S ocial Monitoring Report

Project Number: 48023-003 October 2020

Period: April 2020 to September 2020

PRC: Ningxia Liupanshan Poverty Reduction Rural Road Development Project

Submitted by Ningxia Project Management Office and Hangzhou Darren Engineer Project Management Co. Ltd.

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

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

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

External Resettlement Monitoring and Evaluation Report No.5

(From April 2020 to September 2020)

Hangzhou Darren Engineer Project Management Co. Ltd.

Resettlement External M&E Team

October 2020

ABBREVIATIONS

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

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

Executive Summary

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

1. According to implementation progress of the Project, the 5rd external resettlement monitoring and evaluation report mainly covers the subprojects in: (1) Tongxin County, Wuzhong City; (2) Yuanzhou District, Guyuan City; (3) Xiji County, Guyuan City; (4) Pengyang County, Guyuan City; and (5) Jingyuan County, Guyuan City①. A total of 6 rural trunk roads (see details in table 1-2) are monitored in this report with a period from April 2020 to 30 September 2020.

2. This resettlement M&E report mainly includes changes of LAR impacts, project and resettlement implementation progress, compensation compliance, implementation of livelihood restoration and resettlement measures, institutional capacity-building, complaints and appeals redress, satisfaction levels of affected people, etc.

E2. Changes of LAR Impacts and RPs Updating

3. Tongxin Subproject has updated the original RP on basis of final design and DMS in June 2019. Xiji Subproject has updated the original RP on basis of final design and DMS in March 2020.The Guyuan-Xiji Road in Yuanzhou District (Guanting-Yuanzhou Section) Subproject has updated the original RP on basis of final design and DMS in February 2020, but Wanzhang-Sanying Road hasn’t updated its original RP. Jingyuan Subproject has updated the original RP on basis of final design and DMS in May 2020.

4. According to monitoring, the LAR impacts of the above subprojects has changed to varying degrees, but the principle of avoiding and minimizing the LAR impacts was followed.

5. As of 30 September 2020, Pengyang Subproject and Wanzhang-Sanying Road in Yuanzhou District Subproject have not been updated the RPs, so the LAR impacts have no changes in these two subprojects.

E3. LAR Progress and Implementation Monitoring

6. Tongxin Subproject has completed the signing of LA and HD agreements by June 2020. So far, about 80% of the resettlement funds have been paid out, and the relevant data are still being collected and summarized.

7. The Guyuan-Xiji Road in Yuanzhou District (Guanting-Yuanzhou Section) Subproject has started civil works in August 2020 in areas that do not involve farmland acquisition and HD. At present, the land measurement verification and houses value appraisal are being carried out, LA and HD agreements have not yet been signed. The Wanzhang-Sanying Road in Yuanzhou District Subproject started civil works in September 2020 on the original road scope, has not yet started RP implementation.

8. The Xiji Subproject has started civil works in July 2020 in areas that do not involve farmland acquisition and HD. At present, the land measurement verification and houses value appraisal are being carried out, LA and HD agreements have not yet been signed.

9. The Jingyuan Subproject has started civil works in July 2020 in areas that do not involve farmland acquisition and HD. At present, the results of land measurement verification and houses demolition value appraisal have been disclosed to affected communities and HHs. The LA agreements are being signed, the HD agreements has not yet been signed.

① The Haiyuan subproject was completed in 2019, see details in the 4th external resettlement monitoring report. The one feeder road in Longde County, which only involved relocation of some ground attachments, was completed in 2017. See details in the 2th external resettlement monitoring report. After the design changes of Dongxia-Digou feeder road in Jingyuan County, it does not involve LAR impacts, and has been upgraded and completed on the original road with domestic funds in 2019. I

10. The Pengyang Subproject has not started resettlement implementation and construction of civil works.

E4. Readiness and Disbursement of Resettlement Funds

11. Haiyuan Subproject has completed the payment of all resettlement funds. Tongxin County has completed about 80% payment of resettlement funds. The resettlement funds in other 4 project counties have not been disbursed and paid for the time being.

E5. Information Disclosure, Pubic Consultation and Grievance Redress

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

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

E6. Main Findings

14. (i) Updating of RPs: as of 30 September 2020, Tongxin andXiji and Jingyuan subprojects have updated their RPs, and the Guyuan-Xiji Road in Yuanzhou District (Guanting-Yuanzhou Section)subproject has updated the RP; however, Pengyang Subproject and Wanzhang-Sanying Road in Yuanzhou District Subproject have not updated the original RPs.

15. (ii) Project and resettlement implementation progress: as of 30 September 2020, Tongxin Subproject has completed the signing of LA and HD agreements and about 80% payment of resettlement funds.

16. The Guyuan-Xiji Road in Yuanzhou District (Guanting-Yuanzhou Section) Subproject has started civil works in August 2020 in areas that do not involve farmland acquisition and HD. At present, the land measurement verification and houses value appraisal are being carried out, the agreements of LA and HD have not yet been signed. The Wanzhang-Sanying Road in Yuanzhou District Subproject started civil works in September 2020 on the original road scope, has not yet started RP implementation.

17. The Xiji Subproject has started civil works in July 2020 in areas that do not involve farmland acquisition and HD. At present, the land measurement verification and houses value appraisal are being carried out, LA and HD agreements have not yet been signed.

18. The Jingyuan Subproject has started civil works in July 2020 in areas that do not involve farmland acquisition and HD. At present, the results of land measurement verification and houses value appraisal have been published. LA agreements are being signed, HD agreements have not yet been signed.

19. The Pengyang Subproject has not started resettlement implementation and construction of civil works.

20. (iii) Project implementing institutions and capacity-building: the responsibilities and tasks of relevant institutions at all levels are clear, and staff need to continue to increase their inputs and strengthen the management and reporting system for resettlement implementation.

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

E7. Main Recommendations

II 22. (i) Sub-PMO in Pengyang should update the original RP in a timely manner. In Yuanzhou District, the RP of Wanzhang to Sanying Road should be updated soon.

23. (ii) Sub-PMOs in Pengyang, Yuanzhou and Xiji should obtain the approval for construction land as soon as possible, and speed up the project implementation progress.

24. (iii) Tongxin Subproject should complete the payment of the resettlement funds as soon as possible. The Guyuan-Xiji Road in Yuanzhou District (Guanting-Yuanzhou Section) should speed up to sign the LA and HD agreements, and thus complete the demolition compensation resettlement work.

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

26. (v) The district/county PMOs need to coordinate the relevant government departments as soon as possible, and to push forward the LA and HD and resettlement activities strictly follow the URP approved by ADB.

27. (vi) The district/county PMOs need to further strengthen the institutional and personnel capacity for project and resettlement implementation, and improve internal monitoring and reporting system.

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

III Table of Contents

Executive Summary ························································································ I

1 Brief Introduction of the Project and Resettlement External M&E ········ 8

1.1 Project background ························································································ 8

1.2 Construction Contents and Scales ······························································· 9

1.3 External Resettlement Monitoring and Evaluation ··································· 12 1.3.1 EMA ·································································································································· 12 1.3.2 M&E Scope ······················································································································ 12 1.3.3 M&E Contents ················································································································· 12

2 Monitoring and Evaluation of Resettlement Implementation ··············· 13

2.1 Summary of Resettlement Impacts and RPs Updating ···························· 13

2.2 Resettlement M&E of Subproject in Tongxin County, Wuzhong Municipality ··············································································································· 13 2.2.1 Planned and Actual Resettlement Impacts ································································· 13 2.2.2 Compensation Rates and Resettlement Measures ··················································· 15 2.2.3 Progress of Project and Resettlement Implementation ············································· 16 2.2.4 Main Findings during External M&E ············································································· 19

2.3 Resettlement M&E of Subproject in Yuanzhou District, Guyuan Municipality ··············································································································· 19 2.3.1 Planned and Actual Resettlement Impacts ································································· 19 2.3.2 Compensation Rates and Resettlement Measures ··················································· 21 2.3.3 Progress of Project and Resettlement Implementation ············································· 22 2.3.4 Main Findings during External M&E ············································································· 26

2.4 Resettlement M&E of Subproject in Xiji County, Guyuan Municipality ·· 26 2.4.1 Planned and Actual Resettlement Impacts ································································· 26 2.4.2 Compensation Rates and Resettlement Measures ··················································· 28 2.4.3 Progress of Project and Resettlement Implementation ············································· 29 2.4.4 Main Findings during External M&E ············································································· 29

2.5 Resettlement M&E of Subproject in Pengyang County, Guyuan Municipality ··············································································································· 30 2.5.1 Planned and Actual Resettlement Impacts ································································· 30 2.5.2 Compensation Rates and Resettlement Measures ··················································· 32

IV 2.5.3 Progress of Project and Resettlement Implementation ············································· 33 2.5.4 Main Findings during External M&E ············································································· 33

2.6 Resettlement M&E of Subproject in Jingyuan County, Guyuan Municipality ··············································································································· 34 2.6.1 Planned and Actual Resettlement Impacts ································································· 34 2.6.2 Compensation Rates and Resettlement Measures ··················································· 35 2.6.3 Progress of Project and Resettlement Implementation ············································· 36 2.6.4 Main Findings during External M&E ············································································· 37

3 M&E of Resettlement Funds Disbursement ··········································· 38

3.1 Resettlement Budget and Resources ························································· 38 3.1.1 Tongxin County, Wuzhong Municipality (Updated RP) ·············································· 38 3.1.2 Yuanzhou District, Guyuan Municipality (Original RP, partially updated) ··············· 38 3.1.3 Xiji County, Guyuan Municipality (Updated RP) ························································· 38 3.1.4 Pengyang County, Guyuan Municipality (Original RP) ·············································· 38 3.1.5 Jingyuan County, Guyuan Municipality (Updated RP) ·············································· 39

3.2 Disbursement Status of Resettlement Funds ··········································· 39

4 M&E of Capacity Building of Implementing Agencies and Staff ········· 40

4.1 Establishment of Implementing Agencies ················································· 40

4.2 Staffing ··········································································································· 40

4.3 Evaluation of Implementing Agencies’ Capacity ······································ 41

5 Information Disclosure, Public Participation and GRM ························ 42

5.1 Information Disclosure, Public Consultation and Participation ············· 42

5.2 Status of GRM ······························································································· 47

6 Main Findings and Recommendations ···················································· 48

6.1 Main Findings ································································································ 48

6.2 Main Recommendations ·············································································· 48

V List of Tables

Table 1-1：Basic Information of the Project ...... 8 Table 1-2：Summary of Construction Contents in Project Counties (in original RPs) ...... 10 Table 2-1：LAR Impacts in Original RPs and RPs Preparation/Updating ...... 13 Table 2-2：Permanent Collective Land Acquisition Impacts of Tongxin Subproject ...... 14 Table 2-3： Rural Residential House Demolition Impacts of Tongxin Subproject...... 14 Table 2-4：Affected Population of Tongxin Subproject (Original RP) ...... 14 Table 2-5： Ground Ancillary Facilities Affected by Tongxin Subproject ...... 15 Table 2-6：LA and HD Compensation Standards of Tongxin Subproject ...... 15 Table 2-10： Ground Ancillary Facilities Affected by Yuanzhou Subproject ...... 21 Table 2-11：LA and HD Compensation Standards of Yuanzhou Subproject ...... 21 Table 2-12： Permanent Acquisition of Collective Land of Xiji Subproject ...... 27 Table 2-13：Impacts of Rural Residential House Demolition of Xiji Subproject ...... 27 Table 2-21： Ground Ancillary Facilities Affected by Pengyang Subproject (original plan) ...... 31 Table 2-22：LA and HD Compensation Standards of Pengyang Subproject ...... 32 Table 2-23： Permanent Acquisition of Collective Land of Jingyuan Subproject ...... 34 Table 4-1：Staff of Project and Resettlement Management and Implementing Agencies ...... 40

VI List of Figures

Figure 1-1：Sketch Map of Project Distribution ...... 9 Figure 2-1：Construction Sites in Tongxin County ...... 16 Figure 2-10：Land Pre-examination and permit of site selection of Wanzhang-Sanying Road . 25 Figure 2-12：Land Pre-examination and permit of site selection of Jiangtai-Xitan-Pingfeng Road ...... 29 Figure 2-13：Permit of construction land utilization for Chunshucha (Mengyuan) -Yangping (Chengyang) Road ...... 33 Figure 2-14：Permit of site selection of Shatang (Huanghua Town)–Gaodian Road ...... 37 Figure 5-1： Project Commencement announcement released by the Transportation and Finance Departments of Ningxia Hui Autonomous region ...... 42 Figure 5-2：Special report on the project on the official website of the State Commission for Ethnic Affairs ...... 42 Figure 5-3：Special reports on the project by Ningxia Daily, Sina News and NetEase News .... 43 Figure 5-4：Socioeconomic Survey and Public Consultation on sites During RP Updating ...... 43 Figure 5-5：Public Consultation on sites During External Monitoring ...... 44

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

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

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

3. The Project mainly targets at: 1) improving the technical grade for road network project, increasing network capacity, and perfecting regional road network; 2) enhancing the connection between the project area and surrounding area, improving regional traffic condition, and promoting the economic development of the project area and region; 3) constructing 7 trunk roads and 21 feeder roads in Xiji County, Pengyang County, Jingyuan County, and Yuanzhou District in Guyuan City, Hai County in Zhongwei City, and Tongxin County in Wuzhong City. As required by ADB, resettlement plan should be formulated for 7 trunk roads and 2 feeder roads.

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

1 Country People’s Republic of China (PRC)

2 Loan No. Loan 3444-PRC

3 Project Ningxia Liupanshan Poverty Reduction Rural Road Development Project

4 Borrower Ministry of Finance of the PRC

5 Executing Agency Ningxia Hui Autonomous Region Government (NHARG)

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

7 Total Estimated Cost 265.54 US$ million

8 ADB Loan 100 US$ million

9 IR category B

10 IP category B

11 Approval date 21 Oct 2016

12 Signing Date 10 Apr 2017

13 Effectivity Date 14 Jul 2017

14 Original closing date 30 Jun 2022

Source: ADB website.

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

8

Figure 1-1：Sketch Map of Project Distribution

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

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

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

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

main road K5+123.81, goes westward along the old road, and ends at the unsurfaced road of the west end of the village. The total distance of construction is 11.717 km and the total investment is estimated to be RMB 24,542,200 Yuan. ②LA impacts：A total of 394.52mu of land will be acquired, including 160.01 mu of Farmland (40.6%), 24.31 mu of Residential land (6.2%), and 210.2 mu of Forest land (53.3%). ③HD impacts：The residential houses involved in the house demolition (HD) are rural houses of 2,169 m2, are brick-wood houses of 624 m2 and earth-wood houses of 1,545 m2. ④Affected Persons：112 households with 432 persons will be affected by LA, of which both LA and HD will affect 38 households with 134 persons. ⑤No enterprises or shops are involved in the acquisition and demolition. In addition, scattered trees, poles, wires, tombs, enclosures, water wells and other ground ancillary facilities will be affected. ⑥Temporary Land Occupation：The project will acquire 17 mu of temporary land that is unutilized land. Note: One feeder road (Zhangtian-Jinglin-Yangchuan Road) in Longde County, which only involved relocation of some ground attachments, was completed in 2017. See details in the 2nd external resettlement monitoring report.

Table 1-3：Summary of Rural Roads and LAR Implementation Progresses (up to 30 Sep 2020) Categories LAR # Category Road Name County/district of LAR implementation Remarks impacts progress LA and HD agreements Wangtuan-Yuwang have been signed; about 1 Trunk Tongxin LA, HD ongoing Road 80% of the resettlement funds have been paid out Shatang (Huanghua RP updated in May 2020, 2 Trunk Jingyuan LA, HD ongoing Town)–Gaodian Road LA and HD agreements

11 have been signed, the resettlement funds have not been paid. Chunshucha 3 Trunk (Mengyuan) -Yangping Pengyang LA, HD Not started RP not updated (Chengyang) Road RP updated in Mar 2020, the land measurement verification and houses Jiangtai–Xitan–Pingfeng 4 Trunk Xiji LA, HD ongoing value appraisal are being Road carried out, LA and HD agreements have not been signed RP updated in Feb 2020, the land measurement verification and houses 5 Trunk Guanting–Guyuan Road Yuanzhou LA, HD ongoing value appraisal are being carried out, LA and HD agreements have not been signed Wanzhang–Sanying 6 Trunk Yuanzhou LA, HD Not started RP not updated Road Note: The Haiyuan Subproject was completed in 2019, see details in the 4th external resettlement monitoring report. After the design changes of Dongxia-Digou feeder road in Jingyuan County, it does not involve LAR impacts, and has been upgraded and completed on the original road with domestic funds in 2019.

1.3 External Resettlement Monitoring and Evaluation 6. In line with the requirements in PRs on external resettlement M&E, the EMA prepared this M&E report on basis of the actual progress of the Project. The period covered by this E&M report is from April 2020 to 30 September 2020.

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

1.3.2 M&E Scope 8. External M&E covers all the 6 rural trunk roads in 5 project counties which all involve LAR impacts and external resettlement M&E requirements. Meanwhile, the other 19 rural feeder roads have completed their land compensation activities which were presented in a separate Resettlement Due Diligence Report, which had been submitted to ADB in May 2018.

1.3.3 M&E Contents 9. The external M&E reports will monitor and evaluate the progress and implementation status of RPs in 5 project counties, including changes of LAR impacts, resettlement implementing progress, compliance on compensation for land, houses and other assets, implementation of livelihood restoration and resettlement, the satisfaction levels of affected population, capacity buildings of relevant organizations, GRM, etc.. See details in Table 1-3.

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

No. Project Counties Contents of M&E 1 Tongxin County, Wuzhong Municipality LAR impacts, RP updating and implementation status 2 Yuanzhou District, Guyuan Municipality LAR impacts, RP updating and implementation status 3 Xiji County , Guyuan Municipality LAR impacts, RP updating and implementation status 4 Pengyang County, Guyuan Municipality LAR impacts, RP updating and implementation status 5 Jingyuan County, Guyuan Municipality LAR impacts, RP updating and implementation status

12

2 Monitoring and Evaluation of Resettlement Implementation

2.1 Summary of Resettlement Impacts and RPs Updating 10. Up to 30 September 2020, the RPs of Tongxin, Xiji and Jingyuan subprojects have been updated. The Guyuan-Xiji Road in Yuanzhou District (Guanting-Yuanzhou Section) has updated the original RP on basis of final design and DMS in February 2020, but Wanzhang-Sanying Road hasn’t updated the original RP. In addition, the draft RP of Pengyang Subproject have not been updated on basis of final design and DMS. See details in table 2-1.

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

Project Draft RP No. LAR impacts in draft RPs RP Updating county/district prepared It plans to reconstruct the Wangtuan-Yuwang Road. RP updated and 1942.77 mu of land will be acquired, and 3888m2 of approved in June Draft Tongxin County, rural residential houses will be demolished. Totally 149 2019 standalone 1 Wuzhong HHs with 616 persons will be affected by LAR, in which RP Municipality 25 HHs with 108 persons will be affected by HD. No Prepared enterprises or shops are involved in the acquisition and demolition. The RP of It plans to construct the Guanting-Guyuan Section of Guyuan-Xiji Road Guyuan-Xiji Road and Wanzhang-Sanying Road. (Guanting-Yuanzhou Draft Yuanzhou 1218.2mu of land will be acquired, and 650 m2 of Section) was standalone 2 District, Guyuan residential houses in brick-wood structure will be updated in February RP Municipality demolished. In total, 269 HHs with 1130 persons will be 2020, but the RP of Prepared affected by the subproject. No enterprises or shops are Wanzhang-Sanying involved in the acquisition and demolition. Road has not yet been updated It plans to construct the Jiangtai-Xitan-Pingfeng Road. RP updated and 1898.6mu of land will be acquired, and 500 m2 of approved in March Draft Xiji County , residential houses in earth-wood structure will be 2020 standalone 3 Guyuan demolished. In total, 1188 HHs with 5281 persons will RP Municipality be affected by the subproject, including 4 HHs with 35 Prepared persons affected by HD. No enterprises or shops are involved in the acquisition and demolition. It plans to construct Chunshucha (Mengyuan) RP not updated Pengyang -Yangping (Chengyang) Road. 506.51mu of land will be Draft County, acquired, and 1253.8 m2 of residential houses will be standalone 4 Guyuan demolished. In total, 205 HHs with 814 persons will be RP Municipality affected by the subproject, including 10 HHs with 45 Prepared persons affected by HD. No enterprises or shops are involved in the acquisition and demolition. It plans to construct Shatang (Huanghua RP updated in May Jingyuan Town)–Gaodian Road and Dongxia-Digou road. 394.52 2020. Draft County, mu of land will be acquired, and 2169 m2 of residential standalone 5 Guyuan houses will be demolished. In total, 112 HHs with 432 RP Municipality persons will be affected by the subproject, including 38 Prepared HHs with 134 persons affected by HD. No enterprises or shops are involved in the acquisition and demolition.

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

2.2.1 Planned and Actual Resettlement Impacts

(i) Land Acquisition (LA)

11. See details of the LA impacts in table 2-2.

13 Table 2-2：Permanent Collective Land Acquisition Impacts of Tongxin Subproject

Indicators Original Updated Actual impacts during Remarks Road RP RP implementation (not available so far) Wangtuan - LA Area (mu) 1942.77 2057.42 Under DMS results Yuwang Road Farmland 403.3 339.1① summarizing and Residential 14.11 8.59 verification In land which Unused 1514.01 1458.55 (mu) land Forest 11.35 251.18 land AHs 149 188 APs 616 817 Affected towns 2 2 Affected villages 9 9

(ii) House Demolition (HD)

12. See details of HD impacts in table 2-3.

Table 2-3： Rural Residential House Demolition Impacts of Tongxin Subproject

Indicators Original Updated Actual impacts during Remarks Road RP RP implementation (not available so far) Wangtuan - HD Area (m2) 3888 1759.3 Under DMS results Yuwang Road Timber-brick 3685 721 summarizing and In 203 1038.3 verification which Earth-wood (m2)

AHs 25 20 APs 108 101 Affected towns 2 2 Affected villages 3 4

(iii) Affected Persons (APs)

13. See details of APs in table 2-4.

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

Phases Wangtuan Yuwang Subtotal Type Number of Number Number of Number Number of Number households of people households of households of people people Original RP 95 391 54 225 149 616 Updated RP 78 339 110 478 188 817 LA impact Actual implementation (not available so far) Original RP 22 95 3 13 25 108 Updated RP 16 80 4 21 20 101 -HD impact Actual implementation (not available so far) Original RP 95 391 54 225 149 616 Updated RP 78 339 110 478 188 817 Total Actual implementation (not available so far)

(iv) Affected Infrastructure and Ground Ancillary Facilities

① Including 14.92mu Irrigated land and 324.18 mu farmland. 14 14. The project will affect such ground ancillaries as young crops, ground structures, trees and special facilities. See details in table 2-5.

Table 2-5： Ground Ancillary Facilities Affected by Tongxin Subproject

Actual impacts during implementation Item Unit Updated RP (not available so far) Signboards and advertising boards removal piece 41 Milestone pole and stela piece 522 Well piece 17 Brick wall fence M 268 Earth wall fence M 1898 Caves piece 23 Gate piece 1 Cistern piece 98 Trees with φ<10cm piece 7691 Trees with 10<φ<30cm piece 1002 Trees with φ>30cm piece 99 Nursery garden mu 16.46 Fruit trees No. 167 Electric pole (removed) piece 223 Illuminating lines(removed) piece 268 Telecommunication lines(removed) piece 97 Underground iron water pipes(removed) M 4590 Young crops mu 339.1 2.2.2 Compensation Rates and Resettlement Measures

(i) Compensation rates of LA and HD

15. See details of LA and compensation rates in the table below.

Table 2-6：LA and HD Compensation Standards of Tongxin Subproject

LA Acrid land/Residential land Unused land Forest land Young crops Original RP 6,400 yuan/mu 1,280 yuan/mu N/A 600 yuan/mu Updated RP 24,840 yuan/mu for irrigated land 4,480 and 6,400 yuan/mu for dryland and 1,280 yuan/mu 600 yuan/mu yuan/mu residential land Actual implementation

(not available so far) Subsidy for relocation Makeshift temporal HD Brick-concrete Brick-timber Earth-wood subsidy(One house resettlement（6 time) months） Original RP 310 100 300 yuan/month 600 yuan/M2 410 yuan/M2 1,000yuan yuan/M2 yuan/M2 per HH Updated RP 310 100 300 yuan/month 600 yuan/M2 410 yuan/M2 1,000yuan yuan/M2 yuan/M2 per HH Actual implementation

(not available so far)

(ii) Compensation rates for Temporary Land Occupation

16. As per the updated RP of Tongxin subproject, the planned temporary land occupation of the project is 170 mu, and the type of land occupation is wasteland. The compensation standard for temporary land occupation of this project is determined to be CNY 600 /mu with the reference to the Notice on the Relevant Issues Concerning the Land Use of the Zhongwei-Guiyang Gas Pipeline Project, (Ning Guo Tu Zi Fa [2011] No. 213), issued by the Office of Land and Resources of Ningxia Hui Autonomous Region

(iii) Planned Livelihood Restoration and Resettlement Measures

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

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

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

2.2.3 Progress of Project and Resettlement Implementation

(i) Subproject implementation progress

19. Wangtuan-Yuwang road in Tongxin County: The preliminary design was approved by DRC of Wuzhong Municipality on 8 November 2017 with a document named [WuFaGaiShenFa [2017] #207]. Final design was approved on 13 March 2018, the bidding document was advertised on 11 September 2018, and the bidding opening was completed on 18 October 2018. The Land acquisition announcement was issued in April 2019.The 4 contracts of civil works were awarded on 1 April 2019 and the construction was commenced on 1 July 2019. The civil works are expected to be completed by the end of October 2020.

Figure 2-1：Construction Sites in Tongxin County

(ii) Resettlement Implementation Progress

20. As of 30 September 2020, Tongxin subproject has completed the signing of LA and HD agreements and about 80% payment of resettlement funds. All payment of resettlement funds

16 is expected to be completed by the end of 2020.

21. During this monitoring period, Tongxin PMO has not provided complete data/information and supporting materials for the resettlement funds, which will be tracked and reported in the next monitoring report.

Figure 2-2：Announcement of Land Acquisition and House Demolition for the Wangtuan-Yuwang Road

Figure 2-3：Land Acquisition Agreements Signed with AHs (Sample)

17

Figure 2-4：Land acquisition resettlement funds roster for Yuwang Town Yangquan Village (Sample)

18

Figure 2-5： Value Appraisal Results of Houses to be Demolished (Sample)

2.2.4 Main Findings during External M&E 22. (i) Tongxin subproject has started its construction form early July 2019. So far, the main civil works has been completed and ancillary works are under way .

23. (ii) As of 30 September 2020, Tongxin Subproject has completed the signing of LA and HD agreements and about 80% payment of resettlement funds.

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

2.3.1 Planned and Actual Resettlement Impacts

(i) Land Acquisition

19 24. Details are given in tables 2-7.

Table 2-7：Permanent Acquisition of Collective Land of Yuanzhou Subproject

Updated RP Actual Original implementation Road Indicators （Only partial Remarks RP (not available updates） so far) Permanent land (mu) 527.9 649.35 Farm land 202.4 334.01 Land type Residential land 1.7 2.06 Guyuan-Xiji (mu) Road Unused land 323.8 313.28 (Guanting-Yuan Forest land 0 0 1.RP not zhou section) Number of affected households 94 126 updated of Affected population 395 562 Wanzhang- Town/township 1 1 Sanying Villagers committee 4 4 Road; RP Permanent land (mu) 690.3 implementa Plough 250.6 tion not initiated;2. Land type Residential land 0.8 Actual LAR (mu) Unused land Wanzhang-San 415.1 impacts of ying Road Forest land 23.8 Guyuan-Xiji Number of affected households 175 Road is still Affected population 735 in statistics Town/township 3 Villagers committee 6 Total permanent land(mu) 1218.2 Total Number of affected households 269 Affected population 1130

(ii) House Demolition (HD)

25. See details in the table 2-8.

Table 2-8：Impacts of Rural Residential House demolition of Yuanzhou Subproject

Updated RP Actual implementation Road Indicators Original RP （Only partial Remarks (not available updates） so far) HD Area (m2) 350 380 In which Brick 350 270 Guyuan-Xiji (m2) Earth-wood 0 110 Under survey, Road summarizing and (Guanting-Yuan AHs 3 4 verification zhou section) APs 15 20 Affected towns 1 Affected villages 2 HD Area (m2) 300 In which Brick 300 (m2) Earth-wood 0 Wanzhang-San RP not updated ying Road AHs 3 APs 15 Affected towns 1 Affected villages 1 Total HD Area (m2) 650 Total AHs 6 APs 30

(iii) Affected Persons (APs)

26. See details in the table 2-9.

20 Table 2-9：Affected Population of Yuanzhou Subproject

Guanting Touying Sanying Zhaike Subtotal Type Phases AHs APs AHs APs AHs APs AHs APs AHs APs Original RP 94 395 23 97 112 470 40 168 269 1130 Updated RP（Only partially 126 562 LA impact updated） Actual implementation (not

available so far ) Original RP 3 15 0 0 3 15 0 0 6 30 Updated RP（Only partially 4 20 -HD impact updated） Actual implementation (not

available so far) Original RP 94 395 23 97 112 470 40 168 269 1130 Updated RP（Only partially 126 562 Total updated） Actual implementation (not

available so far)

(iv) Affected Infrastructure and Ground Ancillary Facilities

27. See details in the table 2-10. The subproject has no demolition impacts involving enterprises and institutions and schools, hospitals, religious sites and other sensitive facilities.

Table 2-7： Ground Ancillary Facilities Affected by Yuanzhou Subproject

Quantity Quantity (Updated RP of Actual implementation Category Item Unit (Original RP) Guyuan-Xiji (not available so far) Road) Brick wall fence ㎡ 660 270 Iron gate each 6 8 Ground structure Tomb each 4 7 Sapling mu 2 10 Special facility Concrete pole each 78 84 φ<10cm each 800 7791 Sporadic tree 10cm<φ<30cm each 210 1314 2.3.2 Compensation Rates and Resettlement Measures

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

28. See details in the table 2-11.

Table 2-8：LA and HD Compensation Standards of Yuanzhou Subproject

LA Acrid land/Residential land Unused land Young crops Original RP 6400 yuan/mu 1280 yuan/mu 700 yuan/mu Updated RP 8500 yuan/mu 1700 yuan/mu 1000 yuan/mu Actual implementation (not available so far) transition subsidy（6 HD Brick-concrete Brick-timber Earth-wood Makeshift house months） Original RP 310 600 yuan/M2 410 yuan/M2 100 yuan/M2 300 yuan/month. HH yuan/M2 Updated RP 310 600 yuan/M2 N/A 100 yuan/M2 300 yuan/month. HH yuan/M2 Actual implementation (not available so far)

(ii) Compensation Rate for Temporary Land Occupation

29. According to the updated RP (Guyuan-Xiji Road (Guanting-Yuanzhou section)), the impacts of temporary land use occupation are avoided. 21 (iii) Resettlement and livelihood rehabilitation

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

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

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

2.3.3 Progress of Project and Resettlement Implementation

(i) Subproject implementation progress

32. Guyuan-Xiji Road (Guanting-Yuanzhou section)： The FSR was approved in July 2016. The original land utilization pre-examination has been obtained in 2017. The preliminary design was 1)approved in January 2018, and the construction drawing was approved in March 2018. The tender announcement was issued in July 2019, opened in the end of August 2019, and the contract awarded in the end of 2019. The new land utilization pre-examination has been obtained on September 2020. Due to the ecological red line involved, it is necessary to obtain the approval of occupying the red line of ecological protection, which has been submitted to the Ministry of Natural Resources in April 2020, and is now in processing. According to document No. 41 of the General Office of the CPC Central Committee and the General Office of the State Council (2017), if the occupation of cultivated land is involved in poverty areas, it shall be allowed to occupy the land and supplement the civil works while processing the land approval. The local government issued a land acquisition announcement for the subproject in July 2020, and has started civil works in August 2020 in areas that do not involve farmland acquisition and HD.

22

Figure 2-6：Land Pre-examination and permit of site selection of Guyuan-Xiji Road

Figure 2-7：Land acquisition announcement of Guyuan-Xiji Road

23

Figure 2-8：Construction Notice of Guyuan-Xiji Road

Figure 2-9：Construction sites of Guyuan-Xiji Road (on Non-farmland)

24 33. Wanzhang-Sanying Road：This road has started construction, and the LAR is not yet commenced. The FSR was approved in July 2016. The land utilization pre-examination has been obtained2) already in August 2017.The construction drawing was approved in April 2019. Due to occupation of ecological red line involved, the subproject needs carry on the land utilization pre-examination again, to obtain the approval of construction land. At present, the application is under processing. The project issued a land acquisition notice in July 2020 The progress will be tracked in next reports.

Figure 2-20：Land Pre-examination and permit of site selection of Wanzhang-Sanying Road

25

Figure 2-11：Land requisition announcement of of Wanzhang-Sanying Road

(ii) Resettlement Implementation Progress

34. The RP of Guyuan-Xiji Road (Guanting-Yuanzhou section) has been updated on basis of final design and DMS in February 2020. At present, the land impacts have been measured and verified, the affected people have signed to confirm the land area affected. Because of the need of supplement the measurement and verification, the final results of land measurement have not yet been summarized and disclosed. IA has engaged a third-party evaluation company to evaluate the value of house affected in September 2020. LA and HD agreements have not yet been signed, it is expected to be completed by the end of December 2020.

35. Wanzhang-Sanying Road hasn’t updated the original RP. Because the counterpart funds in of the road have not been put in place, the cost of RP updating has not been paid as scheduled, which leads to the slow progress of RP updating for the Wanzhang-Sanying Road. The Yuanzhou PMO should raise funds as soon as possible to complete the update of RP of Wanzhang-Sanying Road.

2.3.4 Main Findings during External M&E 36. The Guyuan-Xiji Road in Yuanzhou District (Guanting-Yuanzhou Section) Subproject has started civil works in August 2020 in areas that do not involve farmland acquisition and HD. LA and(i) HD agreements have not yet been signed. The resettlement funds have not been disbursed and paid. The Wanzhang-Sanying Road in Yuanzhou District Subproject started civil works in September 2020 on the original road scope.

37. (ii) The Guyuan-Xiji Road (Guanting-Yuanzhou section) Subproject has updated the original RP on basis of final design and DMS in February 2020, but Wanzhang-Sanying Road hasn’t.

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

2.4.1 Planned and Actual Resettlement Impacts

(i) Land Acquisition

38. See details in the table 2-12.

26 Table 2-9： Permanent Acquisition of Collective Land of Xiji Subproject

Actual Road Indicators Original RP Updated RP Remarks implementation Permanent land (mu) 1,898.6 1,815.9 Plough 1,387.4 1,356.4 Land type Residential land 2.7 2.9 Jiangtai-Xitan (mu) Unused land 3.1 0 Implementatio -Pingfeng Forest land 505.4 456.6 n not initiated Road Number of affected households 1,188 1,171 Affected population 5,281 5,132 Town/township 5 4 Villagers committee 20 19

(ii) House Demolition (HD)

39. See details in the table 2-13.

Table 2-10：Impacts of Rural Residential House Demolition of Xiji Subproject

Actual Road Indicators Original RP Updated RP Remarks implementation HD Area (m2) 574 1343 In which Brick 424 832 (m2) Earth-wood 150 511 implementati Jiangtai-Xitan-Pingfeng AHs 8 10 on not Road APs 35 43 initiated Affected towns 3 3 Affected villages 4 3

(iii) Affected Persons (APs)

40. See details in the table 2-14.

Table 2-14： Affected Population of Xiji Subproject

Subtotal Type Phases AHs APs Original RP 1188 5281 Updated RP 1171 5132 LA impact Actual implementation (not available so

far) Original RP 8 35 -HD impact Updated RP 10 43 Actual implementation (not available so

far) Original RP 1188 5281 Updated RP 1171 5132 Total Actual implementation (not available so

far)

(iv) Affected Infrastructure and Ground Ancillary Facilities

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

Table 2-15： Ground Ancillary Facilities Affected by Xiji Subproject

Actual Item Unit Original RP Updated RP implementation Cowshed ㎡ 1789 1708 Brick wall m 18 18 Soil wall m 110 51 Toilet ㎡ 5 5 Concrete floor ㎡ 72 0 27 Brick shed ㎡ 6 6 Cellar single 1 1 Cave dwelling ㎡ 82 83 Grave single 26 26 Weed tree(φ<10cm) single 6262 1173 Weed tree(10<φ<30cm) single 3510 2512 Weed tree(φ>30cm) single 182 0 Fruit tree(Early fruiting) single 692 0 Fruit tree(Not fruiting) single 1083 0 Pine single 2033 0 Pole single 120 353 Buried pipe m 1480 0

2.4.2 Compensation Rates and Resettlement Measures

(i) Compensation rates of LA and HD

42. See details in the table 2-16.

Table 2-16：LA and HD Compensation Standards of Xiji Subproject

Acrid Forest land Forest land LA Young crops land/Residential land （arbor） （bush） Original RP 13472 yuan/mu 9430 yuan/mu 8083 yuan/mu 850 yuan/mu Updated RP 13472 yuan/mu 9430 yuan/mu 8083 yuan/mu 850 yuan/mu Actual implementation (not available so far) transition subsidy HD Brick-timber Earth-wood Moving Subsidy (one-off) （6 months） 300yuan/month. Original RP 600 yuan/M2 310 yuan/M2 1000 yuan HH Updated RP 600 yuan/M2 310 yuan/M2 N/A N/A Actual implementation (not available so far)

(ii) Temporary Land Occupation

43. According to the updated RP, Xiji Subproject will temporarily occupy 144.5 mu of farmland. The compensation standard for temporary occupation of cultivated land is 850 yuan/mu.

(iii) Resettlement and livelihood rehabilitation

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

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

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

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

2.4.3 Progress of Project and Resettlement Implementation

(i) Subproject implementation progress

46. Jiangtai-Xitan-Pingfeng Road: this subproject has started civil works in July 2020 in areas that do not involve farmland acquisition and HD. The land utilization pre-examination has been obtained already.

47. The FSR of the Jiangtai-Xitan-Pingfeng Road in Xiji County was approved in July 2016, and the preliminary design and construction drawing were approved in 2019. Due to the occupation of the basic farmland and ecological red line, it needs to carry on the land utilization pre-examination again and obtain the approval of construction land from Nature and Resources Ministry. Regarding about 2 km of road sections in Gansu Province, IA decided to only renew the original road surface without any widening and additional land use impacts. The subproject issued a tender advertisement on 30 September 2019, and opened the tender in the end of October 2019. The signing of all four civil work package contracts was completed the first half of 2020. So far, the subproject has carried out surface cleaning and excavation works in areas that do not involve farmland acquisition and HD. It has completed the construction of the workers’ campus, temporary access roads, and other associated facilities.

48. So far, the land measurement/verification and houses value appraisal are being carried out, LA and HD agreements have not yet been signed.

Figure 2-32：Land Pre-examination and permit of site selection of Jiangtai-Xitan-Pingfeng Road

(ii) Resettlement Implementation Progress

49. This subproject’s RP has been updated in March 2020 on basis of final design and DMS. At present, the land measurement and verification and houses value appraisal are being carried out, LA and HD agreements have not yet been signed. According to the relevant national procedures, when signing the agreement, it is necessary to publicize the land area and compensation fees to the affected persons firstly. After the publicity is completed, the affected households will begin to sign the agreements and compensation will be paid timely, if there is no dissent. Progress will be tracked in subsequent reports.

2.4.4 Main Findings during External M&E 29 50. Xiji subproject has started civil works in July 2020 in areas that do not involve farmland acquisition and HD. (i) 51. The draft RP has been updated in March 2020 on basis of preliminary design and DMS, so far, the land measurement/verification and houses value appraisal are being carried out, LA(ii) and HD agreements have not yet been signed.

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

2.5.1 Planned and Actual Resettlement Impacts

(i) Land Acquisition

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

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

Table 2-17：Permanent Acquisition of Collective Land of Pengyang County (original plan)

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

(ii) House Demolition (HD)

54. The residential houses involved in the demolition are rural houses of 1,253.8㎡, including 369.6㎡ brick-wood houses and 884.2㎡ earth-wood houses. Ten households with 45 people are affected in total.

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

Table 2-18：Impacts of Residential House Demolition of Pengyang Subproject (original plan)

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

30 Total 369.6 884.2 1253.8 10 45

(iii) Affected Persons (APs)

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

57. As of 30 September 2020, the subproject in Pengyang County has obtained the approval of land utilization pre-examination, however the draft RP is not yet updated. So there is no changes of LAR impacts so far.

Table 2-19：Affected Population of Pengyang Subproject (original plan)

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

(iv) Affected Infrastructure and Ground Ancillary Facilities

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

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

Table 2-20：Temporal Land Use Impacts of Pengyang Subproject (original plan)

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

Table 2-111： Ground Ancillary Facilities Affected by Pengyang Subproject (original plan)

Item Unit Quantity Brick wall m 227 Motor-pumped wall single 2 Cowshed ㎡ 45 Water cellar single 5 Poplar(DBH >10cm) single 11,324 Poplar(DBH <10cm) single 586 Pine(DBH >10cm) single 107 Pine(DBH <10cm) single 1,248 Fruit tree(DBH <10cm) single 88 Cypress(DBH <10cm) single 20 Peach tree((DBH <10cm) single 30 31

2.5.2 Compensation Rates and Resettlement Measures

(i) Compensation rates of LA and HD

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

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

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

Table 2-12：LA and HD Compensation Standards of Pengyang Subproject

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

(ii) Compensation rate for temporary land occupation

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

(iii) Resettlement and livelihood rehabilitation

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

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

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

2) Housing land and subsidy provided by local government: The villagers committees 32 select and allocate appropriate housing land to the affected households, and the allocated area shall be not less than the former area. And the villagers committees have promised that they will arrange housing land within their village to relocate the APs and the resettlement place will be determined before the project is constructed.

3) Resettlement on remaining housing land: As there is over 2 mu of residential land per household, the AHs can rebuild a house within the scope of their residential land after demolition of buildings. The compensation covers compensation for residential land, compensation for housing.

2.5.3 Progress of Project and Resettlement Implementation

(i) Subproject implementation progress

66. Chunshucha (Mengyuan) -Yangping (Chengyang) Road: this subproject does not start construction, and the LAR is not yet commenced so far. The permit note of construction land utilization has been obtained already, and the final design was approved on 30 March 2018. The subproject obtained the land pre-examination approval in August 2019 and the permit to occupy woodland in September 2019.

67. After the completion of the final design, due to occupation of basic farmland and ecological red line, the Chunshucha (Mengyuan) -Yangping (Chengyang) Road needs carry on the land utilization pre-examination again and obtain the approval of construction land. The Department of Natural Resources of Ningxia Autonomous Region has submitted the construction land application of Pengyang subproject to the Ministry of Natural Resources in June 2020, and submitted the relevant revisions as required in July 2020. At present, the Ministry of Natural Resources is reviewing and processing.

68. The subproject has issued a tender advertisement on 16 March 2020, and has opened in April 2020. The contract has not yet been signed. The progress will be tracked in subsequent monitoring reports.

Figure 2-43：Permit of construction land utilization for Chunshucha (Mengyuan) -Yangping (Chengyang) Road

(ii) Resettlement Implementation Progress

69. This subproject’s RP hasn’t updated on basis of final design and DMS, yet LAR does not start.

70. Because the counterpart funds not in place, RP has not been updated as scheduled for Chunshucha (Mengyuan) -Yangping (Chengyang) Road. The Pengyang PMO committed to raise funds and complete the update of RP as soon as possible. The progress will be tracked in subsequent monitoring reports.

2.5.4 Main Findings during External M&E 71. Pengyang subproject has not started construction and LAR yet.

(i) 33 72. The draft RP has not been updated on basis of final design and DMS.

(ii) 2.6 Resettlement M&E of Subproject in Jingyuan County, Guyuan Municipality

2.6.1 Planned and Actual Resettlement Impacts

(i) Land Acquisition

73. See details in the table 2-23.

Table 2-13： Permanent Acquisition of Collective Land of Jingyuan Subproject

Actual Road Indicators Original RP Updated RP Remarks implementation Permanent land (mu) 180.17 179.65 Plough 12.97 12.97 Land type Shatang Residential land 1 0.48 (mu) implement (Huanghua Forest land 166.2 166.2 ationot Town)–Gaodian Number of affected households 13 76 initiated Trunk Road Affected population 47 274 Town/township 2 2 Villagers committee 3 3

Jingyuan Subproject includes Shatang(Huanghua Town)-Gaodian Trunk Road and Dongxia Feeder road. Dongxia Feeder Road, including 1 trunk road and 3 feeder roads. According to the final design, the 3 feeder roads were dropped out, and the 1 trunk road was reduced from 11.717 km to 6.16 km. And from May to October 2019, the road upgrading was completed with domestic counterpart funds, without any LAR impacts。

(ii) House Demolition (HD)

74. According to the updated RP, the Jingyuan subproject involves 42㎡of demolition area, which is a simple shed without wall for storing sundries, affecting 2 households and 9 people. It does not involve any enterprises and institutions. See details in the table 2-24.

Table 2-24：Impacts of Rural Residential House Demolition of Jingyuan Subproject

Actual Road Indicators Original RP Updated RP Remarks implementation HD Area (m2) 144 42 In which Brick 144 0 (m2) Earth-wood 0 42 implementati Shatang (Huanghua AHs 2 2 on not Town)–Gaodian Road APs 9 9 initiated Affected towns 1 1 Affected villages 1 1

(iii) Affected Infrastructure and Ground Ancillary Facilities

75. According to the updated RP, the subproject will affect trees and brick walls. The temporary land use in project design scheme is 17 mu, and the land of temporary occupation all belongs to unused land.

Table 2-25： Ground Ancillary Facilities to be Affected

Actual implementation (not Item Unit Original RP Updated RP available so far) Brick wall m 321 390 Toilet single 2 0 Pine(DBH <15cm) Single 2,164 3342 34 Locust tree(DBH <15cm) Single 6,098 3031 Poplar(DBH >15cm) Single 668 466 Weed tree(DBH >15cm) Single 145 264 Weed tree(DBH <15cm) Single 815 0 Fruit tree(Full Fruit Period) Single 15 0 Nursery mu 20.71 0 Electric pole Unit 47 0

(iv) Affected Persons (APs)

76. According to the updated RP, a total of 76 households with 274 people will be affected, including 74 households with 265 people affected by LA and 2 households with 9 people affected by HD. No enterprise, store or public institution is affected by the land acquisition and demolition. See details in the table 2-26.

Table 2-26：Affected Population of Jingyuan Subproject

Subtotal Type Phases AHs APs Original RP 74 298 LA impact Updated RP 74 265 Actual implementation (not available so far) Original RP 38 134 HD impact Updated RP 2 9 Actual implementation (not available so far) Total Original RP 112 432 Updated RP 76 274

Actual implementation (not available so far)

2.6.2 Compensation Rates and Resettlement Measures

(i) Compensation rates of LA and HD

77. See details in the table 2-27.

Table 2-27：LA and HD Compensation Standards of Jingyuan Subproject

LA mountainous dryland / Residential land Forest land Young crops Original RP 5,670 Yuan/mu 3,969 Yuan/mu 600 Yuan/mu Updated RP 5,670 Yuan/mu 3,969 Yuan/mu 600 Yuan/mu Actual implementation

(not available so far) relocation transition Brick and Makeshift HD brick-concrete Brick-timber Earth-timber subsidy(one subsidy（6 earth-timber house time) months） 1,000 600 410 310 100 1,000 300 Original RP yuan/M2 Yuan/M2 yuan/M2 yuan/M2 yuan/M2 yuan/HH yuan/month.HH 70 Updated RP N/A N/A N/A N/A N/A N/A yuan/M2 Actual implementation

(not available so far) Note: per the updated of RP, the compensation standard for simple structure is 70 yuan / m2, as it is a simple shed for storing feed or tools, without walls, which is more rudimentary than the simple structure in the original RP.

(ii) Compensation for Temporary Land Occupation

78. According to the updated RP, the project will temporarily use 17 mu of barren land. The compensation standard for temporary land occupation is determined as CNY 600 per mu per year. No enterprise, store or public institution will be affected.

35 (iii) Resettlement and livelihood rehabilitation

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

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

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

2.6.3 Progress of Project and Resettlement Implementation

(i) Subproject implementation progress

81. Shatang (Huanghua Town)–Gaodian Road: this subproject has started civil works in July 2020 in areas that do not involve farmland acquisition and HD.

82. The preliminary design of the raod in Jingyuan County was approved on 27 December 2017; and the construction drawing was approved on 10 July 2018. Because of the difficulty of forest land approval processing, Jingyuan County negotiated with the design unit to adjust the route partially, after which the subproject does not involve any forest land, basic farmland and ecological red line. The subproject had issued a tender advertisement on 10 February 2020, due to the impacts of Covid-19 epidemic, the bid openning was postponed to 2 April 2020. Civil construction contract was awarded and construction started in July 2020.The progress will be tracked in next monitoring reports.

83. After the design changes of Dongxia-Digou feeder road in Jingyuan County, it will no longer involve LAR impacts, and has been upgraded and completed on the original road with domestic counterpart funds in 2019.

36

Figure 2-5：Permit of site selection of Shatang (Huanghua Town)–Gaodian Road

(ii) Resettlement Implementation Progress

84. The RP of the trunk road in Jingyuan hasn’t updated on basis of final design and DMS, yet LAR does not start. The Jingyuan PMO committed that the LAR activities will be implemented in compliance with the updated RP to be approved by ADB. The progress will be tracked in next monitoring reports.

2.6.4 Main Findings during External M&E

The trunk road in Jingyuan has started civil works in July 2020.

(i) (ii). Jingyuan Subproject has updated the original RP on basis of final design and DMS in May 2020. At present, the results of land measurement/verification and houses value appraisal have been disclosed to affected communities and HHs. The LA agreements are being signed, the HD agreements has not yet been signed.

37 3 M&E of Resettlement Funds Disbursement

3.1 Resettlement Budget and Resources

3.1.1 Tongxin County, Wuzhong Municipality (Updated RP) 85. Based on the price in 2018, the resettlement costs covered by the updated RP were CNY 13.7650 million, including basic costs of CNY 7.3668 million. Seeing from the influence category, permanent collective land acquisition costs are CNY 5.6917 million, housing demolition costs are CNY 0.8105 million, compensation fees for ground attachments and special facilities are CNY 0.7626 million, and compensation fees for temporal land occupation are CNY 0.1020 million.

86. Other fees include RP formulating fee and monitoring fee of CNY 150,000, supporting fund for vulnerable groups of CNY 69,000, land acquisition fee of CNY 4.7979 million, technical training fee of CNY 130,000, and contingencies of CNY 1.2514 million.

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

3.1.2 Yuanzhou District, Guyuan Municipality (Original RP, partially updated) 88. The fees incurred during the land acquisition and relocation and resettlement shall be listed in the total budget of the project. Based on the price in 2016, the total relocation and resettlement costs were CNY 12,107,945, including basic costs of CNY 5,038,936. Seeing from the influence category, permanent collective land acquisition costs are CNY 4,284,716, housing demolition costs are CNY 406,800, compensation fees for ground attachments are CNY 113,420. Other fees includes RP formulating fee, implementation & management fee, land acquisition fee, technical training fee, external monitoring evaluation fee and contingencies. See details in the table below.

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

90. The sub-project currently only updated the resettlement plan and budget for the Guyuan-Xiji Road (Guanting-Yuanzhou section), and the external monitor will follow up the complete resettlement budget on basis of updated RPs.

3.1.3 Xiji County, Guyuan Municipality (Updated RP) 91. Based on the prices in 2018, the estimated resettlement costs covered by this RP are CNY 46.068 million, including basic costs of CNY 24.418 million. Seen from the category, permanent collective land acquisition costs are CNY 23.771 million, housing demolition and relocation costs are CNY 0.658million, compensation fees for ground attachments are CNY 1.203million, and compensation fees for special facilities are CNY 150000.

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

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

3.1.4 Pengyang County, Guyuan Municipality (Original RP) 94. Based on the price in 2016, the estimated resettlement costs covered by this RP are CNY 8.642 million, including basic costs of CNY 5.049 million. Seeing from the influence category, permanent collective land acquisition costs are CNY 3.14 million, housing demolition costs are CNY 549,000, compensation fees for ground attachments are CNY 954,000, and compensation fees for special facilities are CNY 309,000.

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

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

3.1.5 Jingyuan County, Guyuan Municipality (Updated RP) 97. Based on the prices in 2019, the estimated resettlement costs covered by this RP are CNY 2,175,444, including basic costs of CNY 1,008,581. Seeing from the category, permanent collective land acquisition costs are CNY 743,691, housing demolition and relocation costs are CNY 2,940, compensation fees for ground attachments are CNY 131,750, and compensation fees for special facilities are CNY 120,000.

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

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

3.2 Disbursement Status of Resettlement Funds

100. Tongxin County has completed about 80% payment of resettlement funds and more details will be presented in subsequent monitoring reports.

101. The resettlement funds in other 4 project counties have not been disbursed and paid for the time being.

39 4 M&E of Capacity Building of Implementing Agencies and Staff

4.1 Establishment of Implementing Agencies 102. In order to organize and lead the project preparation and construction, the Transportation Department of Ningxia Hui Autonomous Region approved the establishment leadership Group and the Project Management Office of the Ningxia Autonomous region Project on October 16, 2017, which is set as the decision-making and administrative organ of the project. The project leadership group, led by the Deputy Director of the Transportation Department of Ningxia Autonomous region, is the decision-making institution of the project who is responsible for the overall deployment of the project and solving major problems, in which there are divisions of Comprehensive Planning and the division of Road Management. The ADB Project Management Office, as the daily and coordinating office of the Project leadership Group, is responsible for applying for the ADB loan and coordinating the preparation and implementation of RPs, and supervising and evaluating the implementation of RPs, including the disbursement of land acquisition compensation and resettlement funds.

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

4.2 Staffing 104. The organization and coordination of the project leading groups which composed of leaders at all levels is the guarantee of the smooth implementation of resettlement. A strong organization structure ensures the smooth implementation of the specific works of RP implementation. According to the intensity of land acquisition and resettlement activities, resettlement implementing agencies at all levels are adequately staffed, as detailed in Table 4-1. Meanwhile, each resettlement implementing agency has a fixed office space and relevant office equipment.

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

No. Project Sites Name of Agencies Staff Contact Number Transportation Foreign Loan Office of the Department Mr. Wang Hui 0951-5069402 Department of of Finance 1 Ningxia Hui Mr. Shi Yuan 0951-6076753 Autonomous PMO Ms. Zhong 0951-6076583 Region Xiaochun 2 Tendering Agent CICC bidding agency company Mr. Ma Di 13995280730 Mr. Yang Yuanzhou Transportation Bureau 18995419151 3 Pengcheng District Finance Bureau Mr. Wang Tao 13995049866 Transportation Bureau Mr. Dou Xinwei 13909543033 4 Xiji County Finance Bureau Mr. Xue Dinglin 18995433758 Mr. Mian Transportation Bureau 13895284678 5 Tongxin County Yanhua Finance Bureau Mr. Yang Ning 15509635999

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

4.3 Evaluation of Implementing Agencies’ Capacity 105. The capacity evaluations of the resettlement management and implementing agencies are summarized as follows:

(i) The project management and resettlement implementing agencies have been designated as relevant local relevant government departments; their responsibilities and tasks of institutions at all levels have been basically clarified, and relevant staff have been trained in the project preparation phase. (ii) From project preparation to implementation, project management and resettlement implementing agencies have gradually learned about and become familiar with the ADB's involuntary resettlement policies and procedures. (iii) The project management and resettlement implementing agencies have rich domestic capacity and experience in the implementation of land acquisition and resettlement affairs. However, it is necessary for them to be familiar with the relevant requirements of ADB project’s resettlement implementation and management through training, investigation and study, experience exchanges and so on. (iv) The project implementation consulting firm and its resettlement specialist has been mobilized to provide technical guidance and assistance on RP updating and implementation. (v) Staff of project management and resettlement implementing agencies also need to further enhance the sharing and exchange of information and data related to projects and resettlement, and do a better job on documentation, data sharing and archiving. (vi) PMOs should keep the stability of resettlement implementing personnel, if personnel changes, the transfer of documents and materials must be done with a timely and proper manner.

41 5 Information Disclosure, Public Participation and GRM

5.1 Information Disclosure, Public Consultation and Participation 106. On 16 October, 2017, the ADB Financed Ningxia Liupanshan Poverty Reduction Rural Road Development Project has held a signing ceremony of lending agreement, marking the start of the project. The Transportation Department of Ningxia Hui Autonomous Region released the notice of project kick-off on 20 October, 2017 and then continuously disclosed information related to the project. In addition, the PMO of the Transportation Department of the Ningxia Hui Autonomous Region has led the planning and design institutes for many times to carry out field investigations in the project areas, publicize the basic information of the project, and to investigate and verify the indicators of the project's resettlement impacts, learn the social and economic situation of the affected population, and collect information on the attitudes and needs of the affected population, etc.

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

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

Figure 5-2：Special report on the project on the official website of the State Commission for Ethnic Affairs

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Figure 5-3：Special reports on the project by Ningxia Daily, Sina News and NetEase News

108. At the same time, the resettlement information of the Project has been disclosed during project preparation and implementation phases. The draft RPs had been disclosed to affected communities and peoples after they were approved by ADB. Local PMOs at all levels have disclosed and distributed of RPs and RIBs to APs; the ADB approved updated RPs also have been disclosed to affected communities and APs. According to the field investigation, before LA and HD, the PMOs and IA at all levels have carried out or will conduct a large number of public participation activities, such as land acquisition and HD mobilization meeting, issuing land acquisition and HD announcement, house value appraisal, inventory of loss survey, publicity of compensation rates and resettlement measures, etc.

Figure 5-4：Socioeconomic Survey and Public Consultation on sites During RP Updating

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Figure 5-5：Public Consultation on sites During External Monitoring

Figure 5-6： RIB Disclosed in Yuanzhou District

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Figure 5-7： RIB Disclosed in Jiangtai Town, Xiji County

Figure 5-8： RIB Disclosed in Pingfeng Town, Xiji County

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Figure 5-9： RIB Disclosed in Xitan Town, Xiji County

Figure 5-10： RIB Disclosed in Xingping Town, Xiji County

46 Figure 5-11： RIB Disclosed in Jingyuan County

109. Along with project design and implementation, further public participation will be carried out in each subproject by local PMOs and IAs, mainly including: compensation standards for land acquisition and HD, resettlement measures; skills training for the affected people; opinions and expectations of the affected people during the implementation of the subproject; complaints and appeals (if any). So that IAs and PMOs can better understand the implementation status of RPs, livelihoods restoration of affected persons, living conditions and environment, etc.

110. The EMA will continue to monitor the public consultation and participation of APs in subsequent monitoring reports.

5.2 Status of GRM 111. To ensure rehabilitation and improvement of the affected persons’ production, livelihood and living conditions, the provincial and county PMO closely consulted with the affected persons to reduce complaints. A mechanism was set up to provide APs with opportunities to complain and to solve problems during implementation.

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

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

114. As of 30 September 2020, no complaints and appeals are received from affected persons.

47 6 Main Findings and Recommendations

6.1 Main Findings 115. (i) Updating of RPs: as of 30 September 2020, Tongxin, Xiji and Jingyuan Subprojects have updated their RPs, and the Guyuan-Xiji Road in Yuanzhou District (Guanting-Yuanzhou Section) subproject has updated the RP as well. However, Pengyang Subproject and Wanzhang-Sanying Road in Yuanzhou District Subproject have not updated the original RPs.

116. (ii) Project and resettlement implementation progress: as of 30 September 2020, (a) Tongxin Subproject has completed the signing of LA and HD agreements and about 80% payment of resettlement funds. (b) The Guyuan-Xiji Road in Yuanzhou District (Guanting-Yuanzhou Section) Subproject has started civil works in August 2020 in areas that do not involve farmland acquisition and HD. At present, the land measurement/verification and houses value appraisal are being carried out, the agreements of LA and HD have not yet been signed. The Wanzhang-Sanying Road in Yuanzhou District Subproject started civil works in September 2020 on the original road scope, and has not yet started RP implementation. (c) The Xiji Subproject has started civil works in July 2020 in areas that do not involve farmland acquisition and HD. At present, the land measurement/verification and houses value appraisal are being carried out, LA and HD agreements have not yet been signed. (d) The Jingyuan Subproject has started civil works in July 2020 in areas that do not involve farmland acquisition and HD. At present, the results of land measurement verification and houses value appraisal have been published. The LA agreements are being signed, the HD agreements have not yet been signed. (e) The Pengyang Subproject has not started resettlement implementation and construction of civil works.

117. (iii) Project implementing institutions and capacity-building: the responsibilities and tasks of relevant institutions at all levels are clear, and staff need to continue to increase their inputs and strengthen the management and reporting system for resettlement implementation.

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

6.2 Main Recommendations 119. (i) Pengyang PMO should update the original RP in a timely manner. In Yuanzhou District, the RP of Wanzhang to Sanying Road should be updated soon.

120. (ii) Local PMOs in Pengyang, Yuanzhou and Xiji Counties should obtain the approval for construction land as soon as possible and speed up the LAR and project implementation progress.

121. (iii) Tongxin Subproject should complete the payment of land and house compensation as soon as possible. The Guyuan-Xiji Road in Yuanzhou District (Guanting-Yuanzhou Section) should speed up the signing of LA and HD agreements, and then complete the compensation payment and LAR works as soon as possible.

122. (iv) The district/county PMOs should raise the domestic counterpart funds in time and ensure that land and house compensation can be paid to affected rural village collectives and households fully and timely.

123. (v) The district/county PMOs need to coordinate the relevant government departments to push forward the LA and HD and restoration/resettlement measures following the URPs approved by ADB.

124. (vi) The district/county PMOs need to further strengthen the institutional and staff 48 capacity for project and resettlement implementation, and improve internal monitoring and reporting system.

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

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