Soci al Monitoring Report

Project Number: 48102-002 November 2020

PRC: Qinghai Haidong Urban-Rural Eco Development Project

Prepared by National Research Center for Resettlement, Hohai University

This social monitoring report is a document of the borrower. The views expressed herein do not necessarily represent those of ADB’s Board of Director, 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. ADB-financed Qinghai Haidong Urban-Rural Eco Development Project

External EMDP M&E Report (No.3)

National Research Center for Resettlement, Hohai University Nanjing, Jiangsu, China September 2020

Contents

1 Summary ...... 1

1.1 Introduction to the Project ...... 1

1.2 External EMDP M&E ...... 1

1.2.1 Scope ...... 1

1.2.2 Purpose and Key Points ...... 2

1.2.3 Methods ...... 2

2 Identification of Local Minority Population ...... 4

3 EMDP Implementation M&E ...... 6

3.1 Overview of the EMDP ...... 6

3.1.1 Impacts on Minority Population ...... 7

3.1.2 Sampling Survey on Minority Households ...... 7

3.2 EMDP Implementation Progress ...... 8

3.2.1 Alleviation Measures ...... 8

3.2.2 Supporting Measures of Local Governments ...... 10

3.2.3 Project Management ...... 10

3.3 Issues and Suggestions ...... 11

3.3.1 Key Issues and Challenges ...... 11

3.3.2 Suggestions and Subsequent Measures ...... 11

4 SGAP Implementation Monitoring ...... 14

4.1 SGAP Overview ...... 14

4.2 SGAP Implementation Progress ...... 14

4.2.1 Output 1: River Rehabilitation ...... 14

4.2.2 Output 2: Eco-environment Protection and Restoration ...... 14

4.2.3 Output 3: Rural Water Supply and MSW Management Infrastructure Construction ...... 14

4.2.4 All Outputs...... 15

5 Sampling Survey ...... 19

II 5.1 Methods ...... 19

5.2 Results ...... 19

5.2.1 Population ...... 19

5.2.2 Age Structure ...... 19

5.2.3 Education ...... 19

5.2.4 Employment ...... 20

5.2.5 Annual Income and Expenditure ...... 20

6 Grievance Redress ...... 21

6.1 Channels and Procedure ...... 21

6.2 Recording and Feedback ...... 22

6.3 Evaluation...... 22

7 Findings and Suggestions ...... 24

7.1 Findings ...... 24

7.2 Suggestions ...... 25

Appendix 1 Interview Minutes ...... 26

Appendix 2 Fieldwork Photos ...... 27

III

List of Tables Table 2-1 Minority Population in the Project Area ...... 4 Table 3-1 Distribution of Minority Population ...... 7 Table 3-2 Participation in AIDS Prevention Publicity ...... 9 Table 3-3 Are you satisfied with AIDS prevention publicity? ...... 9 Table 3-4 Summary of Local Jobs Generated by the Project in 2019 ...... 9 Table 3-5 EMDP M&E Matrix ...... 12 Table 4-1 Local Jobs Generated during Construction and Women’s Employment ...... 16 Table 4-2 SGAP ...... 17 Table 5-1 Distribution of Minority Population ...... 19 Table 5-2 Demographics of Minority APs ...... 19 Table 5-3 Household Income and Expenditure of Minority APs ...... 20 Table 6-1 Contact Information for Grievance Redress ...... 22 Table 6-2 Grievance Registration Form ...... 22

List of Figures Figure 1-1 Key Informant Interview and Questionnaire Survey in Minority Village ...... 3 Figure 3-1 Provisions on Work Safety ...... 8 Figure 3-2 Guidance on EMDP Implementation by Project Consultants ...... 11 Figure 4-1 Exchange and Training on MSW Recycling ...... 15 Figure 4-2 Disclosure of Employment Information ...... 15 Figure 6-1 Grievance Redress Flowchart ...... 21

IV Abbreviations ADB - Asian Development Bank AH - Affected Household AP - Affected Person DMS - Detailed Measurement Survey EMDP - Ethnic Minority Development Plan FGD - Focus Group Discussion HD - House Demolition IA - Implementing Agency LA - Land Acquisition M&E - Monitoring and Evaluation MSW - Municipal Solid Waste NRCR - National Research Center for Resettlement PMO - Project Management Office PRC - People’s Republic of China RP - Resettlement Plan SGAP - Social and Gender Action Plan WWTP - Wastewater Treatment Plant

Units

Currency unit = Yuan (CNY) USD1.00 = CNY6 1 hectare = 15 mu

V

1 Summary 1.1 Introduction to the Project The Qinghai Municipal Government has used an ADB loan of $150 million and domestic counterpart funds of about $72 million to implement the Qinghai Haidong Urban-Rural Eco Development Project (hereinafter, the “Project”). The Project aims to promote urban-rural eco development, including: 1) expanding water supply, wastewater treatment and solid waste management capacity; 2) conserving water through wetland rehabilitation; 3) promoting the integrated management of river rehabilitation and flood risk control; and 4) improving integrated water resources management and institutional capacity. The Project consists of the following components: 1) Component 1: River Rehabilitation: The objective of this component is to reduce flood risks, maintain and improve the ecological environment, and beautify the landscape. This component includes: 1) Ping’an segment; 2) Ledu urban segment; 3) Ledu non-urban segment; 4) Riverfront shelter forest; and 5) Yizhou wetland. 2) Component 2: Eco-environment Protection and Restoration: The objective of this component is to prevent water loss and soil erosion, alleviate flood risks, reinforce embankments, and increase vegetation coverage (planting a variety of tree species on riverbanks and mountain boundary). This component includes: 1) Mountain boundary shelter forest construction in Ping’an District; and 2) Ping’an WWTP Water Reclamation Work (Phase 2). 3) Component 3: Rural Water Supply and MSW Management Infrastructure Construction: The objective of this component is to realize wastewater reclamation in Ping’an District, and MSW management in Ledu District. This component includes: 1) Urban-rural water supply; and 2) Ledu landfill reconstruction and expansion. 4) Component 4: Project Management and Capacity Building: The objective of this component is to ensure the effective operation of the EA and IAs, e.g., flood management basin planning, water conservation, sponge city practice, water quality control, response to climate change, and wetland management.

1.2 External EMDP M&E The external resettlement M&E work of the Project is undertaken by the National Research Center for Resettlement (NRCR). NRCR is responsible for external M&E on EMDP implementation by supervising the implementation compliance of the EMDP submitted by the Project Leading Group to ADB in June 2016, and performing a social survey and a data analysis in order to identify issues and potential risks. NRCR will also provide training that meets ADB’s safeguard requirements to stakeholders, review project progress and EMDP implementation, confirm the actual impacts of the EMDP, ensure the relevance and effectiveness of target monitoring, propose solutions, and submit M&E reports to the Haidong PMO and ADB. By the end of July 2020, the task force conducted the third round of EMDP M&E with the aid of the Haidong PMO and local agencies concerned, held FGDs and interviews with their staff, and conducted a door-to-door survey in the project area to learn EMDP implementation. 1.2.1 Scope This M&E mainly covers:

1 1) Local minority population and poverty; 2) EMDP implementation progress, key findings and suggestions on further work; 3) GAP implementation progress, key findings and suggestions on further work; 4) Information disclosure, and grievances and appeals during EMDP implementation; 5) Ensuring the relevance and effectiveness of target monitoring, and proposing solutions 1.2.2 Purpose and Key Points This report is the No.3 external EMDP M&E report of the Project, aiming to: i) ensuring that the PMO and the IAs implement the EMDP properly, and meet its overall objectives; ii) collecting data and information to ensure implementation progress; iii) analyzing data to describe the impacts of the EMDP measures; iv) ensuring that appropriate participatory methods are used; v) monitoring indicative actions and evaluating their impacts during project implementation; and vi) ensuring that the grievance redress mechanism is effective, and updating the monitoring indicators when necessary for follow-up M&E. By the end of July 2020, project activities had been conducted for all components, and EMDP and GAP implementation, public participation, resettlement, etc. were in progress. Therefore, the key points of this report are: 1) Checking EMDP implementation for compliance routinely; 2) Reviewing project progress and EMDP implementation, and confirming the actual impacts of the EMDP; 3) Performing a social survey and a data analysis to identify issues and potential risks; 4) Ensuring the relevance and effectiveness of target monitoring, and proposing solutions; 5) GAP implementation progress, key findings and suggestions on further work; 6) Information disclosure, and grievances and appeals during EMDP implementation 1.2.3 Methods The task force conducted a field survey on the Lincang PMO, IAs and sample villages to learn EMDP, GAP and public participation implementation progress, etc. using such methods as literature review, FGD, questionnaire survey and interview. In this survey, 7 FGDs and 24 key informant interviews were held, and the questionnaire survey covered 70 minority households with 198 persons. Literature review: Documents, agreements and statistical reports on EMDP and GAP implementation progress were referred to and verified. FGD: 7 FGDs were held with officials of the Lincang PMO, IAs and village committees, minority residents, women, etc. to learn project, EMDP, GAP, resettlement and public participation implementation progress. Questionnaire survey: To learn different groups’ needs for and attitudes to the Project, the task force sampled 70 minority households with 198 persons, including 64 households with 175 persons in the 3 beneficiary minority villages, accounting for 47.3% of the beneficiary minority population.

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Figure 1-1 Key Informant Interview and Questionnaire Survey in Minority Village

3 2 Identification of Local Minority Population According to the RP, no minority population is affected by LA and/or HD. Only the Urban-Rural Water Supply subcomponent involves a minority population living centrally of 370 in 3 Tibetan villages in Shihuiyao Xiang (Yima, Shiguasi and Shihuiyao); the other 8 subcomponents involve scattered minority population in Nianbo, Yurun, Hongshui and Gaomiao Towns in Ledu District, and Ping’an, Xiaoxia and Sanhe Towns in Ping’an District. The project area has an affected population of 217,000, including 195,109 Han people, accounting for 89.91%. 10,054 Hui people, accounting for 4.63%; 4,192 Tibetans, accounting for 1.93%; and 3,378 Tu people, accounting for 1.56%. In the direct beneficiary population: 1) Only the Urban-Rural Water Supply subcomponent involves a minority population living centrally of 370 in 3 Tibetan villages in Shihuiyao Xiang (Yima, Shiguasi and Shihuiyao), in which Mayi Village has 83 households with 231 persons, including 94 Tibetans, accounting for 40.69%; Shihuiyao Village has 76 households with 343 persons, including 118 Tibetans, accounting for 34.40%; and Shiguasi Village has 40 households with 185 persons, including 158 Tibetans, accounting for 85.41%. 2) The remaining minority population involved in the Project lives in a scattered manner in Nianbo, Gaodian, Yurun, Hongshui and Gaomiao Towns in Ledu District, and Ping’an, Xiaoxia and Sanhe Towns in Ping’an District. See Table 2-1.

Table 2-1 Minority Population in the Project Area Tu Hui Tibetan Han Population Population Population Population District Minority Gross Percent Percent Percent Percent Component(s) Township townshi populati involved

p or not on

Eco-environment Protection and Nianbo Town No 69522 1188 1.71 3369 4.85 1252 1.80 61843 88.95 Restoration, River Ledu Rehabilitation

Gaodian Town No 8918 215 2.41 73 0.82 64 0.72 8496 95.27 River Rehabilitation Yurun Town No 17056 354 2.08 199 1.17 257 1.51 15076 88.39 River Rehabilitation Hongshui Town No 19251 108 0.56 91 0.47 91 0.47 18889 98.12 River Rehabilitation Gaomiao Town No 25063 248 0.99 1480 5.91 104 0.41 228952 91.35 River Rehabilitation River Rehabilitation, Eco-environment Ping’an Town No 51770 1022 1.97 2644 5.11 1414 2.73 46033 88.92 Protection and Restoration, Urban Water Reclamation River Rehabilitation, Eco-environment

Ping Xiaoxia Town No 13230 156 1.18 1033 7.81 63 0.48 11886 89.84 Protection and Restoration an ’ Sanhe Town: Sanhe, Xinzhuang, Binglingshan, Dongcun, Xicun, Luotuobao, Urban-Rural Water No 9978 76 0.76 73 0.73 577 5.78 9252 92.72 Zhangqizhai, Zhuangke, Supply Sitai, Wanzi, Xin’an, Zhongjia and Tiaoling Villages Shihuiyao Xiang: Liming, Yes 2212 11 0.44 1092 49.31 370 16.73 739 33.41 Urban-Rural Water

4 Yima, Shihuiyao, Supply Yaozhuang and Shiguasi Villages Total / 217000 3378 1.56 10054 4.63 4192 1.93 195109 89.91 \ Source: data of the sixth national census in 2010, and statistics of ethnic and religious affairs bureaus

5 3 EMDP Implementation M&E 3.1 Overview of the EMDP The local minority communities have their own culture and customs. At the preparation, implementation and operation stages, the design and implementing agencies learned local minority customs and needs, and conducted project activities in a manner accepted by minority residents, ensuring the Project’s sustainability in minority areas. The EMDP submitted by the Project Leading Group to ADB for approval in June 2016 was prepared in consultation with meaningful consultation with the minority APs, covering the Project’s positive and negative impacts to learn their attitudes to and opinions on the Project. The EMDP includes beneficiary measures to ensure that minority residents receive the benefits identified in the project impact assessment and aligned with minority cultures, and mitigation measures for the Project’s negative impacts on them. The key points of the EMDP are: 1) Mitigation measures • Mitigation of construction impacts and safe construction Construction may affect living or cultural activities of local residents and minority residents. To mitigate such impacts, the EMDP requires that:1) using noise reduction techniques to control noise; 2) strengthening construction site management, and establishing entry registration and parking management systems; 3) avoiding minority religious activities or festivals (e.g., not conducting construction within 500m from a mosque during Friday worships); 4) setting up relevant signs in nearby communities; and 5) including construction safety provisions in construction contracts. • AIDS and other infectious diseases According to the EMDP, the tender documents should include provisions on the prevention and treatment of AIDS and other infectious diseases, publicity and education on public health and AIDS prevention conducted for the construction staff, health protection measures developed for the construction staff, and brochures, posters, books, etc. on AIDS prevention and sexual harassment distributed. • Jobs generated by the Project 135 skilled and 404 unskilled jobs will be generated at the construction stage, and 162 skilled and 331 unskilled jobs at the operation stage (maintenance, cleaning, landscaping, etc.). According to the EMDP, 15% of these jobs will be first made available to minority residents and the poor. • Publicity and education on employment, labor protection, environmental protection and water conservation The EMDP requires that inclusive public participation be conducted during project implementation to protect the interests, and rights of information and participation of local residents, and improve their environmental awareness, including ensuring that local residents participate in publicity and education on environmental protection and water conservation, conducting publicity on environmental protection and water conservation at communities and schools, producing publicity materials and distributing them at communities, and holding a public hearing on the water supply and solid waste treatment rates. • Establishing CESTs According to the EMDP, CESTs will be established to improve the environmental and public health awareness of beneficiaries, especially minority residents. In addition, the ADB mission in October 2019 required that CESTs be established by July 30, 2020. The Haidong PMO will appoint

6 a qualified social development and community participation expert to ensure that all tasks are performed as planned. This expert is being recruited. 2) Local Supporting Measures • Skills training Local handicrafts training has been offered to minority women in Yima, Shiguasi and Shihuiyao Villages. The district women’s federation, minority and religious affairs committee, and labor and social security bureau would offer various skills training courses locally to increase job opportunities. • Supporting measures for 3 minority villages According to the EMDP, characteristic cultivation will be supported in the 3 minority villages, including a sea buckthorn cultivation base in Shiguasi Village, and modern garden base in Shihuiyao Village, and vegetable greenhouses in Yima Village. 3) Project Management The Haidong PMO and the IA have appointed one person to supervise implementation for each component, including EMDP implementation. 3.1.1 Impacts on Minority Population According to the RP, no minority population is affected by LA and/or HD. Only the Urban-Rural Water Supply subcomponent involves a minority population living centrally of 370 in 3 Tibetan villages in Shihuiyao Xiang (Yima, Shiguasi and Shihuiyao); the other 8 subcomponents involve scattered minority population in Nianbo, Yurun, Hongshui and Gaomiao Towns in Ledu District, and Ping’an, Xiaoxia and Sanhe Towns in Ping’an District. The project area has an affected population of 217,000, including 195,109 Han people, accounting for 89.91%. 10,054 Hui people, accounting for 4.63%; 4,192 Tibetans, accounting for 1.93%; and 3,378 Tu people, accounting for 1.56%. In the direct beneficiary population: 1) Only the Urban-Rural Water Supply subcomponent involves a minority population living centrally of 370 in 3 Tibetan villages in Shihuiyao Xiang (Yima, Shiguasi and Shihuiyao), in which Mayi Village has 83 households with 231 persons, including 94 Tibetans, accounting for 40.69%; Shihuiyao Village has 76 households with 343 persons, including 118 Tibetans, accounting for 34.40%; and Shiguasi Village has 40 households with 185 persons, including 158 Tibetans, accounting for 85.41%. 2) The remaining minority population involved in the Project lives in a scattered manner in Nianbo, Gaodian, Yurun, Hongshui and Gaomiao Towns in Ledu District, and Ping’an, Xiaoxia and Sanhe Towns in Ping’an District. 3.1.2 Sampling Survey on Minority Households 70 households with 198 persons were sampled, including 64 households with 175 persons in the 3 beneficiary minority villages, accounting for 47.3% of the beneficiary minority population, covering 7 villages in two townships. See Table 3-1.

Table 3-1 Distribution of Minority Population Type of Minority Minority City District Township Village impact households population Sanhe 1 4 Sanhe Xinzhuang 2 7 Directly Town Binglingshan 1 5 benefiting Haidong Ledu Dongcun 2 7 minority Yima 16 36 villages Shihuiyao Shihuiyao 21 47 Xiang Shiguasi 27 92

7 Total 70 198 Source: door-to-door survey in July 2020

3.2 EMDP Implementation Progress 3.2.1 Alleviation Measures 1) Mitigation of construction impacts and safe construction Construction may affect living or cultural activities of local residents and minority residents. To mitigate such impacts, the EMDP requires that:1) using noise reduction techniques to control noise; 2) strengthening construction site management, and establishing entry registration and parking management systems; 3) avoiding minority religious activities or festivals (e.g., not conducting construction within 500m from a mosque during Friday worships); 4) setting up relevant signs in nearby communities; and 5) including construction safety provisions in construction contracts. Appropriate measures have been taken for the subcomponents that broke ground in 2019, and no appeal in this respect has been received to date.

Figure 3-1 Provisions on Work Safety

2) AIDS and other infectious diseases Construction tender documents and contracts include provisions on the prevention and treatment of AIDS and other infectious diseases. Labor safety and disease prevention are always stressed in routine project management, such as daily meetings. Each employee has been trained on health and safety, and signed a letter of safety commitment. The local governments would conduct publicity on AIDS prevention and treatment at all communities on World AIDS Day (December 1). In December 2019, all local governments in Haidong City conducted online and offline AIDS prevention publicity at communities, squares, stations and schools, and distributed over 500 copies of the publicity materials.

8 Table 3-2 Participation in AIDS Prevention Publicity Minority residents All participants Women (>40%) District (>50%) N Percent N Percent N Percent Ledu 1500 100% 650 43.33% 260 17.33% Ping’an 400 100% 180 45.0% 160 40.0% Total 1900 100% 830 43.68% 420 22.10%

It can be seen from the satisfaction survey on AIDS prevention publicity among 70 minority respondents (including 28 women) that 100% of the respondents are satisfied with such publicity.

Table 3-3 Are you satisfied with AIDS prevention publicity? Very satisfied Satisfied Neither, nor Dissatisfied Very dissatisfied District N Percent N Percent N Percent N Percent N Percent Ledu 12 70.59 5 29.41 0 0.0 0 0.0 0 0.0 Ping’an 8 72.73 3 27.27 0 0.0 0 0.0 0 0.0 Total 20 71.43 8 28.57 0 0.0 0 0.0 0 0.0 Source: door-to-door survey in July 2020

3) Jobs generated by the Project 135 skilled and 404 unskilled jobs will be generated at the construction stage, and 162 skilled and 331 unskilled jobs at the operation stage (maintenance, cleaning, landscaping, etc.). According to the EMDP, 15% of these jobs will be first made available to minority residents and the poor. By the end of July 2020, two subcomponents had broken ground, and 60 jobs had been offered to local residents, including 57 skilled and 3 unskilled jobs, including two minority residents. In addition, the contractors will release information on these jobs timely by various means, including without limitation WeChat public account, job fair, brochure, on-site publicity, bulletin, electronic screen, referral, etc. The contractors will also give priority to APs in employment.

Table 3-4 Summary of Local Jobs Generated by the Project in 2019 Local Minority laborers Subcomponent Job type Percent Daily pay jobs employed Ping’an WWTP Water Unskilled 11 2 20% 150-180 yuan Reclamation Work (Phase 2) Skilled 3 0 0 380-400 yuan Unskilled 40 0 0 130 yuan Ledu non-urban segment Skilled 10 0 0 240 yuan Total 64 2

4) Publicity and education on employment, labor protection, environmental protection and water conservation The EMDP requires that inclusive public participation be conducted during project implementation to protect the interests, and rights of information and participation of local residents, and improve their environmental awareness, including ensuring that local residents participate in publicity and education on environmental protection and water conservation, conducting publicity on environmental protection and water conservation at communities and schools, producing publicity materials and distributing them at communities, and holding a public hearing on the water supply and solid waste treatment rates In this round of M&E, 1) The Ping’an District Water Bureau conducted publicity on environmental protection and water conservation several times in 2019 by means of media, banner, display board, brochure, souvenir, etc., with over 1,000 copies of the brochure and poster distributed;

9 2) In 2019, the Ping’an District Water Bureau installed water conservation equipment and posted water conservation signs at schools; 3) In December, the Ping’an District Water Bureau gave publicity on laws and regulations on water conservation, pollution control, environmental improvement, and sustainable development, with over 2,000 of the brochure, over 1,000 copies of the brochure and poster, and over 150 souvenirs distributed; 4) In July 2016, the RP and the EMDP were disclosed in the affected townships in Ping’an and Ledu Districts; 5) The district water bureaus conducted publicity on environmental protection and water conservation in Ping’an District by means of media, banner, billboard, brochure, etc. in January 2020, with over 500 copies of the brochure and poster distributed in total; 6) The PMO conducted publicity and education on solid waste recovery in Qilidian Village, Nianbo Town in January 2020, involving 22 community residents, including 20 women. 5) Establishing CESTs According to the EMDP, CESTs will be established to improve the environmental and public health awareness of beneficiaries, especially minority residents. In addition, the ADB mission in October 2019 required that CESTs be established by July 30, 2020. The Haidong PMO will appoint a qualified social development and community participation expert to ensure that all tasks are performed as planned. This expert is being recruited. 3.2.2 Supporting Measures of Local Governments 1) Skills training Local handicrafts training has been offered to minority women in Yima, Shiguasi and Shihuiyao Villages. The district women’s federation, minority and religious affairs committee, and labor and social security bureau would offer various skills training courses locally to increase job opportunities. However, relevant information is unavailable because urban-rural water supply has not broken ground. 2) Supporting measures for 3 minority villages According to the EMDP, characteristic cultivation will be supported in the 3 minority villages, including a sea buckthorn cultivation base in Shiguasi Village, and modern garden base in Shihuiyao Village, and vegetable greenhouses in Yima Village. These measures had not been implemented by the end of July 2020. According to the Haidong Municipal Ethnic and Religious Affairs Commission, these measures have been cancelled, and new measures will be planned but have not been finalized. 3.2.3 Project Management The Haidong PMO and the IA have appointed one person to supervise implementation for each component, including EMDP implementation. In June 2019, the social development and resettlement expert trained 7 staff members of the PMO and the IA on social development and resettlement to ensure successful EMDP implementation. The international and domestic experts were in place in May 2019 to monitor SGAP and EMDP implementation progress timely. They collected relevant information, and submitted a quarterly and semiannual progress report to ADB.

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Figure 3-2 Guidance on EMDP Implementation by Project Consultants

During the ADB mission in October 2019, the PMO appointed a coordinator (preferably a female or minority member) to coordinate SGAP and EMDP monitoring under the direction of the project leader and consultants, including: a) conducting required activities; b) keeping records of all relevant activities; and c) ensuring effective communication between the PMO contact, consultants and contractors. The coordinator Zhang Wenbin was appointed at the end of October 2019. Fan Lijuan (female, Han) was appointed as Deputy Director in February 2020, responsible for resettlement, EMDP and SGAP implementation. In addition, gender and ethnic minority indicators have been included in the project performance monitoring system with the assistance of the experts.

3.3 Issues and Suggestions 3.3.1 Key Issues and Challenges 1) According to the approved EMDP, some actions will be taken at the implementation stage. By the end of July 2020, only the Ping’an WWTP Water Reclamation Work (Phase 2), and Ledu Landfill Reconstruction and Expansion had broken ground among the 5 subcomponents that had not been adjusted. Therefore, most of the actions under the EMDP have not been started. 2) The persons responsible for EMDP implementation all subcomponents have been appointed, but are not familiar with the ADB policy and EMDP implementation enough. 3.3.2 Suggestions and Subsequent Measures 1) The PMO staff should gain relevant information through pertinent training and learning in order to fulfill their duties and tasks properly. 2) The EMDP progresses slowly, and has been partly implemented only. The task force suggests that with the successive construction of the subcomponents, the EMDP should be implemented successively. 3) Publicity on public health and AIDS prevention should be conducted in the project area in various forms, such as brochure, poster and book, covering epidemics and infectious diseases (including COVID-19, AIDS, influenza, etc.), and a physical checkup performed for non-local workers (e.g., setting up a temporary infirmary, taking full advantage of local medical resources), where only healthy workers can participate in project construction.

11 Table 3-5 EMDP M&E Matrix Proposed action Monitoring indicator Monitoring result 1. A. Mitigation of construction impacts and safe construction  Using noise reduction techniques to control  Techniques used during  The Ping’an WWTP Water noise; construction, and relevant standards Reclamation Work (Phase 2) is  Frequency of overnight located in a hill, and has minimum construction impacts.  No overnight construction has been conducted.  Strengthening construction site  Construction safety management  Isolation facilities, entry registration management, and establishing entry and parking management are registration and parking management adequate. systems;  Avoiding minority religious activities or  Comments of local residents,  The IA and contractors respect festivals (e.g., not conducting construction especially minority residents, on minority religious and cultural within 500m from a mosque during Friday contractors and workers activities, and comply with ethnic and worships); religious policies.  Setting up relevant signs in nearby  Number of signs  Non-horn signs have been erected in communities nearby villages.  Including construction safety provisions in  Inclusion of such provisions in  Each employee has been trained on construction contracts contracts health and safety, and signed a letter of safety commitment. B. AIDS and other infectious diseases  Including provisions on the prevention and  Inclusion of such provisions in  Such provisions have been included treatment of AIDS and other infectious tender documents in the tender documents. diseases in the tender documents  Conducting publicity and education on  Frequency of such activities and  8 public health and AIDS prevention public health and AIDS prevention for the number of participants publicity and training activities have construction staff been organized, with 290 participants in total, including 26 women.  Developing health protection measures for  Induction physical checkup for  Each employee has been trained on the construction staff workers; health and safety, signed a letter of  Establishment of health files safety commitment, and taken a health checkup; a COVID-19 contingency plan was established at the construction site during the pandemic.  Distributing brochures, posters, books, etc.  Relevant publicity activities of the  Publicity on AIDS prevention and on AIDS prevention and sexual harassment center for disease control sexual harassment has been conducted by various means, with 1,000 copies of the material distributed. C. Publicity and education on employment, labor protection, environmental protection and water conservation  135 skilled and 404 unskilled jobs will be  Proportion of APs doing unskilled  60 jobs have been offered to local generated at the construction stage, and jobs under the Project residents (66.67% of all jobs), 162 skilled and 331 unskilled jobs at the  Men-times of vulnerable groups including two minority residents. operation stage (maintenance, cleaning, (women and the poor) doing landscaping, etc.). unskilled jobs under the Project  Releasing employment information timely by  Mode of release of job  Employment information is released various means opportunities by various means, such as job fair, WeChat account and referral.  Complying with state and local regulations  Compliance with state and local  A supervising agency has been and policies regulations and policies appointed for on-site project management, including labor management. D. Inclusive public participation

12  Ensuring that local residents participate in  Frequency of such activities,  5 publicity and education activities publicity and education on environmental number of participants, and have been conducted, involving protection and water conservation percentage of minority residents 3,522 participants in total, including and women 2,200 women and 400 minority residents.  Conducting publicity on environmental  Number and types of schools  One publicity and education activity protection and water conservation at involved, and number of on environmental protection and communities and schools participants, where not less than water conservation has been 50% should be minority residents conducted at schools. and women  Producing publicity materials and  Frequency of such activities,  4,650 copies of the poster, brochure, distributing them at communities number of participants, and banner and souvenir have been percentage of minority residents distributed in total. and women  Holding a public hearing on the water supply  Frequency of public hearing,  Not started and solid waste treatment rates number of participants, and percentage of minority residents and women E. Establishing CESTs  Establishing 6 exemplary community  Frequency of such activities,  The Haidong PMO has begun to environmental supervision and education number of participants, and recruit an expert, which had not teams (two urban and 4 rural), running for 3 percentage of minority residents been completed by the date of this years, and conducting public awareness and women report. development activities in environmental management, forest protection, water conservation and waste recycling 2. Local Supporting Measures: skills training  Offering local handicrafts training to  Frequency of training, number of  Cancelled minority women in Yima, Shiguasi and participants, and percentage of Shihuiyao Villages minority residents and women  Establishing a cyclic income generation  Frequency of such activities,  Not started pattern number of participants, and percentage of minority residents and women 3. Project management  Training the PMO and IA staff on the EMDP  Types and frequency of training,  The staff of the PMO and IA was and SGAP and number of participants trained twice on the EMDP in June 2019, and further training will be offered at the implementation stage.  Appointing international and domestic  Number of experts, and activities  The experts were in place in May social development and gender experts 2019.  The PMO and IA should appoint dedicated  Availability of such staff members  Two staff members have been staff members to implement and report appointed to implement and report EMDP, SGAP and RP implementation. on the EMDP, SGAP and RP.  Collecting data by gender and ethnic group  If data is collected as required  Ongoing to monitor, evaluate and report EMDP and SGAP implementation.

13 4 SGAP Implementation Monitoring 4.1 SGAP Overview The SGAP involves 4 outputs, which are: 1) River Rehabilitation; 2) Eco-environment Protection and Restoration; 3) Rural Water Supply and MSW Management Infrastructure Construction; 4) all outputs, including jobs generated by the Project, publicity on public health and AIDS prevention, establishing CESTs, and project management. The scope of SGAP implementation M&E is the 5 subcomponents that are still within the Project and 100% funded by ADB, namely the Ping’an segment, Yizhou wetland, the Ping’an WWTP Water Reclamation Work (Phase 2), urban-rural water supply, and Ledu Landfill Reconstruction and Expansion, excluding the 4 subcomponents that are still within the Project but have been completed, namely the Ledu urban segment, Ledu non-urban segment, riverfront shelter forest, and mountain boundary shelter forest construction in Ping’an District.

4.2 SGAP Implementation Progress 4.2.1 Output 1: River Rehabilitation During implementation, public participation activities should be conducted in the communities along the Ping’an segment to select suitable sludge disposal and transfer sites to reduce negative impacts, and improve the public awareness of wetland conservation. The above public participation activities will begin when the Ping’an segment and the Yizhou wetland break ground, and be conducted together with activities organized by community education and supervision teams (CESTs). 4.2.2 Output 2: Eco-environment Protection and Restoration According to the SGAP, forest protection and fire control training will be offered to residents in Ping’an Town, and a forest protection handbook prepared. This will be implemented under the direction of the Ping’an District Forest and Grass Bureau, which has fire control and pest control offices. 1) During the forest fire control period (November 1 to May 30), the fire control office would conduct various publicity and training activities. 2) During the technology, culture, health and law publicity campaign in January 2019, and Technology Publicity Day in May 2019, the Ping’an District Forest and Grass Bureau conducted publicity and education on forest protection, fire control, pest control, laws and regulations, etc. in Ping’an Town by means of media, banner, display board, brochure, souvenir, etc. Most participants were women. Over 2,000 copies of the brochure and over 5,000 copies of the leaflet were distributed. 3) In addition, forest rangers, and village and township officials have also been trained on forest protection, in which 10% of participants are women. 4) The Ping’an District Forest and Grass Bureau has also prepared a fire and pest control handbook. 4.2.3 Output 3: Rural Water Supply and MSW Management Infrastructure Construction Public consultation on Ledu Landfill Reconstruction and Expansion, and dustbin placement will be conducted in March 2020. The Haidong Municipal and Ping’an District Water Bureaus have conducted publicity on water conservation at communities and schools many times, and will conduct publicity on solid waste recycling in 2020 together with activities organized by CESTs. The public hearing on the water supply and solid waste treatment rates does not apply for the

14 moment, because there is no plan to collect such charges. A public hearing will be organized if such charges are to be collected or the rates are to be increased in the future.

Figure 4-1 Exchange and Training on MSW Recycling

4.2.4 All Outputs 1) Jobs generated by the Project 135 skilled and 404 unskilled jobs will be generated at the construction stage, and 162 skilled and 331 unskilled jobs at the operation stage (maintenance, cleaning, landscaping, etc.). According to the EMDP, 30% of these jobs will be first made available to women, and 15% to minority residents and the poor. By the end of July 2020, two subcomponents had broken ground, and 14 jobs had been offered to local residents, including 3 skilled and 11 unskilled jobs, including 3 women. In addition, the contractors will release information on these jobs timely by various means, including without limitation WeChat public account, job fair, brochure, on-site publicity, bulletin, electronic screen, referral, etc. The contractors will also give priority to APs in employment.

Figure 4-2 Disclosure of Employment Information

15 Table 4-1 Local Jobs Generated during Construction and Women’s Employment Female laborers Local jobs Percent Daily pay employed Subcomponent Job type This This This Cumulative Cumulative Cumulative period period period Ping’an WWTP Unskilled 0 11 0 3 27% 150-180 yuan Water Reclamation Skilled 0 3 0 0 0 380-400 yuan Work (Phase 2) Ledu non-urban Unskilled 0 40 0 1 2.5% 130 yuan segment Skilled 0 10 0 0 0 240 yuan Total 0 64 0 4

2) Publicity on public health and AIDS prevention Construction tender documents and contracts include provisions on the prevention and treatment of AIDS and other infectious diseases. Labor safety and disease prevention are always stressed in routine project management, such as daily meetings. Each employee has been trained on health and safety, and signed a letter of safety commitment, including 26 female employees. The local governments would conduct publicity on AIDS prevention and treatment at all communities on World AIDS Day (December 1). In December 2019, all local governments in Haidong City conducted online and offline AIDS prevention publicity at communities, squares, stations and schools, and distributed over 500 copies of the publicity materials, in which over 350 were distributed to women. 3) Establishing CESTs CESTs will be established to improve the environmental and public health awareness of beneficiaries, especially minority residents. In addition, the ADB mission in October 2019 required that CESTs be established by July 30, 2020. The Haidong PMO will appoint a qualified social development and community participation expert to ensure that all tasks are performed as planned. This expert will be in place by the specified date. 4) Project Management The Haidong PMO and the IA have appointed one person to supervise implementation for each component, including SGAP implementation. In June 2019, the social development and resettlement expert trained 7 staff members of the PMO and the IA on social development and resettlement to ensure successful SGAP implementation. The international and domestic experts were in place in May 2019 to monitor SGAP and EMDP implementation progress timely. They collected relevant information, and submitted a quarterly and semiannual progress report to ADB. During the ADB mission in October 2019, the PMO appointed a coordinator (preferably a female or minority member) to coordinate SGAP and EMDP monitoring under the direction of the project leader and consultants, including: a) conducting required activities; b) keeping records of all relevant activities; and c) ensuring effective communication between the PMO contact, consultants and contractors. The coordinator Zhang Wenbin was appointed at the end of October 2019. Fan Lijuan (female, Han) was appointed as Deputy Director in February 2020, responsible for resettlement, EMDP and SGAP implementation. In addition, gender and ethnic minority indicators have been included in the project performance monitoring system with the assistance of the experts.

16 Table 4-2 SGAP Action Monitoring indicator Monitoring result 1. Output 1: River Rehabilitation  Public consultation on the selection of  Number of participants, in which  Not started sludge disposal and transport sites to not less than 50% are women minimize negative impacts on nearby communities  Public awareness development on  Activity type, frequency, number  Not started wetland conservation of participants (gender, ethnic group) 2. Output 2: Eco-environment Protection and Restoration  Publicity and skills training on forest  Activity type, frequency, number  At least two training courses on fire protection and fire protection for of participants, in which not less control, pest control, forest residents in Ping’an District than 50% are women protection, etc. have been offered, involving 3,200 persons in total, including 2,073 women, accounting for 64.7%.  Public participation and consultation for  Residents’ feedback collected, in  The Ping’an District Forest and residents in Ping’an District, and which not less than 50% are Grass Bureau has prepared a fire preparation of a community forest women and pest control brochure. protection handbook 3. Output 3: Rural Water Supply and MSW Management Infrastructure Construction  Consultation with local residents on Ledu  Number of participants, in which  Not started landfill reconstruction and expansion not less than 50% are women  Consultation with residents in Ping’an  Number and type of schools,  Not started and Ledu Districts on waste bin positions number of participants, in which not less than 50% are women  Publicity on water conservation and solid  Training material prepared for all  5 education activities have been waste recycling at communities and groups and age groups conducted, involving 3,522 schools participants, with 4,650 copies of the material distributed.  Public hearing on water supply, cleaning  Number of participants, in which  Not started and solid waste disposal charges not less than 50% are women and not less than 40% are low-income residents 4. All Outputs Jobs generated  135 skilled and 404 unskilled jobs at the  30% of jobs first made available to  In the Ping’an WWTP Water construction stage women, and 15% to poor and Reclamation Work (Phase 2), minority residents (baseline data 88.33% of the jobs (53) are offered for women: 15%) to local residents, including 14 women; in Ledu Landfill Reconstruction and Expansion, 23.33%% of the jobs (7) are offered to local residents, including no woman.  162 skilled and 331 unskilled jobs at the  30% of jobs first made available to  Not started operation stage (maintenance, cleaning, women, and 15% to poor and landscaping, etc.) minority residents (baseline data for women: 20%) Publicity on public health and AIDS prevention  Public health and AIDS prevention  Training course, number of  8 public health and AIDS publicity for construction workers participants (by gender and target prevention publicity and training

17 group) activities have been organized, with 290 participants in total, including 26 women.  Distribution of brochure, poster, etc. on  Brochure type and number of  The local governments would AIDS prevention and sexual harassment copies distributed conduct publicity on AIDS prevention and treatment at all communities on December 1 every year. Establishing CESTs  Establishing 6 exemplary community  At least 5 members per team, in  The Haidong PMO has begun to environmental supervision and education which 50% are women; frequency recruit an expert, which had not teams (two urban and 4 rural), running for and type of training, number of been completed by the date of this 3 years, and conducting public participants (gender) report. awareness development activities in environmental management, forest protection, water conservation and waste recycling  Evaluating effects of communications on  Investigated and evaluated by  The Haidong PMO has begun to awareness development and behavior social and gender experts, and recruit an expert, which had not change included in project progress been completed by the date of this reports report. Project Management  Training the PMO and IA staff on the  All staff of the PMO and IA should  The staff of the PMO and IA has EMDP and SGAP be trained on the EMDP and been trained twice on the EMDP SGAP (including not less than and SGAP, with 10 participants in 40% should be women and ethnic total. minorities) (baseline: 20%).  Appointing international and domestic  2 men-months for international  The experts are in place. social development and gender experts expert and 12 men-months for domestic expert  The PMO and IA should appoint  Number of staff members  The PMO and IA have appointed dedicated staff members to implement appointed one staff member to be responsible and report SGAP implementation. for the SGAP each.  The PPMS will collect data by gender and  Social development and gender  Social development and gender ethnic group to monitor, evaluate and indicators included in the PPMS indicators have been included in report EMDP and SGAP implementation. the PPMS.

18 5 Sampling Survey 5.1 Methods The task force conducted a sampling survey in 8 villages in Sanhe Town and Shihuiyao Xiang, Ledu District benefiting directly from the Project, including FGDs and key informant interviews. 70 households with 198 persons were sampled, including 64 households with 175 persons in the 3 beneficiary minority villages, accounting for 47.3% of the beneficiary minority population, covering 7 villages in two townships. See Table 5-1.

Table 5-1 Distribution of Minority Population Type of Minority Minority City District Township Village impact households population Sanhe 1 4 Sanhe Xinzhuang 2 7 Directly Town Binglingshan 1 5 benefiting Ledu Dongcun 2 7 Haidong minority Yima 16 36 Shihuiyao villages Shihuiyao 21 47 Xiang Shiguasi 27 92 Total 70 198 Source: door-to-door survey in July 2020

5.2 Results 5.2.1 Population The 70 sample households have 198 persons in total, including 128 laborers, 86 women (accounting for 43.43%), with 2.8 persons per household on average. 5.2.2 Age Structure Among the 198 samples, 32 are aged 16 years or less, accounting for 16.16%; 77 aged 17-39 years, accounting for 38.89%; 45 aged 40-59 years, accounting for 22.73%; and 44 aged above 60 years, accounting for 22.22%. See Table 5-2. 5.2.3 Education Among the 198 samples, 92 have received primary school or below education, accounting for 46.46%; 77 have received junior high school education, accounting for 38.89%; 16 have received senior high or secondary technical school education, accounting for 8.08%; and 13 have received junior college or above education, accounting for 6.57%. See Table 5-2.

Table 5-2 Demographics of Minority APs Male Female Total Item N Percent (%) N Percent (%) N Percent (%) Age ≤16 years 19 16.96% 13 15.11% 32 16.16% 17-39 years 46 41.07% 31 36.05% 77 38.89% 40-59 years 22 19.64% 23 26.74% 45 22.73% ≥60 years 25 22.32% 19 22.09% 44 2.22% Subtotal 112 100% 86 100% 198 100% Educational level (adults) Primary school or below 52 46.43% 40 46.51% 92 46.46% Junior high school 42 37.5% 35 40.70% 77 38.89% Senior high school / 10 8.93% 6 6.98% 16 8.08% secondary technical school Junior college or above 8 7.14% 5 5.81% 13 6.57%

19 Subtotal 112 100% 86 100% 198 100% Source: door-to-door survey in July 2020

5.2.4 Employment Among the 70 sample households, 58 deal with farming mainly, and 12 with nonagricultural operations mainly. Most young people work outside and deal with physical labor mainly. The percentage of nonagricultural employment is 17.1%. 5.2.5 Annual Income and Expenditure The per capita annual income of the sample households is 21,573.33 yuan, per capita annual expenditure 8,311.63 yuan, and per capita annual net income 17,766.4 yuan. See Table 5-3.

Table 5-3 Household Income and Expenditure of Minority APs Average per Per capita Percent Item household (yuan) (yuan) (%) Cultivation income 12797 4570.36 21.19 Operating income 10375 3705.36 17.18 Household Wage income 773.33 276.19 1.28 income Property income 28500 10178.57 47.18 Other income 4960 1771.43 8.21 Subtotal (A) 60405.33 21573.33 100 Agricultural productive expenditure (B) 5789.63 2067.73 24.88 Nonagricultural productive expenditure (C) 4869.77 1739.20 20.92 Nonproductive expenditure (D) 10623.43 3794.08 45.65 Household Daily expenses 1976.53 1106.86 expenditure Item Educational expenses 1146.80 683.19 Medical expenses 670.75 375.62 Other expenses (E) 1989.73 710.62 8.55 Subtotal (B+C+D+E) 12649.13 8311.63 100 Per capita net income (A-B-C) 17766.4 Source: door-to-door survey in July 2020

20 6 Grievance Redress 6.1 Channels and Procedure According to the survey, the existing grievance redress channels in the project area are: 1) Minority residents may reflect complaints and suggestions to their village committees, which is the main grievance redress channel; 2) Minority residents may reflect complaints and suggestions to their township governments; 3) Minority residents may reflect complaints and suggestions to the complaint handling office of the county government. All APs may maintain their rights and interests through the above channels. A smooth grievance redress mechanism has been established to ensure the successful implementation of the EMDP. Stage 1: If any right of AP minority resident is infringed on in terms of LA, HD, resettlement or project implementation, he/she may file an appeal to the village group or committee. If the village group or committee cannot solve such appeal, it will be referred to the township government, which should give a disposition within two weeks. Stage 2: If the AP is dissatisfied with the disposition of Stage 1, he/she may file an appeal to the district PMO within one month after receiving such disposition, which shall make a disposition within two weeks. Stage 3: If the AP is still dissatisfied with the disposition of Stage 2, he/she may file an appeal to the Haidong PMO within one month after receiving such disposition, which shall make a disposition within two weeks. Stage 4: If the AP is dissatisfied with the disposition of Stage 3, he/she file an appeal with the competent authorities level by level in accordance with the Administrative Procedure Law of the PRC for arbitration after receiving such disposition. Stage 5: If the AP is still dissatisfied with the arbitration award of Stage 4, he/she may file a suit in a civil court in accordance with the Civil Procedure Law of the PRC after receiving such disposition. In addition, the APs may file grievances and appeals directly with the external M&E agency, or the legal, disciplinary inspection and complaint handling departments of Ping’an and Ledu Districts. During the COVID-19 pandemic, grievance redress channels for minority residents are kept unobstructed, including such noncontact means as telephone, WeChat and the Internet. If on-site handling is inevitable, the health checkup procedure should be observed strictly, including temperature taking and face mask wearing.

Municipal / district legal Haidong PMO dtt External M&E agency Municipal / district di i li i ti District PMOs

Municipal / district lit hdli Township t

AHs / village committees

Figure 6-1 Grievance Redress Flowchart

21

The resettlement agencies will appoint staff members to collect and accept grievances and appeals from the minority APs specifically. See Table 6-1.

Table 6-1 Contact Information for Grievance Redress City / district Agency Name Address Tel No.205 Ping’an Avenue, Ping’an Haidong City Haidong PMO Zhou Ling 15202561243 District Ping’an District Housing Junction of Ping’an Avenue and Wang Xurong 13709734054 Construction Bureau Minhe Road, Ping’an District Ping’an District Ping’an District Water No.14 Huangyuan Street, Ping’an Zhong Hailin 18697212798 Bureau District Ledu District Housing No.11 Binhe South Street, Yuan Youxia 18997022369 Construction Bureau Ping’an District Ledu District Ledu District Water No.25 Wenhua Street, Ledu Zhou Bin 15709822634 Bureau District

6.2 Recording and Feedback During implementation, the IAs have prepared a registration form to record grievances and appeals of minority residents, as shown in Table 6-2. The task force will register and handle grievances and appeals during EMDP implementation using this form.

Table 6-2 Grievance Registration Form Appellant Time Accepting agency: Location Appeal Expected solution Suggestion of the M&E agency Proposed solution Actual handling Person responsible Appellant (signature) (signature) Recorder (signature) Notes: 1. The recorder should record the appeal and request of the appellant factually. 2. The appeal process should not be interfered with or hindered whatsoever. 3. The proposed solution should be notified to the appellant within the specified time.

6.3 Evaluation The task force has found that information disclosure and public participation under the Project are adequate. 1) At different stages of the Project, the PMOs and the IAs have collected opinions on project design and implementation from minority residents by means of FGD, in-depth interview, stakeholder discussion, key informant interview, etc., and given feedback, and disclosed project information by means of village committee publicity, broadcast, TV, the Internet, etc. Under the leadership of the Haidong PMO, the local PMOs, township governments and village committees have established a sound grievance redress mechanism, and disclosed the contact information. 2) A transparent and effective grievance redress channel has been established, and notified to the AHs through the village committees. 3) No lawsuit arising from the infringement on the rights of minority residents has occurred to

22 date. The task force thinks that the public participation and grievance redress mechanisms have played a good role during project implementation.

23 7 Findings and Suggestions 7.1 Findings 1) Organizational structure The organizational structure of the Project is well established, the roles and responsibilities of all agencies well defined, and all agencies well equipped. However, in the resettlement agencies, some staff and jobs have been adjusted, and the newly appointed staff lacks understanding in the Project and ADB’s social safeguard policies. The Haidong Municipal Government ensures successful project preparation and EMDP implementation by way of organizational setup and capacity building. In addition, the owners, land and resources bureaus, housing construction bureaus, affected township governments and village committees also participate in resettlement. 2) Construction and resettlement progress The baseline survey was conducted in June 2019. 680 mu of collective land has been acquired, 25.76 mu of state-owned land (roads, river flats, etc.), and 128.8 mu of land occupied temporarily for the Project, involving 49 villages in 8 townships in two districts, Haidong City. 341 households with 1,420 persons have been affected by LA, and 131 households with 535 persons by temporary land occupation. The Project also affects 29 households with 53 persons, and ground attachments such as scattered trees and telegraph poles. The urban-rural water supply subcomponent involves the demolition of the properties of two entities (Wenzukou and Fatai Reservoir Management Stations) of 722 m2, including 572 m2 in simple structure and 150 m2 in masonry timber structure, affecting 27 workers. These two entities will not be relocated, and will be subject to cash compensation. By the end of July 2020, the progress was as follows: 1) LA compensation for 9.74 mu of land for the Ping’an WWTP Water Reclamation Work (Phase 2) had been completed, including 2.61 mu of acquired collective land and 7.13 mu of reclaimed state-owned land, affecting 3 households with 12 persons in 3 villages in Ping’an Town. 2) LA compensation agreements had been signed, and the compensation paid for Ledu Landfill Reconstruction and Expansion. 11.44 mu of collective land had been acquired, affecting 5 households with 18 persons. 3) The DMS for the Ping’an segment began in December 2019 and was underway. 4) The DMS for the Yizhou wetland and urban-rural water supply had been completed in October 2018, LA not begun, no LA compensation agreement signed, and no compensation paid. 3) Alleviation and supporting measures under the EMDP The external M&E agency has disclosed the EMDP, and established an EMDP monitoring network. Among the 23 activities under the EMDP, 4 have been completed, 16 are ongoing and 3 have not been started. The key issues are as follows: a) Among the 5 unadjusted subcomponents, only the Ping’an WWTP Water Reclamation Work (Phase 2), and Ledu Landfill Reconstruction and Expansion have broken ground, so most of the measures under the EMDP have not been started or progress slowly. b) The persons responsible for EMDP implementation for all subcomponents have been appointed, but are not familiar with the ADB policy and EMDP implementation enough. c) Among supporting measures of local governments, skills training and knowledge enhancement has not been started. According to the EMDP, characteristic cultivation will be supported in the 3 minority villages, including a sea buckthorn cultivation base in Shiguasi Village, and modern garden base in Shihuiyao Village, and vegetable greenhouses in Yima Village. These measures had not been implemented by the end of July 2020. According to the Haidong Municipal Ethnic and Religious Affairs Commission, these measures have been cancelled, and new measures

24 will be planned but have not been finalized. 4) SGAP implementation According to the approved SGAP, some actions will be taken at the implementation stage. By the end of July 2020, only the Ping’an WWTP Water Reclamation Work (Phase 2), and Ledu Landfill Reconstruction and Expansion had broken ground among the 5 subcomponents that had not been adjusted. Therefore, most of the actions under the SGAP have not been started. The resettlement agencies are understaffed and therefore unable to handle day-to-day work properly. In addition, in the resettlement agencies, some staff and jobs have been adjusted, and the newly appointed staff lacks understanding in the Project and ADB’s social safeguard policies. Local women’s overall educational level is low, and lower than men. As a result, most people (including women themselves) think that women are incompetent to handle family and public affairs, and women’s needs and suggestions are often neglected at all stages. The two components that have broken ground are under construction, and the proportion of local women employed, below the 30% target specified in the SGAP. 5) Information disclosure and grievance redress By the end of July 2020, few information disclosure and public participation activities had been conducted, but a sound grievance redress mechanism had been established and disclosed in the project area. No appeal in this respect has been received to date.

7.2 Suggestions 1) Organizational structure The staff of the agencies concerned should further be trained on resettlement policies and implementation, and strengthen communication and coordination by means of theoretical learning and exchange, especially visiting and learning from completed or ongoing ADB-financed projects, to further improve their efficiency and capacity. 2) EMDP implementation The PMO staff should gain relevant information through pertinent training and learning in order to fulfill their duties and tasks properly. The EMDP progresses slowly, and has been partly implemented only. The task force suggests that with the successive construction of the subcomponents, the EMDP should be implemented successively. Publicity on public health and AIDS prevention should be conducted in the project area, covering epidemics and infectious diseases (including COVID-19, AIDS, influenza, etc.). 3) Information disclosure and grievance redress The resettlement agencies, affected township governments and village committees lack awareness of public participation and information disclosure, and should conduct disclosure, publicity and mobilization properly, and keep minutes of meetings.

25 Appendix 1 Interview Minutes Date June 16, 2020 Venue Ms Li’s home in Haidong Organizer Haidong PMO Participants Engineer Zhang of the Haidong Municipal Water Bureau, task force Topics Public participation, socioeconomic survey, EMDP implementation Key points This family has 6 members. Her daughter’s two sons are at school. Her husband, daughter and results and son-in-law work outside. She stays at home. She is a Han resident, while his husband and daughter are Tu residents but have been assimilated by the Han people. This family formerly had 2 mu of land, all of which has been acquired. Such land was used to grow wheat and corn, with annual income of 700-800 yuan/mu. The LA compensation is 53,200 yuan, which has been paid. This family knew about LA in November 2019, and had a land ownership dispute with another group. Such dispute has been settled through coordination by the local government and the village committee. Photo

26 Appendix 2 Fieldwork Photos

Interview at the Haidong PMO Interview at the construction site of Ledu Landfill Reconstruction and Expansion

Interview with an AH by the Ping’an District Water Publicity on pandemic prevention and control Bureau

LA announcement RP and EMDP disclosure

27

Safety instructions on construction site Publicity on AIDS prevention

Exchange and training on MSW recycling Resettlement training

28