Ethnic Minority Development Plan PRC: Xinjiang Tacheng Border

Ethnic Minority Development Plan

January 2015

PRC: Xinjiang Tacheng Border Cities and Counties Development Project

Prepared by the Xinjiang Tacheng Prefecture Government for the Asian Development Bank. CURRENCY EQUIVALENTS (As of 14 January 2015)

Currency unit – Yuan (CNY) CNY1.00 = $0.1614 $1.00 = CNY6.194

ABBREVIATIONS

3R – reduce, reuse and recycle ADB – Asian Development Bank ACWF – All China Women’s Federation CDPC – Center for Disease Prevention and Control CNY – Chinese Yuan DMF – design and monitoring framework EA – executing agency EM - ethnic minorities EMP – environmental management plan EMDP – ethnic minority development plan ERAB – Ethnic and Religious Affairs Bureau GAP – gender action plan GDP – gross domestic product HH – household IA – implementation agency IP – indigenous peoples IPP – indigenous peoples policy IPA – indirect project area IR – Involuntary resettlement LAR – land acquisition and resettlement MSW – municipal solid waste NMT – non-motorized traffic O&M – operation and maintenance PMO – project management office PPMS – project performance monitoring system PRC – People’s Republic of China PSA – poverty, gender, and social analysis RP – resettlement plan SDAP – social development action plan SPS – safeguard policy statement TPG – Tacheng Prefecture Government TPMO – Tacheng Project Management Office XUAR – Xinjiang Uygur Autonomous Region XUARG – Xinjiang Uygur Autonomous Region Government

NOTE In this report, "$" refers to US dollars

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

In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area. ADB-financed Xinjiang Tacheng Border Cities and Counties Development Project

ETHNIC MINORITY DEVELOPMENT PLAN

People’s Republic of China: Xinjiang Tacheng Border Cities and Counties Development Project

January 2015

Prepared by the Xinjiang Tacheng Prefecture Government, and the project management offices of Tacheng City, Emin County, Tuoli County and Yumin County for Asian Development Bank.

TABLE OF CONTENTS I. EXECUTIVE SUMMARY ...... 1 II. DESCRIPTION OF THE PROJECT ...... 1 III. LEGAL FRAMEWORK ...... 2 IV. SOCIAL ASSESSMENT OF ETHNIC MINORITIES ...... 3 V. SOCIOECONOMIC CHARACTERISTICS OF ETHNIC MINORITIES IN THE PROJECT AREA ...... 9 VI. PROJECT IMPACTS ...... 15 VII. EMPLOYMENT AND FUTURE PROSPECTS ...... 19 VIII. ACTION PLAN ...... 20 IX. INSTITUTIONAL ARRANGEMENTS AND CAPACITY DEVELOPMENT ...... 27 X. CONSULTATION, PARTICIPATION AND INFORMATION DISCLOSURE ...... 29 XI. DISCLOSURE OF THE EMDP ...... 31 XII. GRIEVANCE REDRESS MECHANISM ...... 32 XIII. MONITORING, REPORTING, AND EVALUATION ...... 33 XIV. BUDGET AND FINANCING ...... 35

LIST OF TABLES, FIGURES AND ANNEXES

TABLE 1: POPULATION AND ITS COMPOSITION IN THE PROJECT AREA AND TACHENG PREFECTURE IN 2012………………………………………………………………………………. 7 FIGURE 1: PROJECT MAP………………………………………………………………………………………… 7 TABLE 2: ETHNIC MINORITY POLICY FRAMEWORK IN THE PRC……………………………………….. 14 TABLE 3: POPULATION OF MAIN ETHNIC MINORITIES IN PROJECT AREA AND TACHENG PREFECTURE IN 2011 (PERSON)…………………………………………………………………16 TABLE 4: ETHNIC GROUP’S DISTRIBUTION………………………………………………………………… 21 TABLE 5: AVERAGE HOUSEHOLD POPULATION SIZES (PERSON)……………………………………..22 TABLE 6: % OF MALE AND FEMALE HOUSEHOLD MEMBERS…………………………………………… 23 TABLE 7. AGE COMPOSITION OF ETHNIC MINORITIES BY COUNTY SEAT………………………….. 23 TABLE 8: LANGUAGE USED AT HOME AND AT WORKPLACE OF ETHNIC MINORITY HOUSEHOLDS………………………………………………………………………………………. 24 TABLE 9: AVERAGE INCOMES OF SAMPLING HOUSEHOLDS IN PROJECT AREA………………….. 26 TABLE 10: HOME ASSETS OF SAMPLING HOUSEHOLDS IN PROJECT AREA………………………... 26 TABLE 11. GENDER ROLE DIVISION IN EMS HOUSEHOLD………………………………………………. 27 TABLE 12: ACTION PLAN……………………………………………………………………………………….. 34

ANNEX 1: TERMS OF REFERENCE FOR DAUR NATIONAL FOLK CUSTOM TOURISM SPECIALIST 49 ANNEX 2: TERMS OF REFERENCE FOR THE ETHNIC MINORITY DEVELOPMENT PLAN EXTERNAL MONITOR 51 ANNEX 3. HOUSEHOLD QUESTIONNAIRE SURVEY SAMPLING 53 ANNEX 4. SCOPE OF RESETTLEMENT AND DETAILS OF AFFECTED HOUSEHOLDS 55

I. EXECUTIVE SUMMARY

1. Introduction. This Ethnic Minority Development Plan (EMDP) has been prepared to ensure that ethnic minority people are able to benefit equally from the Xinjiang Tacheng Border Cities and Counties Development Project (the Project), and that any negative impacts that might affect them are either reduced or mitigated. Adequate provisions to enhance economic conditions of minority groups have either been integrated into the project design or specified separately in the EMDP. Special mitigation measures have also been included in the resettlement plans (RPs) to ensure that ethnic minorities affected by land acquisition and resettlement (LAR) will also benefit from the Project. The EMDP is based on relevant laws and regulations of the People’s Republic of China (PRC) as well as ADB’s Safeguard Policy Statement (SPS). The EMDP has been prepared as per ADB requirement.

2. Project Description. The Project is implemented by the Xinjiang Uygur Autonomous Region Government (XUARG) with support from the Asian Development Bank (ADB). The project will affect Tacheng City and the county seats of three counties of the Tacheng Prefecture: Emin, Tuoli, and Yumin. Project components will include (i) rehabilitation of Kalangguer river, (ii) district heating improvement, (iii) municipal solid waste management improvement, (iv) alley rehabilitation in Tacheng City, (v) urban roads and bridges; (vi) municipal services improvements in Tacheng City and counties of Emin, Tuoli, and Yumin; and (vii) capacity development and institutional strengthening during project implementation.

3. The Project will directly benefit a total of 256,751 people, including about 34,533 poor (13.5% of the total beneficiaries), 127,268 female residents (49.6% of the total beneficiaries) and 120,183 ethnic minority people (46.8% of the total beneficiaries). The project will contribute to poverty reduction by improving access for urban, rural, and peri-urban residents to municipal services such as transportation, water supply, sewerage, wastewater treatment, heating, and support direct and indirect employment opportunities with expanded tertiary industries and an enabling investment environment.

4. Legal and Policy Framework. This EMDP is in line with the People’s Republic of China’s laws and regulations and ADB’s Safeguard Policy Statement. The EMDP specifies mitigation and enhancement measures to comply with ADB’s SPS, Safeguard Requirement No. 3 on indigenous peoples.1

5. The EMDP is designed to ensure that project benefits are distributed equitably and that culturally appropriate measures are taken to (i) avoid or mitigate adverse impacts, and (ii) enhance benefits for ethnic minorities. The project will ensure that ethnic minorities are consulted in matters related to each subproject, and provided with opportunities to participate in decision making and/or implementation activities.

1 According to ADB SPS safeguard requirement 3, the term “indigenous peoples” includes ethnic minorities. In the PRC such plans are called Ethnic Minority Development Plans. Ethnic minority groups refer to those groups that are distinct from the mainstream ethnic group in the PRC- the Han. The PRC policy defines nationalities based on, inter alia, shared language, territory, economic base, and traditions/culture.

6. Socioeconomic Characteristics of Ethnic Minorities. In the project-affected city/counties, ethnic minority people represent between 40% and 75% of the total city/county population. The majority of ethnic people in these counties are Kazakh, who, in 2012, represented over 76% of the ethnic minority population in the project city/counties. The other main ethnic minority groups present in these counties are the Hui, the Uygur, the Mongolians, the Daur and the Russian. A number of other minority groups are also present, but in very small numbers.

7. Both urban and rural poverty incidences of all four project city/counties2 are higher than the average of Tacheng Prefecture. No official figures are available on the ethnic composition of the poor urban population.

8. Project Benefits and Risks. The key immediate benefit of the project will be an improved quality of life, including improved physical well-being, for the town residents as a result of (i) improved river environment by eco-rehabilitation of the river, (ii) improved environmental sanitation due to better solid waste disposal, (iii) improved access to a safe and reliable source of water for domestic use, (iv) improved road network and traffic flow and safety, and (v) improved centralized heating and reduced air pollution from town heating facilities. The construction activities are anticipated to create close to 25,727 person-month jobs in the construction areas, which, together with the impacts of local procurement and associated multiplier effects in the labor market, will help reduce the incidence of unemployment in the area. Awareness building activities in road safety and environment will help to ensure the social benefits of infrastructure improvements. The long-term benefits of the project will be increased economic development, opening up of new areas for urban expansion enabling the counties to service a growing population, and encouraging new sectors such as tourism.

9. The potentially negative impacts will be (i) temporary impacts associated with construction such as dust, noise, disruption to movement, etc.; (ii) the need for resettlement and land acquisition; and (iii) increased risk of HIV/AIDS/STIs transmission from migrant laborers into the local population, should construction utilize external laborers.

10. Project Impacts on Ethnic Minority People. The poverty, gender and social analysis (PSA) concluded that ethnic minorities and the remainder of the population are integrated physically, socially and economically in the county seats and that ethnic minority people will benefit directly from all aspects of the improved urban infrastructure. The improved infrastructure will contribute to local economic development and be beneficial to ethnic minority people promoting new job opportunities and new access to basic services. No ethnic minority communities will be split as a result of relocation, and the project will not affect the customary rights of use or access to land and natural resources as a result of land acquisition. In Tacheng City, 66 ethnic minority households with 242 family members will be affected by land acquisition and resettlement, including 18 HHs affected by demolition, 40 HHs affected by land acquisition and 8 HHs affected by both demolition and land acquisition. In Emin County, 45 ethnic minority households with 186 family members will be affected, including 35 HHs affected by demolition and 10 HHs affected by land acquisition. In Tuoli County, 44 ethnic minority households with 182 family members will be affected by land acquisition. In Yumin County, 5 ethnic minority households with 25 family members will be affected by land acquisition. The project’s RPs

2 The urban and rural poverty incidences are 11.8% and 12.2% in Tacheng City, 16.0% and 14.0% in Emin, 13.7% and 8.9% in Tuoli, and 12.5% and 13.5% in Yumin.

3 include specific provisions for ethnic minorities and the environmental management plan (EMP), gender action plan (GAP), and social development action plan (SDAP) will address other negative impacts that affect the community as a whole.

11. Other project risks specific to ethnic minority people include (i) that their customs and beliefs might be inadvertently disrespected in the course of project implementation, (ii) a moderate risk of HIV/AIDS, and (iii) possible risk of lack of access to inclusive benefits and possible lack of participation, especially women. Some of these risks stem from the expected induced impacts of increases in economic and tourism development. To avoid, reduce or address these risks a number of mitigation or enhancement measures have been designed under the project. Risks such as exposure to HIV/AIDS are mitigated through provision of HIV/AIDS awareness training to construction workers and local communities in collaboration with the Center for Disease Prevention and Control.

12. Other key issues addressed in this EMDP include (i) ensuring that all measures taken to mitigate general risks, such as campaigns to increase awareness on road safety, and all temporary and permanent road signage are bilingual3; (ii) measures to ensure that the customs and beliefs of ethnic minority people are respected throughout the project implementation; and (iii) setting of targets and specific measures for the employment of ethnic minority people on construction sites.

13. Participation and Information Disclosure. At various stages, project beneficiaries, including ethnic minorities, have been consulted about the likely positive and negative impacts of the Project. The stakeholders consulted include (i) 486 households survey, (ii) 17 focus group discussions, and (iii) 30 interviews. The consultations took place between January and May 2014.

14. To facilitate the involvement of ethnic minority people in planning, decision making and participation throughout the entire project cycle, all information dissemination and consultative meetings outlined in the EMDP, EMP, SDAP, GAP, and RP, and any other meetings which may prove desirable in the course of project implementation, will be translated into Kazakh and disclosed to local communities.

15. Upon ADB approval, the EMDP will be uploaded to ADB website. Continued consultation, participation and monitoring will take place during implementation.

16. Grievance Redress Mechanism. Any complaints or grievances of ethnic minority people during the Project will be handled in accordance with the grievance redress procedure established in the RPs and/or EMPs, depending upon the type of issue. An appeal can progress through a number of stages if the appellant is not satisfied with the initial response. The RPs outline (i) details of these stages, (ii) the procedures for moving through the different stages, and (iii) the different agencies which will be responsible for handling an appeal at each stage. To ensure that any complaints on the EMDP, land acquisition, resettlement, compensation, or other issues are handled openly, fairly and timely, specific contacts have been appointed within each of the agencies which will be responsible for accepting appeals at different stages in the appeal process.

3 Mandarin and Kazakh, or Mandarin and Uygur depending upon the location.

17. Institutional Arrangements. The Tacheng Prefecture Government is the executing agency (EA) of the project. The Tacheng Prefecture PMO is responsible for supervision and management of the project implementation and reporting to ADB on behalf of the EA. The construction bureau of each project city/county are the implementing agencies (IAs) of the project and responsible for the implementation of the project components in their city/county, while the city/county PMO is responsible for supervision and management of implementation of the project components related to their city/county.

18. The Tacheng Prefecture PMO will require that the city/county PMOs be responsible for implementing the EMDP; each city/county PMO will be asked to assign a staff member to be responsible for the project social safeguards; this will include implementation of the resettlement plans, this EMDP, the SDAP, and the GAP. Where necessary, the social safeguards staff will be responsible for assigning particular responsibilities for implementation of certain actions prescribed in the EMDP. The social safeguards staff will also be responsible for planning and implementation of EMDP internal monitoring and coordination of an external monitoring. The community office staff will provide an important link between the ethnic minority and other residents, and the city/county PMO social safeguards staff. They will also assist with any project- related community meetings, facilitating, in particular, the participation of ethnic minority women. The loan implementation consultants will provide the training and support to local officers.

19. The social safeguards staff will also work closely with the implementing agencies (IAs) to ensure that contractors are aware of, and in compliance with, their responsibilities under the EMDP.

20. The Ethnic and Religious Affairs Bureaus in each of the city/counties will assist with those activities in the EMDP that require input regarding the local ethnic minority beliefs and customs. They will also provide support to coordinate, advice, and assist in monitoring the implementation progress.

21. The Center for Disease Prevention and Control in each county will work with the PMO safeguards staff to conduct HIV/AIDS/STIs awareness and prevention campaigns in Mandarin and local languages, both in the community, and among contracted workforces.

22. Monitoring, Evaluation and Reporting. The implementation of this EMDP will be monitored both internally and externally. The key objective is to ascertain the effectiveness of the EMDP planning (review and verification of EMDP impact assessment and action plan) and implementation (including implementation of action plan and consultation and grievance redress).

23. The city/county PMO social safeguards staff and the IAs will conduct an internal monitoring of the EMDP as part of the overall project monitoring process, according to the monitoring indicators included in the EMDP. They will prepare and submit semi-annual monitoring reports to Tacheng Prefecture PMO who will consolidate the reports and submit them to the Tacheng Prefecture Government, as the executing agency (EA), for forwarding to ADB. The reports, by subprojects, will review progress, newly emerged issues, and corrective actions where required.

24. Before project implementation, the Tacheng Prefecture PMO will contract an independent institute or nongovernment organization to conduct an external monitoring and evaluation. The external monitoring will be conducted twice a year. Objectives of the external

5 monitoring of the EMDP will include (i) ensuring that the EMDP is being properly implemented and the overall objectives of the EMDP are being met; (ii) collecting data and information to describe social and poverty impacts on ethnic minority people and their communities; (iii) ensuring that appropriate participatory approaches and quality communication have been adopted and that appropriate involvement of minority men and women in planning and implementation has undertaken, (iv) identifying complaints and/or ensuring that the grievance mechanism is effective, and (v) verification of the internal monitoring reports.

25. Budget and Financing. The actions to be implemented under the EMDP are either (i) be included as part of the project budget in the RP and EMP; (ii) represent expenses contractors incur as line items in their budgets; or (iii) be implemented by staff of government agencies such as the Ethnic and Religious Affairs Bureau, and hence covered by local government staffing and related costs. In addition, some budgets for specific actions such as producing HIV/AIDS/STI information, education, and communication materials in the Kazakh language are included in the Project budget. The estimated EMDP budget for a national customs tourism specialist, a social safeguard implementation consultant and EMDP external monitoring is about CNY 293,000.

II. DESCRIPTION OF THE PROJECT

2.1 The Xinjiang Uygur Autonomous Region

26. Xinjiang Uygur Autonomous Region (XUAR) is located in the northwestern China. XUAR is the largest province/autonomous region in the People’s Republic of China (PRC) with a total 2 area of 1.66 million km , which is about one sixth of the total area. The geographical location of XUAR defines that it is the gateway connecting the continents of Europe and Asia. A major transport corridor on the historic Silk Road, the XUAR shares borders with eight neighboring countries: Russia, Kazakhstan, Kyrgyzstan, Tajikistan, Mongolia, Afghanistan, and Pakistan. There are a total of 17 national and 12 provincial level border ports along Xinjiang border. The border trade is one of the important trading developments in XUAR.

27. The XUAR is a minority concentrated living area. About 60% of the total population is ethnic minorities. More than 30 different ethnic minority groups lives in the region. Uygur comprise 46% of the total population, Kazakh 7%, Hui 4.5%, Kyrgyz 0.9% and Mongolians 0.8%. These major ethnic groups have been involved in constant migration over the centuries. The population movements have caused religious and cultural intermingling, producing the region’s present unique culture.

28. Xinjiang is one of the less developed provinces/regions in the PRC. It is one of the poorest of the Western provinces. By 2013, the total gross domestic product (GDP) was CNY851.0 billion, ranked 25th; the average GDP per capita was CNY37,847, ranked 18th, and the average urban resident disposable income was CNY19,874, ranked 28th among 31 provinces/regions in the PRC. In comparison to the national averages (GDP/person = CNY41,805, disposable income = CNY26,955), they are well below the national averages.

29. At the same time, the XUAR has one of the highest population growth rates in the PRC. As a result, serious challenges are arising from unemployment and urbanization, inadequate urban infrastructures, and land degradation in rural areas compound the impact of its overall poverty on the local standard of living.

2.2 The Project Area

30. Tacheng Prefecture is located in the northwest of XUAR and consists of two (2) cities and five (5) counties4 with area of 104,547 km2 including Tacheng City, Emin County, Tuoli County and Yumin County defined as the direct project city/counties or project areas. There are five (5) counties (city)5 bordering Kazakhstan. A total of 0.4456 million of ethnic minority’s people representing 29 ethnic groups are living in Tacheng Prefecture, accounting for 45.8% of the total ethnic minority population in 2012. The project area, of Tacheng City, Emin County, Tuoli County and Yumin County accounts for 37.9% of the total area of Tacheng Prefecture. The population and its composition of the project area and Tacheng Prefecture in 2012 are presented in table below.

4 Including Tacheng City, Wusu City, Emin County, Tuoli County, Yumin County, Hoboksar County and Shawan County. 5 They are Tacheng City, Emin County, Tuoli County, Yumin County and Hoboksar County.

Table 1: Population and Its Composition in the Project Area and Tacheng Prefecture in 2012 Project Area Tacheng Item Unit Tacheng Emin Tuoli Yumin Prefecture City County County County Land Area km2 4,356.6 9,147 19,992 6,107 104,547 No. of Household HH 51,475 58,493 28,988 1,8829 324,776 Population person 153,179 163,759 97,855 54,081 968,416 Ethnic minority person 62,168 98,232 73,245 23,912 445,623 Male person 76,931 82,611 48,991 27,368 490,254 Female person 76,248 81,148 48,864 26,713 478,162 Non-rural person 91,006 78,161 38,354 24,728 477,722 Rural person 62,173 85,598 59,501 29,353 490,694 Source: Statistical Communiqué on 2013 National Economic and Social Development of Tacheng Prefecture； Leader’s Handbook of Tacheng Prefecture 2012.

Figure 1: Project Map

Kazakhstan

Kazakhstan Tacheng City Emin County

Yumin County Tuoli County

31. The Project will be implemented in Tacheng City, Emin County, Tuoli County and Yumin County, which population accounts for 48% of the total population of Tacheng Prefecture. They are all border counties. Among them, Tuoli is a key national poverty county and Yumin is one of poverty counties in the level of XUAR.

32. Tacheng City is the administration, cultural and business center for Tacheng Prefecture and it is the development center for border trade, agricultural production and tourism development. In Tacheng City, the GDP increased steadily over the past three years. In 2012,

8 the GDP reached 5.872 billion yuan and increased by 12.4%, and GDP per capita was 38,316 yuan. The lack of adequate urban infrastructures and municipal services cause negative impacts on the local economic development including less competitiveness to attract more investments and skilled people. The subproject will help to improve the living conditions in the urban area and improve the investment environment to increase the city’s competiveness.

33. Emin County is another development center in the prefecture with strong local economy based on agricultural production and tourism development. In Emin County, the GDP increased steadily by 15.8% over the past three years. In 2012, the GDP reached 4.774 billion yuan and increased by 14.7%, and GDP per capita was 28,938 yuan. The Emin subproject will rehabilitate a section of the existing urban road and build new urban roads in the new urban area. The subproject will improve the living and traffic conditions in the urban area and promote development of the new zone.

34. Tuoli County is the industrial development center in the prefecture with high growth rate in the last several years. The county is also an important production center for the border trade development for the industrial products of non-ferrous metals. In Tuoli County, the GDP increased steadily over the past three years. In 2012, the GDP reached 3.487 billion yuan and increased by 16.2%, and GDP per capita was 35,636 yuan. The Tuoli subproject will build a new outer ring road to accommodate the urban expansion needs. The subproject will help to improve the transport condition and traffic safety in the urban area.

35. Yumin Town is an urban-rural integrated center as well as the administration, business and production center of Yumin County. The county’s GDP increased steadily over the past three years. In 2012, the GDP reached 1.062 billion yuan and increased by 10.3%, and GDP per capita was 19,630 yuan. The Yumin subproject will build new urban roads to accommodate the urban expansion needs. The subproject will improve the traffic conditions and traffic safety in the urban area.

2.3 Project Overview

36. The Xinjiang Tacheng Border Cities and Counties Project (the Project) aims to help the border trade development and enhance the living conditions of urban residents of Tacheng City, and counties of Emin, Yumin and Tuoli. It is a multispectral and integrated urban upgrading project that will address urgent infrastructure needs. The four project city/counties are located in the remote border area with Kazakhstan in northwest Xinjiang.

37. Xinjiang connects Asia to Europe by land transport and it is an important gateway for Europe to reach Asia and the sea ports along the Asia coastal line for trade and economic development. This trade route has been developed over thousand years. It was called the "Silk Road" historically due to the trade between the PRC and Europe started with silk trading. According to the Xinjiang 12th Five Year Plan,6 strengthening the trade corridor development to connect Europe and Asia is one of the major focuses in the plan. Border trade is one of the important trade developments in Xinjiang.

6 XUAR Economic and Social Development 12th Five-Year Plan, January 2011.

38. Tacheng has five border ports with Kazakhstan including Baktu near Tacheng City. It is one of the two border trade routes connected to Europe in Xinjiang. In order to promote the border trade development, the central government has cooperated with the local government to build both expressway and railroad lines from Karamay to Tacheng, and also to upgrade the existing Baktu Port facilities. The border trade will increasingly play an important role in the local economic development. The proposed project will help the local municipalities improve the urban infrastructures and municipal services at Liaota new district and at Baktu Port to facilitate the trade development.

39. Tacheng City and the counties of Emin, Tuoli, and Yumin are medium to small cities and counties. The urban development in these cities and counties shall emphasize developing a people-centered integrated urban transport system consisting of motorized and non-motorized traffic (NMT) with the emphasis on developing pedestrian, bicycle and public transportation system. The project will promote the people-centered urban transport system to provide a more environmentally friendly and resident friendly urban transport system.

40. The existing municipal solid waste (MSW) management systems in the PRC are still relatively basic, focusing mainly on collection, transport and disposal. These practices have led to many types of secondary pollution, especially near the MSW collection stations. The key for MSW management is to reduce the final quantity for disposal, which will effectively reduce the demand for land resource uses, save money and protect the environment. The Project will bring in the 3Rs principles to develop the MSW component by: (i) developing and implementing a 2- bin system for MSW sorting and recycling; setting up a direct collection and transportation of waste in order to avoid secondary pollution; (iii) acquire a construction waste recycling machine to recycle the construction waste for construction uses; and (iv) provide capacity building to local governments in order to improve their solid waste management systems.

41. The proposed Project targets urgent needs in urban infrastructures and municipal services, urban environmental improvements, improves the urban living conditions and promotes the local economic and border trade activities. The proposed Project includes: (i) rehabilitation of Kalangguer river in Tacheng; (ii) district heating improvement in Tacheng; (iii) municipal solid waste management improvement in Tacheng; (iv) alley rehabilitation in Tacheng; (v) urban roads and bridges in Tacheng, Emin, Tuoli and Yumin; (vi) municipal services improvements in Tacheng, Emin, Tuoli and Yumin; and (vii) capacity development and institutional strengthening during project implementation.

2.4 Project Components

42. The project has five components/subprojects: (i) Tacheng City infrastructures, municipal services, district heating, MSW management, and river rehabilitation; (ii) Emin County infrastructures and municipal services; (iii) Tuoli County infrastructures and municipal services; (iv) Yumin County infrastructures and municipal services; and (v) capacity development and institutional strengthening.

(i) Tacheng City Infrastructures, Municipal Services, District Heating, MSW Management, Alley Rehabilitation, Baktu Port Equipment Upgrade, and River Rehabilitation – The component will improve the urban infrastructures and municipal services in the existing and new urban areas, including: (a) construction

of 13 urban roads with a total length of 29.5 km for people centered urban transport system with emphasis on developing pedestrian/bicycle and public transport; (b) installation of a 47.7 km water supply piping network; (c) installation of a 48.8 km sanitary sewer piping network; (d) installation of a 35.5 km primary hot water heating pipe network and 21 hot water heat exchange stations; (e) rehabilitation of 14.1 km alleys; (f) upgrade of security monitoring and MSW equipment for Baktu Port; (g) improvement of the MSW management by applying 3R principles; (h) city operation and maintenance (O & M) equipment upgrade; and (i) rehabilitation of 15.2 km Kalangguer.

(ii) Emin Town Infrastructures and Municipal Services – The component will improve the urban infrastructures and municipal services in the existing as well as new urban area including: (a) rehabilitation one and construction of 5 urban roads with a total length of 10.1 km; (b) installation of a 8.3 km water supply piping network; (c) installation of a 9.8 km sanitary sewer piping network; and (d) maintenance equipment upgrade.

(iii) Tuoli Town Infrastructures and Municipal Services – The component will improve the urban infrastructures around the existing urban area by (a) construction of the outer ring road with a total length of 14.1 km, and (b) the upgrade of city maintenance equipment.

(iv) Yumin Town Infrastructures and Municipal Services – The component will improve the urban infrastructures and municipal services in the existing as well as new urban area including: (a) rehabilitation one and construction of six urban roads with a total length of 9.7 km for people centered urban transport system with emphasis on developing pedestrian/bicycle and public transport, and (b) maintenance equipment upgrade.

(v) Improved Capacity and Institutional Arrangement – Provide support for project implementation on project management, institutional strengthening, capacity development and training, technical support, financial management support, and other tasks to ensure the smooth implementation of all project components. The capacity development component has included three specific features to strengthen the capacity of the EA and IAs on: (a) MSW management to help the IAs to improve the overall MSW management capacity especially to introduce and implement 3R MSW management principle; (b) border trade and logistics development to improve the border trade capacity in considerations of local economic and production characters, market study and business development strategy, logistic planning and development; and (c) an urban transport capacity development program including holistic urban road design and road safety audit, people-centered urban transport planning, road network management and maintenance, and related training.

III. LEGAL FRAMEWORK

43. This EMDP is pursuant to relevant laws or regulations related to ethnic minorities of PRC, the policy requirements for indigenous peoples and involuntary resettlement of the ADB and relevant regulations of the XUAR, which are shown in Table 2.

3.1 PRC Government Policy and Programs

44. After 1949, the Government of the PRC adopted a policy of ethnic equality, in which all groups are regarded as legally and constitutionally equal. However, given the poorer social and economic conditions of most minorities, the government has subsequently adopted preferential policies towards minority groups to help them “catch up”. Policies and regulations now incorporate a variety of measures to address the specific needs of ethnic people, including autonomous institutions of legislation, administration and law enforcement at various levels, special consideration in education, and funding of programs for the development of ethnic peoples, especially in border areas.

3.2 National Laws and Regulations of the PRC relating to Ethnic Minorities

45. The system of national laws and regulations of the PRC generally consists of three parts: (i) the Constitution, (ii) basic laws, and (iii) related laws and regulations.

46. The 1954 Constitution guarantees the equality of people in the PRC and specifies mechanisms for the exercise of autonomy in minority areas. Its preface states that the PRC is a unitary multinational state created jointly by the people of all its nationalities. The state protects the equal rights of all its nationalities and makes its best endeavor to promote common prosperity of all its nationalities. Articles in the Constitution state that: (i) the State protect the lawful rights and interests of the minority nationalities and upholds and develops the relationship of equality, unity and mutual assistance among all of the PRC’s nationalities. They emphasize that the State helps the areas inhabited by minority nationalities speed up their economic and cultural development in accordance with the distinctive characteristics and needs of the different minority nationalities; (ii) regional autonomy is practiced in areas where people of minority nationalities; in these areas, institutions of self-government are established for the exercise of the right of autonomy; (iii) the people of all nationalities have the freedom to use and develop their own spoken and written languages, and to preserve or reform their own ways and customs, and (iv) citizens of the PRC enjoy freedom of religious belief.

47. The organs of self-government of the minority autonomous areas have the right to independently administer educational, scientific, cultural, public health and physical culture affairs in their respective areas, sort out and protect the cultural legacy of the nationalities and work for the development and prosperity of their cultures.

48. Subsequent laws and regulations have expanded the government’s policy with respect to ethnic minorities.

 The Notice of State Council on the Establishment of Ethnic Minority Villages (1983) stipulates as the condition for the establishment of ethnic minority townships or

villages that there are areas in which ethnic minority people are concentrated and, except under special circumstances, comprise at least 30% of the population.

 In 1984, the Law of Regional National Autonomy and Related Regulations (amended 2001) reiterated, detailed and expanded on the various rights of ethnic minority and regions inhabited by ethnic minority. It gave governments of autonomous areas the right to decide on economic policy, and some latitude in allocating government subsidies.

 In 2005, the State Council promulgated the Several Provisions of the State Council on the Implementation of the Law of the People’s Republic of China on Regional National Autonomy. These required that in the formulation of long-term economic and social development plans, people's government at higher level and its functional departments consult with the minority autonomous areas and nationality departments, in accordance with local characteristics and needs, to support and assist minority autonomous areas to enhance infrastructure construction, develop human resources, optimize the economic structure, make rational use of natural resources, strengthen ecological construction and environmental protection, speed up the development of economy, education, technology, culture, health, sports, etc., and all kinds of social programs, realizing the comprehensive, balanced and sustainable development.

49. Other relevant laws and regulations include:

 Ethnic Minority Autonomous Religion Law of the PRC (Approved on 31 May 1984 and revised on 28 February 2001 by the National People’s Congress);  Village Committee Organization Law of the PRC (Approved on 4 November 1998 and revised on 28 October 2010 by the National People’s Congress);  Regulations on Administration of Ethnic Minority Autonomous Township (Approved by the State Ethnic Affairs Commission of the PRC on 15 September 1993);  Regulations on Xinjiang Uygur Autonomous Region Language Work (Approved by People’s Congress Standing Committee of XUAR on 20 September 2002);  Regulations on People’s Congress Work of Township, Ethnic Township and Town of XUAR (Approved on 13 January 1995 and revised on 26 September 1996 by People’s Congress Standing Committee of XUAR).

50. As a result of these laws and regulations, minority autonomous areas now enjoy preferential treatment from the central government. To assist with economic development, they have special access to relief funds, loans, subsidies and tax relief. Educational and medical organizations in the minority autonomous areas may apply to the local Ethnic and Religious Affairs Bureau (ERAB) for assistance and funding. Children of minority residents receive a small increment in their education scores for admittance to higher education. If local residents meet special difficulties in education or medical fields, they can apply for a subsidy from the local ERAB. District and county governments, through the ERAB, can undertake projects and programs aimed at improving infrastructure and wellbeing of ethnic minority communities, especially in border areas.

3.3 ADB’s Safeguards Policy Statement and Indigenous People’s Principles

51. Indigenous peoples (IP) in ADB’s Safeguard Policy Statement (SPS) (2009)/SR-39 is defined as groups with social or cultural identities distinct from that of the dominant or mainstream society (for this project the mainstream society is the Han). It is a generic concept that includes cultural minorities, ethnic minorities, indigenous cultural communities, tribal people, natives, and aboriginals.

52. Two significant characteristics of indigenous peoples are (i) descent from population groups present in a given area before modern states or territories were created, and (ii) maintenance of cultural and social identities separate from mainstream or dominant societies or cultures. Additional characteristics include (i) self-identification and identification by others as being part of a distinct indigenous cultural group, and the display of the desire to preserve their cultural identity; (ii) a linguistic identity different from that of the mainstream or dominant society; (iii) social, economic, and political traditions and institutions distinct from the mainstream society; (iv) an economic system oriented more toward a traditional system of production that toward the mainstream production system; and/or (v) a unique tie with and attachment to traditional habitat and ancestral territory and its natural resources.

53. The ADB’s SPS recognizes the potential vulnerability of indigenous peoples in development processes. The policy works to ensure that indigenous peoples have opportunities to participate in and benefit equally from development. Accordingly, project activities must ensure that development initiatives affecting indigenous peoples are effective, sustainable, and culturally appropriate. Initiatives should be compatible in substance and structure with the affected peoples’ culture and social and economic institutions, and commensurate with the needs, aspirations, and demands of affected peoples. Initiatives should be conceived, planned, and implemented, to the maximum extent possible, including consultation with affected communities to ensure respect for indigenous peoples’ dignity, human rights and cultural uniqueness. Projects must avoid negatively affecting indigenous peoples, and provide culturally adequate and appropriate mitigation when a negative impact is unavoidable. Project strategies and approaches to development that affect indigenous peoples must include clear mechanisms for accurate, objective analysis of their circumstances. Development processes must incorporate transparency and accountability, and encourage the participation of ethnic minorities in project design and implementation.

54. The 2009 ADB Safeguard Policy Statement (SPS) outlines the requirements that ADB borrowers/clients are required to meet in delivering involuntary resettlement (IR) safeguards7 to ADB supported projects. The overriding objectives of the safeguards are: (i) avoid involuntary resettlement wherever possible; (ii) minimize IR by exploring project and design alternatives; (iii) improve, or at least restore the assets, living conditions and livelihoods of affected persons; and (iv) improve the standards of living of vulnerable displaced groups.

7 Refer to Appendix 2 of the SPS – “Safeguard Requirements for Involuntary Resettlement”.

3.4 Comparison of the PRC’s Ethnic Minorities Policies and ADB’s SPS

55. Both the PRC’s ethnic policies and regulations and ADB’s policy share the same goals: focusing on nationality equality and development, and paying special attention to affected ethnic minority people in the process of economic, social, and cultural development of various undertakings, in order to safeguard the rights and interests of ethnic minorities, and promote their social and economic status. The ADB requirements are consistent with the intent of PRC policies, but are being applied at the project level.

56. The PRC policies and regulations are not applied on development projects. However a social risk assessment is now required for national projects. In project preparation, implementation and monitoring phases, we need to actively listen to views, attitudes and expectations of affected ethnic minority people. Therefore, this requires us to be concerned about public participation, especially women, the poor and other vulnerable groups throughout the project cycle, so as to ensure that they can benefit from the project. It is addressed in the EMDP.

Table 2: Ethnic Minority Policy Framework in the PRC Type Major Laws and Regulations Main Contents and Points  In addition to exercise the functions and powers of local organs of State, the autonomous region exercise the power of autonomy within the limits of their authority as follows: the power to enact regulations; independently mange its local political, economic, fiscal affairs, develop education, science  Constitution of the People's and technology, culture and art, public health, sports, etc; Republic of China, organize local public security forces for the maintenance of public order; and use and development its own spoken and  Law of the People's Republic written language. of China on Regional National Autonomy,  All citizens of the People’s Republic of China, including ethnic minorities, enjoy freedom of religious belief.  Organic Law of the Villagers  The organs of self-government of national autonomous areas Relevant laws Committee of the People’s shall have the power to adopt special policies and flexible and Republic of China measures in the light of local conditions to speed up the regulations of economic and cultural development of these areas, safeguard  National Town Administration the legitimate rights and interests of ethnic minorities, and the PRC, and Work Regulations regulations of enhance national unity. Xinjiang Uygur  12th Five-year Plan Outlining  All citizens of the People’s Republic of China who have Autonomous the Social and Economic reached the age of 18 have the right to vote and stand for Region Development in the Ethnic election, regardless of ethnic status, race, sex, occupation, Government. Minority Areas family background, religious belief, education, property status or length of residence, except persons deprived of political  Regulations on Spoken and rights according to law. Written Language in Xinjiang  The State provides financial, material and technical assistance Uygur Autonomous Region to the minority nationalities to help accelerate their economic Regulations on People’s and cultural development. Congress at Town Level and  The organs of self-government of national autonomous areas Village Level in Xinjiang Uygur shall guarantee the freedom of the nationalities in these areas Autonomous Region to use and develop their own spoken and written languages. The organ of self-government of a national autonomous area shall persuade and encourage people of the various nationalities to learn each other's spoken and written languages.

Type Major Laws and Regulations Main Contents and Points  Its target is to ensure the indigenous peoples can benefit from the project. ADB recognizes that the living standard of indigenous peoples is often lower than that of the mainstream; therefore, it should ensure that they benefit from certain measures.  The Indigenous Peoples (Ethnic Minority) Development Plan Indigenous Peoples Policy should (i) be consistent with the needs and aspirations of Requirements affected indigenous peoples; and be compatible with affected ADB (SR-3 of the Safeguard Policy Statement) indigenous peoples’ cultures and social and economic institutions; (ii) ensure that the project’s design and construction will not lower the minority people’s living standard; (iii) ensure that the minority people will benefit from the development measures in a culturally appropriate manner. The plan should include consultation, implementation, grievance redress, supervision, monitoring, and evaluation procedures.

IV. SOCIAL ASSESSMENT OF ETHNIC MINORITIES

4.1 Ethnic Minorities in Project City/Counties

57. Overview of the Ethnic Minorities in the Project Area. The total population of ethnic minorities in Tacheng Prefecture is about 445,600 accounting for 45.8% of the total population in 2012. The ethnic minorities with a population of more than 10,000 persons are Kazakh (264,421), Hui (80,007), Uygur (41,878), and Mongolians (34,406). The minorities with more than 1,000 to 10,000 persons are Daur (5,350), Russian (3,506), Khalkhas (2,151) and Xibe (1,990) nationalities. The other minorities with more than 100 to 1,000 persons are Man (814), Tatar (505), and Uzbek (405) nationalities. In addition, the other minorities distributed sporadically are Tajik, Salar, Ewenki, Tujia, Zhuang and Miao nationalities. The top seven minorities in the Project area and Tacheng Prefecture based on the last census are presented in Table 3. In Tacheng City, ethnic minority population in 2013 increased to 41.1% from 36.8% in 2011.

Table 3: Population of Main Ethnic Minorities in Project Area and Tacheng Prefecture in 2011 (person) Location Kazakh Hui Mongolians Uygur Daur Russian Xibe Han Others Tacheng 522,793 13,995 264,421 80,077 34,406 41,878 5,350 3,506 1,990 Prefecture Tacheng 91,011 6,232 26,723 13,201 1,824 5,122 5,167 2,379 1,520 City Emin 65,527 1,056 74,823 7,339 6,194 8,084 60 585 91 County Tuoli 24,610 2 70,266 1,090 528 1,268 9 19 63 County Yumin 30,169 1,184 18,365 3,704 146 181 37 236 59 County Source: Xinjiang and Tacheng Prefecture Statistic Yearbook 2012; Annual reports of Tacheng Nationality and Religious Affairs Committee

58. In Tacheng City, the project will affect directly Ergong Township and Axier Township. Ergong Township is suburban area around the city and has about 32,000 residents. Seven villages of Ergong Township are affected directly by project, and they have 390 households with 1,048 people of ethnic minorities, accounting for 3.3% of total population of the township. The main ethnic minorities are Kazakh, Hui, Mongolians, Uygur and Dongxiang. Axier Township is the only township of Daur nationality in Xinjiang with 20 villages and a population of about 10,111 persons including Daur nationality of 2,178 persons, accounting for 20.7% of the total population of the township; the others are Kazakh, Hui, Mongolians, Uygur, etc. accounting for another 15.7% of the population. The Daur nationality was migrated from Heilongjiang Province of northeast of the PRC in eighteenth centuries and believed in Shamanism. Farming is their main mode of production.

59. The Emin Component of the project will affect directly two townships, Emin Town and Jiaodong Township. Emin Town has ethnic minorities with a population of 19,570 persons, accounting for 48.5% of the total population of the town. Jiaodong Township has ethnic minorities with a population of 8,658 persons, accounting for 48.7% of the total population of the Township. Kazakh, Hui, Mongolians and Uygur are the main ethnic minority groups.

60. The Tuoli Component of the project will affect directly two townships, Tuoli Town and Duolate Township. Tuoli Town has 14,300 residents of ethnic minorities, accounting for 62% of the total population of the town. Duolate Township has 12,450 residents of ethnic minorities, accounting for 83% of the total population of the township. Kazakhs are the largest population in the two townships.

61. The Yumin Component of the project will affect directly two townships, Halabula Town and Halabula Township. Halabula town has ethnic minorities with a population of 4,724 persons, accounting for 34% of the total population of the town. Halabula Township has 1,675 residents of ethnic minorities, accounting for 20% of the total population of the township. Kazakh and Hui are the main ethnic minority groups in these townships.

62. In Tacheng Prefecture, various minorities are living together in different towns like those in other parts of Xinjiang. According to the Tacheng Nationality and Religious Affairs Committee the ethnic minority people in the project area live together with Han population and have no major differences in living standards from them. In farming areas, the main residents are Han, Hui and Uygur while Kazakh and Mongolians are the main residents in pastoral areas according to their mode of production. All ethnic groups respect their religious and cultural lifestyle. Ethnic minority groups equally benefit from the central and provincial governments’ poverty alleviation policies. Local governments have provided many subsidies for bilingual education, employment promotion and skill training.

63. Prior to the 1990s, due to special relationship with the former Soviet Union, social and economic development of the border Xinjiang region was affected. Investment for industry, trade and tourism was limited, except traditional farming and animal husbandry. After the reform and opening, the difference between the east and west in economic progress and living standard for ethnic minorities became bigger.

64. In the project area, half a year is cold winter season, period of crop growth and grazing is very short, and affects the agricultural production and income increase of farmers and herdsmen of ethnic minorities. And the harsh winter climate is easy to lead to natural disasters, thereby causing losses in the farming and animal husbandry sector. Underdevelopment of secondary and tertiary industry is unable to absorb more labor force and increase income of local ethnic minority residents. It caused shortage of government revenue, so that the government was unable to invest and improve infrastructure and living conditions.

65. Local governments understand that low economy levels will impact education development (i.e., quality of facilities and teachers), which would affect level of education of many minorities and cause difficulty for them to be engaged in other profitable career. Some of them don’t understand Mandarin and could not leave for seeking more and better development opportunities in urban areas. Therefore, local governments have taken many measures to improve education of ethnic minority people, provide housing for herdsmen with better facilities and promote employment and production of ethnic minority people.

66. According to the Constitution of the PRC, the Education Law of the PRC, and the Ethnic Minority Autonomous Religion Law of the PRC, all nationalities have right to use and develop their own languages. Mandarin language is a basic teaching language at schools and other education institutions. Schools and other education institutions with most of ethnic minority students can use native national language or local national language as a teaching language.

With social and economic development, more and more ethnic minority students understand importance to master Mandarin when they study in their own national language. They will have more employment opportunity if they understand Mandarin.

67. The XUAR Government issued the Decision of Promotion of Bilingual Teaching Work in 2004, the Comments on Further Strengthening Bilingual Teaching for Pre-schools and Preliminary and Middle Schools of Ethnic Minority Peoples in 2008, and the Development Planning of Bilingual Teaching for Pre-schools and Preliminary and Middle Schools of Ethnic Minority Peoples in XUAR in 2011.

68. In 1998, 77.1% of the students who participated in bilingual teaching passed the college entrance examination in XUAR. It promoted the bilingual teaching progress, 601,000 ethnic minority students accepted so-called bilingual teaching, accounting for 25.4% of the total ethnic minority students in 2008. As of 2012, 733,300 ethnic minority students participated in the bilingual teaching, accounting for 30.79% of the total ethnic minority students.

4.2 Description of Ethnic Minority Groups in the Project Area

69. The following brief description of the main ethnic minority groups in the Project area clearly indicates that these groups display a number of characteristics that are different from the mainstream group of the society and require special attention in terms of Project intervention:

(i) maintenance of a cultural and social identity separate from the Han group; (ii) self-identification and identification by others as being part of a distinct indigenous cultural group, and the display of desire to preserve that cultural identity; (iii) a linguistic identity different from that of the mainstream society, many ethnic minority groups in the Project-affected areas have limited or non-functional understanding of Mandarin (mainstream Chinese Han language) and, (iv) social and cultural traditions distinct from the mainstream or dominant culture.

4.2.1 Kazakh People

70. The Kazakh people are the dominant ethnic minority group in the Project area. They are also primarily Muslim and they speak Turkic languages, engaged in traditional livestock breeding, and farming. Historically, they had a semi-nomadic lifestyle, so they are hospitable and enjoy traditional singing and dancing. In terms of livelihood, they practice similar trades as the Uygur and Hui peoples: farming, commercial businesses, and some craft work. The Kazakh people in Xinjiang, traditionally, have practiced semi-nomadic herding. This ethnic group has its own distinctive traditional dress and patterns, however wearing costumes has become less common, particularly in urban areas. Most practiced festivals are related to Islam and Muslim celebrations.

71. Urban life has affected certain aspects of the traditional culture such as education and the role on women. They have more opportunity to receive basic education, take job positions and participate in social activities in urban areas. There are no barriers for them to live in urban areas with other peoples including Han. However, physical and cultural traits still distinguish the Kazak people from the Han. It is important to respect and protect these cultural distinctions when implementing the project.

4.2.2 Hui People

72. The Hui people are, in majority, Mandarin speaking Muslims. The Hui culture and traditions influenced by the Silk Road. The Hui are unique in China, as they are the ethnic minority that does not have their own language, the Hui speak Mandarin or the language of the local majority (e.g., Kazakh or Uygur). The Hui mainly practice food crop farming, although some are also crafts or business people. The Hui people have cohabitated with Han people for centuries, their relationship is good. Main lifestyle differences are determined by religious convictions (dietary restrictions), the Hui and Han people intermarry, though in most cases conversion to Islam is expected.

73. Like other ethnic minorities, the Hui traditionally live in patrilineal families and communities. The women’s role in the family is in the home, and women are not to be outspoken. Traditionally, women’s work is defined by cooking, dress-making, education of the children, nursing and birthing the animals, and preparing for festivals and cultural rituals. Having said this, urbanization and increased education is changing this traditional gendered stance. Many women are encouraged to find paid employment, and most men are supportive of their wives and daughters finding work. Traditional holidays are mostly associated to Muslim religion.

74. Although urbanization is changing certain aspects of the Hui society and their traditions, cultural traits still distinguish them from the Han. It is important to respect and protect these cultural distinctions when implementing the project.

4.2.3 Uygur People

75. The Uygur have distinct physical traits that differentiate them from the Han Chinese. The Uygur people have the longest history in the region, traditionally they live by farming (planting crops and fruit trees), with some engaging in commercial businesses, animal husbandry (sheepherding) and handicraft. Part-time migrant jobs are an important means of increasing their income. People’s educational levels are generally high, with only a small percentage of illiterates (most Uygur are only literate in Uygur, their mother tongue language). Most children have a primary school education. The Uygur have their own language and script. Most Uygur write in Arabic script, though some use the Latin alphabet to write Uygur. The Uygur people have lived with Han people for centuries, the relationship between them can be politicized, and however, our field studies indicated that Uygur and Han in the project area cohabit cooperates peacefully. Uygur are Muslim, intermarriage with Han is not common, but there are instances. In such instances, conversion to Islam is usually expected.

76. Traditionally, women’s work is defined by cooking, dress making, education of the children, nursing and birthing the animals, and preparing for festivals and cultural rituals. Having said this, urbanization and increased education is changing this traditional gendered stance. Many women are encouraged to find paid employment, and most men are supportive of their wives and daughters finding work.

77. Urbanization is changing certain aspects of Uygur society and traditions, however, physical and cultural traits still distinguish them from the Han. It is important to respect and protect these cultural distinctions when implementing the project.

4.2.4 Mongolian People

78. The Mongolian people in Xinjiang speak the Uirad dialect of the Mongolian language, which belongs to the Altaic language family. Both the Tuote and Hangul scripts are accepted as its written forms, though Hangul is more commonly used in China. Traditionally Mongolian communities are semi-nomadic herding, though many have now moved to farming. The Mongolian people are primarily Buddhist. Though the lunar Spring Festival is the most important celebrated holiday by Mongolians, the annual Nadam Fair reflects Mongolian people’s ethnic identity. The festival originated from their traditional earth altar sacrifice. Mongolian people have distinct garments: gowns made of sheepskin, silk or cotton, however, wearing these costumes has become less common. The Mongolian people live harmoniously with the Han and other minority peoples, inter-cultural marriages do occur.

79. Urban life has affected certain aspects of the traditional culture such as education and the role on women in the family. They have the same opportunity to receive education, take job positions and participate in social activities in urban areas. However, physical and cultural traits still distinguish Mongolian peoples from the Han. It is important to respect and protect these cultural distinctions when implementing the project.

4.2.5 Daur People

80. Axier Township is the only township of Daur nationality in Xinjiang with 20 villages and a population of about 10,111 persons including Daur nationality of 2,178 persons, accounting for 20.7% of the total population of the township, and the others are Han, Kazakh, Hui, Mongolian, Uygur, etc. The Daur nationality was migrated from Heilongjiang Province of northeast of the PRC in eighteenth centuries and believed in Shamanism. Farming is their main mode of production.

81. Along with social and economic development in Xinjiang, the way of production and life of Daur people has been much changed. More and more young people went to cities and worked there for seeking more development opportunities, which caused difficulties of inheritance of traditional ethnic culture. At the same time, more and more domestic and foreign tourists came here to experience rural culture, understand characteristics of folk customs and appreciate natural scenery. It promoted communication between Daur people in Xinjiang, in Inner Mongolia and in Heilongjiang province.

82. The establishment of the Daur national folk museum is beneficial to protect national culture and to let other people understand Daur culture. It is also very important for the communication between Chinese Daur people. It can attract more tourists and create employment opportunities and income growth for local residents.

Table 4: Ethnic Group’s Distribution by City/County (%) Region Tacheng City Emin County Yumin County Tuoli County Kazakh 17.4 46.5 33.9 71.6 Hui 8.6 4.2 7.2 1.1 Uygur 3.3 4.9 0.3 1.3 Daur 3.4 0.0 - 0.0 Ethnic Russians 1.6 0.3 - 0.0 Mongolians - 3.6 0.3 0.5 Others 6.6 1.6 2.5 0.3 Total of 40.9 61.1 44.2 74.8 minorities Han 59.1 38.9 55.8 25.2 Total 100 100 100 100 Source: 2013 Statistical Bulletin

V. SOCIOECONOMIC CHARACTERISTICS OF ETHNIC MINORITIES IN THE PROJECT AREA

5.1 Introduction

83. During the project preparation, a project RP and EMDP preparation agency conducted the socioeconomic and impact survey in the Project areas with guidance and participation of the PPTA social specialists. The main objective of the socio-economic survey and poverty, social and gender analysis is to provide a description of the key socio-economic features of the ethnic minorities and their communities, such as socio-demographic characteristics, poverty and landholding practice, education level and source of income, modes of livelihood, household assets, etc. This will increase the understanding of potential impacts of the Project on ethnic minority groups and identify measures to enhance Project benefits for these groups and avoid, reduce and/or mitigate the negative impacts. In this EMDP, the socio-economic profile of ethnic minorities is based on the socio-economic survey of 1,488 sample household conducted in 2014 by Xinjiang Institute of Ecology and Geography Chinese Academy of Science. The number of ethnic minority households in the sample was 711 including 477 urban households and 234 rural households (see Annex 3). In addition to this household survey, 17 focus groups discussions, 188 key informant and 30 community interviews were conducted. In order to have a better understanding of ethnic minorities’ socio-economic issues secondary data analysis was also conducted.

5.2 Socio-Demographic Profile of Ethnic Minorities

84. Household Population Sizes. 2,591 persons in 711 EMs households were surveyed. They include 1,412 males (54.4%) and 1,179 females (45.6%) The average ethnic minority household size is 3.1 to 4.1 persons compare to Han households, which in average has 2.6 to 2.9 members. The difference can be explained by the PRC’s family control policy which is different for Han and ethnic minority people. According to PRCs policy the minority people can have more than one child in a family. Another reason is that the ethnic minority people prefer to live in the extended families in order to take care of their elder parents. The average EM household size in urban area is 3.63 and in rural area is 4.10.

Table 5: Average Household Population Sizes (person) Average Household Population Tacheng City Emin County Yumin County Tuoli County Han Households 2.9 2.6 2.6 2.7 Ethnic Minority Households 4.1 3.1 3.8 4.0

85. Gender Composition and Gender Roles in the Ethnic Minority Family. Male family members in the Han household account for 51.4%, while female members are 48.6%. In the ethnic minority households male members account for 54.4%, while female members are 45.6 %.

Table 6: % of Male and Female Household Members Tacheng City Emin County Yumin County Tuoli County (%) (%) (%) (%)

M F M F M F M F

Han Households 54.5 45.5 48.8 51.2 52.4 47.6 49.6 50.4 Ethnic Minority Households 51.5 48.5 56.1 43.9 54.4 45.6 55.8 44.2

86. It is found that gender relations in Kazakh, Hui and Uygur ethnic communities are increasingly changing. Younger Uygur, Kazakh and Hui women now have more options in marriage. Well-educated women are encouraged to independently seek job opportunities, and their education level is equal or higher than that of male.

87. Age Structures of Ethnic Minority Households. The age range of ethnic minority labor force in the project area accounted for large proportion. It is between 60% (Tuoli) and 76% (Yumin), and the average of the four project city/counties is 69%. The age distribution of the Han people has the similar pattern. However, the average labor force accounted for about 64%.

88. If we look at the total number of EMs household members by age cohort and gender, we will note that the distribution is more or less equal between genders in the majority of the cohorts.

Table 7. Age Composition of Ethnic Minorities by City/County (%) Age Tacheng City Emin Yumin Tuoli İ6 2.5 4.4 2.9 1.9 7-19 11.7 11.4 5.1 6.3 20-35 23.9 27.0 26.2 21.2 36-50 32.7 34.3 45.1 32.2 51-60 14.1 19.4 16.7 26.5 61-70 10.7 2.6 2.9 8.4 ı71 4.4 0.9 1.1 3.5 Total 100.0 100.0 100.0 100.0

89. Education and Languages. According to the survey results, as presented in Table 8, most Uygur and Kazakh over the age of 50 can speak Mandarin to different degrees, but do not know Chinese characters. However, young Uygur and Kazakh usually speak Mandarin and read Chinese characters. The survey also found that nearly half of ethnic minorities surveyed can also speak three languages: Mandarin, Uygur and Kazakh. Those with limited reading or speaking capacity in Mandarin are normally older than 65 years old. The results of the survey showed that regardless of ethnicity, the adult respondents with education levels of primary and junior high school reached 57.6%-84.1%, while the people with senior high school or above levels were 4.54%-16.24% in the four project city/counties. However, according to the official statistics of Tacheng Prefecture, in Tacheng Prefecture and the project area, percentage of enrolment of children with 6-11, 12-14 years old was 100% and 100%, respectively, enrolment rates of senior high school was 71.32% in 2012.

90. More than one third ethnic minority households are using their own languages at home, and more than half ethnic minority households are using both their own languages and Mandarin at home. However, about half ethnic minority households are using Mandarin only at

24 workplaces, and most of them are using both their own languages and Mandarin at workplaces or public places. Most of young people can speak Mandarin.

Table 8: Language Used at Home and at Workplace of Ethnic Minority Households Tacheng City Emin County Yumin County Tuoli County HH Number HH Number HH Number HH Number Language used at at at at at at at at home work home work home work home work % % % % % % % % Mandarin only 12.7 41.8 23.7 52.7 41.7 58.3 12.8 42.1 One of the EM languages only 36.4 12.1 45.8 14.1 35.8 12.5 36.0 11.6 Both 50.9 46.1 30.5 33.2 22.5 29.2 51.2 46.3 Total 100 100 100 100 100 100 100 100

91. Housing and Living Conditions. In the Project area, most households living in villages have their self-built houses, while households living in urban areas purchased houses or rented houses. Most households have house living spaces ranging from 60 m2 to 100 m2 although the percentage varies by city or counties. The households in Emin and Yumin counties showed higher percentage of good and very good living conditions, while the households in Tacheng City and Tuoli County showed higher percentage of average living environment according to respondents’ self-assessment.

92. According to the Twelfth Five-Year Development Plan of Tacheng prefecture, urban per capita housing area was 30 square meters and rural per capita housing area was 40 square meters, while urban per capita housing area was 27.25 square meters and rural per capita housing area was 24 square meters in Xinjiang Region in 2010. According to the Tacheng Prefecture Statistical Yearbook 2012 housing conditions in Tacheng are relatively advanced. Water supply, TV, and communication are popularized. Urban families generally have washing machine, separate kitchen, sanitary and bath facilities and centralized heating, etc. The Project implementation will promote urban development and bring opportunities to improve the living conditions of the poor families.

93. Occupation. According to the household survey the most widespread occupation in the project area is the migrant work for both Han (85.75%) and ethnic minority (14.25%) population. The number of migrant workers is almost twice higher in Yumin county (Han 79.14 % and ethnic minorities 20.86%) compared to the other project areas. This can be explained by urbanization and underdevelopment of agriculture economy in Yumin County. Farming doesn’t provide enough jobs, and many people should look for jobs in cities in order to increase their income. It doesn’t apply to rural women, especially at 40 ages and more. They are overloaded with household and farming responsibilities.

94. Employment in the service sector is the second major occupation for the project area population, including ethnic minorities (15.12%). However, it should be noted that there are some differences among the project areas’ population occupation status. In Tacheng County the crop farming is the second largest occupation followed by service sector employment.

95. Otherwise, crop farming (corn and wheat planting) is the next major occupation among all residents in the project area, including ethnic minorities (12.94%). The survey data analysis

25 shows that men and women are almost equally involved in this activity, except Emin and Yumin communities, where men’s involvement is much higher than those for women (55.6% and 65.9% compare to 44.4% and 34.1%).

96. Poverty and Income Level of Ethnic Minority Households. By 2013, the official urban poverty incidence of Tacheng Prefecture was 10.4%, much higher than the average of the PRC (2.8%) and slightly higher than XUAR (9.1%), while its rural poverty incidence was 8.3%, same as the average of the PRC (8.5%) and lower than that of XUAR (10.8%). However, the rural lowest living guarantee line8 of Tacheng Prefecture is only 83.1% of the national standard The per capita net income of rural households of the project city/counties except for Tuoli in 2012 was higher than the average level of both Xinjiang and PRC, however, the per capita disposable income of urban households was in range of 58 to 68% of the national average. According to the official statistics, the poverty rate of four project city/counties was about 12.7% in 2012. Both urban and rural poverty incidences of all four project city/counties were higher than the average of Tacheng Prefecture. The urban and rural poverty incidences are 11.8% and 12.2% in Tacheng City, 16.0% and 14.0% in Emin, 13.7% and 8.9% in Tuoli, and 12.5% and 13.5% in Yumin. The average annual income of surveyed households is 30,000 Yuan in Tacheng City, Emin County and Tuoli County and 45,000 Yuan in Yumin County. The major sources of income are migrant work, crop farming and service sector. The annual household income of the surveyed households is much higher than the MLG9s for urban (3,972 yuan per year per capita) and rural residents (1,912 yuan per year per capita). About half of the ethnic minority households in Tacheng and Tuoli counties reported that their annual income is 30,001–40,000 Yuan, while only 25.5% ethnic minority respondents from Emin county reported similar income. 29.5% of Emin ethnic minority respondents mentioned that their annual income is 20,0001– 30,000 Yuan which is the biggest percentage among all counties for this income group, but at the same time, 21% of Emin ethnic minority respondents mentioned that their annual income is 40,001–60,000 Yuan. While comparing this with Han income it can be noted that the average annual per capita income of Han and ethnic minority households has no significant differences, because all Han and ethnic minority households surveyed live in urban and suburban area mixed together and have no difference in living standards, education, employment and various subsidies such as MLG. All support policies of the central and provincial governments for poverty alleviation and border development benefit really to all ethnic minorities.

8 The rural low guaranty line of Tacheng Prefecture is annual CNY1,912 per capita, and the national standard is annual CNY2,300 per capita. 9 It should be noted that the MLG policy for Han and ethnic minority residents in Xinjiang has no differences.

Table 9: Average Incomes of Sampling Households in Project Area

Tacheng County Emin County Yumin County Tuoli County Income Range (RMB/year) Ethnic Minority Ethnic Minority Ethnic Minority Ethnic Minority N=165 (%) N=200 (%) N=110 (%) N=150 (%) 10,001–20,000 5.4 3.5 4.6 5.3

20,001–30,000 19.4 29.5 17.3 21.3

30,001–40,000 50.3 25.5 38.2 55.3

40,001–60,000 15.8 21.0 33.5 13.3

60,001–100,000 6.7 11.5 4.6 2.8

Over 100,000 2.4 9.0 1.8 2.0

Total 100.0 100.0 100.0 100.0

97. Home Assets. According to the survey data the vast majority of ethnic minority respondents in almost all project areas own first necessity home appliance and other assets such as washing machine, refrigerator, TV, phone/mobile phone, etc. The survey data showed that the possession of lavatories varies from county to county. In Tacheng city and Yumin county more than 60% of ethnic minority respondents owns a lavatory, while in Emin and Tuoli counties only 21.3% and 27.4% respectively. Similar trend can be observed with regard to bath and shower facilities.

98. In Xinjiang, most EM families used to bathe in public baths traditionally for a long time. Along with urbanization and changes of living style, many families moved in apartment houses with bathroom, some of them still like to go to public baths because it is cheaper. In rural area, some households have no bath or shower due to lack of sewer network, although they have large house and courtyard. However, more and more young people are changing the habit.

Table 10: Home Assets of Sampling Households in Project Area Tacheng City Emin County Yumin County Tuoli County Ethnic Ethnic Minority Ethnic Minority Ethnic Minority Home Assets Minority N=165 (%) N=262 (%) N=164 (%) N=120 (%) Washing machine 73.94 77.1 81.6 87.2 Refrigerator 75.2 70.9 74.2 73.2 TV 100.0 100.0 100.0 100.0 Rice cooker 57.6 79.8 70.8 69.5 Telephone 56.9 87.8) 82.5 79.9 Mobile phone 100.0 100.0 100.0 100.0 VCD/DVD 38.2 39.7 65.0 64.6 Computer 69.7 55.7 55.8 50.6 Air conditioner 13.9 20.6 8.3 7.9

Tacheng City Emin County Yumin County Tuoli County Ethnic Ethnic Minority Ethnic Minority Ethnic Minority Home Assets Minority N=165 (%) N=262 (%) N=164 (%) N=120 (%) Bicycle 80.6 80.5 80.8 75.0 Electric motor car 21.2 77.1 74.2 79.9 Motorcycle 62.4 83.2 94.2 93.3 Car 7.3 8.0 7.5 7.9 Lavatory 62.4 21.4 71.7 27.4 Bath and shower facilities 59.4 16.4 53.3 16.5

99. Gender Work Division. According to the survey results male and female household members showed different contributions to daily housework (see Table 11). Female participation in agricultural and non-agricultural activities is quite high in the project counties. However, male household members are considered the major income earners (56% to 63%) compare to female members. In addition to income earning function, female members are primary responsible for taking care of household members, especially children and elderly people, and doing household chores. Women are taking care also for paying household utility bills.

100. Men have more role and power in decision-making process than women. They are more responsible for key decision–making than women. However, with the growing number of ethnic minority women that are beginning to have a better education and income, they are starting to have a greater say in decision-making processes.

101. With the social and economic development of Xinjiang, more and more women including minority women have participated in the social economic activities. The 12-year compulsory education is starting to be implemented in Xinjiang, which will play a great promoting role in improving the Xinjiang minority female’s position in social and economic development. In Tacheng project area, most of the urban females have already obtained employment. In the rural area, females in farming and pastoral fields are directly engaged in the production activities. According to the survey data, female residents who have no fix jobs now are interested in participating in project construction and operation to increase their income. They hope to have a permanent job and stable income. Therefore, information on employment opportunities and relevant trainings for getting jobs are highly welcomed by female respondents.

Table 11. Gender Role Division in EMs Household Tacheng City Emin Yumin Tuoli Type of Activity M(%) F(%) M(%) F(%) M(%) F(%) M(%) F(%) Making money 63.3 36.7 63.4 36.6 56.4 43.6 56.3 43.7 Household chore 31.9 68.1 22.7 77.3 33.5 66.5 36 64 Shopping 38.9 61.1 34.3 65.7 44.3 55.7 40.1 59.9 Working in the garden 52.8 47.2 63.2 36.8 52.4 47.6 43.5 56.5 Paying utility bills 47.3 52.7 48.5 51.5 28.6 71.4 47.2 52.8 Participating in community activities 34.6 65.4 50.2 49.8 43.9 56.1 45.9 54.1 Decision making on important issues 65.3 34.7 77.4 22.6 50.1 49.9 50.9 49.1

VI. PROJECT IMPACTS

102. The socio-economic status of the ethnic minorities and gender are analysed based on available data and information, and the results of the household survey and focus group discussions (FGDs). All ethnic groups, Han and minority, work and live in the same area and even in the same communities, so they face the same project impacts, positive or negative.

6.1 Tacheng Component

103. The river rehabilitation subproject will improve living environment and eco- environment condition and reduce flood risks for agriculture production of Axier Township. The environment improvement will attract urban residents to the villages for tourism and leisure, to create new jobs for local people. Women can generate income by opening “Rural Home Inns” and stores. Axier Township established a Daur Nationality Museum in 2012 to develop the Daur characteristic tourism and increase income of local residents. They believe that the project will improve environment of both banks of the Kalangguer River and attract more and more people to the river for leisure or exercises, which will promote more and more people to visit the Daur Nationality Museum and increase the Daur characteristic tourism income of the town. To promote the Dauer Nationality Museum development and to enhance the project benefits to local ethnic minorities, a folk custom tourism specialist will be recruited by the project implementation consultant. The specialist will be responsible for the design of the Daur Nationality Museum development action plan which will define the priority areas and activities to promote the Daur custom tourism development.

104. The district heating subproject will improve the heating services for urban residents who are using different district heating services now by providing a steady and better heating source. In addition, some rural residents (about 29 households including 8 EM households) in the Liaota New Area will use the heating services after they move into new resettlement apartment buildings and will not use household heating stoves. The heating services will improve air quality by replacing household heating stoves that burn coal or waste straw without any emission control. The heating services also will provide the new users more comfort level, better living quality and safety in winter, especially benefits for affected women by reducing housework burden, better study conditions for children, more leisure time and reducing disease incidence of family members. Both ethnic minority and Han residents like to use the district heating services. However, some of the beneficiaries are concerned about possible price increase of the heating services. The surveyed poor families hope that the government can provide subsidies for the district heating services.

105. According to the survey results, average payment per household (using whether district heating or house coal stove) in a heating season is CNY 1,850, accounting for 4.6% of average annual income of the respondents. For low-income households, the heating cost per heating season is about CNY 1,320, accounting for 13.7% of income based on MLG (the same is for Han and ethnic minority households). Local government provides MLG families and low income families with heating subsidies according to their poverty situation. The poor families pay only 20% or less for heating services. Therefore, the heating cost accounts for less than 2.73% of total income of low-income households.

106. The solid waste management subproject will improve public sanitation environment in the developed urban area of Tacheng City and newly developing urban area of the Liaota New Area. Both ethnic minority and Han residents will benefit from better living environment. By introducing the 2-bins system, the subproject will promote municipal garbage sorting based on 3R principle, which will benefit garbage recycle and reuse and saving land used for landfill in Tacheng City. Due to the differences in urban and rural solid waste management, rural residents in the Liaota New Area need to change their garbage collection and dispose behavior after the project implementation. They have to follow requirements for the urban solid waste management, and pay the garbage treatment fee. Relevant consultations and trainings should be organized to enhance the project impacts. There are no any differences in solid waste management for ethnic minority and Han residents. All respondents from villages support solid waste management program and will pay same money as urban residents. In Tacheng City, urban residents should pay CNY2.5 per month/person, which is accounted for less than 1% of annual income of low-income households. Currently, MLG households should pay half. However, they still hope a stabile service fee for environmental sanitation.

107. The road network construction in the Liaota New Area will change the existing rural road system totally. Road conditions and traffic management will be improved largely. Both local ethnic minority and Han residents will benefit from better road pavement, separate motor vehicle, non-motor vehicle lanes and sidewalk, lighting, traffic safety management system. In order to increase the impact of the project, the rural and urban residents need to change their traffic behavior to meet requirement for urban road traffic management. This will require extensive consultations and training for residents. There is no difference in traffic behaviour of local ethnic minority and Han people. In addition, the road network construction will improve traffic conditions for the border trade because most of the border trade or tourism is achieved through the Baktu Port of Tacheng City by ground (trucks or buses) transport. All travellers and transported goods are checked at the port according to the relevant laws and regulations of the PRC, such as the Entry and Exit Management Law (2013), the Regulations for the Entry and Exit Management of Foreigners (2013), the Customs Law (2000), the Foreign Trade Law (2004); the Regulations of Import and Export Management (2002); the Law of Import and Export Commodity Inspection (2002), and the Regulations for Implementation of Law of Import and Export Commodity Inspection (2005), etc. The development of the border trade may cause risks of communicable diseases, drug transport and human trafficking. However, no official cases and figures have been reported so far. To decrease the risks it is necessary to conduct public awareness of communicable diseases, drug transport and human trafficking among residents of Tacheng City.

6.2 Emin Component

108. The Emin Component of the project will improve urban traffic and reduce traffic risks. The project urban road networks will link a new area and the existing urban towns together. Reconstruction of the existing roads by renewing pavement of both motor lanes and sidewalk will improve current traffic conditions, and benefit business operation on both sides of the roads for both ethnic minority and Han people. It will also improve traffic conditions of local residents. Construction of the project new roads will meet the need of urban space development and promote local economic development of the county, which will create more employment opportunity for local residents, including ethnic minority groups. Improvement of the road conditions will increase traffic flow and speed, especially for Alxiate road where two schools are

30 located on both sides of the road. Road safety awareness campaign and training will be conducted with school children and teachers, to reduce the traffic risks.

6.3 Tuoli Component

109. The Tuoli Component will construct an outer ring road in the county town. The outer ring road construction and improvement of traffic management will reduce traffic congestion on the existing provincial road and accidents caused by the existing road that pass through the urban area of the county, and improve traffic condition of the county. In addition, the new outer ring road will pass near two villages. The villagers’ traffic will be improved largely. However, the villagers’ traffic behaviour has to be changed from current traffic on rural roads to traffic on urban primary road, especially for motorcycle riders as mentioned by local residents. Agricultural machinery and livestock crossing the road should be considered during the road design and construction. Necessary road safety awareness campaign and training should be conducted before the road operation in order to reduce traffic accidents on the new road.

6.4 Yumin Component

110. The Yumin Component will construct new roads and rehabilitation of three existing roads in the county. Reconstruction of the existing roads by renewing pavement of both motor lane and sidewalk will improve current traffic conditions largely, and benefit business operation on both sides of the roads for both ethnic minority and Han people. It will also improve traffic conditions of local residents. Construction of the new roads will meet the need of urban space expansion and promote local economic development of the county, which will create more employment opportunity for local residents of both ethnic minority groups and Han.

111. Land acquisition and resettlement impacts (see Annex 4). A total of 831 ethnic minority persons from 224 households will be affected by land acquisition and resettlement (LAR); they account for 34.8% of the whole affected persons. All affected ethnic minority people will be compensated and resettled in the same manner as Han. Measures for their income restoration are prepared in RPs and will be implemented and monitored to ensure better living conditions after LAR implementation. Skill training will be organized for the affected people, including EMs. For EMs, the skill training includes small business operation, breeding, and construction skills, etc.

112. Improving cross border trade. Baktu Port is 12 km away from the urban area of Tacheng City. More than half of Xinjiang's fruits and vegetables are exported by the port to Kazakhstan and Central Asian countries. In 2013, the import and export of goods reached 114,600 tons, of which imported goods are 2,500 tons. Passengers of both sides passed through the port were 81,334 person times, including 26,246 person times of two border cities. The port is 60 km away from the nearest city of Kazakhstan. Highway transportation is the main trade way of the port. Because of the distance and border management, there are no free trade markets with small trade on the port. Persons who like to pass through the borders for travel or business must have legal documents (passport and visa). The documents will be checked at border customs office when persons arrive at the border. Goods to be passed through the border must have full legal trade documents, including sanitation, plant and animal quarantine, etc. Both persons and goods are recorded by photo and video through monitoring instrument. The implementation of the project will improve the port traffic conditions, inspection and management levels of the customs favourable to expand the border trade. At the same time, any

31 risks related to human trafficking, timber trade, poaching, hazardous waste etc. will be effectively inspected and controlled according to relevant laws and regulations of exit and entry administration.

113. In the four project city/counties, ethnic minorities and Han live together in the same communities. Both groups will equally benefit from the project. There is no any specific difference in the project impacts for different ethnic groups.

VII. EMPLOYMENT AND FUTURE PROSPECTS

114. Employment will be generated during the project construction and in the operation of project facilities. The Project will generate about 25,727 person-months of employment with a total gross income of CNY75.90 million during the construction and 234 full time positions with CNY8.149 million annual gross incomes during the operation phase. In addition, it is expected that about 38,592 person-months of employment with CNY96.48 million gross incomes will be generated indirectly by the Project.

115. At least 40% of employment generated during the project construction and 40% of job positions created during the project operation will be provided to local ethnic minority population. This target is reflected also in the social development action plan (SDAP) and Project Design and Monitoring Framework (DMF).

VIII. ACTION PLAN

8.1 Agreed Design Features

116. According to the PSA, the ethnic minority issues related to the project design and implementation are fully consulted with local ethnic minority people. In the directly affected project area, ethnic minority people and Han people are living in the same society. Although their production style may be different, and have physical, cultural and language distinctiveness, they have similar economic and living conditions. However, there are areas where the project has design features to ensure inclusion and enhance benefits for ethnic minority people. The relevant actions are included in the EMDP as well as in the SDAP and GAP. These include:

(i) The river rehabilitation subproject will improve environment of both banks of the Kalangguer River and attract people to the river for leisure or exercises, which will promote more and more people to visit the Daur Nationality Folk Custom Museum and increase the Daur characteristic tourism income of Axier town. It is important that Axier town to participate in public consultation in the preparation and implementation of the subproject. (ii) Traffic safety public awareness of Tuoli Component will be held in the two affected villages. All ethnic minority households will participate in the public awareness. (iii) 40% employment opportunities created during the project construction and operation will be provided to local ethnic minority people. (iv) Participants in public awareness of 3R solid waste management will have 40% ethnic minority residents, and at least one ethnic minority member is in community- based solid waste management committee. (v) Participants in public hearings on heating and solid waste tariff changes will have 40% ethnic minority residents. (vi) Sex-disaggregated social indicators (including ethnicity) such as project employment, income improvement, etc. are included in the Project performance Monitoring system (PPMS). (vii) A social development and gender expert with expertise in ethnic minority issues will be part of the project management consultant team.

8.2 Detailed Actions and Measures

117. This section provides detailed actions/measures, responsible agencies, monitoring indicators, and budget to implement the actions. Table 12 presents the actions for components of Tacheng City, Emin County, Tuoli County and Yumin County. The PMO of each component will be responsible for the implementation of these actions which aim to maximize the benefits for affected ethnic minority groups and minimize negative effects of the project on local minority residents. Tacheng Prefecture PMO is responsible for supervising the EMDP implementation and its external monitoring, and reporting to ADB.

118. All agreed actions and measures were developed according to the field survey results, discussions with APs, review of relevant national laws and regulations, ADB’s Safeguard Policy Statement, detail analysis of project impacts on local ethnic minority peoples, and refinement by the PMO and each project implementing agency.

Table 12: Action Plan Target Responsible Action/Measures Budget/cost Timing Monitoring Indicators Group party A. Mitigation Measures to Address Social and Environmental Risks A1. Restoring income for LAR 2,395 APs PMO and Included in the RPs 2015/05– affected people (AP) from 674 agencies 2018/12  Number of EMs compensated, households, listed in the resettled and livelihoods restored  Optimize the final design to including RPs avoid LAR  Proportion of EMs participating in affected 831 livelihood trainings by sex  Compensation and relocation EM persons according to RPs  Effective grievance redress mechanism for EMs  Livelihood restoration and training A2. Reducing impacts on economic About 120 PMO 2015/05 Expense for – loss of local herdsmen in Tiesibahan households 2019/12  Number of bilingual construction signs signs and fences Village of Tuoli County with 450 Contractors and fences is included in civil persons works contracts.  Number of bilingual traffic and speed  Setting up construction bilingual EMs Village signs and protection fence to limit signs committees Expense for prevent cattle and sheep printing traffic  Number of residents (disaggregated by crossing project spots freely Traffic police safety materials sex and ethnicity) received traffic safety  Building a safe routes special brigade (5,000CNY) is education for cattle and sheep movement (TPB) paid by PMO.  Number of traffic accidents on project

roads by ethnicity  Setting up bilingual signs for Tuoli County drivers to reduce speed when TPB will conduct driving near the cattle and the safety sheep routes education freely.  TPB send traffic policemen (both Han and Kazakh) to the affected village for traffic safety education A3. Minimizing access restriction to All PMO 2015/05 Civil works contract – the shops alongside the existing residents, Contractors 2019/12  Record of notices and announcement

Target Responsible Action/Measures Budget/cost Timing Monitoring Indicators Group party roads in Emin and Yumin components including Tacheng EMs and Emin  Number of complaints during the  The road construction period about 80 Yumin construction will be announced ahead of shops time (bilingual)  Undertaking measures to ensure the safety and security of children and pedestrians A4. Minimizing water interruption and Communitie PMO Civil works contract 2015/05– other construction disturbances in the s, including Contractors 2019/12  Record of notices and announcement Project communities EM related Tacheng  Number of complaints and resolution to water Emin  Regular notices and supply announcement (bilingual) pipeline  Sequential approach will be construction used during construction A5. Minimizing risks of communicable Project PMO Civil works contract 2015–2019 diseases, drug use and human communities Contractors Local  Number of new HIV/AIDS cases trafficking , including CDPC Government/CDPC  Records on awareness activities EM  HIV/AIDS awareness for construction workers and nearby communities  Awareness of other communicable disease risks  Drug use awareness be included in the disease prevention program  Local government continues efforts towards the anti-drug and anti-human trafficking activities

A6. Minimizing construction All PMO Civil works contract 2015/05– disturbance to EM communities residents, Contractors 2019/12  Number of complaints on construction including  No construction will take place EMs living within 500m of any mosques near the during Friday prayer time, or construction during religious festivities. sites  Contractors will provide bilingual temporary safety signs during the construction period A7. Respect for EMs culture Ethnic PMO PMO (printing cost) 2015/05– minority Contractors 2019/12  Number and type of materials  Increase awareness of residents and ERAB Civil works contract distributed construction workers about workers (awareness raising EMs culture and custom  Number of ERAB sessions and employed by and canteen beneficiaries  If contractors need to provide a contractors expenses) canteen on site, they will  Number of Muslim canteens provide a separate Muslim canteen  Workers must wear proper work clothes  Appointing interpreters (Kazakh and other languages) to facilitate communication for contractors

B. Enhancement Measures B1. Promoting Daur characteristic Daur and PMO Civil works 2015/05– folk custom tourism other EM Axier contracts (tourism 2019/12  Number of consultations and media people in township traffic signs) publicity held  Setting up tourism traffic signs Axier Tacheng city on the project road  Number of participants (disaggregated township and tourism Daur Museum by sex and ethnicity)  Recruiting a folk custom Tacheng city bureau (TTB) (booklets) tourism specialist to develop  Number of tourists visits (post project) the Daur Museum promotion TTB (media  A folk custom tourism specialist is plan (see ToR in Annex 1) publicity) recruited

 Printing Daur folk custom Project museum booklet implementation  Promoting tourism media budget (CNY publicity combined with TTB 62,000) for a folk plan museum tourism specialist (consulting services) B2. Increase coverage of public EM PMO Public transport 2017/01– transport services communities Public company 2019/12  Number of new bus service routes (Tuoli) transport  Number of new stops  Increase bus service routes company and stops

B3. Promoting traffic safety All residents, PMO PMO (printing 2015/05– measures including Contractors materials) 2019/12  Number of bilingual road signs EMs Communities/  Number of people receiving safety  Produce permanent and communities, villages Civil works temporary bilingual road signs training (disaggregated by sex and Schools near Schools contracts (road ethnicity)  Promote traffic safety the Traffic Police signs) awareness education construction Brigade  Incidence of traffic accidents with EM area TPB (provide involvement (post project)  Regular publicity on traffic training) safety laws and regulations

B4. Promoting public participation in All residents, PMO PMO (printing 2015/05– sanitation, water supply and district including Contractors materials) 2019/12  Number of sessions held heating public hearings (to be held in EMs, school Environment  Number of people receiving safety Mandarin, Kazakh and other children (for al Sanitation Civil works training (disaggregated by sex and languages) sanitation) Division contracts(dust bins) ethnicity)

 Community sessions on Administrative  Number of people participating in public environmental and sanitation expenses of hearings (disaggregated by sex and awareness with focus on EMs respective ethnicity) cultural characteristics authorities  Community consultations on location of garbage bins, pickup sites, and other sanitation improvements prior to replacement  Public hearings on tariff reforms on water supply and district heating (50% EMs, 40% women)

B5. Employment during project About 1,286 PMO PMO (cost of 2015/05– construction and operation temporary Contractors trainings organized 2019/12  Record of employment (disaggregated jobs during Labor and by LSSB) by sex and ethnicity)  At least 40 % of construction construction, social labor employment to local  Amount of wages paid (disaggregated and 237 full security LSSB budget by sex and ethnicity) ethnic minorities, and 30% to time positions bureau women including ethnic in operation, (LSSB) Civil works contract  Number of trainings held for vulnerable minority women All Communities EMs  At least 40 % of operation jobs beneficiaries, ESD  Number of vulnerable EMs ( in total to local ethnic minorities, and including 14,000) participated in skill trainings 30% to women including ethnic EMs (disaggregated by sex and ethnicity) minority women  Providing information on other local employment opportunities and requirements (bilingual). Coordination for outreach will be done by LSSB  Enhancing employment skills of vulnerable households B6. Capacity Strengthening At least one PMO, LAR Included in local 2015/05– staff who can Office government 2019/12  Number of staff of PMOs and LAR  Staff of PMOs and LAR Offices speak local financial budget Offices (disaggregated by sex and can speak and understand language; ethnicity) local (EM) language  Number of staff responsible for EMDP  PMOs and LAR Offices have At least one (disaggregated by sex and ethnicity) female staff female staff;

 PMOs and LAR Offices have At least one staffs responsible for staff implementation of EMDP responsible for EMDP CDPC = Center for Disease Prevention and Control; EM = ethnic minority; ERAB = Ethnic and Religious Affairs Bureau; ESD = Environmental Sanitation Division; IA = implementing agency; LSSB = Labor and Social Security Bureau; RP = resettlement plan; TPB = traffic police brigade; TTB = Tacheng City Tourism Bureau.

IX. INSTITUTIONAL ARRANGEMENTS AND CAPACITY DEVELOPMENT

119. The Tacheng Prefecture Government is the executing agency (EA) of the Project. The Tacheng Prefecture PMO is responsible for supervision and management of the project implementation and reporting to ADB on behalf of the EA. The construction bureau of each project city/county is the implementing agency (IA) responsible for the implementation of the Project components in their city/county, while the city/county PMO is responsible for supervision and management of implementation of the project components related to their city/county.

120. The Tacheng Prefecture PMO will require that the city/county PMOs be responsible for implementing the EMDP; each city/county PMO will be asked to assign a staff member to be responsible for the project social safeguards; this will include implementation of the resettlement plans, this EMDP, the SDAP, and the GAP. The safeguards staff will be responsible for assigning particular responsibilities for implementation of certain actions prescribed in the EMDP. The safeguards staff will also be responsible for coordination of internal and external monitoring, including that required by the EMDP. The community office staff will provide an important link between the ethnic minority and other residents, and the city/county PMO social safeguards staff. They will also assist with any project-related community meetings, facilitating, in particular, the participation of ethnic minority women.

121. The safeguards staff will also work closely with the implementing agencies (IAs) and the implementing units to ensure that contractors are aware of, and in compliance with, their responsibilities under the EMDP.

122. The Ethnic and Religious Affairs Bureaus in each of the city/counties will assist with those activities in the EMDP that require input regarding the local ethnic minority beliefs and customs. They will also provide support to coordinate, advice, and assist in monitoring the implementation progress.

123. The Center for Disease Prevention and Control in each county will work with the PMO safeguard staff to conduct HIV/AIDS/STIs and communicable disease awareness and prevention campaigns, both in the community, and among contract workforces.

124. Before the commencement of any project component, representatives of all government organizations, including community offices, will be briefed on (i) ADB’s safeguards policies with respect to ethnic minority peoples; (ii) the content and purpose of the EMDP; and (iii) the contents of the briefing notes which the ERAB will provide to contractors, and which contractors will be obliged to include in their induction of new employees.

125. Findings from the EMDP consultation confirmed the need for further bilingual language training in departments which work with ethnic minority people and issues. For the departments involved in ethnic minority work, it is estimated that 80% of all cadres (including Kazakh, and some Han, and some other ethnic minorities) are bilingual. However, the PMO has suggested that the remaining 20% of cadres, who come from Han and other ethnic groups and who do not speak Kazakh or other languages, receive training in those languages. Staff fluent in the Kazakh language could serve as teachers. It is felt that improved language communication skills could make it easier for non-bilingual speaking staff members to directly address ethnic minority issues. Costs for such training will be minimal and will be funded through the government;

41 currently each department submits an application for training to the government and the government pays the costs.

X. CONSULTATION, PARTICIPATION AND INFORMATION DISCLOSURE

10.1 Consultation during Project Preparation

126. As part of the poverty, social and gender analysis, a number of consultative meetings were held in the county seats, both with community members in general, and with women on their own. Ethnic minority people were involved in all these meetings. To ensure that any issues specific to ethnic minority groups were also identified additional meetings involving only ethnic minority participants were held in each county seat. Interviews with key informants, including representatives from the ACWF and the ERAB, also included a discussion of ethnic minority issues in all of the project counties.

127. In addition, as described in the RPs, care was taken to include ethnic minority peoples in all meetings relating to project design, resettlement and environment impact assessment. Ethnic minority households were included also in PSA and LAR impact assessment survey. During consultations, specific ethnic minority focus group discussions were also held to discuss the relevant issues in depth and to collect relevant data.

128. Most of the comments of both key informant interviews and consultative meeting participants focused on concerns about the traffic management and environmental sanitation in the towns, and about unemployment in the ethnic minority communities. Few project relevant issues specific to ethnic minority peoples, as opposed to the general population, were raised during these meetings.

129. The enhancement and mitigation measures explained above respond directly to the concerns raised on encouraging employment, ensuring consultation and providing awareness programs on environmental sanitation and traffic safety.

10.2 Consultation and Participation during Implementation

130. Ethnic minority people’s participation in preparation and implementation of the Project components, including RPs has been and will continue leading up to and during implementation. Resettlement information brochures setting out entitlements and compensation mechanisms have been provided in both Mandarin and Kazakh and other local languages if necessary, with appropriate graphic illustration. The RPs also provided a process for the ongoing involvement of all project-affected people, including ethnic minority people, throughout the project implementation.

131. A number of measures will be taken to ensure the inclusion of both men and women from ethnic minority households in this public participation process. These include (i) the timing of meetings to ensure that this will not be a barrier to the attendance of ethnic minority residents, particularly ethnic minority women; (ii) the provision of translation of both verbal and written communications in the community engagement process; (iii) cultural sensitivity in the way information is presented; (iv) regular consultation with ethnic minority people, to identify and difficulties, needs, and/or priorities they may be having with project implementation, and taking these into account wherever possible; (v) consulting ethnic minority people (male and female, separately) in the course of both internal and external monitoring and evaluation; and

(vi) establishing a system of focal points within IAs and community offices to facilitate liaising with communities.

132. The actions related to the consultation and participation will be coordinated by the PMO and IAs.

XI. DISCLOSURE OF THE EMDP

133. The draft EMDP approved by ADB was distributed to each affected town, neighborhood community, and village in December 2014. If there are any comments and feedback from affected communities, those will be incorporated into a final version.

134. The draft EMDP will be uploaded to the ADB website in February 2015. If there are any revisions to the EMDP, the final version will be uploaded to the ADB website and distributed to the IAs, county seat governments, implementing units, and affected ethnic minority neighborhood communities and villages. This will also be announced in the local media.

XII. GRIEVANCE REDRESS MECHANISM

135. Any complaints or grievances of ethnic minority people during the project will be handled in accordance with the same grievance redress procedures established in the RPs and EMP. A grievance or an appeal can progress through a number of stages if the appellant is not satisfied with the initial response. The RPs outline (i) details of these stages, (ii) the procedures for moving through the different stages, and (iii) the different agencies which will be responsible for handling an appeal at each stage. The stages are as follows:

Stage 1: If any ethnic minority person is dissatisfied with the implementation of the EMDP, he/she can report this to village/community committee or submit a verbal or written petition and/or complaint to township government/urban district office. The township government/urban district office must give a clear reply within 2 weeks.

Stage 2: If the ethnic minority person is dissatisfied with the disposition of Stage 1, he/she may file the complaint to the county PMO safeguard specialist. For a verbal complaint the PMO should record it properly in a complaint register. To solve the complaint the city/county PMO will work with city/county ERAB and reply to complainant within 2 weeks. If the complaint is successfully solved, the city/county PMO informs the Tacheng Prefecture PMO which records the grievance redress process in its central register.

Stage 3: If the ethnic minority person is still dissatisfied with the disposition of Stage 2, he/she may apply for administrative reconsideration with the Tacheng Prefecture PMO or ERAB. The PMO and ERAB will work together to solve the complaints and reply within 2 weeks.

136. Alternatively, he/she may submit the case to the civil court in accordance with the Civil Procedure Law of the PRC at any time irrespective of the use and progress of the GRM process.

137. The above means of appeal, and the names, locations, persons responsible, and telephone numbers of the appeal accepting agencies will be communicated to the ethnic minority residents at a meeting and be available in the city/county PMO with the safeguard staff so that the ethnic minority persons know their right of appeal.

138. All agencies will accept grievances and appeals for free, and any costs so reasonably incurred will be disbursed from the contingency costs. These appeal procedures will remain effective until the approval of ADB’s project completion report to ensure that the people can use them to address relevant issues.

139. The aggrieved person may also express grievance to the external monitor, who would then report it to the PMO and/or may submit a complaint to the ADB’s Project Team to try to resolve the problem. If good faith efforts are still unsuccessful, they may submit their complaint to ADB's Accountability Mechanism (2012).10 The first step requires good faith efforts to resolve the problem with the ADB Project Team.

10 http://www.adb.org/Accountability-Mechanism/default.asp.

XIII. MONITORING, REPORTING, AND EVALUATION

140. Monitoring and evaluation of the EMDP implementation is required to ensure the action plan (Table 12) is implemented properly and effectively, and that the objectives of the EMDP are being met.

13.1 Internal Monitoring

141. The city/county PMO and IA safeguard staff will monitor the progress of the overall project including that of the EMDP, according to the monitoring indicators included in Table 12.

142. The city/county PMO and IAs will prepare and submit semi-annual monitoring reports to Tacheng Prefecture PMO, who will consolidate the reports and submit them to the executing agency for forwarding to ADB attached to every other Quarterly Progress Report. The reports, by subcomponent, will review progress, newly emerged issues, and corrective actions if and where required.

13.2 External Monitoring and Evaluation

143. An external monitoring agency (EMA) to provide independent monitoring and auditing of the EMDP implementation has been included in the overall project budget. Prior to project implementation, the Tacheng Prefecture PMO will contract an independent institute or nongovernment organization as the EMA. The EMA will develop a monitoring and evaluation plan. The external monitoring will be conducted semi-annually in conjunction with the monitoring of the RP. Field investigations will be conducted twice a year which will include collection of secondary data, household survey, focus group discussions and key informant meetings with relevant agencies focusing on target groups and the issues set out in the EMDP action plan (Table 12). The terms of reference for the external monitor is provided in Annex 2. Reports will assess the effectiveness of the EMDP activities and identify recommendations for follow up by the PMO.

144. The reports will be reviewed by the PMO and ADB to determine the appropriate response to any issues identified and suggested follow up actions. If any serious issues arise, a corrective action plan will be formulated and agreed upon with ADB. The reports and corrective action plan, if any, will be made public in local community offices and distributed to the implementing agencies for the EMDP for taking actions. ADB will upload these reports and any corrective action plan to their website.

145. Objectives of the external monitoring of the EMDP will include: (i) ensuring that the EMDP is being properly implemented and the overall objectives of the EMDP are being met, (ii) collecting data and information to identify progress, (iii) qualitative data to describe impacts of EMDP measures, (iv) ensuring that appropriate participatory approaches have been adopted and that appropriate involvement of minority men and women in planning and implementation has undertaken,

(v) identifying issues or complaints and ensuring that the grievance mechanism is effective, and (vi) updating the monitoring indicators specified in Table 12.

XIV. BUDGET AND FINANCING

146. All activities are a part of project design and fully covered in the components’ costs, the SDAP and consulting services budget.

147. Allowance has been made in costing the planning and implementation of EMDP actions, including consultations, translations of documents, communications costs, training, road safety and HIV/AIDS/STIs awareness campaigns, and monitoring and reporting. It is essential to ensure that minority groups are fully able to participate, and receive maximum benefit from training and any printed materials relating to the project itself, or related matters.

148. The actions to be implemented under the EMDP focus on inclusion in the project and are therefore largely cost neutral. The actions will (i) be included as part of the project budget; or (ii) represent expenses contractors incur as line items in their budgets; or (iii) be implemented by staff of government agencies, and hence are covered by local government staffing and related costs.

149. Itemized costs are as follows:

(i) costs for adequate compensation (based on entitlements) for ethnic minority people affected by land acquisition are included in the resettlement plans, including measures for vulnerable groups (about 1% of RP budgets); (ii) cost to engage a Daur National Folk Tourism Specialist is estimated to be CNY62,000, and part of input of a National Social Safeguard Consultant in about CNY31,000, which will be financed under the loan for consultancy services. (iii) the cost of both temporary and permanent bilingual traffic safety features such as signs, barriers, markings, etc., is included in the cost of each road subcomponent and will be incorporated into the contractor’s construction costs; (iv) costs for training construction workers on HIV/AIDS, STIs and communicable disease awareness and prevention, and for briefing workers on the ethnic minority customs and beliefs which must be respected will be included as line items in the bill of quantities for each contract and will be the responsibility of the contractor; (v) the ERAB will provide the briefings on local ethnic minority customs and beliefs to for supervisors, and contractors will bear the costs of time lost by supervisors; and (vi) the costs for supervision and internal monitoring and reporting will be covered by the PMOs; and (vii) the costs for external monitoring and evaluation of the EMDP is estimated in CNY 200,000 for the consulting service.

150. The estimated EMDP budget for a national customs tourism specialist, a social safeguard implementation consultant and EMDP external monitoring is about CNY 293,000.

ANNEX 1: TERMS OF REFERENCE NATIONAL FOLK CUSTOM TOURISM SPECIALIST

1. A national folk custom tourism specialist (2 person-months). The specialist should have a Master’s degree in relevant education field (tourism, art, history, social science, etc.) related to character culture, customs, social and economic development of ethnic minority groups. He/she should have at least five years’ experience in project implementation related to planning, design, or consulting on ethnic minority character tourism, or in study and research on cultural, history, customs of ethnic minority groups. Familiarity with Daur nationality culture is essential.

2. The objective of the work is to promote inclusiveness of the project benefits to local ethnic minority groups, to promote local tourism development with ethnic minority characters, and to improve income of local ethnic minority groups, especially Daur group.

3. Tasks of the Consultant:

Task 1: Identify project benefits involved in local tourism development with ethnic minority character

(i) Identify impacts and benefits of the Kalangguer River rehabilitation and road network construction to local tourism development of Tacheng city and Axier township; (ii) Discuss the project impacts and benefits with Tacheng city tourism bureau and Axier township government, and resident representatives; (iii) Understand requirements of Tacheng city tourism bureau and Axier township government for local ethnic minority character tourism development, and (iv) Identify main problems affected local ethnic minority character tourism development.

Task 2: Understand Tacheng city and Axier township tourism development plans

(i) Review tourism development plans of Tacheng city and Axier township; (ii) Introduce good practices in national ethnic minority character tourism to Tacheng city and Axier township; and (iii) Provide suggestion to improve the current tourism development plans.

Task 3: Develop an action plan with strong recommendations on Axier Daur custom tourism development and Daur ethnic custom garden planning and design, including the Daur custom museum

(i) Review planning and design of Daur ethnic custom garden; (ii) Discuss current and future exhibition contents of the Daur custom museum; (iii) Discuss contents and features of the garden design with township government and village representatives; and (iv) Provide time-bound implementable action plan on Axier Daur custom tourism development and Daur ethnic custom garden planning and design.

4. The specialist will deliver (i) a presentation of good practices of ethnic minority character tourism; and (ii) action plan and recommendations to improve the current tourism development plans and Daur ethnic custom garden planning and design of Axier Township.

5. The work should be supported by Tacheng PMO, Tacheng city tourism bureau, Tacheng ERAB and Axier Township government in (i) providing relevant documents and data; (ii) meeting with relevant officials and representatives of residents; and (iii) visiting sites.

ANNEX 2: Terms of Reference for the Ethnic Minority Development Plan External Monitor

1. Introduction. The ethnic minority development plan (EMDP) for the Xinjiang Tacheng Border Cities and Counties Development Project outlines specific actions to promote inclusion of ethnic minorities in the project activities to ensure positive benefits and mitigation of any negative impacts. It forms a stand-alone document to ensure compliance with the Asian Development Bank’s (ADB) Safeguard Policy Statement (2009), specifically Safeguard Requirement 3 for Indigenous Peoples.

2. The objectives of the external monitor are to (i) ensure the conditions and action plan of the EMDP are implemented in accordance with relevant regulations of the People’s Republic of China and ADB’s Safeguard Policy Statement; (ii) assess the impacts of the EMDP action plan implementation on the ethnic minority people; (iii) assess the overall efficiency and effectiveness of the EMDP implementation; and (iv) suggest necessary adjustments to ensure that ethnic minorities are no worse off and that they benefit from the project in an equitable and culturally appropriate manner.

3. Methodology and Content. The general methodology will involve secondary data collection, key informant interviews, collection and analysis of household survey data, and participatory rapid appraisal techniques. This will allow assessing the impacts, progress, funding, organization, and management of the EMDP activities.

4. The tasks of the external monitoring and evaluation will include:

(i) collection of data (from primary and secondary sources) at provincial, county and county seat levels relating to indicators in Table 12 of the EMDP; (ii) monitoring the impact of key project activities on ethnic minorities; (iii) monitoring the implementation and effectives of EMDP activities as specified in Table 12 of the EMDP; (iv) monitoring the consultation, participation, and disclosure activities and their effectiveness; (v) monitoring the effectiveness of the grievance redress mechanism; and (vi) preparation of semi-annual reporting of results for submission to the Tacheng project management office, Ethnic and Religious Affairs Bureau, and ADB. 5. Reporting and Dissemination. The monitoring and evaluation reports shall be submitted semi-annually. Copies sent to ADB should be in English. The Mandarin and Kazakh or other languages if necessary versions should also be provided to local agencies involved in the EMDP implementation and be made available to affected residents (e.g., website, local libraries, etc.).

6. Reports should provide summaries of principal findings, tabulations of key indicators, qualitative and quantitative descriptions of main changes for minorities and conclusions and implications, if any, for additional actions or assistance.

7. The final monitoring and evaluation report will constitute a completion report on the EMDP process and detail the extent to which the EMDP has (i) complied with ADB policy, met

52 the objectives stated in the EMDP, and (iii) contributed to the welfare and inclusion of minorities in the project areas.

8. Qualification of Contracted Institute/Consultant to Implement the Monitoring and Evaluation. The qualification of the contracted institute/consultant to carry out this external monitoring and evaluation includes:

(i) at least 5 years of working experience in similar tasks with international development projects; (ii) sound knowledge on ethnic minorities in Tacheng and Xinjiang, social sciences and participatory development; (iii) knowledge and skills in designing instruments for data collection, especially at the community level; (iv) experience working with IFI safeguard policies; and (v) experience in using rapid participatory appraisal techniques.

9. Cost Estimate. The costs for supervision and external monitoring and evaluation of the EMDP is incorporated in the in the costs of RP budget. The total budget for both the resettlement and EMDP supervision, monitoring, and evaluation is CNY593,000, including cost for EMDP of CNY200,000.

ANNEX 3. Household Questionnaire Survey Sampling Number of Number of Number of Total Number of Sampling No. Community/village Total Ethnic Minority Sampling Ethnic Minority Households Households Households Households Tacheng City 1 Bali Village 107 6 35 3 2 Mayihai Village 152 109 56 36 3 Yuanyi Village 413 49 40 27 4 Wuli Village 223 23 50 15 5 Shangtasiken Village 268 13 36 8 6 Tasiken Village 392 10 38 4 7 Sazi Village 434 180 40 25 8 Guangchang Community 1,222 230 25 17 9 New-city Community 2,902 895 30 15 10 Dubieke Community 1,800 548 30 15 Total 7,913 2,063 380 165 Emin County 1 Aerxiate Road Community 1,590 1,224 60 38 2 Ageleke Road Community 923 277 45 21 3 Binhe Community 943 481 30 14 4 Youhao Road Community 1,104 508 50 23 5 Qiaodong Community 2,125 998 65 35 6 Tacheng Road Community 2,457 1,376 70 32 7 Wenhua Road Community 1,362 545 55 21 8 Xijiao Community 889 90 50 17 9 Yingbin Road Community 2,160 972 60 32 10 Jiaodong Village 174 46 23 13 11 Jiujiahu Village 182 42 30 16 Total 13,909 6,559 538 262 Yumin County Kalaqiaoke Street 1 729 146 50 20 Community 2 Gongye Street Community 965 308 45 23 3 Jiayimale Street Community 1,246 497 60 21 4 Wenhua Street Community 903 338 50 20 5 Tuanjie Street Community 847 209 60 20 6 North Halabula Village 762 50 30 15 7 South Halabula Village 314 14 5 2 Total 5,766 1,562 300 120 Tuoli County 1 Jingquan Community 1,026 817 34 20 2 Baigetuobie Community 1,120 689 45 34 3 Tiesibahan Community 1,165 557 40 36 4 Kalagaibasitao Community 1,439 1,111 25 11 5 Wenhua Street Community 1,904 807 33 18

Number of Number of Number of Total Number of Sampling No. Community/village Total Ethnic Minority Sampling Ethnic Minority Households Households Households Households 6 Fuxing Road Community 2,595 929 38 22 7 Chengjiao Village 120 1 23 1 8 Baigetuobie Village 288 26 15 7 9 Tiesibahan Village 128 126 17 15 Total 9,785 5,063 270 164

ANNEX 4. Scope of Resettlement and Details of Affected Households Tacheng City Affected Total Affected Affected EM population Population Population Impact in % HH person HH person Person % House Demolition only 158 560 18 64 11.4 Land Acquisition only 263 866 40 122 14.1 Both 29 100 8 34 34.0 Shops and Enterprises 15 127 0 22 17.3 Sub-total 465 1,653 66 242 14.6 Emin County House Demolition only 74 282 35 158 56.0 Land Acquisition only 32 103 10 28 27.2 Both 0 0 0 0 0 Shops and Enterprises 0 0 0 0 0 Sub-total 106 385 45 186 48.3 Yumin County House Demolition only 0 0 0 0 0 Land Acquisition only 41 161 5 25 15.5 Both 0 0 0 0 0 Shops and Enterprises 0 0 0 0 0 Sub-total 41 161 5 25 15.5 Tuoli County House Demolition only 0 0 0 0 0 Land Acquisition only 77 323 44 182 56.3 Both 0 0 0 0 0 Shops and Enterprises 0 0 0 0 0 Sub-total 77 323 44 182 56.3 Summary House Demolition only 232 842 53 222 26.4 Land Acquisition only 413 1,453 99 357 24.6 Both 29 100 8 34 34.0 Shops and Enterprises 15 127 0 22 17.3 Total 689 2522 160 635 25.1