xiushan 2 9 3 25,556 7.5 63.6 Qianjiang 5 12 4 28,468 17.5 74.3 Youyang 6 25 4 95,742 14.8 96.1 Yunyang 1 4 1 5,520 … 32.7 Source: District/county Ethnic Minority Bureaus & Poverty Alleviation Offices (2009).

3.2. Socio-Economic Characteristics of Ethnic Minority People

44. A household survey was undertaken including a total of 831 households (304 households for water supply sub-components and 527 households for road sub-components) across the eight components. This data was analyzed and has been presented in the Poverty and Social Assessment (PSA) prepared for the Project. The data has been dis-aggregated by component, sub-component, ethnicity, poor/non-poor, and gender. The survey results mirrored the general distribution of ethnic minority people described above, in Chengkou, Fengjie, Wushan and Yunyang respondents were 100% Han, in Fuling 99% were Han and 1% ‘other’ ethnic group,4 in Qianjiang, Xiushan and Youyang the survey captured Tujia respondents (70%, 48% and 86% respectively) and Miao respondents in Qianjiang (18%) and Youyang (12%).

45. Miao heads of household were only represented in three of the five age groups; larger proportion of Miao household heads (56%) are in the 31 to 45 year age group compared with heads of Han (44%) and Tujia (42%) households. A smaller proportion of Tujia heads of household (10%) are in the 61 to 75 year age group compared with Han and Miao heads of household (15%).

Table SA-N3.2.1: Age of Head of Household Age group in years (%) Ethnic group 20 to 30 31 to 45 46 to 60 61 to 75 75 yrs + Han 3.8 44.3 35.9 14.9 1.1 Miao 55.6 29.6 14.8 Tujia 4.8 42.9 41.8 10.1 0.5 Total 3.9 44.3 37.0 13.9 1.0

4 This is a man who is married to a Han woman; their household is located in Shijiagou village (Wulingshan Mountain Road subcomponent).

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46. As shown in Table SA-N3.2.2, in terms of size, Miao households cover the smallest range, including from three to eight people. Han households comprise up to 13 members (with 2% of households being larger than nine people) and Tujia households comprise up to 17 members (with 1.6% of households being larger than nine people). Between 60% (Tujia) and two-thirds (Han) of households have between three and five members. Han has the largest proportion of households with one or two members, and Tujia has the largest proportion of households with six to eight people (37%).

Table SA-N3.2.2: Household Size Number of people in household (%) Ethnic group 1 to 2 3 to 5 6 to 8 > 9 Han 12.9 65.5 19.4 2.1 Miao 63.0 37.0 0.0 Tujia 3.2 60.8 34.4 1.6 Total 10.3 64.3 23.5 1.9 Source: TA Household Survey (May/June 2009).

47. Chongqing dialect is the main language spoken by between 96% and 99% of heads of household. Fluency in Mandarin is low with between 3% (Han) and 7% (Tujia) stating they were fluent, between 29% (Han) and 44% (Tujia) stating they were barely intelligible, and between a third (Miao and Tujia) and 54% (Han) of household heads stating they could not speak Mandarin.

48. In its written form Chongqing dialect and Mandarin are similar, therefore while written Project information (IEC materials for awareness programs and resettlement information booklets etc), as well as road signs and other safety messages along roads, can be provided in Mandarin; efforts to include appropriate graphic signage will help to ensure that the information is properly understood. All community participation and outreach activities (verbal) will use Chongqing dialect.

49. Education levels are similar across the ethnic groups, between 5% (Tujia) and 8% (Han) of households heads have no education, of those completing primary school 9% are Han, 11% are Tujia and 19% are Miao, while those completing secondary school ranges from 24% (Han) to a third (Miao). Household heads receiving a tertiary education ranges form 10% (Han) to 13% (Tujia). A much larger proportion of heads of household heads are literate in Chongqing dialect, ranging from 78% (Miao) to 89% (Han), than Mandarin with literacy levels ranging from 36% (Han) to 63% (Miao).

50. Overall 42% of households receive a regular income, ranging from 38% (Han) to 56% (Miao). Tables 3.2.3 (a) and (b) show that for households receiving regular income, the main income source is migration for labor, accounting for a third of all households and for 44% of Miao households and 30% of Tujia households. Income from agriculture and forestry is the second main source for Tujia households (19%) followed by trade and small business, employ in public service accounts for a third of Miao households with the third main source of income being engagement in education and health sector. Trade accounts for the second main income source for Han households (18%) followed by employ in public service (14%).

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Table SA-N3.2.3 (a): Main Sources of Income and Livelihood Main source of income (%) Ethnic Education or Government Agriculture group Trade Migration Other Households health employ + Forestry receiving Han 7.1 13.7 18.0 7.1 32.0 12.6 regular Miao 11.1 33.3 5.6 0.0 44.4 5.6 income Tujia 4.3 10.8 18.0 18.7 30.2 13.7 Total 6.5 13.6 17.5 10.3 31.9 12.6

Table SA-N3.2.3 (b): Main Sources of Income and Livelihood Main livelihood (%) Ethnic Trade, small Subsistence Subsistence Daily Livestock Households group Other not business farming fishing labor trading receiving Han 3.9 72.3 1.2 13.7 2.3 6.6 regular Tujia 3.8 78.8 1.9 13.5 1.9 0.0 income Miao 100.0 Total 3.8 74.1 1.3 13.2 2.2 5.4 Source: TA Household Survey (May/June 2009).

51. The table also shows that for households not receiving regular income, the main livelihood activity is subsistence farming (including livestock trading) accounting for 74% of Han, 80% of Tujia and 100% of Miao households. Provision of daily or casual labor follows this, for 14% of both Han and Tujia households. Of those engaged in subsistence farming 82% are poor, with 80% of Han, 91% of Tujia and 100% of Miao subsistence farmers being poor.

52. Overall Han includes a larger proportion of poor (12%) followed by Tujia (8%) and Miao (7%).5 Difficulties with the survey sample aside, Tujia are the least well off in terms of cash income and avenues open to them for income generation. Some 43% of Tujia households are in the bottom two quintiles, compared with 39% of Han households and 36% of Miao households.

53. There is a larger proportion of Han in the highest income quintile; 20%) of Han households compared with Miao (16%) or Tujia (15%) households.

Table SA-N3.2.4: Poverty Rate and Income Distribution Per capita annual income in CNY (%) Ethnic group Poor (<1,196) < 1,800 1,801 – 3,299 3,300 – 4,999 5,000 – 7,499 >7,500 Han 11.7 22.4 17.7 19.6 20.1 20.2 Miao 7.4 20.0 16.0 16.0 32.0 16.0 Tujia 7.9 15.1 27.4 23.5 19.6 14.5 Total 10.7 20.8 19.8 20.3 20.3 18.8 Source: TA Household Survey (May/June 2009).

54. Average annual per capita incomes are the lowest for Tujia (CNY4,534) and the highest for Miao (CNY5,674) while Han people receive average per capita annual income of CNY5,371. The maximum per capita income earned is by Han (CNY69,550), significantly higher than either Miao (CNY21,213) or Tujia (CNY20,400). The higher levels of involvement of Miao households in labor migration and employment in public sector (which combine account for

5 It is noted in the PSA that the survey sample, due to cost and time constraints, was small compared with the number of households in the component areas. Given this, the sample has skewed some data, for example, the proportions of poor as captured in the survey are very different from official statistics. The survey in Chengkou reveals that only one household out of 100 surveyed was poor, this presents a misleading picture given that Chengkou is the poorest component in the Project Area.

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nearly three-quarters of households receiving regular income) can partly explain their lower levels of poverty and lower income.

Table SA-N3.2.5: Annual per Capita Income Data (CNY) Range for lowest 25% Average Range for highest 25% Ethnic Minimum Maximum Average of lowest group Minimum Maximum Minimum Maximum 25% Han 103 69,550 5,371 103 1,975 1,157 7,128 69,550 Tujia 133 20,400 4,534 133 2,363 1,477 5,950 20,400 Miao 726 21,213 5,674 726 2,003 1,421 7,500 21,213 Source: TA Household Survey (May/June 2009).

55. Other aspects of hardship can be indicated by households lacking food and/or not being able to provide essential non-food items (minimum basic needs) during the year or the need to uptake credit or loans to help get through lean periods. Table SA-N3.2.6 shows that a significantly higher proportion of Tujia households experience food shortages throughout the year, while more than a third of Tujia households (35%) are unable to provide minimum basic needs compared with 27% of Han households and 19% of Miao households. Overall some 40% of households take up credit or loans but a larger proportion of Tujia (49%) and Miao (48%) households need to take up credit than Han households (36%).

Table SA-N3.2.6: Food & Basic Needs Shortages and Uptake of Credit Lack food Unable to provide Obtain loans or Ethnic group (%) minimum basic needs (%) credit (%) Han 9.3 27.1 36.5 Miao 3.7 18.5 48.1 Tujia 29.1 35.4 49.2 Total 13.6 28.7 39.7 Source: TA Household Survey (May/June 2009).

3.3. Data by Component and Sub-component Area

56. The following supplements the information provided in Section 3.2 based on the household survey. The village descriptions provided below are based on the findings of the consultations (focus group discussions in the villages and interviews with village leaders) undertaken during the TA.

3.3.1 Qianjiang District

57. Qianjiang was established as an ethnic minority county in November 1983. There is one road sub-component in this component. The proposed road will directly affect, positively and negatively, some 28,000 population in 12 villages in five towns/townships. Of the 12 villages, four are classified as poverty villages and the poverty rate for the 12 villages ranges from 10% to 31%. Of the beneficiary population 74% are ethnic minorities (and 16% are poor). The proportion of ethnic minority population ranges from 32% to 98%; Shuhui township comprises the smallest proportion of ethnic minority people (ranging from 32% to 59% in the three villages), as shown in Table SA-N3.3.1.

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Table SA-N3.3.1: Data on Villages in Sub-component Area Poverty Poverty rate Ethnic minority Town/Township Village Population village (%) population (%) Gaofeng Yes 1,269 21.4 40.8 Shihui Liming 3,861 10.2 31.9 Qingshan 2,144 9.7 58.7 Anshan 2,560 13.9 70.0 Baishi Zhonghe 2,606 14.8 69.9 Fengshan 1,625 13.6 70.0 Huangqiao Yes 2,410 24.6 90.0 Huangxi Tanghe 1,256 30.5 89.0 Shanyang Yes 1,671 23.8 90.9 Baihe Yes 4,542 16.6 93.5 Heixi Gaige 3,034 15.0 98.3 Xiaonanhai Xinjian 1,490 15.3 88.1 Total 12 5 28,468 16.3 74.1 Source: Qianjiang PMO.

58. Livelihoods in the sub-component area are based on migration for labor (40% – 60% of household income), livestock raising (pigs) and silkworm cultivation (20% – 40% of income) and crop production (5% – 30% of income). There are a number of small businesses active in the villages including café and restaurants, alcohol production, tailor, DVD/CD shop, brick factory and a small wooden furniture factory. In the three villages included in the FGDs handicraft was not undertaken.

59. There is one primary school and at least one health clinic located in each of the villages, while all villages have small grocery shops (small shops run out of house or small shed by the side of the road), larger markets are located in the towns/townships.

60. Most if not all households are connected to the national electricity grid. Safe water is not universal as many households use mountain springs, conveyed to the household via bamboo pipes. The water is clean but not necessarily safe. Households are not connected to a sewerage system.

3.3.2 Youyang County

61. Youyang was established as an ethnic minority county in April 1983. In Youyang only one of the 25 villages in the sub-component areas has an ethnic minority population of less than 95% and the poverty rate ranges from 5% to 49% with two villages in Maoba town comprising very high proportions of poor (37% and 49%), as shown in Table SA-N3.3.2. Four poverty villages are located in the road sub-component.

62. Similar to Qianjiang, people in the sub-component areas rely on migration for labor to contribute to household incomes. Migration accounts for between 30% and 70% of household income; other income sources include manufacture of traditional Chinese medicine (herbs) and crops (15% to 40% of income), and pig and goat raising (10% to 30% of income). All households have access to electricity through the national grid, but households do not have access to safe water or sanitation. While all villages have a primary school, not all of the villages have a health clinic. The markets and health clinics are located in the towns/townships.

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Table SA-N3.3.2: Data on Villages in Sub-component Area Sub- Town / Poverty Poverty rate Ethnic minority Village Population component Township village (%) population (%) Pingdiba 2,608 15.0 100 Sujia Yes 1,827 19.4 100 Heishui Daquan Yes 2,978 17.7 100 Heishui 2,548 17.9 100 Road Tiancan 1,694 49.3 95 Maoba Longjia Yes 1,864 37.0 100 Muye ’er Yes 1,596 49.0 100 Ganxi 7,226 13.6 98 Ganxi Taiping 3,532 13.0 98 Baixiang 3,991 5.0 90 Meishu 3,856 5.4 94 Bohai 2,996 6.0 94 Shiying 3,190 4.9 97 Baojia 3,350 5.0 94 Longtan Yandi 2,940 9.9 80 Xintian 3,610 9.9 97 Wuyu 4,237 9.4 97 Water supply Longquan 7,750 4.9 90 Zhanzhuang 8,100 5.0 90 Qingxiang 5,053 9.9 98 Guixiang 5,339 10.0 95 Changxing 6,203 10.0 94 Mawang Ji’an 6,595 10.9 98 Zhengqiao 3,688 14.9 95 Zhengnan 2,962 15.0 97 25 95,742 14.7 96 Source: Youyang PMO.

63. As noted in Section 4 (consultation) the people rated road access as either poor or very poor.

3.3.3 Xiushan County

64. Xiushan was established as a Tujia and Miao in November 1983.

65. Migration for labor is an important income source in the sub-component area, but in addition to remittances, households earn income from tea, honeysuckle, and Rhizoma atractylodis macrocephalae production (Kaibao and Hongsha villages in Zhongling). Xiushan County and Zhongling and Meijiang Township governments have made plans to further develop tea oil in the area. For example, Meijiang Township plans to extend tea plantation area (for oil production) to 10,000 mu (667 ha) in the next few years.

66. In Xiushan the poverty rate across the nine villages ranges from 2% to 15% and the proportion of ethnic minority population ranges from 54% to 80%; three villages are classified as poverty villages.

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Table SA-N3.3.3: Data on Villages in Sub-component Area Town / Poverty rate Ethnic minority Village Poverty village Population Township (%) population (%) Yizhong 4,507 1.9 57 Meijiang Caitang Yes 2,872 4.8 56 Guantian 3,871 2.4 54 Wanglong 2,130 7.6 61 Malu 2,660 5.0 68 Kaibao Yes 2,487 14.2 80 Zhongling Kaihe 3,120 5.8 64 Zhongxi 2,280 10.1 68 Hongsha Yes 1,973 6.5 62 Yunyi 2,316 14.5 70 Total 10 3 27,350 6.5 61 Source: Xiushan PMO.

67. All households have access to electricity through the national grid, but households do not have access to safe water or sanitation. While all villages have a primary school, not all of the villages have a health clinic.

3.3.4 Qingshui Township, Yunyang

68. Qingshui Township in Yunyang County was established as a Tujia Township in 2002. The county includes 24 ethnic minority groups of which Tujia and Miao are the majority, accounting for a third of the population. The road will traverse two townships and eight villages, two of the villages are poverty villages and one of poverty villages is located in Qingshui. The beneficiary population is in the order of 17,000.

Table SA-N3.3.4: Data on Villages in Sub-component Area Township Village Population Poverty village Yaoling 4 12, 699 Dayan 900 Yes Baotai 700 Qingshui Cixi 1,407 Qingshui 1,700 8 17,406 1 Source: Yunyang PMO.

4. Consultation

4.1. Consultation for the Project

69. Consultation for the Project includes key informant interviews (KIIs) with various stakeholders at district or county and village levels, and focus group discussions (FGDs) with beneficiaries in selected villages. The district/county Implementation Agencies (IAs) and PPTA specialists selected the villages participating in the consultations. In addition a household survey was undertaken in selected villages in each component. A total of 831 households were captured in the survey.

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70. A series of checklists of questions were prepared in order that consistent information could be obtained for each sub-component area. Consultations and site visits by the social development specialists commenced in April 2009 and were completed by July 2009. The purpose of the key informant interviews (KIIs) at district/county level was to obtain broad-brush information on sub-component areas in the context of the wider component area. Details pertaining to problems and issues encountered, and the ways the sub-components and the Project overall could alleviate some of these problems, were discussed.

71. Specific consultations were held to contribute to the social assessment and preparation of the EMDP. The consultations in ethnic minority communities (mixed and women only groups) were undertaken, focusing on identifying the measures to be included in the EMDP. The district/county level KII outlines were sent to the Implementation Units (IUs) by email or fax prior to the field survey; the PPTA specialists collected and reviewed the information provided by the bureaus, and conducted the interviews and FGDs.

72. The consultation undertaken to this stage in the Project includes FGDs and KIIs held in the each of the eight components. In total some 49 district or county level KIIs (Development and Reform Commission, ERAB, Health Bureau, Poverty Alleviation Office, Water Resource Bureau, Women’s Federation, and Transportation Bureau) and 122 town or township and village level KIIs (village leaders, school principals, heads of health clinics, traffic police) were undertaken.

73. The FGDs with beneficiaries, which included discussions with women only and mixed groups in 41 villages with 662 participants (319 of whom were women), as shown in summary in Table SA-N4.1.1, complemented information from the KIIs. The full table is presented in Annex 1. In the three ethnic minority components, FGDs were held in 12 villages with more than 200 participants. In each village a women’s FGD and a mixed FGD was undertaken.

Table SA-N4.1.1: Summary of Focus Group Discussions by Component Number of villages Number of participants Component Total number of participants participating Women’s FGDs Village FGDs Fuling 4 31 30 61 Qianjiang 3 25 31 56 Youyang 6 51 60 111 Xiushan 3 23 32 55 Yunyang 7 46 54 100 Fengjie 7 55 55 110 Wushan 4 32 29 61 Chengkou 7 56 52 108 Total 41 319 343 662 Source: TA Focus Group Discussions (May-June 2009).

4.2. Results of the FGDs

74. As identified by the ethnic minority people during the FGDs, the impacts of the proposed road improvements include:

• Connectivity of the rural roads with public transport routes network; • Enhancement of the movement of the trucks that often get stuck in the potholes and result in traffic jam; • Establishment of bus services;

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• Reduction of the road traffic risks; • Facilitation of tourism development; • Farmers quick and easy access to markets; • Enabling sale of farmers’ products, such as tea, honeysuckle, silkworm, swine, goats, strawberry, vegetable; • Enabling sale of timbers, which currently cannot be transported outside; • Enabling more women to do small businesses in different marketing days of the nearby towns, because it is usually women to do this kind of small businesses; • Possible reduction of prices for goods; • Convenience for the sick to see doctors in nearby towns; • Reduction of students’ time spent on the way to go to school; and • Quick and easy access to entertainment places and enhancement of life quality.

75. The impacts of the water supply system improvements are considered to include:

• Access to water 24 hours a day, 365 days a year; • Safe drinking water which reduces chances of getting diseases; • Good personal hygiene which reduces chance of getting diseases; • Enlarging livestock production scale and earning more money. Now it costs much time to look for and fetch water for feeding pigs for example; with enough water, farmers, especially women, can enlarge their production scale; • Reduction of time, especially women’s time, spent on looking for and fetching water, because most of the time it is women looking for and fetching water; • Using washing machines which saves time, especially women’s time spent on washing, because it is usually women doing the washing; and • Reduction in labor intensity (especially women’s).

76. Some negative impacts were also identified; these include:

• Land acquisition, resettlement and demolition of houses and buildings; • Breaking or affecting the village irrigation system, such as reservoir, water ponds, irrigation culverts and irrigation channels; • Damage to vegetation; • Noise; • Influences from construction workers; • Traffic safety especially for students during the roads construction.

77. Discussions with the ERAB and FGDs in the selected villages indicate that the Tujia and Miao people do not experience problems that are different from other rural poor, i.e. their problems are a result of being poor rather than a result of being ethnic minority. The Tujia people met stressed that they no longer speak their own language, only a few people still wear traditional dress, they do not have special traditional customs and festivals are celebrated in the Project Area. In summary, the Tujia people stated that they are not culturally different from Han, Tujia and Miao understand they are poor and do recognize that some Han households in their communities are also poor. Impoverishment in these areas is associated with lack of basic and reliable infrastructure and limited opportunities to engage in off-farm work.

78. The ERAB staff explained that counties located north of the Great Wall of China (an ancient construction, located from prefecture of Guizhou province to prefecture

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of Hunan province), are more integrated and share many cultural and economic traits with the Han, while ethnic minority groups in southern provinces, such as Guizhou, Hunan, and Yunnan where there are many different ethnic minority groups, have tended to hold on to their culture, language, and traditions to a much greater degree.

79. Overall, it can be concluded from the FGDs that Tujia and Miao do not recognize many differences between themselves, other ethnic minority groups and Han people. Chongqing dialect is spoken; it was commented in one FGD that the people knew there was a Tujia language but they do not know how to speak it.

Box 1 – Case Studies from FGDs Case study 1: There were two ladies in Kaibao village, Xiushan county who said during an FGD that they did not really identify with one particular nationality, because their husbands’ families are Tujia nationality while their mothers’ families are Han and Miao nationality respectively. Case study 2: Mr. Li Fangzhong in Anshan village, Qianjiang county said during the FGD that he remembered in his household registration book he was Han nationality. However the other participants of the FGD disagreed with him and said he was Tujia nationality; Mr. Li was not sure which nationality he is. Case study 3: During an FGD in Baixiang village, Youyang county, Ms. Zhou Xiaomei asked Ms. He Yun, “what is your nationality?” Ms. He Yun said, “I do not know, Tujia or Miao does not matter. My husband is Tujia, so my nationality is recorded as Tujia too.” The specialist then asked about the nationality of her mother’s family, to which she answered Miao. A third woman said that if a person’s surname is they are Tujia, and if the surname is Zhou they would be Miao. The women agreed that they would know their nationality if they checked their registration books. Source: TA FGDs (May/June 2009).

4.3. Needs, Aspirations and Expectations

80. As noted in the summary above, in all of the Project affected villages included in the consultations, the people have a positive attitude toward the Project. During the FGDs discussions about the potential risks and negative impacts were held and some suggestions on ways to mitigate adverse impacts as well as ways to maximize the expected benefits were made.

81. The following information, presented in Table SA-N4.3.1, is from the FGDs, which indicates main problems faced by ethnic minority people and their expectations of the Project, as identified by themselves.

4.4. Grievance Redress

82. Any complaints or grievances of ethnic minority people during the Project will be handled as per the Project’s grievance redress procedure established in the resettlement plans (RPs). To ensure the complaints on land acquisition, resettlement, compensation or other issues are handled openly, fairly and quickly, and to prevent people from being forced to express their dissatisfaction or complaints through complicated formal channels, the Project includes a specific mechanism for people to lodge their complaints and grievances.

83. The IUs will provide sufficient information to people so they are aware of their right to lodge complaints and grievances. The procedure remains valid throughout the Project’s construction period so that people can use it to report their problems to the IUs and have their problems discussed and solved in a timely, effective manner. For details, including a diagram showing the four-step redress procedure, the Project’s RPs should be referred to.

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Table SA-N4.3.1: Needs, Aspirations and Expectations as Identified in FGDs Qianjiang Youyang Xiushan Constant traffic jams due to trucks getting stuck in Poor irrigation conditions; large ruts and potholes; Lack of water supply systems and poor quality Main way for people to travel is on foot; drinking water; Some outside traders come to the villages to collect Limited access and poor condition of roads to agricultural products, but many farmers have to Poor road conditions result in (i) high travel the fields mean that machines cannot be carry products such as pigs or sacks of tea on cost; (ii) lower farm-gate prices for agricultural transported there and used for agricultural shoulders to the markets. Sometimes it can take up products and higher inputs prices; and (iii) production; to eight people to carry a pig; Main delays in emergency travel; Poor road conditions to main towns and Fertilizer etc has to be bought from the towns and problems Lack of agricultural production techniques; markets, narrow roads and poor surface, steep markets and carried back to the village, mostly on faced and slopes and sharp uphill corners which result in: foot; Lack of capital for off-farm economic (i) high travel costs; (ii) long travel times; (iii) Poor condition roads make it difficult for travel by activities. delays to emergency vehicles or travel to the motorbike (second most frequent mode after doctor; (iv) difficulty in selling agricultural walking); motorcycle drivers often fall off their bikes products; and (v) difficulty for students or have to push them; travelling to school; and Poor road conditions result in delays for emergency Few income sources, little or no savings. travel, and long travel times for children to reach school. Improve and upgrade water supply system as Good quality roads (wide, good running soon as possible; surface, fewer bends); Provision of tariff subsidies and free Installation of safety barriers on ravine/hill connections for poor households; Construction of a good quality road (wide, good edge, and retaining walls in locations Good management of water supply system, running surface, fewer bends); susceptible to landslide and rock-fall; including a person from the village to be Installation of safety barriers on ravine/hill edge, Implement good road maintenance and appointed to look after management, and retaining walls in locations susceptible to management; operation, repair and collection of water landslide and rock-fall; Provide bus stations near villages along the charges; Implement good road maintenance and road; Construction of a good quality road (wide, management; Aspirations Provide employment opportunities to local good running surface, fewer bends); Provide fair and adequate compensation for land and farmers; Installation of safety barriers on ravine/hill acquisition; expectations Include participation of people from the edge, and retaining walls in locations Provide technical training on agricultural production of the villages in inspection of road implementation susceptible to landslide and rock-fall; and off-farm skills; Project and monitoring (construction quality); Implement good road maintenance and Provision of capital for women to start small Provide fair and adequate compensation for management; businesses; land acquisition; Provide fair and adequate compensation for Implement traffic safety measures during road Provide technical training on agricultural land acquisition; construction; production and off-farm skills; Provide technical training on agricultural Traffic safety messages for children; and Provision of capital for women to start small production and off-farm skills; Reduce time spent by students travelling to and businesses; and Provision of capital for women to start small from school. Implement traffic safety measures during road businesses; and construction. Implement traffic safety measures during road construction.

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5. Project Benefits, Impacts and Risks

84. The objective of the EMDP is to ensure that adverse household and community impacts on ethnic minority people are identified and mitigated, and to seek opportunities to ensure the delivery of culturally appropriate benefits under the Project.

85. It is anticipated that the key indirect benefit of the Project, both across the Project Area and in the southeast and northeast areas of Chongqing will be the facilitation of economic development through improved infrastructures in the key sectors of roads ad water supply. Efficient urban-rural infrastructure links are necessary conditions for improving productivity in rural areas as well as for enhancing access of agricultural produce to both urban areas and the export market. This increases productivity and household income in both urban and rural areas. In the design and implementation of complementary urban-rural and spatial infrastructure investment policies as part of the overall development strategy, small and medium-sized towns and townships will act as bridges in the urban-rural development continuum, as infrastructure clusters for the rural areas in a well balanced system.

86. The Project will support physical investment in priority districts and counties with urgent needs for urban/rural roads and water supply infrastructure development accompanied by environmental management; it will develop selected towns/townships and provide vital links with surrounding rural communities, and contribute to, and support CMG’s development program and poverty reduction efforts. Institutional strengthening and a sustainable approach to utility service provision at the district level will form the cornerstone of the Project. Improved road access will link rural communities directly with markets, increasing incomes, reducing costs through transport savings, and providing access to jobs in the towns/townships. Improvements to the quality of the water supply will reduce the incidence of waterborne diseases and associated medical costs, and provide communities more opportunities for food processing and other economic activities.

5.1. Benefits of Water Supply Sub-components

87. The water supply systems in the five components are poor; they provide insufficient and poorly treated water. Currently, many households are not connected to the municipal supply due to inadequate transmission and conveyance systems between the plant and villages, and must fetch water from several sources, many times per day.

88. Surface water consumption takes place in the Project Area when water supplied through the town/township systems is inadequate, and for households that are not connected to the supply. The household survey suggests that of all alternative sources used to augment household supply, surface sources, such as streams, rivers and lakes, are the most frequently used, also accounting for the main source of non-connected households (65% in wet season and 75% in dry season). Use of untreated surface water increases risk of exposure to infectious intestinal diseases.

89. There is an established causal link between both inadequate and poor quality water supply, and the incidence of water-borne infections (WBIs) such as diarrheal diseases, hepatitis, typhoid, paratyphoid, and cholera, and skin, eye and ear infections. Case studies have been

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undertaken in PRC to demonstrate the health benefits of improving water supply and sanitation.6

90. School visits were conducted as part of the TA’s investigations and consultations, with KIIs being held with school principals. Schools suffer from similar problems across the Project Area; these include:

• Schools with indoor toilet facilities that are not functioning or decrepit; • Students using outdoor pit latrines with inadequate hand-washing facilities; • Schools are unable to get funding for new pit latrine buildings and facilities; • Regular outbreaks of WBIs force closure of schools for extended periods of time; • Dormitories provided for out of town students are not well-equipped in terms of ablution and toilet facilities; and • Lack of health and hygiene as part of regular school curricula.

91. The potential health benefits that may arise from the Project are:

• The prevention of an increase in the incidence of WBIs arising from contamination of rationed water or water shortages as a result of inadequate supply; • The prevention of an increase in the incidence of WBIs arising from poor quality water; • The prevention of an associated increase in medical expenses; • The prevention of an associated increase in time lost from work leading to a loss of income; • Improved health and hygiene awareness of students in two components (Youyang and Yunyang) piloting the School WatSan program.

92. The Project will improve water availability (quantity) and quality in five component areas and ten towns. Without the Project, it is anticipated that existing water shortages will increase and that much needed improvements to treatment of water will not be provided; as a result of these increasing shortages, the risk of contamination of water used for domestic consumption will also increase. Accordingly, by preventing water shortages, and improving the quality through improved treatment, the Project has significant implications for the future health in the Project Area.

5.2. Benefits of Road Sub-components

93. The poverty reduction potential of road improvements relate to opening up, or improving, access to markets and facilities, including unleashing a latent demand for employment, goods and services. The impact of improved access through road rehabilitation and some new road construction on poverty reduction can be derived through (but not necessarily measured by) the (i) increased access of rural communities to basic social services such as education, health care, and local markets; (ii) increased employment opportunities for unskilled workers in the project area; (iii) indirect and induced economic growth in the project- affected regions and the nation as a whole; and (iv) anticipated reductions in transportation costs to road passengers, freight users, and vehicle operators.

6 A separate health impact analysis has been undertaken for the Project based on data collected during KIIs and from municipal and district/county health authorities; the PSA also makes a number of comments of a more qualitative nature based on results from FGDs and the household survey.

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94. Rural roads play a major role in assisting with poverty reduction by provision of the primary means of access to markets, facilities (schools, shops and medical facilities) and services. Within the Project Area between half and three-quarters of the rural road network is in poor condition. The road improvements proposed in the Project will alleviate this situation by providing all-weather access to remote and poor areas, as well as urban areas dependent on local transportation to markets and commercial centers, schools and health facilities. The evaluation of several completed road projects financed by ADB and others show that, in the longer-term, investments in road infrastructure significantly reduce poverty.

95. The road sub-components will also expand the road network to meet the needs of those living at the outer bounds of the networks. Better tie-ins between the urban centers and rural roads will help rural agricultural products reach markets and allow farmers to upgrade farming practices.

96. During the FGDs it was noted that improved access provided people with opportunities to expand or start new businesses and access better prices for agricultural products (by not being limited to buyers who travel to villages and offer one price). For example, in Qianjiang (Houba – Huangxi Road), FGD participants noted the following benefits from road improvements in the area: (i) increased traffic flows and subsequent increases for road-side businesses; (ii) increase in the number of families breeding pigs, and numbers of pigs being raised (over 100 pigs per household); (iii) increased area under cultivation (with examples of up to 4,000 mu being planted); and, (iv) at least 200 new houses have been built. These participants stated that the income of residents in Gaofeng village had increased from CNY2,800 ($410) to CNY3,400 ($500) as a result of the foregoing factors.

97. The Project will improve access to key facilities and services by undertaking works to re-construct 21 roads in the eight components. The road improvements include provision or reconstruction of bridges and river crossings, the lack of which currently severs access during the rainy season. Further, it was noted in FGDs that when people have to cross the rivers, especially at high flows, it is dangerous, and several people have been swept away.

98. The household survey undertaken for the PSA demonstrated that walking is the main means of transportation (in all component areas) for both day and night-time travel for 39% of households overall. Up to 76% of households use walking as the main means of travel at night, and walking is the main form of emergency travel for 11% of households (as high as third in one component). As few roads are well lit, combined with the fact they are in poor condition (no markings, narrow, potholes etc) this is a particularly unsafe form of travel.

99. It was noted during the FGDs in Xiushan and Youyang that due to poor road condition, it is difficult for students to go to school. There is no bus service for the students. The roads are bumpy and it is very difficult for students to go by bicycle. The only way for the majority of students to go to/from schools is by foot. It costs most students some three hours every day to cover the way between the school and their houses.

100. A number of FGD participants noted that poor road conditions that make it difficult, or impossible, for people to transport their crops currently hamper agricultural potential. In rural areas, infrastructure in general is very weak, and is the first priority for investment and development. The FGDs (both mixed and women’s groups) indicated that the top priority is roads (followed by water supply as a close second), which are seen as critically important for people in rural areas to access the market, followed by electricity, telecommunications, education, and then agricultural productivity.

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5.3. Overall Project Benefits

101. A major benefit to be created by the Project is the employment on the 30 sub- components during construction. During the construction stages of the Project there will be the need for skilled (engineers) and unskilled workers (laborers) in each component area and for each component, different works will be required for road and water supply construction. To realize the maximum benefits of job creation during the Project it will be important that a proportion of jobs will be prioritized for people from poor and vulnerable households, and women who would like to be involved in construction activities. A target of 30% has been established for the Project and is specified in the Project assurances. It is likely there will be more scope for employment on the road sub-components, and especially for the longer roads, people from different villages can be engaged as work-crew.

102. A number of jobs that will be created as part of the Project, and while the new jobs are temporary, a potentially large number of unemployed poor laborers and women can benefit. Employment on sub-components for up to four years could reduce the need for people to migrate out of the area, thereby stabilizing household and family dynamics.

103. A target for employment of ethnic minority people, poor and women has been set at 30%.

5.4. Risks and Negative Impacts

104. The main risks and negative impacts of the Project include:

• Disturbances and nuisance such as dust and noise during construction; • Land acquisition and resettlement impacts; • Risk of exposure to communicable diseases such as HIV and STIs; and • Risk of increased traffic accidents.

105. Disturbance during construction. Construction nuisance and disturbances such as noise and dust generation have been described in detail in the EIA prepared for the Project. The environmental management plan (EMP) included in the EIA identifies the measures for mitigating such construction impacts.

106. Land acquisition and resettlement. The physical infrastructure improvement sub- components are the element of the Project that will have direct resettlement impacts, as they involve the construction of new and rehabilitation of existing road and water supply infrastructure. Physical works associated with this Project will involve provision of new water supply facilities in nine towns in five component areas including expansion of existing or construction of new treatment plant, installation of boreholes, and new transmission and distribution pipe networks (for water supply). Road sub-components include the widening of existing roads, shape and curve correction, sealing and upgrading of existing pavements, provision of shoulders and drainage, installation of culverts, and in a number of cases re- instatement or construction of bridges or river crossings.

107. These physical works, for 30 road and water supply sub-components, trigger ADB’s Safeguard Requirements 2: Involuntary Resettlement, and require the preparation of resettlement plans (RPs). In total, the Project will acquire about 163.3 hectares (ha) of land. The Project will also require the temporary occupation of 43 ha of land (of which one-third is farmland). A total of 37,149 m2 of residential houses will be demolished. Land acquisition will

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affect 4,387 households and 18,004 affected persons (APs). House demolition will adversely impact 341 households and 1,387 APs. In total 4,387 households and 18,004 APs will be affected in eight districts and counties. Among them 192 households with 839 APs will lose both land and structures/houses. Table SA-N5.4.1 shows that only road sub-components affect ethnic minority households; overall resettlement will affect some 2,876 ethnic minority people, a total of 16% of all APs. In each of the three ethnic minority counties, the ethnic minority APs account for more than half of APs.

Table SA-N5.4.1: Land Acquisition Impacts Project Sub- Permanent Land House Affected Affected Ethnic Minority components Acquisition (ha) Relocation (m2) Households Persons APs % Xiushan Roads 18.13 9,127 665 2,742 1,448 52.8% Youyang Roads 13.84 1,650 205 872 690 79.1% Qianjiang Roads 7.27 0 261 1,161 691 59.5% Yunyang Roads 13.85 0 584 2,662 47 1.8% Project Total 163.33 37,149 4,387 18,004 2,876 16.0% Source: TA Resettlement Plans (November 2009).

108. The proposed compensation standards comply with both national law and ADB safeguard policy. The RPs will also incorporate an income restoration program and will make every effort to ensure that the negative impacts of the Project associated with resettlement are mitigated to the extent possible. Ethnic minority APs will be treated equally to the Han people affected. The RPs have been the subject of initial consultations with Project-affected communities, who will be consulted on an ongoing basis. Full participation will be guaranteed through the Project preparation progress, and RP implementation. Particular effort will be made to ensure that the Tujia and Miao people are fully involved in this consultative process.

109. Risk of exposure to communicable diseases. The risk of exposure to communicable diseases will be mitigated in two ways: (i) the inclusion of a line item in the contract bill of quantities requiring contractors to provide training through a suitable NGO on HIV/AIDS and STIs awareness and prevention for all employees; and (ii) linking community awareness with existing initiatives implemented by Health Bureaus in each of the components.

110. To ensure that the risk for ethnic minority people is mitigated and that ethnic minority people can receive benefit of the awareness and prevention (A&P) programs, the EMDP includes the following measures:

• Materials to be used in any training or subsequent awareness raising are culturally appropriate to Tujia and Miao as well as Han population, to reflect any cultural sensitivities or different interpretations of any symbolism in pictures to be used; • Times and places for training sessions that will make it convenient for different target groups in the community to attend (including women); and • Ensure that materials in Mandarin include appropriate graphic signage to help assist understanding of the messages. Outreach activities and verbal communication to be in Chongqing dialect which is the language spoken by the majority of Tujia and Miao in the three ethnic minority components.

111. To address traffic hazards and safety concerns, the feasibility studies of the road sub- components have taken into account both safety and high usage of roads by pedestrians and non-motorized traffic (NMT). To address safety of pedestrians and NMT users the widening of

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roads will include installation of separation barriers at schools, hospitals, markets, intersections, and around bends on roads in mountainous locations. The road safety facilities may include barriers, road-side clear zones, and overpass fencing facilities for bridges, anti-glare facilities for tunnels, safety signs (with appropriate graphic signage), zebra crossings, and traffic lights. The cost of the safety features is about 10-12% of the base cost for road sub-components.

5.5. Conclusions

112. The assessment of the nature and distribution of project benefits and adverse impact has been conducted. The results are that the positive and negative effects will create the same types of impact on both the minority and Han people. While the ethnic minority groups have to some degree retained their own culture and livelihoods, the livelihood patterns of Han and the minority are similar. Both minority and Han people will experience resettlement impacts; no ethnic minority communities will be split as a result of relocation. Nonetheless, to ensure that there are no unforeseen Project consequences for minority peoples, attention is given to their involvement and participation in planning and decision-making throughout the entire Project cycle, especially with respect to issues relating to consultation, resettlement, health and hygiene awareness raising, prevention of communicable diseases, and benefiting from temporary employment opportunities.

113. The Project will not directly or indirectly affect the dignity, human rights or culture of the ethnic minority people, nor will it affect the territories or natural or cultural resources that they own, occupy or claim as ancestral domain or asset.

114. The livelihood systems of ethnic minority people, along with Han, will be adversely affected to varying degrees through land acquisition and resettlement. The Project will continue to consult with ethnic minority communities to ensure that they (i) receive culturally appropriate social and economic benefits, (ii) do not suffer adverse impacts as a result of projects, and (iii) can participate actively in projects that affect them.

115. Table SA-N5.1 summarizes the range of Project impacts that need to be considered in determining whether ethnic minority people are likely to be affected, and whether action needs to be taken to avoid or reduce negative impacts on ethnic minorities, and facilitate ethnic minorities benefiting equitably from positive impacts.

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Table SA-N5.1: Summary of Benefits and Impacts Impact on: Customary Minority Population rights of use and Socio-economic status Cultural and Health, education Nature of Impact Affected access to land communal livelihood and social and natural Negative Impacts Positive Impacts integrity security status resources Economic Tujia and Miao people None None Yes None Positive impacts development in three ethnic minority components and one township in Yunyang. Land and asset Tujia and Miao people No. EM Potential loss of Resettlement None acquisition/resettlem in three ethnic minority households who income to be impacts will not ent impacts components and one will lose houses addressed by create splitting of township in Yunyang. or land will lose income restoration EM communities in land use rights; plan for AP's which the villages provisions and should prevent any affected by land entitlements reduction in socio- acquisition applicable to ALL economic status. affected people Will be tailored to regardless of EM households ethnicity; where necessary consultations with directly affected EM households reflected in plans Employment during 30% target included for None None Inclusion of None None – CMG-PMO and construction phase, ethnic minority people, minority people in IAs will supervise opportunities for poor and women; New opportunities for construction camps to selling food, supplies employment employment. Such ensure that and materials opportunities will be employment will not occupational health open to all local only enhance and safety regulations people, particularly income, but provide are observed for all those in the catchment work experience employees. area and skills Temporary Tujia and Miao people None Temporary and None None construction phase in three ethnic minority mitigated through nuisance and components and one implementation of impacts such as dust township in Yunyang. actions in EMP and noise generation Increased risk of Minority construction None Indirect negative None None Potential negative exposure to workers and EM impacts on income impact on health communicable people in villages near if incidence of unless effective health diseases (such as works and camps may HIV/AIDS/STIs education carried out.

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Impact on: Customary Minority Population rights of use and Socio-economic status Cultural and Health, education Nature of Impact Affected access to land communal livelihood and social and natural Negative Impacts Positive Impacts integrity security status resources HIV/AIDS and STIs) be at particular risk increases as a Mitigated through A&P result of the large programs number of construction workers Improved access Tujia and Miao people None None Improved access to Positive impacts Positive impacts on and mobility as a in three ethnic minority markets, schools through enhanced health and education result of 21 roads district and counties and social facilities; access (removal of through improved being upgraded and one ethnic minority improved “severance” issues access to clinics and township conditions for through schools emergency travel; construction of reduce travel time bridges and river and costs crossings Improved water Tujia and Miao people None None Indirect benefits None The increased supply quality and quantity in Youyang WS sub- through income not of water is likely to in five components component area spent on treatment prevent an increase in (10 townships); of WBIs and the incidence of WBIs improved sanitation income gained from that is otherwise likely reduction in sick to occur in association days with interruptions to supply resulting from water shortages. This affects minority and Han households equally but affects poor households disproportionately. Traffic accidents and Tujia and Miao people None Indirect costs None Mitigated through road road safety concerns in three ethnic minority associated with signs and district and counties accidents (days off implementation of and one ethnic minority work and school safety program township treatment) in Chongqing dialect School WatSan Tujia and Miao None None Improved sanitation None Positive impacts on program in two students in two schools facilities in two health and hygiene components as pilot (Youyang) schools awareness Sanitation and Tujia and Miao people None None Positive impacts on hygiene awareness in Youyang WS sub- health and hygiene program (Project’s component area awareness

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Impact on: Customary Minority Population rights of use and Socio-economic status Cultural and Health, education Nature of Impact Affected access to land communal livelihood and social and natural Negative Impacts Positive Impacts integrity security status resources GAP) Prevention of future Tujia and Miao people None Financial analysis None None None water shortages in in Youyang WS sub- shows that districts and counties component area increased tariffs are affordable to poor as well as non-poor households.

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6. Ethnic Minority Development Plan

6.1. Objectives and Content of EMDP

116. The objectives of this EMDP are to design and implement the Project in a way that fosters full respect for the ethnic minorities’ identity, dignity, human rights, livelihood systems, and cultural uniqueness as defined by the ethnic minorities themselves so that they (i) will receive culturally appropriate social and economic benefits, (ii) do not suffer adverse impacts as a result of the Project, and (iii) are provided all opportunities to actively participate in the Project.

117. Specifically speaking, the objectives are to:

• Make sure free, prior and informed participation of the ethnic minority groups in the whole project management cycle: preparation, implementation, and monitoring and evaluation; • Avoid or minimize potential negative impacts on ethnic minorities through designing and implementing appropriate mitigation measures; and • Ensure that the potential direct and indirect positive impacts, and ensure that benefits will equally accrue to the affected ethnic minority groups

118. The Project’s impacts and benefits have been summarized in Table SA-N5.1. Mitigation and enhancement measures for all beneficiaries (wider population) in the Project Area are presented in the PSA. The following are summaries of mitigation and enhancement measures for ethnic minority people in Qianjiang, Youyang and Xiushan and the ethnic minority township of Qingshui in Yunyang.

6.1.1 Mitigation Measures

119. Key mitigation measures included in the EMDP comprise measures to: (i) ensuring adequate compensation and support for ethnic minority people affected by resettlement impacts; (ii) protection of ethnic minority people from construction disturbances; (iii) mitigating road traffic safety concerns of ethnic minority people through installation of road signs and other safety features and implementation of a traffic safety program targeting schools; and (iv) protecting ethnic minority people from risk of exposure to communicable diseases such as HIV/AIDS and STIs.

6.1.2 Enhancement Measures

120. The Project’s immediate benefits are the large number of job opportunities created by Project construction over a five year period. To make sure ethnic minority people can benefit from this opportunity, a target of 30% employment of ethnic minority people, the poor and women is included in the Project assurances.

121. The other enhancement measures include the PDA sub-components – School WatSan program which will be piloted in two components including one ethnic minority area (Youyang) – and the Project’s GAP and SAP will target ethnic minority people through participation. IEC and other materials will be published in Mandarin with appropriate illustrations etc to assist with understanding. All verbal communication and outreach activities will be in Chongqing dialect.

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6.2. Strategy for Participation

122. The free, prior and informed participation of ethnic minority people in the Project will be ensured through consulting with ethnic minority people in beneficiary villages, and consulting with stakeholders responsible for representing ethnic minority interests such as ERABs.

123. A basic approach to ensure ethnic minorities’ participation in the project planning, implementation, monitoring and evaluation is to “mainstream” ethnic minority issues in Project planning, design and implementation. This has been done through selection of three ethnic minority autonomous district and counties in the components, addressing the needs of ethnic minority people who are located in other components (Yunyang), identifying impacts and issues affecting ethnic minority people in the PSA, and preparation of this EMDP.

124. Ethnic minority people’s participation in preparation and implementation of resettlement plans has been/will be undertaken. Public information brochures setting out entitlements and compensation mechanisms etc will be provided in Mandarin with appropriate graphic signage and illustration. To ensure dissemination to the larger proportion of ethnic minority people in the Project Area who speak Chongqing dialect, public consultations, and verbal communications and outreach activities will be in Chongqing dialect.

125. Prior to sub-component commencement, CMG-PMO will ensure that ethnic minority sensitivity training is provided to IAs through assistance from the ERABs.

126. It is also necessary to implement a range of affirmative action measures, such as setting employment targets (30%) for ethnic minority people. This has been included in the EMDP.

127. Key points to ensure ethnic minorities’ participation are as follows:

• Consulting ethnic minority people and identifying their difficulties, needs, interests, and priorities, and taking into account their concerns; • Including ethnic minority people in groups formed to monitor the Project, especially the quality of road construction; • Clearly identifying characteristics and conditions of ethnic minority people in component and sub-component areas by dis-aggregating baseline survey data; and • Consulting ethnic minority people (male and female) in the course of both internal and external monitoring and evaluation.

6.3. Budget and Financing Sources

128. Ensuring the general participation of ethnic minorities in different Project activities should not require a separate budget. However in costing the planning and implementation resettlement consultations and health education, allowance should be made for any extra costs that might be necessary. It is essential to ensure that minority groups are fully able to participate, and receive maximum benefit from training and any printed materials relating to the Project itself, or related matters such as health promotion.

129. The actions to be implemented under the EMDP are either included as part of the Project budget or part of local government development budgets. Local government agencies

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will also collaborate with actions taken by the EA and IAs; the local government administrative budgets cover local government staffing and related costs. Itemized costs are as follows:

• Costs for adequate compensation (based on entitlements) for ethnic minority people affected by land acquisition are included in the resettlement plans. The entitlement to compensation is equal for all, regardless of gender or ethnicity or socio-economic status. Additional measures are also available for poor and vulnerable APs, regardless of ethnicity; • Costs for traffic and road safety agreed with IAs and Transport Bureaus are CNY3,000 ($441) per year per town/township; these funds will be directly from the town/township government budget. The cost of traffic safety features such as signs, barriers, marking etc is included in the cost of each road sub-component; • Costs for training construction workers on HIV/AIDS and STIs awareness and prevention has been detailed in the PSA; line items will be included in the bill of quantities for each contract and will be the responsibility of the contractor; • Costs for training ethnic minority people in villages adjacent to camps and works on HIV/AIDS and STIs awareness and prevention is CNY1,000 ($147) per year per town/township and will be covered by town/township government budget; • Voluntary testing for STIs is part of the regular work of district and county Centre of Disease Control (CDC) and is free as China-Bill & Melinda Gates Foundation Fund in Qianjiang, Youyang, and Xiushan covers the costs. The training provided on behalf of the contractors will include information about availability of free and voluntary testing; and • Costs for training ethnic minority people on sanitation and hygiene awareness, focusing on women, are included in the Project’s Demonstration Activity (PDA) included in the GAP.

6.4. Implementation Arrangements

130. The CMG as EA for the Project will be responsible for endorsing the EMDP (after ADB has approved it). The Project Management Office (PMO) established in CMG and component IAs and CMG-PMO will be responsible for implementing the EMDP; the relevant ERABs in the three ethnic minority district and counties will provide support to coordinate, advise, and assist in monitoring implementation progress. Implementation arrangements for the EMDP have been integrated into the overall Project management, or are part of ongoing government programs. Other key agencies for implementation include the CDC, Poverty Alleviation Offices (PAOs), and All China Women’s Federation (ACWF).

131. Regarding staffing, CMG has assigned two staff to be responsible for social safeguards; this includes implementation of the resettlement plans, this EMDP, the SAP and GAP. The safeguards staff will be responsible for (i) implementation of the EMDP and (ii) coordination of socio-economic monitoring, which is closely related to the EMDP.

132. In terms of construction employee HIV/AIDS and STIs awareness and prevention training, this will be provided either through the CDC or a suitable NGO.

133. The ERABs will provide oversight and if invited by CMG may review the external monitoring and evaluation reports and provide recommendations. The IUs will work with district or county and town/township government staff assigned with particular responsibilities for aspects of the Project, including implementation of actions under the EMDP.

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134. The Summary EMDP includes proposed mitigation and enhancement measures, the targeted groups, responsible institutions, time period, budget, resource, and monitoring indicators, which are presented in Table SA-N6.1.

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Table SA-N6.1: Summary EMDP Outcome Target group(s) Agencies involved Timing Funding Monitoring indicators needs and source A. Project Benefits Increased urban-rural Beneficiaries of sub- CMG, IAs, Water 2010 – Project budget Annual socioeconomic surveys undertaken linkages, narrowing of the components and Resources Bureau 2016 $216 million as part of the Project Performance urban-rural income gap, component areas; (WRB) and Transport Monitoring System (PPMS) dis-aggregated environmentally sustainable between 52% and 92% Bureau (TBs) by ethnicity, sex, and poor/non-poor; economic development, and ethnic minority in three Most significant change (MSC) monitoring improved living standards in component areas; 12.4% to identify differential impacts and levels of the poverty component areas of beneficiaries are poor satisfaction between ethnic groups and located in the mountainous women and men; eastern area of Chongqing District/county statistics; Poverty Alleviation Office (PAO) annual data Nine water supply sub- Beneficiary population CMG, IAs, WRB 2010 – Project budget Annual socioeconomic surveys undertaken components implemented; 180,000 in ten towns in 2016 $216 million as part of the PPMS dis-aggregated by potable water supply five component areas; ethnicity, sex, and poor/non-poor; coverage in urban and rural ethnic minority population MSC monitoring to identify differential communities increased; in Youyang (two sub- impacts and levels of satisfaction between quantity and quality of water components) ethnic groups and women and men received Parallel to water supply sub- Beneficiary population CMG, IAs 2010 – CMG Annual socioeconomic surveys undertaken components, sanitation 180,000 in ten towns in 2016 budget/funds as part of the PPMS dis-aggregated by improvements in component five components areas; ethnicity, sex, and poor/non-poor; areas ethnic minority population MSC monitoring to identify differential in Youyang (two sub- impacts and levels of satisfaction between components) ethnic groups and women and men Incidence of waterborne Beneficiary population CMG, IAs, Health 2010 – Project budget HB and EPB statistics; infections (WBIs) reduced in 180,000 in ten towns in Bureau (HB) and 2016 $216 million Ethnicity and sex dis-aggregated baseline five component areas five component areas; Environmental (and data and follow up surveys ethnic minority population Protection Bureau after) in Youyang (two sub- (EPB) components) Reduced time burden for Beneficiary population CMG, IAs, WRB 2010 – Project budget Annual socioeconomic surveys undertaken women and children in water 180,000 in ten towns in 2016 $216 million as part of the PPMS dis-aggregated by collection five component areas; and ethnicity, sex, and poor/non-poor; ethnic minority population after) MSC monitoring to identify differential in Youyang (two sub- impacts and levels of satisfaction between components) ethnic groups and women and men

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Outcome Target group(s) Agencies involved Timing Funding Monitoring indicators needs and source 21 road sub-components Beneficiary population. CMG, IAs, TBs 2010 – Project budget TB statistics implemented; paved-road 209,000 in 92 villages/31 2016 $216 million Annual socioeconomic surveys undertaken access for villages/towns towns in 8 component (and as part of the PPMS dis-aggregated by increased, travel time areas; 52% - 92% EM after) ethnicity, sex, and poor/non-poor; shortened, improved access population in 3 component MSC monitoring to identify differential to markets, employment areas, plus 32% in impacts and levels of satisfaction of ethnic opportunities, key social Qingshui Town of 5,000 groups, women/men services population (Yunyang) Increased employment Ethnic minority people, CMG, IAs, town 2010 – Monitoring Compliance with project assurances; opportunities with job creation poor, and women to fill at governments, 2016 from project Wage bills and contractors' employment during construction phase, least 30% of unskilled contractors / budget data (to be dis-aggregated by ethnicity, and about 1,000 permanent construction jobs construction companies ($216 million sex, income status, age) jobs by 2016; priority for local total, $500,000 labor for unskilled jobs set aside for monitoring activities) B. Enhancement Measures Active and meaningful Beneficiaries; directly CMG, IAs, town 2010 – Project budget Compliance with project assurances; consultation and participation affected people (APs) – governments, 2016 ($216 million) MSC to ensure participation in monitoring in Project; spoken Project resettlement; supervision contractors / activities; information (including group construction Monitoring records; resettlement) in Chongqing companies, project Meetings and consultations notes, minutes dialect as well as written implementation and records information in Mandarin; consultants MSC monitoring to identify differential ensuring ethnic minority (social/gender impacts and levels of satisfaction between included in people consulted specialists) ethnic groups and women and men during monitoring and evaluation Improved health and hygiene Vulnerable and women in CMG, IAS, Women’s 2010 – $50,000 as the Ethnicity, sex and poor/non-poor dis- awareness through ten towns in five Federation (WF), 2016 PDA/GAP aggregated baseline data and follow up implementation of GAP, SAP component areas; ethnic project implementation surveys and PDA minority population in consultants Youyang (two sub- (social/gender components); PDA to be specialists) piloted in Youyang

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Outcome Target group(s) Agencies involved Timing Funding Monitoring indicators needs and source C. Mitigations of Negative Impacts and Risks Protection of communities Beneficiaries; directly CMG, IAs, contractors, 2011 – EMP budget Compliance with project assurances; from disturbances, nuisance affected people including project implementation 2015 Internal and external monitoring and impacts during ethnic minority population consultants frameworks in EIA and EMP construction phase (i.e. dust, (environmental, noise, traffic disruptions) as social/gender identified in EIA and EMP specialists) Support/measures for people Ethnic minority APs; poor CMG, IAs, project 2010 – Resettlement Compliance with project assurances; affected by resettlement and female-headed implementation 2012 plan budgets Internal and external monitoring (compensation, livelihood households consultants frameworks in resettlement plans restoration, training, special (resettlement measures for poor and specialists) vulnerable) Ensuring safety and All beneficiaries including CMG, IAs, TBs and 2011 – 3,000/year Number of training sessions and number of increasing awareness about ethnic minority people in traffic police, village + 2016 from village + participants (dis-aggregated by ethnicity, traffic and road safety issues three components town/township town/township sex and age); through awareness (Qianjiang, Youyang and governments, schools governments Levels of satisfaction with training provided; campaigns with verbal Xiushan)and one township Number of traffic accidents (by type) before communication in Chongqing (Yunyang); school and after road sub-components dialect; road signs and safety children implemented; messages in Mandarin with appropriate graphic signage Control of communicable Construction workers; CMG, IAs, contractors, 2011 – Line item Number of training sessions and number of diseases including STIs and high-risk groups in HB and NGOs 2016 included in participants (dis-aggregated by ethnicity, HIV during construction beneficiary communities contract bill of sex and age); phase; increased community including ethnic minority quantities; Contractor records; awareness through training in people in three PDA; Availability of IEC materials Chongqing dialect and components (Qianjiang, HB annual Levels of satisfaction with training provided production of IEC materials Youyang and Xiushan) budgets for (construction workers and community); (posters, booklets etc); and one township testing Statistics from HB with pre and post Project voluntary STI and HIV testing (Yunyang) levels of identified communicable diseases; Number of STI and HIV tests

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7. Monitoring and Evaluation

135. Monitoring and evaluation of the EMDP is required to ensure the plan is implemented properly and to ensure that the objectives of the EMDP are being met.

7.1.1 Internal Monitoring

136. The EA and IAs will monitor the progress of the overall Project as well as the EMDP according to the monitoring indicators included in the Project’s design and monitoring framework (DMF)7, resettlement plans, EMP, GAP and EMDP.

137. The IAs will prepare and submit semi-annual monitoring reports to CMG who will consolidate the reports and submit them to ADB.

138. The reports, by component, will include sub-component progress, newly emerged issues, and corrective actions where required.

7.1.2 External Monitoring and Evaluation

139. An external monitoring agency (EMA) to provide independent monitoring and auditing of the Project has been included in the overall Project budget. Before Project implementation, Chongqing PMO will contract an independent institute or NGO as the EMA. The EMA will develop a monitoring and evaluation plan. Following the completion of the baseline, the external monitoring will be conducted once a year.

140. Objectives of the external monitoring of the EMDP include:

• To ensure that the EMDP is being properly implemented and the overall objectives of the EMDP are being met; • To collect data and information to identify impacts based on the DMF, and additional qualitative data to describe social and poverty changes on ethnic minority people and their communities; and • To ensure that appropriate participatory approaches have been adopted and that appropriate involvement of minority men and women in the planning and implementation has undertaken, and that the involvement of ethnic minority people has been proportionate to their numbers in the communities affected.

7 The DMF consolidates the targets, parameters and measurement means identified in the PSA, GAP, SAP and EMDP.

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Annex

Annex 1 – FGD Data: Participants and Location

District or Number of participants Village County Women’s FGDs Village FGDs Wulingshan 9 6 Guiha 6 8 Fuling Qiqu 8 8 Zhongxin 8 8 Puchi 8 8 Gaoguan 8 8 Dongfanghong 8 8 Chengkou Miaoya 8 6 Yangping 8 6 Baiguo 8 8 Chafeng 8 8 Ganzi 8 8 Qili 7 8 Daya 8 8 Fengjie Jiutai 8 7 Xiaguang 8 8 Dawo 8 8 Yanzi 8 8 Nixi 8 8 Nixi Community 0 8 Yuntong 8 8 Yunyang Heping 8 8 Shuyuan 6 7 Xiele 8 7 Yanglu 8 8 Baiqian 8 6 Shili 7 7 Wushan Hongmiao 7 8 Xiping 10 8 Huangqiao 10 10 Qianjiang Anshan 8 11 Xiaonanhai 7 10 Meijiang 8 12 Xiushan Kaibao 8 10 Zhongling 7 10 Baixiang 9 10 Wuyu 8 9 Tiancang 8 9 Youyang Longjia 9 10 Pingdiba 9 14 Shuangzhu 8 8 Total 319 343