Social Monitoring Report

Project Number: 48023-003 Semi-Annual Report January 2019

PRC: Ningxia Liupanshan Poverty Reduction Rural Road Development Project

Prepared by Hangzhou Darren Engineer Project Management Co., Ltd. Resettlement External M&E Team of the Ningxia Hui Autonomous Region Government for the People’s Republic of China and the Asian Development Bank.

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

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

Asian Development Bank

Loan 3444-PRC： ADB Funded Ningxia Liupanshan Poverty Reduction Rural Road Development Project

External Resettlement Monitoring and Evaluation Report No.2

(From February 2018 to 31 December 2018)

Hangzhou Darren Engineer Project Management Co. Ltd.

Resettlement External M&E Team

January 2019

ABBREVIATIONS

AAOV – Average Annual Output Value ADB – Asian Development Bank AHs – Affected Households APs – Affected Persons AV – Administrative Village CRO – County Resettlement Office DI – Design Institute DMS – Detailed Measurement Survey CRO – County Resettlement Office FS – Feasibility Study HD – House Demolition LA – Land Acquisition LAB – Land and Resources Bureau LAR – Land Acquisition and Resettlement LEF – Land-Expropriated Farmer L&RO – Land & Resources Office M&E – Monitoring and Evaluation MOU – Memorandum of Understanding NDRC – National Development and Reform Commission PADO – Poverty Alleviation and Development office NDRC – Ningxia Development and Reform Commission PPTA – Project Preparatory Technical Assistance PRA – Participatory Rural Appraisal PRO – Project Resettlement Office RIB – Resettlement Information Booklet RP – Resettlement Plan SES – Socioeconomic Survey SPS – Safeguard Policy Statement of ADB NHAR TD – Ningxia Hui Autonomous Region Transport Department TRO – Town/township Resettlement Office

WEIGHTS AND MEASURES km – kilometer m² – square meter mu – 666.7 m²

Executive Summary

E1.Scope, Contents and Methods of External M&E

1. According to the progress of the implementation of the project, the scope of the 2nd external resettlement monitoring and evaluation report mainly covers the subprojects in: (1) Tongxin County, Wuzhong City; (2) Haiyuan County, Zhongwei City; (3) Yuanzhou District, Guyuan City; (4) Xiji County, Guyuan City; (5) Pengyang County, Guyuan City; (6) Jingyuan County, Guyuan City; (7) Longde County, Guyuan City. A total of 7 rural trunk roads and 2 rural feeder roads (see details in table 1-3) are monitored in this report with a monitoring period from February 2018 to the end of December 2018.

2. This resettlement M&E report aims to monitor and report the resettlement implementation progresses and performance of the aforementioned rural trunk and feeder roads in 7 project counties and district as of 31 December 2018, including changes of LAR impacts, project and resettlement implementation progress, compensation compliance, implementation of livelihood restoration and resettlement measures, institutional capacity-building, complaints and appeals redress, satisfaction levels of affected people, etc.

3. The monitoring methods include literature review and key informers interviews, etc.

E2. Changes of LAR Impacts and RPs Updating

4. As the project is still in the stage of design and bidding preparation, detailed measurement survey (DMS) hasn’t been carried out by 31 December 2018. Therefore, RPs have not been updated and the LAR impacts have no changes.

E3. LAR Progress and Implementation Monitoring

5. Because the project, as a whole, has not started resettlement implementation and construction of civil works, the resettlement activities of all the 7 rural trunk roads and 1 rural feeder road in Jingyuan County have not been carried out yet. The rest one feeder road in Longde County which has been completed the construction in 2017 only involved relocation of some ground attachments, e.g. trees, electric power poles, and cables. It was reported by Longde PMO that these ground attachments had been relocated in 2017 by responsible local government departments and/or public corporations, e.g. Forest Bureau and Power Supply Company, without needs for special compensation from PMO.

E4. Readiness and Disbursement of Resettlement Funds

6. Since all the 7 trunk roads and 1 feeder road in Jingyuan have not started resettlement implementation, their resettlement funds have not been disbursed and paid for the time being. The district and county PMOs are stepping up the raising of the counterpart funds needed for the resettlement implementation.

E5. Information Disclosure, Pubic Consultation and Grievance Redress

7. The project has carried out extensive information publicity and public consultation in the project preparation stage. To ensure project information is fully public during the phase of project and resettlement implementation, the local transportation bureaus and PMOs will further disclose all kinds of information of the project to the affected persons in a timely and complete manner through various means, such as announcements, newspapers, television news, and the Internet, etc.

8. Channels of GRM are open and smooth, and affected people know that when their rights are violated, there are channels for redress. No complaints or appeals have yet been received.

E6. Main Conclusions I

9. (i) Updating of RPs: as of 31 December 2018, the project has not carried out detailed measurement surveys (DMSs) of LAR impacts, nor have the original RPs been updated accordingly.

10. (ii) Project and resettlement implementation progress: as of 31 December 2018, all the 7 trunk roads and 1 feeder road in Jingyuan are still in the preparatory stage of design and bidding, and have not yet started the construction of civil works. Land acquisition and resettlement activities have not been carried out.

11. (iii) Project implementing institutions and capacity-building: the responsibilities and tasks of relevant institutions at all levels are clear, however the personnel and working facilities are not fully equipped, and the preparatory and management works for the project need to be strengthened. The staff need to be trained continuously with relevant policies and procedures of resettlement implementation.

12. (iv) Project implementation consulting firm: In September 2018, HJI team was recruited by Ningxia PMO as the project implementation consulting (PIC) firm. PIC resettlement expert should be mobilized as early as possible to guide and assist the resettlement implementation and management of the project.

13. (v) Grievance Redress Mechanism: the channels for complaints and appeals are open and smooth, and no complaints have been received to date.

E7. Main Recommendations

14. (i) District/county PMOs should, on the basis of preliminary design, appoint professional institution or resettlement specialists to carry out detailed measurement survey (DMS) of the LAR impacts of their subproject, and update the original RPs in a timely manner. The updated RPs should be submitted to ADB for review and approval as early as possible.

15. (ii) The resettlement specialist of PIC team should be mobilized in the fields in a timely manner, conduct relevant trainings for the staff of project management and resettlement implementation agencies at all levels, and provide close technical guidance and assistance on RP updating and implementing.

16. (iii) According to the overall schedule, the progress of project preparation should be speeded up. PMOs need to push forward the project and resettlement implementation works, to ensure the project can be implemented and completed as scheduled.

17. (iv) The district/county PMOs should raise the counterpart funds in time and ensure that land acquisition and resettlement expenses can be paid to affected rural collectives and households in full and on time.

18. (v) The district/county PMOs need to coordinate with relevant government departments as soon as possible to handle the land acquisition approval, land acquisition announcements and other relevant procedures, according to the relevant laws, regulations and policies of PRC. And PMOs need to organize and implement land acquisition, house demolition and compensation and resettlement activities strictly following the updated RPs approved by the ADB.

19. (vi) PMOs need to carry out trainings for the staff of both the project implementing agencies and resettlement implementing agencies, in order to strengthen the institutional and personnel capacity for project and resettlement implementation, and improve internal monitoring and reporting system.

20. (vii) PMOs need to strengthen the file management during the resettlement implementation to ensure the timely collection, sorting and archiving of relevant information, such as LAR impacts, compensation and resettlement records, etc.

II Table of Contents

Executive Summary ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ I 1 Brief Introduction of the Project and Resettlement External M&E ∙∙∙∙∙∙∙∙ 1 1.1 Project background ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 1 1.2 Construction Contents and Scales ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 2 1.3 External Resettlement Monitoring and Evaluation ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 5 1.3.1 EMA ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 5 1.3.2 M&E Scope ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 5 1.3.3 M&E Contents ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 5 1.3.4 Methodologies of M&E ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 6 1.3.5 M&E Period ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 6 2 Monitoring and Evaluation of Resettlement Implementation ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 7 2.1 Summary of Resettlement Impacts and RPs Updating ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 7 2.2 Resettlement M&E of Subproject in Tongxin County, Wuzhong Municipality ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 7 2.2.1 Resettlement Impacts in Orginal RP ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 7 2.2.2 Compensation Rates and Resettlement Measures ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 9 2.2.3 Progress of Project and Resettlement Implementation ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 10 2.2.4 Main Findings during External M&E ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 11 2.3 Resettlement M&E of Subproject in Haiyuan County, Zhongwei Municipality ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 11 2.3.1 Resettlement Impacts in Original RP ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 11 2.3.2 Compensation Rates and Resettlement Measures ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 13 2.3.3 Progress of Project and Resettlement Implementation ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 14 2.3.4 Main Findings during External M&E ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 15 2.4 Resettlement M&E of Subproject in Yuanzhou District, Guyuan Municipality ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 15 2.4.1 Resettlement Impacts in Original RP ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 15 2.4.2 Compensation Rates and Resettlement Measures ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 17 2.4.3 Progress of Project and Resettlement Implementation ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 18 2.4.4 Main Findings during External M&E ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 19 2.5 Resettlement M&E of Subproject in Xiji County, Guyuan Municipality ∙ 19 2.5.1 Resettlement Impacts in Original RP ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 19 2.5.2 Compensation Rates and Resettlement Measures ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 21 2.5.3 Progress of Project and Resettlement Implementation ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 22 2.5.4 Main Findings during External M&E ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 24 2.6 Resettlement M&E of Subproject in Pengyang County, Guyuan Municipality ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 24 2.6.1 Resettlement Impacts in Original RP ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 24 2.6.2 Compensation Rates and Resettlement Measures ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 26 2.6.3 Progress of Project and Resettlement Implementation ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 27 2.6.4 Main Findings during External M&E ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 28 2.7 Resettlement M&E of Subproject in Jingyuan County, Guyuan Municipality ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 28 2.7.1 Resettlement Impacts in Original RP ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 28 2.7.2 Compensation Rates and Resettlement Measures ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 30 2.7.3 Progress of Project and Resettlement Implementation ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 31 2.7.4 Main Findings during External M&E ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 31 2.8 Resettlement M&E of Subproject in Longde County, Guyuan Municipality 31 2.8.1 Resettlement Impacts in Original RP ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 31 2.8.2 Compensation Rates and Resettlement Measures ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 32 2.8.3 Progress of Project and Resettlement Implementation ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 32

III 2.8.4 Main Findings during External M&E ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 32 3 M&E of Resettlement Funds Disbursement ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 33 3.1 Resettlement Budget and Resources ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 33 3.1.1 Tongxin County, Wuzhong Municipality ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 33 3.1.2 Haiyuan County, Zhongwei Municipality ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 33 3.1.3 Yuanzhou District, Guyuan Municipality ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 33 3.1.4 Xiji County, Guyuan Municipality ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 33 3.1.5 Pengyang County, Guyuan Municipality ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 34 3.1.6 Jingyuan County, Guyuan Municipality ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 34 3.1.7 Longde County, Guyuan Municipality ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 34 3.2 Disbursement Procedures ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 35 3.3 Readiness of Resettlement Funds ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 35 3.4 Disbursement Status of Resettlement Funds ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 35 4 M&E of Capacity Building of Implementing Agencies and Staff ∙∙∙∙∙∙∙∙∙∙ 36 4.1 Establishment of Implementing Agencies ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 36 4.2 Staffing ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 37 4.3 Training of Resettlement Management and Implementation ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 38 4.4 Evaluation of Implementing Agencies’ Capacity ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 38 5 Information Disclosure, Public Participation and GRM ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 40 5.1 Information Disclosure on Project and Resettlement ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 40 5.2 Public Participation during Implementation Stage ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 41 5.3 Status of GRM ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 42 6 Main Findings and Recommendations ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 43 6.1 Main Findings ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 43 6.2 Recommendations ∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙∙ 43

IV List of Tables

Table 1-1：Basic Information of the Project ...... 1 Table 1-2：Summary of Construction Contents in Project Counties (in original RPs) ...... 3 Table 1-3：Summary of Rura Roads and LAR Implementation Progresses (up to 31 Dec 2019) ...... 5 Table 1-3：Main Contents of External Resettlement M&E ...... 5 Table 2-1：LAR Impacts in Original RPs and RPs Preparation/Updating ...... 7 Table 2-2：Permanent Acquisition of Collective Land of Tongxin Subproject（Original Plan） .. 8 Table 2-3：Impacts of Rural Residential House Demolition of Tongxin Subproject（Original Plan） ...... 8 Table 2-4：Affected Population of Tongxin Subproject (Original RP) ...... 9 Table 2-5： Ground Ancillary Facilities Affected by Tongxin Subproject (Original RP) ...... 9 Table 2-6：LA and HD Compensation Standards of Tongxin Subproject（Original Plan） ...... 9 Table 2-7：Permanent Acquisition of Collective Land of Haiyuan Subproject（Original Plan） 11 Table 2-8：Impacts of Rural Residential House Demolition of Haiyuan Subproject（Original Plan） ...... 12 Table 2-9：Affected Population of Haiyuan Subproject（Original RP） ...... 12 Table 2-10： Ground Ancillary Facilities Affected by Haiyuan Subproject（Original Plan） ..... 13 Table 2-11：LA and HD Compensation Standards of Haiyuan Subproject（Original Plan） .... 13 Table 2-12：Permanent Acquisition of Collective Land of Yuanzhou Subproject（Original Plan） ...... 15 Table 2-13：Impacts of Rural Residential House demolition of Yuanzhou Subproject（Original Plan） ...... 16 Table 2-14：List of Demolition of Residential Households affected by Yuanzhou Subproject （Original Plan） ...... 16 Table 2-15：Affected Population of Yuanzhou Subproject（Original Plan） ...... 16 Table 2-16： Ground Ancillary Facilities Affected by Yuanzhou Subproject（Original Plan） .. 17 Table 2-17：LA and HD Compensation Standards of Yuanzhou Subproject（Original Plan） . 17 Table 2-18： Permanent Acquisition of Collective Land of Xiji Subproject（Original plan）..... 20 Table 2-19：Impacts of Rural Residential House Demolition of Xiji Subproject ...... 20 Table 2-20： Affected Population of Xiji Subproject ...... 21 Table 2-21： Ground Ancillary Facilities Affected by Xiji Subproject（Original Plan） ...... 21 Table 2-22：LA and HD Compensation Standards of Xiji Subproject（Original Plan） ...... 22 Table 2-23：Permanent Acquisition of Collective Land of Pengyang County (original plan) ..... 24 Table 2-24：Impacts of Residential House Demolition of Pengyang Subproject (original plan) 25 Table 2-25：Affected Population of Pengyang Subproject (original plan) ...... 25 Table 2-26：Temporal Land Use Impacts of Pengyang Subproject(original plan) ...... 26 Table 2-27： Ground Ancillary Facilities Affected by Pengyang Subproject (original plan) ...... 26 Table 2-28：LA and HD Compensation Standards of Pengyang Subproject ...... 26 Table 2-29： Permanent Acquisition of Collective Land of Jingyuan Subproject (original plan) 28 Table 2-30：Impacts of Rural Residential House Demoltion of Jingyuan Subproject (original plan) ...... 29 Table 2-31： Ground Ancillary Facilities to be Affected (original plan) ...... 29 Table 2-32：Affected Population of Jingyuan Subproject (original plan) ...... 29 Table 2-32：LA and HD Compensation Standards of Jingyuan Subproject (original plan) ...... 30 Table 2-33： Ground Attachments Affected by Longde Subproject (original plan) ...... 32 Table 2-34：Compensation Standard for Ground Attachments and Infrastructure of Longde Subproject (original plan) ...... 32 Table 5-1：Staff of Project and Resettlement Management and Implementing Agencies ...... 37

V List of Figures

Figure 1-1：Sketch Map of Project Distribution ...... 2 Figure 2-1：Site visits and FGDs in Tongxin County ...... 11 Figure 2-2：Approval of Land Utilization Pre-examination ...... 14 Figure 2-3：FGDs an Field Visits in Haiyuan ...... 15 Figure 2-4：Land Pre-examination and permit of site selection of Guyuan-Xiji Road ...... 18 Figure 2-5：Land Pre-examination and permit of site selection of Wanzhang-Sanying Road ... 19 Figure 2-6：FGDs and Site Visits in Yuanzhou District ...... 19 Figure 2-7：Land Pre-examination and permit of site selection of Jiangtai-Xitan-Pingfeng Road ...... 23 Figure 2-8：FGDs of EMA in Sites ...... 23 Figure 2-9：HH Survey and field visits to Project Sites in Xiji County ...... 24 Figure 2-10：permit of construction land utilization for Chunshucha (Mengyuan) -Yangping (Chengyang) Road ...... 27 Figure 2-11：permit of site selection of Shatang (Huanghua Town)–Gaodian Road ...... 31 Figure 6-1： Project Commencement announcement released by the Transportation and Finance Departments of Ningxia Hui Autonomous region ...... 40 Figure 6-2：Intention investigation of LAR on sites ...... 40 Figure 6-3：Special report on the project on the official website of the State Commission for Ethnic Affairs ...... 41 Figure 6-4：Special reports on the project by Ningxia Daily, Sina News and NetEase News ... 41

VI 1 Brief Introduction of the Project and Resettlement External M&E

1.1 Project background 1. The Ningxia Liupanshan Poverty Reduction Rural Road Development Project (hereafter refer as "the Project”) proposed project will support poverty focused rural road development in the Liupanshan area of Ningxia Hui Autonomous Region (NHAR) under the nationwide initiative of Outline of Poverty Alleviation and Development Strategy in Rural Areas of China (2011–2020). The rural roads project is expected to increase rural incomes and reduce poverty in the Liupanshan area. The project will align government and development partner support to the national poverty reduction initiative and the NHAR Thirteenth Five-Year Plan (FYP), resulting in poverty-focused improvement of the rural transport network, improved road safety and maintenance practice, and strengthened institutional capacity.

2. The Project’s impact will be increased rural incomes and reduction in the incidence of poverty in the Liupanshan area. The Project’s outcome will be improved rural transport network in Liupanshan, particularly in poor areas.

3. The Project mainly targets at: 1) improving the technical grade for road network project, increasing network capacity, and perfecting regional road network; 2) enhancing the connection between the project area and surrounding area, improving regional traffic condition, and promoting the economic development of the project area and region; 3) constructing 6 trunk roads and 22 feeder roads in Xiji County, Pengyang County, Jingyuan County, and Yuanzhou District in Guyuan City, Hai County in Zhongwei City, and Tongxin County in Wuzhong City. As required by ADB, resettlement plan should be formulated for 7 trunk roads and 2 feeder roads.

Table 1-1：Basic Information of the Project # Indicator Details

1 Country People’s Republic of China (PRC)

2 Loan No. Loan 3444-PRC

3 Project Ningxia Liupanshan Poverty Reduction Rural Road Development Project

4 Borrower Ministry of Finance of the PRC

5 Executing Agency Ningxia Hui Autonomous Region Government (NHARG)

Transport bureaus of Yuanzhou, Xiji, Tongxin, Pengyang, Haiyuan, Jingyuan, and 6 Implementing Agency Longde counties

7 Total Estimated Cost 265.54 US$ million

8 ADB Loan 100 US$ million

9 IR category B

10 IP category B

11 Approval date 21 Oct 2016

12 Signing Date 10 Apr 2017

13 Effectivity Date 14 Jul 2017

14 Original closing date 30 Jun 2022 Source: ADB website.

4. See the Sketch Map of Project Distribution in Figure 1-1.

1

Figure 1-1：Sketch Map of Project Distribution

1.2 Construction Contents and Scales 5. See the construction contents and scales in table 1-2 below.

2 Table 1-2：Summary of Construction Contents in Project Counties (in original RPs)

Project No. construction contents and scales County/District ①Road Construction：The subproject starts from K236+199 (Xiangshui Bridge) of Line G344 (the former Line S101) at Wangtuan Town which is in the north of Tongxin County and 15km away from the county, and ends at K61+510 which joins Line S202 (the former K337+800 of Line S203). The total length is 61.51 km and estimated total money is CNY 387,521,607. ②LA impacts： A total of 1,942.77 mu of land will be acquired, including 403.3 mu of farmland (20.76%), 14.11 mu of residential land (0.73%), 11.35 mu of forest land (0.58%) ，and 1514.01 Tongxin mu of unused land (77.93%). County, 1 ③HD impacts：The subproject will involve 3,888 m2 of house demolition, among which, rural Wuzhong residents’ houses in brick-timber structure (3,685 m2, accounting for 94.78% of the total area of Municipality demolition) and earth-wood structure (203 m2, accounting for 5.22% of the total area of demolition), and involves 25 households with 108 persons. ④Affected Persons：The subproject will affect 149 households with 616 persons, all of which will be affected by LA, and only 25 households with 108 persons will be affected by HD. No enterprises or shops are involved in the acquisition and demolition. In addition, scattered trees, poles, wires, tombs, enclosures, water wells and other ground ancillary facilities will be affected. ①Road Construction：The subproject starts from K0+000 of Line G341 being designed at the north of Zhaike Town, passes through Zhengqi village, Satai village, Sabu village, Zhongping village, Matao village ,and Yuantao village, and ends at Line S311, with subgrade/pavement width of 7.5m/ 6.5m. It is constructed based on the standard of tertiary road, with total length of 28.4km and estimated total money of CNY 115.3063 million. The total construction period is 24 months. Haiyuan ②LA impacts：A total of 485mu of land will be acquired, including 209.24mu of farmland County, 2 (43.17%), 1.6mu of residential land (0.33%), 18.45mu of forest land (3.81%), and 255.74mu of Zhongwei unused land (52.7%), which will affect 108 households with 507 persons. Municipality ③HD impacts: The project will involve 240 m2 of house demolition. The houses by demolition are all earth-wood structure, which involves 2 households with 12 persons. ④Affected Persons: The subproject will affect 108 households with 507 persons. At this stage, no temporary land occupation is planned. No enterprises or shops are involved in the acquisition and demolition. In addition, scattered trees, poles, wires, tombs, enclosures, water wells and other ground ancillary facilities will be affected. ①Road Construction（A）：Guanting-Guyuan Section of Guyuan-Xiji Road. The road starting point (K0+000) is at the boundary of Yunwu Mountain Nature Reserve on the north of Guanting Village, and the ending point (K26+330) connects with the Eastern Ring Road in Guyuan City, with the total length of 26.33km. The total investment is estimated to be CNY 229,310,500. ②Road Construction（B）：Wanzhang-Sanying Road. The road starts from the intersection of Wanzhang Village in Zhaike Town at the western foot of Yunwu Mountain and Pingle Village of Touying Town in Guyuan City, and ends at K31+700 of Road G344 (K301+900 of former Road Yuanzhou S101), with the total length of about 31.7km. (The total amount is estimated to be CNY District, 168,420,200). 3 Guyuan ③LA impacts： A total of 1,218.2mu of land will be acquired, including 453mu of dry farmland, Municipality 2.5mu of residential land, 738.9mu of unused land, and 23.8mu of forest land. ④HD impacts：The 650m2 of brick-wood residential houses are involved in the house demolition (HD). ⑤Affected Persons：The total number of affected residents is 1,130 of 269 households. ⑥No enterprises, shops, mosques, schools, hospitals, or other sensitive facilities are involved in the acquisition and demolition. In addition, scattered trees, enclosures, electricity and telecommunication facilities will be affected. ①Road Construction：Jiangtai-Xitan-Pingfeng Road totally adopt the former road at section K0+000-K0+685.438; reconstruct the former road at section K0+685.438~K5+800; adopt the former road in part and reconstruct the former road in part at section K5+800-K29+080 and K33+340~K73+000; build new road at section K29+080.784~K32+400. Total length is 73km, with the subgrade width of 7.5m and pavement width of 7m. (The total amount is estimated to be CNY 405,165,141). Xiji County , 4 Guyuan ②LA impacts：A total of 1,898.6 mu of rural collective land will be acquired permanently, Municipality including 1,387.4 mu of farmland (73.07%), 2.7 mu of residential land (0.14%), and 3.1 mu of unused land (0.16%). ③HD impacts：Houses of 500m2 which are all in earth-wood structure will be demolished.。 ④Affected Persons： 1,188 households with 5,281 people will be affected by LA and 4 households with 35 people will be affected by HD, totaling 1,188 households with 5,281 people affected.

3 ⑤the project does not involve in temporary land occupation according to the feasibility study report. And no enterprise or shop will be affected by LA and HD. In addition, scattered trees, poles, wires, tombs, enclosures, water wells and other ground ancillary facilities will be affected. ① Road Construction ： Chunshucha (Mengyuan) -Yangping (Chengyang) Road starts at K1784+100 of Line G309 from north to south, passing by Mengyuan Town, Wugou Town, and Chengyang Town, and ends at Yangping Village of Chengyang Town. The ending point (K30+727.08) is at K19+136 of Pengyang-Zhenyuan Road. The project is 30.75km long in total, with the subgrade width of 7.5m and pavement width of 6.5m. The total investment is estimated to be CNY 91.006202 million. ②LA impacts: A total of 506.51 mu of land will be acquired, including 201.06 mu farmland, 2 mu Pengyang residential land, and 296.15 mu unused land. County, 5 Guyuan ③HD impacts：The project will involve 1,253.8 m² building demolition (369.6 m² brick-wood Municipality buildings and 884.2 m² earth-wood buildings). ④Affected Persons：205 households with 814 persons will be affected by land acquisition, and ten households with 45 persons will be affected both by house demolition and land acquisition. In total 205 households with 814 persons will be affected by LAR.。 ⑤No enterprises or shops are involved in the acquisition and demolition. In addition, scattered trees, poles, wires, water wells and other ground ancillary facilities will be affected. ⑥Temporary Land Occupation：So far as designed, 161.9 mu of land will be temporarily occupied, which is all unused land. ①Road Construction：(i) Shatang (Huanghua Town)–Gaodian Road is the rural trunk road and includes main section and branch section. The main section starts from Shatang Village of Huanghua Town in Jingyuan County, intersects road S313 that is newly planned (formal Jingyuanping Road), and ends at Haodian Village in Liupanshan Town, intersects road G312 at the section of K1835+318, with the whole length of 13.443 km, with the designed speed of 30 km/h, width of subgrade of 7.5 m, and width of pavement of 6.5 m. The branch section starts from Tuyao Village, intersects the main section at K3+023.63, and ends at Tuyao Village, intersects the section of K0+856, with the whole length of 1.782 km, with the designed speed of 20 km/h, width of subgrade of 6.5 m, and width of pavement of 6.0 m. The total investment for this trunk road is estimated to be CNY 46,591,274. (ii) Dongxia-Digou road project is the feeder road project, including one main road and three branches. The main road starts from road S101 in Dongxia Town, goes southeastward and then northeastward via Pangdong Village along the old road, and ends at Digou Forest Protection Station of Longtan Forest Farm via the west part of Dongxia Village and Shidi Village, with the stake number of K8+200 (ending point). Branch A starts from Pangdong Village, connects stake K1+242.1 of main road, and ends at the unsurfaced road at the east end of Pangdong Village via Group 3 of Pangdong Village along the Jingyuan old road, with stake number of AK0+661 (ending point); Branch B starts from the intersection of County, the west part of Dongxia Village and main road K4+354.79, goes southward via Dongxia Village, 6 Guyuan and then southward at K0+725, and stops at the end of Shangxia Village along the old road, with Municipality stake number of BK2+162 (ending point); Branch C starts from Shidi Village, and intersects main

road K5+123.81, goes westward along the old road, and ends at the unsurfaced road of the west end of the village. The total distance of construction is 11.717 km and the total investment is estimated to be RMB 24,542,200 Yuan. ②LA impacts：A total of 394.52mu of land will be acquired, including 160.01 mu of Farmland (40.6%), 24.31 mu of Residential land (6.2%), and 210.2 mu of Forest land (53.3%). ③HD impacts：The residential houses involved in the house demolition (HD) are rural houses of 2,169 m2, are brick-wood houses of 624 m2 and earth-wood houses of 1,545 m2. ④Affected Persons：112 households with 432 persons will be affected by LA, of which both LA and HD will affect 38 households with 134 persons. ⑤No enterprises or shops are involved in the acquisition and demolition. In addition, scattered trees, poles, wires, tombs, enclosures, water wells and other ground ancillary facilities will be affected. ⑥Temporary Land Occupation：The project will acquire 17 mu of temporary land that is unutilized land. Longde ①Road Construction：The starting point of Zhangtian-Jinglin-Yangchuan Road is located at 7 County, Zhangtian Village, Dianan Town, Longde County, and it is at the intersection of Gansu and Guyuan Ningxia. It passes through Liangbao Village, Jinglin Village, Yanmiao Village, and Yangchuan Municipality Village, and ends at the end of the reservoir of Yangchuan Village, it is 12.0km long. It is

reconstructed as Grade-III asphalt concrete pavement, with width of subgrade of 7.5m, and width of pavement of 6.5m. The total investment is estimated to be CNY 22.175253 million. ②LAR impacts：Land required by the project is within the scope of old road, and no new land will be acquired. Based on the field situation, there are a few ground attachments and special facilities, such as trees in affected villages, poles of electric power department, wires, etc., which must be removed when construction is started. In addition, there is no AP in the project area.

4 Table 1-3：Summary of Rural Roads and LAR Implementation Progresses (up to 31 Dec 2019) LAR Categories of # Category Road Name County/district implementation Remarks LAR impacts progress RP not 1 Trunk Wangtuan-Yuwang Road Tongxin LA, HD Not started updated RP not 2 Trunk Zhengqi–Jiucai–Sikouzi Road Haiyuan LA, HD Not started updated Shatang (Huanghua RP not 3 Trunk Jingyuan LA, HD Not started Town)–Gaodian Road updated Chunshucha (Mengyuan) RP not 4 Trunk Pengyang LA, HD Not started -Yangping (Chengyang) Road updated RP not 5 Trunk Jiangtai–Xitan–Pingfeng Road Xiji LA, HD Not started updated RP not 6 Trunk Guanting–Guyuan Road Yuanzhou LA, HD Not started updated RP not 7 Trunk Wanzhang–Sanying Road Yuanzhou LA, HD Not started updated RP not 8 Feeder Dongxia–Digou Road Jingyuan LA, HD Not started updated Ground attachments Relocation of had been Completed in 9 Feeder Zhangtian-Jinglin–Yangchuan Longde ground relocated by 2017 attachments relevant public sectors and corporations.

1.3 External Resettlement Monitoring and Evaluation 6. In line with the requirements in PRs on external resettlement M&E, the EMA prepared this M&E report on basis of the actual progress of the Project. The period covered by this E&M report is from February 2018 to the end of December 2018.

1.3.1 EMA 7. Recruited by PMOs, Hangzhou Darren Engineer Project Management Co, ltd., is responsible for the external resettlement M&E of the Project.

1.3.2 M&E Scope 8. External M&E will cover all the 7 the rural trunk roads and 2 rural feeder roads in Jingyuan County and Longde County which all involve LAR impacts and external resettlement M&E requirements. Meanwhile, the other 19 rural feeder roads have completed their land compensation activities which were presented in a separate Resettlement Due Diligence Report, which had been submitted to ADB.

1.3.3 M&E Contents 9. The external M&E reports will monitor and evaluate the progress and implementation status of RPs in 7 project counties, including changes of LAR impacts, resettlement implementing progress, compliance on compensation for land, houses and other assets, implementation of livelihood restoration and resettlement, the satisfaction levels of affected population, capacity buildings of relevant organizations, GRM, etc.. See details in Table 1-4.

Table 1-4：Main Contents of External Resettlement M&E

No. Project Counties Contents of M&E 1 Tongxin County, Wuzhong Municipality LAR impacts, RP updating and implementation status 2 Haiyuan County, Zhongwei Municipality LAR impacts, RP updating and implementation status 3 Yuanzhou District, Guyuan Municipality LAR impacts, RP updating and implementation status 4 Xiji County , Guyuan Municipality LAR impacts, RP updating and implementation status

5 5 Pengyang County, Guyuan Municipality LAR impacts, RP updating and implementation status 6 Jingyuan County, Guyuan Municipality LAR impacts, RP updating and implementation status 7 Longde County, Guyuan Municipality Ground attachments impacts and relocation progress

1.3.4 Methodologies of M&E

10. The main methodologies of external resettlement M&E include：

 HHs Sampling Survey. Sampling surveys were conducted on APs during baseline survey in February 2018, to obtain production and living standards (quality of life, production and income levels) of APs as baseline material. Follow-up survey of a representative sample will be conducted after LAR completed.  Literature review: learning the socioeconomic profile of the project area, and resettlement impacts of the project by collecting relevant documents, local policies and statistics data, etc.  Focus Group Discussion (FGD): FGDs are divided into resident and organizational FGDs: 1) Resident FGDs: with seriously affected households, vulnerable households, and women; 2) Organizational FGDs: with IAs, township governments, village committees, affected enterprises, etc.  Key Informant Interview (KII)—interviewing with heads of township governments and village committees, and residents, etc., with focus on needs and suggestions of vulnerable groups  Field visit—visiting project sites to identify potential impacts during construction, and resettlement sites to see if sound infrastructure is available.

1.3.5 M&E Period 11. As the 2nd external resettlement M&E report, this report presents the resettlement related implementation progress during the period from February 2018 to December 2018.

6 2 Monitoring and Evaluation of Resettlement Implementation

2.1 Summary of Resettlement Impacts and RPs Updating 12. As per the RPs approved during project preparation and latest monitoring information, the summaries of LAR impacts and RPs preparation/updating are presented in the table below. Up to the end of December 2018, the draft RPs have not been updated on basis of final design and DMS.

Table 2-1：LAR Impacts in Original RPs and RPs Preparation/Updating

Project Draft RP No. LAR impacts RP Updating county/district prepared It plans to reconstruct the Wangtuan-Yuwang Road. Tongxin 1942.77 mu of land will be acquired, and 3888m2 of rural Draft County, residential houses will be demolished. Totally 149 HHs standalone 1 Wuzhong with 616 persons will be affected by LAR, in which 25 HHs RP Municipality with 108 persons will be affected by HD. No enterprises Prepared or shops are involved in the acquisition and demolition. It plans to construct the Zhengqi–Jiucai–Sikouzi Road. 485mu of land will be acquired, affecting 108 HHs with Haiyuan Draft 507 persons; The project will involve 240 m2 of house County, standalone 2 demolition with earth-wood structure, affecting 1 HHs with Zhongwei RP 12 persons, who will be also affected by LA. No Municipality Prepared enterprises or shops are involved in the acquisition and demolition. It plans to construct the Guanting-Guyuan Section of Guyuan-Xiji Road and Wanzhang-Sanying Road. Yuanzhou Draft 1218.2mu of land will be acquired, and 650 m2 of District, standalone 3 residential houses in brick-wood structure will be Guyuan RP demolished. In total, 269 HHs with 1130 persons will be Municipality Prepared affected by the subproject. No enterprises or shops are involved in the acquisition and demolition. Draft RPs are not It plans to construct the Jiangtai-Xitan-Pingfeng Road. yet updated on 1898.6mu of land will be acquired, and 500 m2 of basis of DMS. Draft Xiji County , residential houses in earth-wood structure will be standalone 4 Guyuan demolished. In total, 1188 HHs with 5281 persons will be RP Municipality affected by the subproject, including 4 HHs with 35 Prepared persons affected by HD. No enterprises or shops are involved in the acquisition and demolition. It plans to construct Chunshucha (Mengyuan) -Yangping Pengyang (Chengyang) Road. 506.51mu of land will be acquired, Draft County, and 1253.8 m2 of residential houses will be demolished. standalone 5 Guyuan In total, 205 HHs with 814 persons will be affected by the RP Municipality subproject, including 10 HHs with 45 persons affected by Prepared HD. No enterprises or shops are involved in the acquisition and demolition. It plans to construct Shatang (Huanghua Town)–Gaodian Jingyuan Road and Dongxia-Digou road. 394.52 mu of land will be Draft County, acquired, and 2169 m2 of residential houses will be standalone 6 Guyuan demolished. In total, 112 HHs with 432 persons will be RP Municipality affected by the subproject, including 38 HHs with 134 Prepared persons affected by HD. No enterprises or shops are involved in the acquisition and demolition. Relocation of Longde It plans to construct Zhangtian-Jinglin-Yangchuan Road. Draft ground attachments County, Land required by the subproject is within the scope of old standalone and civil works 7 Guyuan road, and no new land will be acquired. There are only a RP were completed in Municipality few ground attachments and special facilities Prepared 2017. No need to

update the draft RP.

13. This M&E report mainly monitors and evaluates the LAR impacts, implementation progress, etc. in the 7 project counties/districts.

2.2 Resettlement M&E of Subproject in Tongxin County, Wuzhong Municipality

2.2.1 Resettlement Impacts in Original RP 7 (i) Land Acquisition (LA)

14. As per the original RP, the subproject will acquire 1,942.77 mu of land will be acquired, including 403.3 mu of farmland (20.76%), 14.11 mu of residential land (0.73%), 11.35 mu of forest land(0.58%)，and 1514.01 mu of unused land (77.93%). See details in table 2-2

Table 2-2：Permanent Acquisition of Collective Land of Tongxin Subproject（Original Plan）

Permanent land acquisition (mu) Village Affected Affected Road Town Residential Unused Forest committee Farmland Subtotal HH person land land land Qianhong 18.12 12.11 167.74 2.81 200.78 13 53 Zhang’ershui 61.75 0.85 216.02 0 278.62 24 99 Wangtuan Hujiahongwan 63.00 0.25 176.17 0.22 239.64 19 81 Buzizhang 53.06 0 199.50 4.52 257.08 21 83 Wangtuan Abutiao 88.66 0 29.82 1.25 119.73 18 75 - Yuwang Total 5 284.59 13.21 789.25 8.8 1095.85 95 391 Road Gongjiawan 68.23 0 286.80 0.40 355.43 6 27 Qingyangquan 25.56 0 137.90 0.25 163.71 8 39 Yuwang Nanguan 10.26 0 68.63 0 78.89 23 93 Nanyuan 14.66 0.9 231.43 1.90 248.89 17 66 Total 4 118.71 0.9 724.76 2.55 846.92 54 225 Total 403.30 14.11 1514.01 11.35 1942.77 149 616 Proportion 20.76% 0.73% 77.93% 0.58% 100% / 100%

15. As the LA of this subproject does not start implementation, there is no changes on LA impacts so far.

(ii) House Demolition (HD)

16. The residential houses involved in the demolition are rural houses of 3,888m2, including timber-wood structure of 3,685m2 (accounting for 94.78% of the total) and earth-wood structure of 203m2 (accounting for 5.22% of the total). A total of 25 households with 108 persons will be affected. See details in table 2-3.

Table 2-3：Impacts of Rural Residential House Demolition of Tongxin Subproject（Original Plan）

House demolition (m2) Affected people Number Road Town Village Timber Earth- Makeshift Number of Subtotal of -brick wood house households people Qianhong 2570 0 0 2570 16 65 Zhang’ershui 0 0 0 0 0 0 Wangtuan Hujiahongwan 595 203 0 798 6 29 Buzizhang 0 0 0 0 0 0 Abutiao 0 0 0 0 0 0 Wangtuan-y Total 5 3165 203 0 3368 22 94 uwang road Gongjiawan 0 0 0 0 0 0 Qingyangquan 0 0 0 0 0 0 Yuwang Nanguan 0 0 0 0 0 0 Nanyuan 520 0 0 520 3 14 Total 4 520 0 0 520 3 14 Total 9 3685 203 0 3888 25 108 Proportion (%) 94.78 5.22 0 100% / /

17. As the HD of this subproject does not start implementation, there is no changes on HD impacts so far.

(iii) Affected Persons (APs)

18. Totally 149 HHs with 616 persons will be affected by LA, in which 25 HHs with 108 persons will be affected by HD. No enterprises or shops are involved in the acquisition and demolition.

8 Table 2-4：Affected Population of Tongxin Subproject (Original RP)

Wangtuan Yuwang Subtotal Type Number of Number of Number of Number of Number of Number of households people households people households people LA impact 95 391 54 225 149 616 -HD impact 22 95 3 13 25 108 Total 95 391 54 225 149 616

19. As of 31st December 2018, the subproject in Tongxin County has obtained the approval of land utilization pre-examination, however the draft RP is not yet updated. So there is no changes of LAR impacts so far.

(iv) Affected Infrastructure and Ground Ancillary Facilities

20. The project will affect such ground ancillaries as young crops, ground structures, trees and special facilities.

Table 2-5： Ground Ancillary Facilities Affected by Tongxin Subproject (Original RP)

Item Unit Quantity Signboards and advertising boards removal piece 41.00 Milestone pole and stela piece 522.00 Well piece 17.00 Brick wall fence M 268.00 Earth wall fence M 1,898.00 Caves piece 23.00 Gate piece 1.00 Cistern piece 98.00 Trees with φ<10cm piece 3,815.00 Trees with 10<φ<30cm piece 334.00 Trees with φ>30cm piece 40.00 Nursery garden mu 16.46 Fruit trees piece 139.00 Illuminating lines piece 268.00 Telecommunication lines piece 97.00 Underground iron water pipes M 130.00 PVC water pipes M 200.00 Young crops mu 403.30

21. As this subproject does not start implementation, there is no changes on ground ancillary facilities impacts so far.

2.2.2 Compensation Rates and Resettlement Measures

(i) Compensation rates of LA and HD

22. According to the original RP, the compensation rates are presented in the table below.

Table 2-6：LA and HD Compensation Standards of Tongxin Subproject（Original Plan）

LA Acrid land/Residential land Unused land Young crops Tongxin 6,400 yuan/mu 1,280 yuan/mu 600 yuan/mu Subsidy for relocation Makeshift temporal HD Brick-concrete Brick-timber Earth-wood subsidy(One house resettlement（6 time) months） 310 300 yuan/month per Tongxin 600 yuan/M2 410 yuan/M2 100 yuan/M2 1,000yuan yuan/M2 HH

(ii) Compensation rates for Temporary Land Occupation

23. Temporary land occupation area of the project is 1,651.06mu for the present, and the type

9 is unused land. For compensation standard for temporary land occupation, please refer to the notice of Compensation Standard for Land Acquisition and Demolishing & Resettlement of Additional Construction of Second Line of Ningxia Section, Baotou-Lanzhou Railway (Ningzhengbanfa [2010] No. 43), the compensation is CNY 600/mu. The period of occupation is two years at most, and what’s more, the land should be recovered to the original sample before allocating to the owner.

(iii) Planned Livelihood Restoration and Resettlement Measures

24. To minimize the resettlement impacts to APs and restore their living standards, a rehabilitation plan has been developed and included in this RP. The comprehensive compensation package that will be used by the affected peoples, which includes expanding cash crop plantation, improving existing low yield cash crops and land rental to expand agricultural plantation, will help offset the losses incurred due to the land acquisition impacts.

25. For households affected by HD (all are house demolition in part), two options are available for them to choose according to their own desire in order to restore their living condition. In both cases, cash compensation for Residential land, house structures and attachments based on replacement costs as well as transfer allowances will be provided. The major options include:

1) Cash compensation and self-relocation by displaced household. The compensation standard will be determined in accordance with replacement cost proposed in the resettlement plan. 2) Allocated resettlement and subsidy policy: The villagers committees select and allocate appropriate Residential land to the affected households around their former residential land, and the allocated area shall not be less than the former area. And the villagers committees have promised that they will arrange Residential lands within their village to relocate the APs and the resettlement place will be determined before the project is constructed. 3) Policy on resettlement on site: As over 2 mu of residential land per household is affected by the project, the AHs can rebuild a house within the scope of their residential land after demolition of buildings. The compensation covers compensation for residential land, compensation for housing.

2.2.3 Progress of Project and Resettlement Implementation

(i) Subproject implementation progress

26. Wangtuan-Yuwang road in Tongxin County: this subproject does not start construction, and the LAR is not yet commenced so far. The preliminary design has been approved by DRC of Wuzhong Municipality on 8 November 2017 with a document named [WuFaGaiShenFa [2017] #207]. Final design was approved on 13 March 2018, the bidding document was advertised on 11 September 2018, and the bidding opening was completed on 18 October 2018. It is expected that the contracts of civil works were awarded in early 2019 and the construction will be completed in middle 2021.

(ii) Resettlement Implementation Progress

27. This subproject’s RP hasn’t updated on basis of final design and DMS, yet LAR does not start. The Tongxin PMO committed that the LAR activities will be implemented in compliance with the updated RP to be approved by ADB.

1 0

Figure 2-1：Site visits and FGDs in Tongxin County

2.2.4 Main Findings during External M&E 28. (i) Tongxin subproject has not started its construction. The preliminary design has been approved by local DRC. The subproject is still in the final design and tendering preparation stage so far.

29. (ii) The draft RP has not been updated on basis of final design and DMS.

30. (iii) The responsibilities of LAR implementing agencies and staff should be appointed clearly, and their capacities on LAR affairs should be further strengthened through training and other manners planned in original RP.

2.3 Resettlement M&E of Subproject in Haiyuan County, Zhongwei Municipality

2.3.1 Resettlement Impacts in Original RP

(i) Land Acquisition

31. The subproject will permanently acquire 485mu rural collective land of the above-mentioned areas, including Farmland of 209.24mu (43.17%), Residential land of 1.6mu (0.33%), Forest land of 18.45mu (3.81%), and Unused land of 255.74mu (52.7%). See the following table for details.

Table 2-7：Permanent Acquisition of Collective Land of Haiyuan Subproject（Original Plan）

Village Permanent land acquisition (mu) Affecte committee Affecte Road Town Residential Forest Unused Subtot d /communit Farmland d HH land land land al person y Zhengqi 5.69 0 0 7.80 13.49 4 16 Zheng Satai 35.58 0 0 40.52 76.10 22 101 Zhengq qi Sabu 34.97 0.8 0 39.16 74.93 19 78 i-Jiucai- Zhongping 29.50 0 0 45.67 75.17 12 55 Sikouzi Matao 51.73 0.8 0 62.09 114.62 23 128 Road Jiucai Yuantao 51.77 0 0 60.47 112.24 28 129 lijun 0 0 18.45 0 18.45 0 0 Total 3 6 209.24 1.6 18.45 255.71 485.00 108 507

1 Proportion 43.14% 0.33% 3.80% 52.72% 100% \ \

32. As the LA of this subproject does not start implementation, there is no changes on LA impacts so far.

(ii) House Demolition (HD)

33. As per the original RP, the residential houses involved in the demolition are rural houses of earth-wood structure of 240㎡. A total of 2 households with 12 persons are affected, and the area demolished of each household is 120m2.

Table 2-8：Impacts of Rural Residential House Demolition of Haiyuan Subproject（Original Plan）

Original living Demolition Earth-wood Name of Head of Family Town area area structure village household number (m²) (m²) (m²) Zhengqi Sabu Sa Ailing 7 300 120 120 Jiucai Matao Qi Yujun 5 260 120 120 Total 2 12 820 240 240

34. As of 31st December 2018, the subproject in Haiyuan County has obtained the approval of land utilization pre-examination, however the draft RP is not yet updated. So there is no changes of LAR impacts so far.

(iii) Affected Persons (APs)

35. A total of 108 households with 507 persons are affected, including 108 households with 507 persons affected by land acquisition and 2 households with 12 persons affected by both land acquisition and house demolition. No enterprise, public institution nor store is affected by the land acquisition and demolition. See details in the table below.

Table 2-9：Affected Population of Haiyuan Subproject（Original RP）

Haiyuan County Subtotal No. Category Zhengqi Town Jiucai Town Household Person Household Person Household Person 1 Land acquisition impact 57 250 51 257 108 507 2 Demolition impact 1 7 1 5 2 12 Total 57 250 51 257 108 507

36. As the LAR of this subproject is not yet started, there is no changes on affected population so far.

(iv) Affected Infrastructure and Ground Ancillary Facilities

37. The project will affect toilets, tombs, trees and other two categories. See table below for details.

1 2 Table 2-10： Ground Ancillary Facilities Affected by Haiyuan Subproject（Original Plan）

Item Unit Quantity Earth wall(h<2m) m 220 Brick wall(h<2m) m 60 Cistern single 5 Iron gate Single 2 Poplar(Ф<10cm) single 10 Locust tree(10cm<Ф<30cm) Single 38

2.3.2 Compensation Rates and Resettlement Measures

(i) Compensation rates of LA and HD

38. According to the Notice of Releasing the Compensation Standard for Land Acquisition in Ningxia Hui Autonomous Region by the People’s Government (Ning Zheng Fa [2015] No.101) (see the attachments) issued on January 1, 2016, the project is being implemented in Area II in Haiyuan County, Zhongwei city, where the compensation standard for Farmland and Residential land is CNY 7,904 /mu.

39. The acquisition of Forest land is executed by the 70% of that of Farmland of the same area, the compensation standard for Forest land of the RP is CNY 5,532.8 /mu.

40. The acquisition of Forest land is executed by the 20% of that of Farmland of the same area, the compensation standard for unused land of the RP is CNY 1580.8 /mu.

41. According to the compensation policy for the same crop by the average annual output value in the first three years for the common crops (inclusive of manual seeding), the compensation standard for young crops is CNY 500 /mu.

Table 2-11：LA and HD Compensation Standards of Haiyuan Subproject（Original Plan）

Young LA Farmland/ Residential land Unused land Forest land crops Haiyuan 500 7,904 Yuan/mu 1,580.8 Yuan/mu 5,532.8Yuan/mu County Yuan/mu Subsidy for Makeshift relocation temporal HD Brick-concrete Brick-timber Earth-wood house subsidy resettlement (6 months) Haiyuan 310 100 300 600 Yuan/M2 410 Yuan/M2 1000Yuan County Yuan/M2 Yuan/M2 Yuan/month

(ii) Compensation rate for temporary land use

42. At this stage, no temporary land occupation is planned.

(iii) Planned Livelihood Restoration and Resettlement Measures

43. To minimize the resettlement impacts to APs and restore their living standards, a rehabilitation plan has been developed and included in this RP. The comprehensive compensation package that will be used by the affected peoples, which includes expanding cash crop plantation, improving existing low yield cash crops and land rental to expand agricultural plantation, will help offset the losses incurred due to the land acquisition impacts.

1 3 Additionally, arranged jobs, waged non-farming jobs, off-farming business, and special measures for vulnerable groups will be provided during project implementation stage.

44. For physically displaced households (i.e., house demolition), two options are available for them to choose according to their own desire in order to restore their living condition. In both cases, cash compensation for Residential land, house structures and attachments based on replacement costs as well as transfer allowances will be provided. The major options include:

1) Cash compensation and self-relocation by displaced household. The compensation standard will be determined in accordance with replacement cost proposed in the resettlement plan. 2) Allocated resettlement and subsidy policy: The villagers committees select and allocate appropriate Residential land to the affected households, and the allocated area shall be not less than the formal area. And the villagers committees have promised that they will arrange Residential lands within their town to relocate the APs and the resettlement place will be determined before the project is constructed. 3) Policy on resettlement on site: As over 2 mu of residential land per household is affected by the project, the AHs can rebuild a house within the scope of their residential land after demolition of buildings. The compensation covers compensation for residential land, compensation for housing.

2.3.3 Progress of Project and Resettlement Implementation

(i) Subproject implementation progress

45. Zhengqi-Jiucai-Sikouzi Road in Haiyuan County: this subproject does not start construction, and the LAR is not yet commenced so far. The land utilization pre-examination has been obtained in August 2017. Final design was approved on 23 March 2018, the bidding document was advertised on 17 August 2018, the bidding opening was completed on 10 August 2018, and the contracts of civil works were awarded on 13 December 2018. It is expected that the construction will be completed by the end of December 2019.

Figure 2-2：Approval of Land Utilization Pre-examination

(ii) Resettlement Implementation Progress

46. Due to the original RP has not been updated on basis of final design and DMS, LAR is not commenced so far. The Haiyuan PMO committed that the LAR activities will be implemented in compliance with the updated RP to be approved by ADB.

1 4

Figure 2-3：FGDs and Field Visits in Haiyuan

2.3.4 Main Findings during External M&E 47. i Haiyuan subproject has completed its final design and bidding procedures, but not started construction and LAR by the end of December 2018.

48. ii The draft RP has not been updated on basis of final design and DMS.

49. iii The responsibilities of LAR implementing agencies and staff should be appointed clearly, and their capacities on LAR affairs should be further strengthened through training and other manners planned in original RP.

2.4 Resettlement M&E of Subproject in Yuanzhou District, Guyuan Municipality

2.4.1 Resettlement Impacts in Original RP

(i) Land Acquisition

50. The project will permanently acquire 1,218.2mu rural collective land of the above-mentioned areas, including Farm land of 453mu (37.2%), residential land of 2.5mu (0.2%), Unused land of 738.9mu (60.7%), forest land of 23.8mu (1.9%). 269 households with 1,130 people are affected by land acquisition.

Table 2-12：Permanent Acquisition of Collective Land of Yuanzhou Subproject（Original Plan）

Permanent land (mu) Number of Affected Town/towns Villagers Fore Road Farm Residenti Unuse Subtot affected populati hip committee st land al land d land al househol on land ds Guanting 61.7 0.2 98.7 0 160.6 26 109 Liudian 96 1.5 153.6 0 251.1 42 176 Guyuan-Xiji Guanting Miaotai 24.4 0 39 0 63.4 14 59 Road Cheng’ersh 20.3 0 32.5 0 52.8 12 51 an Subtotal 4 202.4 1.7 323.8 0 527.9 94 395 Touying Pingle 22.2 0 35.5 0 57.7 23 97 Daibu 102.4 0 163.8 0 266.2 45 189 Sanying Dongyuan 51.8 0 82.9 11.3 146 31 130 Wanzhang-Sany Malu 10.6 0.8 30.9 12.5 54.8 36 151 ing Road Wanzhang 42.1 0 67.4 0 109.5 25 105 Zhaike Caichuan 21.5 0 34.6 0 56.1 15 63 Subtotal 6 250.6 0.8 415.1 23.8 690.3 175 735 Total 10 453 2.5 738.9 23.8 1218.2 269 1130 37.20 60.70 1.90 Proportion 0.20% 100 / / % % %

1 5 51. As the LA of this subproject does not start implementation, there is no changes on LA impacts so far.

(ii) House Demolition (HD)

52. The residential houses involved in the demolition are rural Brick-wood houses of 650㎡.A total of 6 households with 30 people are affected in total.

Table 2-13：Impacts of Rural Residential House demolition of Yuanzhou Subproject（Original Plan）

Housing demolition (㎡) Affected population Populatio Road Town Village Brick-woo Earth-woo Makeshi Subtot Househol n d d ft al d (person) Guantin Guating–Guyuan Guantin 50 0 0 50 1 4 g Road g Liudian 300 0 0 300 2 11 Wanzhang-Sanyi Sanying Malu 300 0 0 300 3 15 ng Road Total 10 650 0 0 650 6 30 Proportion (%) 100 0 0 100 / /

53. See the list of AHs in the table below. Among the 6 households affected by the residential house demolition, only one HH from Liudian village has entire house demolition, and other AHs affect for a small part of HD. All AHs will be resettled in an appropriate manner.

Table 2-14：List of Demolition of Residential Households affected by Yuanzhou Subproject（Original Plan）

Original living Town Village Head of a Population area Demolition Brick-wood household (person) (㎡) area (㎡) (㎡) Guanting Ma 4 280 50 50 Village Congying Hai Guanting 6 240 60 60 Liudian Zhengjie Village Hai Baofu 5 240 240 240 Ma Yaowu 5 500 120 120 You Sanying Malu Village 6 230 80 80 Xiangrong Ma Guilin 7 260 100 100 Total 6 20 1710 650 650

54. As the LA of this subproject does not start implementation, there is no changes on HD impacts so far.

(iii) Affected Persons (APs)

55. A total of 269 households with 1,130 people are affected, including 6 AHs with 30 persons affected by HD. See details in the table below.

Table 2-15：Affected Population of Yuanzhou Subproject（Original Plan）

Yuanzhou district Subtotal No. Category Guating–Guyuan Road Wanzhang–Sanying Road Household Person Household Person Household Person Affected household 269 1130 99 385 269 1130 Land acquisition 1 94 395 175 735 269 1130 impact Demolition 2 3 15 3 15 6 30 impact

1 6 56. As of 31st December 2018, the subproject in Yuanzhou County has obtained the approval of land utilization pre-examination, however the draft RP is not yet updated. So there is no changes of LAR impacts so far.

(iv) Affected Infrastructure and Ground Ancillary Facilities

57. The project will affect toilets, tombs, trees and other two categories.

Table 2-16： Ground Ancillary Facilities Affected by Yuanzhou Subproject（Original Plan）

Category Item Unit Quantity Brick wall fence ㎡ 660 Iron gate each 6 Ground structure Tomb each 4 Sapling mu 2 Special facility Concrete pole each 78 φ<10cm each 800 Sporadic tree 10cm<φ<30cm each 210

58. As this subproject does not start implementation, there is no changes on Ground Ancillary Facilities impacts so far.

2.4.2 Compensation Rates and Resettlement Measures

(i)Compensation Rate for Permanent Land Acquisition and House Demolition

59. According to the Notice of Releasing the Compensation Standard for Land Acquisition in Ningxia Hui Autonomous Region by the People’s Government (Ning Zheng Fa [2015] No.101) (see the attachments) issued on January 1, 2016, the document standard shall be adopted for the land acquisition in all counties and districts affected by the project. The project implementation area includes Guanting Town, Touying Town, Sanying Town and Zhaike Town of Yuanzhou District, which all belong to Area III, where the compensation standard for dryland and residential land is CNY 6400 /mu. The compensation standard for Forest land is CNY 4,480 /mu, accounting for 70% of that for farmland in the area. The acquisition of unused land is executed by the 20% of that of dry farmland of the same area, and the compensation standard for unused land of the RP is CNY 1,280 /mu. According to the compensation policy for the same crop by the average annual output value in the first three years for the common crops (inclusive of manual seeding), the compensation standard for young crops is CNY 700 /mu:

Table 2-17：LA and HD Compensation Standards of Yuanzhou Subproject（Original Plan）

LA Farm land/Residential land Forest land Unused land Young crops 4,480 700 (average output in the Yuanzhou 6,400 yuan/mu 1,280 yuan/mu yuan/mu first three years) transition Makeshift relocation HD Brick-concrete Brick-timber Earth-wood subsidy(one subsidy（6 house time) months）

1,000 300 Yuanzhou 600 yuan/M2 410 yuan/M2 310 yuan/M2 100yuan/M2 yuan/HH yuan/month.HH

(ii) Compensation Rate for Temporary Land Occupation

60. In case of the impact due to temporal land occupation, the compensation for land occupation shall be calculated by year, by referring to the annual output of the main crops of the same year. The compensation standard of this project is determined as CNY 600 per mu. It will be for a maximum of 2 years and the land will be restored to its pre-occupation standards prior to its redistribution to the owners. 1 7 (iii) Resettlement and livelihood rehabilitation

61. To minimize the resettlement impacts to APs and restore their living standards, a rehabilitation plan has been developed and included in this RP. The comprehensive compensation package that will be used by the affected households, which includes expanding cash crop plantation, improving existing low yield cash crops and land rental to expand agricultural plantation, can offset the losses incurred due to the land acquisition impacts. Additionally, arranged jobs, waged non-farming jobs, off-farming business, and special measures for vulnerable groups will be delivered during implementation.

62. For physically displaced households (i.e., house demolition), two options are available for them to choose according to their own desire in order to restore their living condition. In both cases, cash compensation for Residential land, house structures and attachments based on replacement costs as well as transfer allowances will be provided. The major options include:

1) Cash compensation and self-relocation by displaced household. The compensation standard will be determined in accordance with replacement cost proposed in the resettlement plan. 2) Allocated resettlement and subsidy policy: The villagers committees select and allocate appropriate Residential land to the affected households, and the allocated area shall be not less than the former area. And the villagers committees have promised that they will arrange Residential lands within their village to relocate the APs and the resettlement place will be determined before the project is constructed. 3) Policy on resettlement on site: As over 2 mu of residential land per household is affected by the project, the AHs can rebuild a house within the scope of their residential land after demolition of buildings. The compensation covers compensation for residential land, compensation for housing.

2.4.3 Progress of Project and Resettlement Implementation

(i) Subproject implementation progress

63. 1 Guyuan-Xiji Road：This road does not start construction, and the LAR is not yet commenced so far. The land utilization pre-examination has been obtained already, and it’s still in the phase of preliminary design and tendering preparation. More details will be monitored and reported in next reports.

Figure 2-4：Land Pre-examination and permit of site selection of Guyuan-Xiji Road

64. 2 Wanzhang-Sanying Road：This road does not start construction, and the LAR is not yet commenced so far. The land utilization pre-examination has been obtained already, and it’s still in the phase of preliminary design and tendering preparation. More details will be monitored and reported in next reports.

1 8

Figure 2-5：Land Pre-examination and permit of site selection of Wanzhang-Sanying Road

(ii) Resettlement Implementation Progress

65. This subproject’s RP hasn’t updated on basis of final design and DMS, yet LAR does not start. The Yuanzhou PMO committed that the LAR activities will be implemented in compliance with the updated RP to be approved by ADB.

Figure 2-6：FGDs and Site Visits in Yuanzhou District

2.4.4 Main Findings during External M&E 66. i Yuanzhou subproject has not started its construction and LAR, as it is still in the phase of final design and tendering preparation stage so far.

67. ii The draft RP has not been updated on basis of final design and DMS.

68. iii The responsibilities of LAR implementing agencies and staff should be appointed clearly, and their capacities on LAR affairs should be further strengthened through training and other manners planned in original RP.

2.5 Resettlement M&E of Subproject in Xiji County, Guyuan Municipality

2.5.1 Resettlement Impacts in Original RP

(i) Land Acquisition

69. The subproject will permanently acquire 1,898.6 mu rural collective land of the above-mentioned areas, including Farmland of 1,387.4 mu (73.07%), Residential land of 2.7

1 9 mu (0.14%), Forest land of 505.4 mu (26.62%),Unused land of 3.1 mu (0.16%).

70. As the LA of this subproject does not start implementation, there is no changes on LA impacts so far.

Table 2-18： Permanent Acquisition of Collective Land of Xiji Subproject（Original plan）

Permanent land acquisition (mu) Village Affecte Affecte Road Town committee/commu Farmla Residenti Unuse Subtot d Forest d HH nity nd al land d land al person land Maogou 75.74 0 5 0 80.74 88 354 Jiangta Mingtai 40.06 0 3 0 43.06 116 492 i Town Shencha 60.41 0 4 0.5 64.91 82 307 Xitan 152.78 0.7 60.3 0 213.78 71 358 Xitan Heihugou 97.54 0 35.7 0 133.24 65 275 Town Gancha 120.69 0 44.1 0 164.79 68 326 Youai 84.48 0 51.2 1.9 137.58 91 390 Xingpin Wangbao 77.58 0 38.8 0 116.38 73 385 g Town Xingping 71.03 1.7 30.8 0 103.53 92 350 Pingfeng 126.58 0 29.7 0 156.28 52 299 Jiangtai-Xitan-Pingf Sanhe 40.91 0 19.8 0 60.71 42 207 eng Road Miaoping 51.71 0 22.8 0 74.51 40 148 Chentan 36.53 0.3 15.6 0.7 53.13 31 139 Pingfe Minhe 46.01 0 24.5 0 70.51 40 170 ng Shawa 66.01 0 25.4 0 91.41 47 205 Town Wangnao 40.27 0 17.7 0 57.97 38 151 Libao 57.84 0 24.5 0 82.34 40 169 Gaozhao 42.69 0 19.3 0 61.99 35 198 Bacha 48.74 0 14.1 0 62.84 42 186 Sanhe 49.8 0 19.1 0 68.9 35 172 Town Rencha 1,898. 5 20 1,387.4 2.7 505.4 3.1 1,188 5,281 Total 6 26.62 Proportion 73.07% 0.14% 0.16% 100% / / %

(ii) House Demolition (HD)

71. The residential houses involved in the demolition include rural houses of 574 ㎡ , brick-wood houses of 424㎡ and earth-wood houses of 150㎡. A total of 8 households with 35 people are affected in total.

72. As the HD of this subproject does not start implementation, there is no changes on HD impacts so far.

Table 2-19：Impacts of Rural Residential House Demolition of Xiji Subproject

Housing demolition (㎡) Affected population Road Town Village Population Brick-wood Earth-wood Subtotal Household (person) Xitan Town Xitan 229 17 246 3 12 Jiangtai-Xitan-Pingfeng Xingping Town Xingping 78 34 112 2 9 Road Chentan 80 60 140 2 8 Pingfeng Town Wangnao 37 39 76 1 6 Total 424 150 574 8 35

(iii) Affected Persons (APs)

73. A total of 1188 households with 5281 people are affected, including 1180 households with 5246 people affected by land acquisition only and 8 households with 35 people affected by both land acquisition and house demolition. No enterprise, store or public institution is affected by the land acquisition and demolition.

2 0 74. As of 31st December 2018, the subproject in Xiji County has obtained the approval of land utilization pre-examination, however the draft RP is not yet updated. So there is no changes of LAR impacts so far.

Table 2-20： Affected Population of Xiji Subproject

Jiangtai-Xitan-Pingfeng Road Subtotal N Catego Jiangtai Town Xitan Town Xingping Town Pingfeng Town Sanhe Town o. ry Househ Pers Househ Pers Househ Pers Househ Pers Househ Pers Househ Pers old on old on old on old on old on old on Affected 1,15 1,12 1,87 5,28 286 204 959 256 407 35 172 1,188 household 3 5 2 1 Land acquisit 1,15 1,12 1,87 5,28 1 286 204 959 256 407 35 172 1,188 ion 3 5 2 1 impact Demolit 2 ion 0 0 3 12 2 9 3 14 0 0 8 35 impact

(iv) Affected Infrastructure and Ground Ancillary Facilities

75. The subproject will affect toilets, tombs, trees and other two categories. See the table below for details.

Table 2-21： Ground Ancillary Facilities Affected by Xiji Subproject（Original Plan）

Item Unit Quantity Cowshed ㎡ 1789 Brick wall m 18 Soil wall m 110 Toilet ㎡ 5 Concrete floor ㎡ 72 Brick shed ㎡ 6 Cellar single 1 Cave dwelling ㎡ 82 Grave single 26 Weed tree(φ<10cm) single 6262 Weed tree(10<φ<30cm) single 3510 Weed tree(φ>30cm) single 182 Fruit tree(Early fruiting) single 692 Fruit tree(Not fruiting) single 1083 Pine single 2033 Pole single 120 Buried pipe m 1480

2.5.2 Compensation Rates and Resettlement Measures

(i) Compensation rates of LA and HD

76. According to the Notice of Releasing the Compensation Standard for Land Acquisition in Ningxia Hui Autonomous Region by the People’s Government (Ning Zheng Fa [2015] No.101) (see the attachments) issued on January 1, 2016, the project is being implemented in Area II and Area III in Jiangtai Town, Xitan Town, Xingping Town and Pingfeng Town of Xiji County, where the compensation standard for farmland and Residential land is CNY 13,472/mu. The acquisition of Forest land is executed by the 70% of that of Farmland of the same area, the compensation standard for unused land is CNY 9,430/ mu. The acquisition of unused land is executed by the 70% of that of Farmland of the same area, the compensation standard for unused land is CNY 2,694/mu.

77. According to the compensation policy of Ningzhengfa [2015] No.101 document and Xiji County, the compensation standard for young crops is CNY 850/mu:

2 78. Compensation for the project area in Gansu shall accord with the LA and HD policies of local government, that is, according to Gan Zheng Fa [2012] No.151 document Notice of Gansu Provincial People’s Government on Issuing Comprehensive Land Price in LA Compensation Area of Gansu and Unified Annual Value of Production Standard for LA Compensation of Gansu, project area is Area V of Jingning County, Pingliang City, where the compensation for farmland and residential land is CNY 16,274/mu; the compensation for forest land shall be 70% of that for farmland, and the compensation for forest land in this project is CNY 11,392/mu. According to unified annual value of production of Jingning County, Pingliang City mentioned in Gan Zheng Fa [2012] No.151 document, compensation for young crops is CNY 957/mu.

Table 2-22：LA and HD Compensation Standards of Xiji Subproject（Original Plan）

Unused Area Arid land/residential land Forest land Young crops land 9,430 2,694 Xiji 13,472 yuan/mu 850 yuan/mu yuan/mu yuan/mu 11,392 Jingning 16,274 yuan/mu \ 957 yuan/mu yuan/mu relocation Brick and Makeshift transition subsidy brick-concrete Brick-timber Earth-timber subsidy(one earth-timber house （6 months） time) 100 300 1,000 yuan/M2 600 yuan/M2 410 yuan/M2 310 yuan/M2 1,000/HH yuan/M2 yuan/month.HH

(ii) Temporary Land Occupation

79. In case there’s any requirement for temporary land occupation, unused land shall be the first choice and compensation shall be made annually by referring to the policies on temporary land occupation of local governments. Temporary land occupation shall be 2 years at most and the land shall be restored to the original shape before being re-allocated to the owner.

(iii) Resettlement and livelihood rehabilitation

80. To minimize the resettlement impacts to APs and restore their living standards, a rehabilitation plan has been developed and included in this RP. The comprehensive compensation package that will be used by the affected households, which includes expanding cash crop plantation, improving existing low yield cash crops and land rental to expand agricultural plantation, can offset the losses incurred due to the land acquisition impacts. Additionally, arranged jobs, waged non-farming jobs, off-farming business, and special measures for vulnerable groups have been put in place.

81. For physically displaced households (i.e., house demolition), two options are available for them to choose according to their own desire in order to restore their living condition. In both cases, cash compensation for Residential land, house structures and attachments based on replacement costs as well as transfer allowances will be provided. The major options include:

1) Cash compensation and self-relocation by displaced household. The compensation standard will be determined in accordance with replacement cost proposed in the resettlement plan.

2) Allocated resettlement and subsidy policy: The villagers committees select and allocate appropriate Residential land to the affected households, and the allocated area shall be not less than the former area. And the villagers committees have promised that they will arrange Residential lands within their village to relocate the APs and the resettlement place will be determined before the project is constructed.

2.5.3 Progress of Project and Resettlement Implementation

2 2 (i) Subproject implementation progress

82. Jiangtai-Xitan-Pingfeng Road: this subproject does not start construction, and its LAR is not yet commenced so far. The land utilization pre-examination has been obtained already, and it’s still in the phase of preliminary design and tendering preparation. It’s reported by Xiji PMO that they will face difficulties on counterpart funds for LAR and construction of civil works due to the shortage of public financial funds in Xiji County, which is a national level poverty county. More details will be monitored and reported in next reports.

Figure 2-7：Land Pre-examination and permit of site selection of Jiangtai-Xitan-Pingfeng Road

Figure 2-8：FGDs of EMA in Sites

(ii) Resettlement Implementation Progress

83. This subproject’s RP hasn’t updated on basis of final design and DMS, yet LAR does not start. The Xiji PMO committed that the LAR activities will be implemented in compliance with the updated RP to be approved by ADB.

2 3

Figure 2-9：HH Survey and field visits to Project Sites in Xiji County

2.5.4 Main Findings during External M&E 84. i Xiji subproject has not started its construction and LAR yet, as it is still in the phase of preliminary design and tendering preparation stage so far.

85. ii The draft RP has not been updated on basis of preliminary design and DMS.

86. (iii) The responsibilities of LAR implementing agencies and staff should be appointed clearly, and their capacities on LAR affairs should be further strengthened through training and other manners planned in original RP.

2.6 Resettlement M&E of Subproject in Pengyang County, Guyuan Municipality

2.6.1 Resettlement Impacts in Original RP

(i) Land Acquisition

87. The Pengyang subproject will permanently acquire 506.51mu rural collective land, including 201.06mu of farmland (39.7%), 9.3mu of residential land (1.84%), and 296.15mu of unused land (58.47%).

88. As the LA of this subproject does not start implementation, there is no changes on LA impacts so far.

Table 2-23：Permanent Acquisition of Collective Land of Pengyang County (original plan)

Permanent land acquisition (mu) Affected Affected Road Town Village Residential Unused Farmland Subtotal HH person land land Zhaoshanzhuang 21.85 0 24.58 46.43 23 94 Village Hushanzhuang Chunshucha 3.08 0 20.88 23.96 3 12 Village (Mengyuan) Shuangshu -Yangping Mengyuan 18.45 0 21.29 39.74 20 70 Village (Chengyang) Chunshucha Road 16.96 0 22.77 39.73 18 76 Village Baiyangzhuang 19.42 0 21.51 40.93 18 61 Village 2 4 Caotan Village 14.14 0 19.61 33.75 19 77 Yangping Village 42.77 6 69.04 117.81 42 170 Chengyang Beiyuan Village 45.81 0 76.34 122.15 39 162 Mengzhuang Wugou 18.58 3.3 20.16 42.04 23 92 Village Total 9 201.06 9.3 296.15 506.51 205 814 Proportion 39.70% 1.84% 58.47% 100% / /

(ii) House Demolition (HD)

89. The residential houses involved in the demolition are rural houses of 1253.8㎡, including 369.6㎡ brick-wood houses and 884.2㎡ earth-wood houses. Ten households with 45 people are affected in total.

90. As the HD of this subproject does not start implementation, there is no changes on HD impacts so far.

Table 2-24：Impacts of Residential House Demolition of Pengyang Subproject (original plan)

Administrative region Housing demolition (㎡) Affected population Project name Town Village Brick-wood Earth-wood Total Household Population Chunshucha Mengzhuang Wugou (Mengyuan) Village 309.6 50 359.6 4 22 -Yangping (Chengyang) Chengyang Yangping Road Village 60 834.2 894.2 6 23 Total 369.6 884.2 1253.8 10 45

(iii) Affected Persons (APs)

91. A total of 205 households with 814 people are affected, including 205 households with 814 people affected by land acquisition, and 10 households with 45 people affected both by land acquisition and house demolition. No enterprise and public institution is affected by the land acquisition and demolition.

92. As of 31st December 2018, the subproject in Pengyang County has obtained the approval of land utilization pre-examination, however the draft RP is not yet updated. So there is no changes of LAR impacts so far.

Table 2-25：Affected Population of Pengyang Subproject (original plan)

Administrative region Affected population Project name Town Village LA APs/AHs HD APs/AHs Zhaoshanzhuang 94/23 0/0 Village Hushanzhuang 12/3 0/0 Village Mengyuan Shuangshu Village 70/20 0/0 Chunshucha Chunshucha Village 76/18 0/0 (Mengyuan) Baiyangzhuang 61/18 0/0 -Yangping Village (Chengyang) Road Caotan Village 77/19 0/0 Total 6 390/101 0/0 Yangping Village 170/42 23/6 Chengyang Beiyuan Village 162/39 0/0 Total 2 332/81 0/0 Wugou Mengzhuang Village 92/23 22/4 Total 9 814/205 45/10

(iv) Affected Infrastructure and Ground Ancillary Facilities

93. The temporal land occupation in project design scheme is 161.9mu of unused land. The 2 5 subproject will affect crops, other structures, trees and facilities.

94. As this subproject does not start implementation, there is no changes on ground ancillary facilities impacts so far.

Table 2-26：Temporal Land Use Impacts of Pengyang Subproject (original plan)

No. Land category Unit Quantity Current purposes Living quarter, mixing station and precast 1 mu 30 Unused land yard 2 Borrow area mu 45.4 Unused land 3 Spoil ground mu 86.5 Unused land Total mu 161.9

Table 2-27： Ground Ancillary Facilities Affected by Pengyang Subproject (original plan)

Item Unit Quantity Brick wall m 227 Motor-pumped wall single 2 Cowshed ㎡ 45 Water cellar single 5 Poplar(DBH >10cm) single 11,324 Poplar(DBH <10cm) single 586 Pine(DBH >10cm) single 107 Pine(DBH <10cm) single 1,248 Fruit tree(DBH <10cm) single 88 Cypress(DBH <10cm) single 20 Peach tree((DBH <10cm) single 30

2.6.2 Compensation Rates and Resettlement Measures

(i) Compensation rates of LA and HD

95. According to the Notice of Releasing the Compensation Standard for Land Acquisition in Ningxia Hui Autonomous Region by the People’s Government (Ning Zheng Fa [2015] No.101) (see the attachments) issued on January 1, 2016, the project is implemented in Chengyang Town and Mengyuan Town in Pengyang County, subordinated to Area II and Area IV respectively in Pengyang County of Guyuan City according to (NingZhengFa [2015] No.101) document. The compensation standard for Farmland and Residential land is CNY 11,200/mu. Wugou County has executed according to such compensation standards.

96. The acquisition of unused land is executed by the 20% of that of dry farmland of the same area; the compensation standard for unused land is CNY 2240/mu.

97. According to the compensation policy for the same crop by the average annual output value in the first three years for the common crops (inclusive of manual seeding), the compensation standard for young crops is CNY 600 /mu:

Table 2-28：LA and HD Compensation Standards of Pengyang Subproject

LA Farmland/ Residential land Unused land Young crops Pengyang 11,200 yuan/mu 2,240 yuan/mu 600 yuan/mu relocation transition Makeshift HD Brick-concrete Brick-timber Earth-wood subsidy(one subsidy（6 house time) months） 100 300 Pengyang 600 Yuan/M2 410 yuan/M2 310 yuan/M2 1,000 yuan/HH yuan/M2 yuan/month.HH

(ii) Compensation rate for temporary land occupation

2 6 98. According to t please refer to the notice of Compensation Standard for Land Acquisition and Demolishing & Resettlement of Additional Construction of Second Line of Ningxia Section, Baotou-Lanzhou Railway (Ningzhengbanfa [2010] No. 43), the compensation standard is determined as CNY 600 per mu. It will be for a maximum of 2 years and the land will be restored to its pre-occupation standards prior to its redistribution to the owners.

(iii) Resettlement and livelihood rehabilitation

99. To minimize the resettlement impacts to APs and restore their living standards, a rehabilitation plan has been developed and included in this RP. The comprehensive compensation package that will be used by the affected peoples, which includes expanding cash crop plantation, improving existing low yield cash crops and land rental to expand agricultural plantation, will help offset the losses incurred due to the land acquisition impacts. Additionally, arranged jobs, waged non-farming jobs, off-farming business, and special measures for vulnerable groups have been put in place.

100. For physically displaced households (i.e., house demolition), following options are available for them to choose according to their own desire in order to restore their living condition. In both cases, cash compensation for Residential land, house structures and attachments based on replacement costs as well as transfer allowances will be provided. The major options include:

1) Cash compensation and self-relocation by displaced household. The compensation standard will be determined in accordance with replacement cost proposed in the resettlement plan. 2) Allocated resettlement and subsidy policy: The villagers committees select and allocate appropriate Residential land to the affected households, and the allocated area shall be not less than the former area. And the villagers committees have promised that they will arrange Residential lands within their village to relocate the APs and the resettlement place will be determined before the project is constructed. 3) Policy on resettlement on site: As over 2 mu of residential land per household is affected by the project, the AHs can rebuild a house within the scope of their residential land after demolition of buildings. The compensation covers compensation for residential land, compensation for housing.

2.6.3 Progress of Project and Resettlement Implementation

(i) Subproject implementation progress

101. Chunshucha (Mengyuan) -Yangping (Chengyang) Road: this subproject does not start construction, and the LAR is not yet commenced so far. The permit note of construction land utilization has been obtained already, and the final design was approved on 30 March 2018. It’s reported by Pengyang PMO that the road involves the occupation of some basic farmland after final design completed, so the approval of land acquisition has not been approved by relevant department.

Figure 2-10：Permit of construction land utilization for Chunshucha (Mengyuan) -Yangping

2 7 (Chengyang) Road

(ii) Resettlement Implementation Progress

102. This subproject’s RP hasn’t updated on basis of final design and DMS, yet LAR does not start. The Pengyang PMO committed that the LAR activities will be implemented in compliance with the updated RP to be approved by ADB.

2.6.4 Main Findings during External M&E 103. i Pengyang subproject has not started construction and LAR yet, as it is still in the phase of final design and tendering preparation stage so far.

104. ii The draft RP has not been updated on basis of final design and DMS.

105. iii The responsibilities of LAR implementing agencies and staff should be appointed clearly, and their capacities on LAR affairs should be further strengthened through training and other manners planned in original RP.

2.7 Resettlement M&E of Subproject in Jingyuan County, Guyuan Municipality

2.7.1 Resettlement Impacts in Original RP

(i) Land Acquisition

106. The subproject will permanently acquire 394.52 mu rural collective land of the above-mentioned areas, including Farmland of 160.01 mu (40.6%), Residential land of 24.31 mu (6.2%), and Forest land of 210.2 mu (53.3%).

107. As the LA of this subproject does not start implementation, there is no changes on LA impacts so far.

Table 2-29： Permanent Acquisition of Collective Land of Jingyuan Subproject (original plan)

Village Permanent land acquisition (mu) Affected Affected Road Town committee/ Forest Residential Farmland Subtotal HH person community land land Huanghua Shatang 12.97 30.46 0 43.43 11 38 Shatang (Huanghua Town Tuyao 0 91.56 1 92.56 2 9 Town)–Gaodian Trunk Liupanshan Road Nonglin 0 44.18 0 44.18 0 0 Town Subtotal 2 3 12.97 166.2 1 180.17 13 47 Pangdong 22.15 9 9.55 40.7 25 104 Dongxia-Digou Jingheyuan Dongxia 64.92 15 5.43 85.35 33 110 Feeder Road Town Shidi 31.86 10 5.75 47.61 15 46 Digou 28.11 10 2.58 40.69 26 78 Subtotal 1 4 147.04 44 23.31 214.35 99 385 Total 3 7 160.01 210.2 24.31 394.52 112 432 Proportion 37.04% 48.66% 5.63% \ \ \

(ii) House Demolition (HD)

108. The residential houses involved in the demolition are rural houses of 2,169㎡, are brick-wood houses of 624㎡ and earth-wood houses of 1,545㎡. A total of 38 households with 134 people are affected in total.

109. As the HD of this subproject does not start implementation, there is no changes on HD 2 8 impacts so far.

Table 2-30：Impacts of Rural Residential House Demolition of Jingyuan Subproject (original plan)

Housing demolition (㎡) Affected population Road Town Village Population Brick-wood Earth-wood Subtotal Household (person) Shatang (Huanghua Huanghua Town)–Gaodian Tuyao 144 0 144 2 9 Town Road Pangdong 400 520 920 9 34 Jingheyua Dongxia 0 485 485 11 39 Dongxia-Digou road n Town Shidi 0 400 400 11 34 Digou 80 140 220 5 18 Total 624 1,545 2,169 38 134

(iii) Affected Infrastructure and Ground Ancillary Facilities

110. The subproject will affect toilets, tombs, trees and other two categories. The temporary land use in project design scheme is 17 mu, and the land of temporary occupation all belongs to unused land.

111. As this subproject does not start implementation, there is no changes on ground ancillary facilities impacts so far.

Table 2-31： Ground Ancillary Facilities to be Affected (original plan)

Item Unit Quantity Brick wall m 321 Toilet single 2 Pine(DBH <15cm) Single 2,164 Locust tree(DBH <15cm) Single 6,098 Poplar(DBH >15cm) Single 668 Weed tree(DBH >15cm) Single 145 Weed tree(DBH <15cm) Single 815 Fruit tree(Full Fruit Period) Single 15 Nursery mu 20.71 Electric pole Unit 47

(iv) Affected Persons (APs)

112. A total of 112 households with 432 people are affected, including 74 households with 298 people affected by land acquisition only and 38 households with 134 people affected by land acquisition and house demolition, of which, only 4 HHs with 14 person will be demolished completely and need to be relocated, and the remaining will be affected partially. Therefore, 4 households with 14 persons to be affected by HD are regarded as severely affected. No enterprise, store or public institution is affected by the land acquisition and demolition.

113. As of 31st December 2018, the subproject in Jingyuan County has obtained the approval of land utilization pre-examination, however the draft RP is not yet updated. So there is no changes of LAR impacts so far.

Table 2-32：Affected Population of Jingyuan Subproject (original plan)

Jingyuan County Huanghua Town Jingheyuan Town Subtotal No. Category (Trunk Road) (Feeder Road) Household Person Household Person Household Person Affected household 13 47 99 385 112 432

2 9 Jingyuan County Huanghua Town Jingheyuan Town Subtotal No. Category (Trunk Road) (Feeder Road) Household Person Household Person Household Person Land 1 11 38 63 260 74 298 acquisition only Land acquisition and 2 2 9 36 125 38 134 Demolition impact

2.7.2 Compensation Rates and Resettlement Measures

(i) Compensation rates of LA and HD

114. According to the Notice of Releasing the Compensation Standard for Land Acquisition in Ningxia Hui Autonomous Region by the People’s Government (Ning Zheng Fa [2015] No.101) (see the attachments) issued on January 1, 2016, the project is being implemented in Area V in Jingyuan County, Guyuan City, where the compensation standard for mountainous dryland and Residential land is CNY 5,670 /mu.

115. The acquisition of Forest land is executed by the 70% of that of dryland and Farmland of the same area, the compensation standard for Forest land of the RP is CNY 3,969 /mu.

116. According to the compensation policy for the same crop by the average annual output value in the first three years for the common crops (inclusive of manual seeding), the compensation standard for young crops is CNY 600 /mu.

Table 2-33：LA and HD Compensation Standards of Jingyuan Subproject (original plan)

LA mountainous dryland / Residential land Forest land Young crops Jingyuan 5,670 Yuan/mu 3,969 Yuan/mu 600 Yuan/mu relocation transition Brick and Makeshift HD brick-concrete Brick-timber Earth-timber subsidy(one subsidy（6 earth-timber house time) months） 100 1,000 300 Jingyuan 1,000 yuan/M2 600 Yuan/M2 410 yuan/M2 310 yuan/M2 yuan/M2 yuan/HH yuan/month.HH

(ii) Compensation for Temporary Land Occupation

117. The compensation standard for temporary land occupation is determined as CNY 600 per mu per year. It will be for a maximum of 2 years and the land will be restored to its pre-occupation standards prior to its redistribution to the owners.

(iii) Resettlement and livelihood rehabilitation

118. To minimize the resettlement impacts to APs and restore their living standards, a rehabilitation plan has been developed and included in this RP. The comprehensive compensation package that will be used by the affected households, which includes expanding cash crop plantation, improving existing low yield cash crops and land rental to expand agricultural plantation, can offset the losses incurred due to the land acquisition impacts. Additionally, arranged jobs, waged non-farming jobs, off-farming business, and special measures for vulnerable groups have been put in place.

119. For physically displaced households (i.e., house demolition), two options are available for them to choose according to their own desire in order to restore their living condition. In both cases, cash compensation for Residential land, house structures and attachments based on replacement costs as well as transfer allowances will be provided. The major options include:

1) Cash compensation and self-relocation by displaced household. The compensation 3 0 standard will be determined in accordance with replacement cost proposed in the resettlement plan. 2) Allocated resettlement and subsidy policy: The villagers committees select and allocate appropriate Residential land to the affected households, and the allocated area shall be not less than the former area. And the villagers committees have promised that they will arrange Residential lands within their village to relocate the APs and the resettlement place will be determined before the project is constructed.

2.7.3 Progress of Project and Resettlement Implementation

(i) Subproject implementation progress

120. Shatang (Huanghua Town)–Gaodian Road: this subproject does not start construction, and the LAR is not yet commenced so far. The permit note of site selection has been obtained already. Its preliminary design was approved on 27 December 2017, and final design was approved on 10 July 2019. The application and approval of land acquisition is still ongoing.

Figure 2-11：Permit of site selection of Shatang (Huanghua Town)–Gaodian Road

(ii) Resettlement Implementation Progress

121. This subproject’s RP hasn’t updated on basis of final design and DMS, yet LAR does not start. The Jingyuan PMO committed that the LAR activities will be implemented in compliance with the updated RP to be approved by ADB.

2.7.4 Main Findings during External M&E 122. i Jingyuan subproject has not started its construction and LAR, as it is still in the phase of tendering preparation stage so far.

123. ii The draft RP has not been updated on basis of final design and DMS.

124. iii The responsibilities of LAR implementing agencies and staff should be appointed clearly, and their capacities on LAR affairs should be further strengthened through training and other manners planned in original RP.

2.8 Resettlement M&E of Subproject in Longde County, Guyuan Municipality

2.8.1 Resettlement Impacts in Original RP 125. The feeder road subproject is a reconstruction and expansion project based on the former “Zhangtian-Jinglin-Yangchuan Road”. When the old road was constructed, road expansion had

3 been taken into account. And the old road covers an area of 320mu, so land required by the project is within the scope of old road, and no new land will be acquired. Based on the field situation, there are a few ground attachments and special facilities, such as trees in affected villages, poles of electric power department, wires, etc., which must be removed when construction is started. In addition, there is no AP in the project area.

Table 2-34： Ground Attachments Affected by Longde Subproject (original plan)

Item Unit Quantity All Tree(DBH＜ Each 800 Owned by village collective of Zhangtian Village, Liangbao Village and 15cm) Jinglin Village Electric pole Each 25 Electric power sector Cable m 250 Electric power sector

2.8.2 Compensation Rates and Resettlement Measures 126. The compensation standard for ground attachments, water, electricity and other special facilities should be based on the “replacement cost” in accordance with the ADB policies, relevant national provisions, as well as the Notice of the People’s Government of Ningxia Hui Autonomous Region on Issuing Compensation Standard for Land Acquisition, Demolition, and Resettlement of the Second Line Rebuilding Project for Baotou-Lanzhou Railway in Ningxia (Ning Zheng Ban Fa [2010] No.43). The compensation will be paid to the affected villages and units respectively.

Table 2-35：Compensation Standard for Ground Attachments and Infrastructure of Longde Subproject (original plan)

Item Unit Compensation standard Tree (DBH <15cm) Each 25 Electric pole Each 1,000 Cable M 25

2.8.3 Progress of Project and Resettlement Implementation

(i) Subproject implementation progress

127. It was reported by Longde PMO that this feeder road started its construction in March 2017 and completed in December 2017, the acceptance inspection of civil works were completed in March 2018.

(ii) Restoration Progress of Affected Ground Attachments

128. It was reported by Longde PMO that the affected ground attachments had been relocated during construction period by responsible local government departments and/or public corporations, e.g. forest bureau, power Supply Company, without needs for special compensation from PMO.

2.8.4 Main Findings during External M&E 129. i Longde subproject has completed its construction by the end of 2017.

130. ii The feeder road in Longde County only involve some affected ground attachments, which had been relocated during construction period by responsible local government departments and/or public corporations, e.g. forest bureau and power supply company, without needs for special compensation from PMO. There is no remaining issues in Longde County, so the EMA will not follow up this subproject in next monitoring reports, except the resettlement completion report.

3 2 3 M&E of Resettlement Funds Disbursement

3.1 Resettlement Budget and Resources

3.1.1 Tongxin County, Wuzhong Municipality 131. Based on the price in 2016, the resettlement costs covered by the RP were CNY 15,702,900, including basic costs of CNY 8,713,900. Seeing from the influence category, permanent collective land acquisition costs are CNY 4,902,100, housing demolition costs are CNY 2,343,900, compensation fees for ground attachments are CNY 477,300, and compensation fees for temporal land occupation are CNY 990,600.Other fees includes RP formulating fee and monitoring fee of CNY 150,000, supporting fund for vulnerable groups of CNY 180,000, land acquisition fee of CNY 5,131,400, technical training fee of CNY 100,000, and contingencies of CNY 1,427,600.

132. The source of resettlement funds is local financial supporting funds and domestic loans.

133. Due to this subprojects not started construction and LAR, no resettlement funds have been paid or disbursed.

3.1.2 Haiyuan County, Zhongwei Municipality 134. Based on the price in 2016, the estimated resettlement costs covered by the RP were CNY5,798,043, including basic costs of CNY 2,467,442 . Seeing from the category, permanent collective land acquisition costs are CNY 2,277,406 ,housing demolition and relocation costs are CNY 80,000, compensation fees for ground attachments are CNY 23,036,and compensation fees special facilities are CNY 87,000.Other fees includes RP formulating fee, implementation & management fee, land acquisition fee, technical training fee, external monitoring evaluation fee and contingencies.

135. The source of resettlement funds is Haiyuan County supporting funds and domestic loans.

136. Due to this subprojects not started construction and LAR, no resettlement funds have been paid or disbursed.

3.1.3 Yuanzhou District, Guyuan Municipality 137. The fees incurred during the land acquisition and relocation and resettlement shall be listed in the total budget of the project. Based on the price in 2016, the total relocation and resettlement costs were CNY 12,107,945, including basic costs of CNY 5,038,936. Seeing from the influence category, permanent collective land acquisition costs are CNY 4,284,716, housing demolition costs are CNY 406,800, compensation fees for ground attachments are CNY 113,420. Other fees includes RP formulating fee, implementation & management fee, land acquisition fee, technical training fee, external monitoring evaluation fee and contingencies.

138. The source of resettlement funds is local financial supporting funds and domestic loans.

139. Due to this subprojects not started construction and LAR, no resettlement funds have been paid or disbursed.

3.1.4 Xiji County, Guyuan Municipality 140. Based on the prices in 2016, the estimated resettlement costs covered by this RP are CNY 49.063 million, including basic costs of CNY 26.522 million. Seen from the category, permanent collective land acquisition costs are CNY 24.863 million, housing demolition and relocation costs are CNY 0.323 million, compensation fees for ground attachments are CNY 1.222 million, and compensation fees for special facilities are CNY 114,000.

3 3 141. Other fees include RP formulating fee, implementation & management fee, land acquisition fee, technical training fee, external monitoring evaluation fee and contingencies.

142. The source of resettlement funds is local financial supporting funds and domestic loans.

143. Due to this subprojects not started construction and LAR, no resettlement funds have been paid or disbursed.

3.1.5 Pengyang County, Guyuan Municipality 144. Based on the price in 2016, the estimated resettlement costs covered by this RP are CNY 8.642 million, including basic costs of CNY 5.049 million. Seeing from the influence category, permanent collective land acquisition costs are CNY 3.14 million, housing demolition costs are CNY 549,000, compensation fees for ground attachments are CNY 954,000, and compensation fees for special facilities are CNY 309,000.

145. Other fees includes RP formulating fee, implementation & management fee, land acquisition fee, technical training fee, external monitoring evaluation fee and contingencies.

146. The source of resettlement funds is Pengyang County financial supporting funds and domestic loans.

147. Due to this subprojects not started construction and LAR, no resettlement funds have been paid or disbursed.

3.1.6 Jingyuan County, Guyuan Municipality 148. Based on the prices in 2016, the estimated resettlement costs covered by this RP are CNY 7,265,072, including basic costs of CNY 3,521,916. Seeing from the category, permanent collective land acquisition costs are CNY 1,975,384, housing demolition and relocation costs are CNY 959,750, compensation fees for ground attachments are CNY 403,682, and compensation fees for special facilities are CNY 172,900.

149. Other fees include RP formulating fee, implementation & management fee, land acquisition fee, technical training fee, external monitoring evaluation fee and contingencies

150. The source of resettlement funds is Jingyuan County financial supporting funds and domestic loans.

151. Due to this subprojects not started construction and LAR, no resettlement funds have been paid or disbursed.

3.1.7 Longde County, Guyuan Municipality 152. Due to no expenses of land acquisition and resettlement, there are only compensation expenses for ground attachments and special facilities, RP formulating fee, implementation & management fee, land acquisition fee, technical training fee, external monitoring evaluation fee and contingencies, totaling CNY 77,376, including basic relocation fee of CNY 61,250, compensation fee for special facilities of CNY 10,000, and RP formulating and monitoring fee of CNY 10,000.

153. The source of resettlement funds is Longde County financial supporting funds and domestic loans.

154. As reported by Longde PMO, the feeder road in Longde County only involve some affected ground attachments, which had been relocated during construction period by

3 4 responsible local government departments and/or public corporations, e.g. forest bureau and power supply company, without needs for special compensation from PMO. There is no remaining issues in Longde County, so the EMA will not follow up this subproject in next monitoring reports, except the resettlement completion report.

3.2 Disbursement Procedures 155. Land compensation fees and resettlement subsidies should be used in full consultation with the APs; young crop fees are paid directly to the affected persons; compensation fees for infrastructure and attachments are paid to the affected entities or individuals.

156. To ensure that the resettlement funds are available both timely and completely, and the APs’ production, livelihoods and income are restored, the following measures will be taken:

(i) All costs related to this RP shall be included in the total budget of the project. (ii) Land compensation fees and resettlement subsidies shall be fully paid up before land acquisition, so as to ensure that all affected people are properly resettled. (iii) For AH who choose cash compensation, 50% of compensation fees for HD shall be paid to the APs upon execution of the HD compensation agreement, and the balance shall be paid when house is handed over for demolition.. (iv) To ensure the smooth implementation of land acquisition, relocation and resettlement, the finance and supervision institutions at all levels will be established to ensure that all funds will be paid both timely and completely. (v) The resettlement costs may be increased due to the increase of the compensation standards and price inflation, but the Haiyuan County Government will ensure that compensation fees are fully paid.

3.3 Readiness of Resettlement Funds 157. Due to all the 7 rural trunk roads and 1 rural feeder road in Jingyuan County have not started construction and LAR so far, the subproject counties/districts are still raising the resettlement funds. The feeder road in Longde County did not need to provide special compensation from PMO, as some affected ground attachments had been relocated during construction period by responsible local government departments and/or public corporations, e.g. forest bureau and power Supply Company.

3.4 Disbursement Status of Resettlement Funds 158. Due to the all the 7 rural trunk roads and 1 rural feeder road in Jingyuan County have not started construction and LAR so far, no resettlement funds have been paid or disbursed.

3 5 4 M&E of Capacity Building of Implementing Agencies and Staff

4.1 Establishment of Implementing Agencies 159. In order to organize and lead the project preparation and construction, the Transportation Department of Ningxia Hui Autonomous Region approved the establishment leadership Group and the Project Management Office of the Ningxia Autonomous region Project on October 16, 2017, which is set as the decision-making and administrative organ of the project. The project leadership group, led by the Deputy Director of the Transportation Department of Ningxia Autonomous region, is the decision-making institution of the project who is responsible for the overall deployment of the project and solving major problems, in which there are divisions of Comprehensive Planning and the division of Road Management. The ADB Project Management Office, as the daily and coordinating office of the Project leadership Group, is responsible for applying for the ADB loan and coordinating the preparation and implementation of RPs, and supervising and evaluating the implementation of RPs, including the disbursement of land acquisition compensation and resettlement funds.

160. The county-level transportation bureaus of project counties have also set up leading groups and project management offices to manage, coordinate, supervise, make decisions, ensure project quality, prepare annual plans, supervise the implementation of subprojects in the later stages, and report regularly to the PMO of Transportation Department of Ningxia Autonomous region. Each county PMO is responsible for coordinating the project resettlement works in its administration region, including organizing the daily resettlement works, formulating local policies for resettlement activities, and coordinating with resettlement implementing agencies at all levels. During project preparation and implementation, county PMOs will coordinate with relevant local government departments, and conduct consultations and make decisions on main issues in the process of construction and resettlement implementation. The local township governments shall be responsible for the implementation of the specific resettlement tasks in its administration scope. The agencies involved in land acquisition and resettlement of the project also include the local land bureaus at municipal, district/county levels, land and resources offices and finance and economics offices of local towns/townships, and so on. At the same time, the villages affected by the project are staffed with 1-2 key leaders to assist with resettlement implementation.

161. The agencies responsible for the LA and the HD in the Project are:

• Leading Group for Poverty Relief Road Project with ADB Loan of Transportation Department of Ningxia Hui Autonomous Region • Project Management Office for Poverty Relief Road with ADB Loan of Transportation Department of Ningxia Hui Autonomous Region • County Transport Bureau (implementing agency which also has a PMO) • County Project Resettlement Office of Poverty Relief Project with ADB Loan • Project town/township governments • Village committees • Project design institute • External monitoring and evaluation agency • Other departments: Land Resources Bureau (LRB), Demolition and Relocation Office, Women’s Federation, Labor and Social Security Bureau.

162. The Organizational Chart is show in Figure 5-1.

3 6 Ningxia Transportation Department Project Leading Group with ADB loan

Project Management office with ADB Loan of Ningxia Transportation Department

County Transportation Bureau

Internal

monitoring Project County Project Resettlement Office design

Town/township Govt. External monitoring

Village/ Community committees

Affected people

AH by HD AH by LA Infrastructure

Figure 4-1 Project Relocation Organizations

4.2 Staffing 163. The organization and coordination of the project leading groups which composed of leaders at all levels is the guarantee of the smooth implementation of resettlement. A strong organization structure ensures the smooth implementation of the specific works of RP implementation. According to the intensity of land acquisition and resettlement activities, resettlement implementing agencies at all levels are adequately staffed, as detailed in Table 5-1. Meanwhile, each resettlement implementing agency has a fixed office space and relevant office equipment.

Table 4-1：Staff of Project and Resettlement Management and Implementing Agencies

No. Project Sites Name of Agencies Staff Contact Number Transportation Foreign Loan Office of the Department Mr. Wang Hui 0951-5069402 Department of of Finance 1 Ningxia Hui Mr. Shi Yuan 0951-6076753 Autonomous PMO Ms. Zhong 0951-6076583 Region Xiaochun 2 Tendering Agent CICC bidding agency company Mr. Ma Di 13995280730 Mr. Yang Yuanzhou Transportation Bureau 18995419151 3 Pengcheng District Finance Bureau Mr. Wang Tao 13995049866 4 Xiji County Transportation Bureau Mr. Dou Xinwei 13909543033

3 7 Finance Bureau Mr. Xue Dinglin 18995433758 Mr. Mian Transportation Bureau 13895284678 5 Tongxin County Yanhua Finance Bureau Mr. Yang Ning 15509635999 Transportation Bureau Mr. Tian Yanhu 18909550977 6 Haiyuan County Mr. Tian Finance Bureau 15729552348 Fengbao Transportation Bureau Mr. Zhang Hua 13995449215 7 Pengyang County Mr. Ren Finance Bureau 13995047926 Wannian Jingyuan Transportation Bureau Mr. Wu Xiaoping 13995345808 8 County Finance Bureau Mr. Yu Jiandong 13709549845 9 Longde County Finance Bureau Mr. Zhang Jun 18995446299 Guanting – Yuanzhou Road Ms. Yu Xin 13995484535 Mr. Lin Wanzhang-Sanying Road 13995370998 Haicheng Mr. Deng Jiangtai-Xitan-Pingfeng Raod 13909508208 Shuliang 10 Design Institues Wangtuan – Yuwang Road Mr. Liu Xing 13519595663 Zhengqi-Jiucai-Sikouzi Raod Mr. Si Xu 15909505531 Mengyuan Chunshucha-Yangcheng Mr. Gen Enchao 18609588688 Yangping Raod Shatfang, Huanghua –Gaodian Raod Mr. Li Weiqun 13995078255

4.3 Training of Resettlement Management and Implementation 164. During this monitoring period, a training on resettlement management and implementation was provided by external monitor to the key staff of county/district PMOs on 29 August 2018, during the annual review mission of ADB. The main contents of this training include: loan Covenants for Resettlement Implementation; key Institutions and Responsibilities for RP implementation; DMS and Record; RP updating; Negotiation and Signing of the Agreements; Approval of land acquisition; Construction of Resettlement Sites and Facilities; Allocation of Rural Homestead and Approval; Construction of Rural Houses; Delivery and Utilization of Compensation; Financing of Resettlement Cost; Relocation and Resettlement; Implementation of Income Restoration Measures; Rehabilitation of the Community Public Facilities; Establishment of Grievance Appeal Channel; etc.

Figure 4-2 Resettlement Implementation and Management Training in August 2018

4.4 Evaluation of Implementing Agencies’ Capacity 165. The capacity evaluations of the resettlement management and implementing agencies are summarized as follows:

(i) The project management and resettlement implementing agencies have been designated as relevant local relevant government departments; their responsibilities and tasks of institutions at all levels have been basically clarified, and relevant staff have been trained in the project preparation phase. (ii) From project preparation to implementation, project management and resettlement 3 8 implementing agencies have gradually learned about and become familiar with the ADB's involuntary resettlement policies and procedures. (iii) The project management and resettlement implementing agencies have rich domestic capacity and experience in the implementation of land acquisition and resettlement affairs. However, it is necessary for them to be familiar with the relevant requirements of ADB project’s resettlement implementation and management through training, investigation and study, experience exchanges and so on. (iv) To date, the project implementation consulting firm has not yet been mobilized in place. The project still lacks of guidance and assistance from resettlement experts on RP updating and implementation. (v) Staff of project management and resettlement implementing agencies also need to further enhance the sharing and exchange of information and data related to projects and resettlement, and do a better job on documentation, data sharing and archiving. (vi) PMOs should keep the stability of resettlement implementing personnel, if personnel changes, the transfer of documents and materials must be done with a timely and proper manner.

3 9 5 Information Disclosure, Public Participation and GRM

5.1 Information Disclosure on Project and Resettlement 166. On 16 October, 2017, the ADB Financed Ningxia Liupanshan Poverty Reduction Rural Road Development Project has held a signing ceremony of lending agreement, marking the start of the project. The Transportation Department of Ningxia Hui Autonomous Region released the notice of project kick-off on 20 October, 2017 and then continuously disclosed information related to the project. In addition, the PMO of the Transportation Department of the Ningxia Hui Autonomous Region has led the planning and design institutes for many times to carry out field investigations in the project areas, publicize the basic information of the project, and to investigate and verify the indicators of the project's resettlement impacts, learn the social and economic situation of the affected population, and collect information on the attitudes and needs of the affected population, etc.

Figure 5-1： Project Commencement announcement released by the Transportation and Finance Departments of Ningxia Hui Autonomous region

Figure 5-2：Intention investigation of LAR on sites

167. In addition, the State Commission for Ethnic Affairs also posted the project information on its official website and stated that it would strongly support this project. Sina News, NetEase News, Ningxia Daily and other major mainstream media portals have carried out special reports on the project, which has received sustained attention and strong support from residents in the affected areas.

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Figure 5-3：Special report on the project on the official website of the State Commission for Ethnic Affairs

Figure 5-4：Special reports on the project by Ningxia Daily, Sina News and NetEase News

168. At the same time, the resettlement information of the Project has been disclosed during project preparation and implementation phases. The draft RPs had been disclosed to affected communities and peoples after they were approved by ADB.

5.2 Public Participation during Implementation Stage 169. So far, land acquisition and resettlement activities have not started, and the RPs have not been updated. In the subsequent detailed measurement survey (DMS), updating of resettlement plans, and land compensation and resettlement activities, affected population will widely participate in RP implementation and play an important role. The EMA will continue to monitor the public participation of APs during the implementation phase.

4 5.3 Status of GRM 170. To ensure rehabilitation and improvement of the affected persons’ production, livelihood and living conditions, the provincial and county PMO closely consulted with the affected persons to reduce complaints. A mechanism was set up to provide APs with opportunities to complain and to solve problems during implementation.

171. There are clear guidelines in the appeals process, the principles of appeals, the contents and manners to response potential complaints, etc., in order to ensure the GRM operate smoothly.

172. During implementation of the RPs, the resettlement implementation units shall properly address and record complaints and appeals received, and report them to the Ningxia PMO in written form timely.

173. As currently land acquisition and resettlement activities has not yet started, no complaints and appeals are received from affected persons during this monitoring period.

4 2 6 Main Findings and Recommendations

6.1 Main Findings 174. (i) Updating of RPs: as of 31 December 2018, the project has not carried out detailed measurement surveys (DMSs) of LAR impacts, nor have the original RPs been updated accordingly.

175. (ii) Project and resettlement implementation progress: as of 31 December 2018, all the 7 trunk roads and 1 feeder road in Jingyuan are still in the preparatory stage of design and bidding, and have not yet started the construction of civil works. Land acquisition and resettlement activities have not been carried out.

176. (iii) Project implementing institutions and capacity-building: the responsibilities and tasks of relevant institutions at all levels are clear, however the personnel and working facilities are not fully equipped, and the preparatory and management works for the project need to be strengthened. The staff need to be trained continuously with relevant policies and procedures of resettlement implementation.

177. (iv) Project implementation consulting firm: in September 2018, HJI team was recruited by Ningxia PMO as the project implementation consulting (PIC) firm. PIC resettlement expert should be mobilized as early as possible to guide and assist the resettlement implementation and management of the project.

178. (v) Grievance Redress Mechanism: the channels for complaints and appeals are open and smooth, and no complaints have been received to date.

6.2 Recommendations 179. (i) District/county PMOs should, on the basis of preliminary design, appoint professional institution or resettlement specialists to carry out detailed measurement survey (DMS) of the LAR impacts of their subproject, and update the original RPs in a timely manner. The updated RPs should be submitted to ADB for review and approval as early as possible.

180. (ii) The resettlement specialist of PIC team should be mobilized in the fields in a timely manner, conduct relevant trainings for the staff of project management and resettlement implementation agencies at all levels, and provide close technical guidance and assistance on RP updating and implementing.

181. (iii) According to the overall schedule, the progress of project preparation should be speeded up. PMOs need to push forward the project and resettlement implementation works, to ensure the project can be implemented and completed as scheduled.

182. (iv) The district/county PMOs should raise the counterpart funds in time and ensure that land acquisition and resettlement expenses can be paid to affected rural collectives and households in full and on time.

183. (v) The district/county PMOs need to coordinate with relevant government departments as soon as possible to handle the land acquisition approval, land acquisition announcements and other relevant procedures, according to the relevant laws, regulations and policies of PRC. And PMOs need to organize and implement land acquisition, house demolition and compensation and resettlement activities strictly following the updated RPs approved by the ADB.

184. (vi) PMOs need to carry out trainings for the staff of both the project implementing agencies and resettlement implementing agencies, in order to strengthen the institutional and

4 3 personnel capacity for project and resettlement implementation, and improve internal monitoring and reporting system.

185. (vii) PMOs need to strengthen the file management during the resettlement implementation to ensure the timely collection, sorting and archiving of relevant information, such as LAR impacts, compensation and resettlement records, etc.

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