PRC: Xinjiang Tacheng Border Cities and Counties Development Project

Transcription

1 Ethnic Minority Development Plan January 2015 PRC: Xinjiang Tacheng Border Cities and Counties Development Project Prepared by the Xinjiang Tacheng Prefecture Government for the Asian Development Bank.

2 CURRENCY EQUIVALENTS (As of 14 January 2015) Currency unit Yuan (CNY) CNY1.00 = $ $1.00 = CNY6.194 ABBREVIATIONS 3R reduce, reuse and recycle ADB Asian Development Bank ACWF All China Women s Federation CDPC Center for Disease Prevention and Control CNY Chinese Yuan DMF design and monitoring framework EA executing agency EM - ethnic minorities EMP environmental management plan EMDP ethnic minority development plan ERAB Ethnic and Religious Affairs Bureau GAP gender action plan GDP gross domestic product HH household IA implementation agency IP indigenous peoples IPP indigenous peoples policy IPA indirect project area IR Involuntary resettlement LAR land acquisition and resettlement MSW municipal solid waste NMT non-motorized traffic O&M operation and maintenance PMO project management office PPMS project performance monitoring system PRC People s Republic of China PSA poverty, gender, and social analysis RP resettlement plan SDAP social development action plan SPS safeguard policy statement TPG Tacheng Prefecture Government TPMO Tacheng Project Management Office XUAR Xinjiang Uygur Autonomous Region XUARG Xinjiang Uygur Autonomous Region Government

3 NOTE In this report, "$" refers to US dollars This indigenous peoples plan is a document of the borrower. The views expressed herein do not necessarily represent those of ADB's Board of Directors, Management, or staff, and may be preliminary in nature. Your attention is directed to the terms of use section of this website. In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.

4 ADB-financed Xinjiang Tacheng Border Cities and Counties Development Project ETHNIC MINORITY DEVELOPMENT PLAN People s Republic of China: Xinjiang Tacheng Border Cities and Counties Development Project January 2015 Prepared by the Xinjiang Tacheng Prefecture Government, and the project management offices of Tacheng City, Emin County, Tuoli County and Yumin County for Asian Development Bank.

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6 TABLE OF CONTENTS I. EXECUTIVE SUMMARY... 1 II. DESCRIPTION OF THE PROJECT... 1 III. LEGAL FRAMEWORK... 2 IV. SOCIAL ASSESSMENT OF ETHNIC MINORITIES... 3 V. SOCIOECONOMIC CHARACTERISTICS OF ETHNIC MINORITIES IN THE PROJECT AREA... 9 VI. PROJECT IMPACTS VII. EMPLOYMENT AND FUTURE PROSPECTS VIII. ACTION PLAN IX. INSTITUTIONAL ARRANGEMENTS AND CAPACITY DEVELOPMENT X. CONSULTATION, PARTICIPATION AND INFORMATION DISCLOSURE XI. DISCLOSURE OF THE EMDP XII. GRIEVANCE REDRESS MECHANISM XIII. MONITORING, REPORTING, AND EVALUATION XIV. BUDGET AND FINANCING LIST OF TABLES, FIGURES AND ANNEXES TABLE 1: POPULATION AND ITS COMPOSITION IN THE PROJECT AREA AND TACHENG PREFECTURE IN FIGURE 1: PROJECT MAP 7 TABLE 2: ETHNIC MINORITY POLICY FRAMEWORK IN THE PRC.. 14 TABLE 3: POPULATION OF MAIN ETHNIC MINORITIES IN PROJECT AREA AND TACHENG PREFECTURE IN 2011 (PERSON) 16 TABLE 4: ETHNIC GROUP S DISTRIBUTION 21 TABLE 5: AVERAGE HOUSEHOLD POPULATION SIZES (PERSON)..22 TABLE 6: % OF MALE AND FEMALE HOUSEHOLD MEMBERS 23 TABLE 7. AGE COMPOSITION OF ETHNIC MINORITIES BY COUNTY SEAT.. 23 TABLE 8: LANGUAGE USED AT HOME AND AT WORKPLACE OF ETHNIC MINORITY HOUSEHOLDS. 24 TABLE 9: AVERAGE INCOMES OF SAMPLING HOUSEHOLDS IN PROJECT AREA.. 26 TABLE 10: HOME ASSETS OF SAMPLING HOUSEHOLDS IN PROJECT AREA TABLE 11. GENDER ROLE DIVISION IN EMS HOUSEHOLD. 27 TABLE 12: ACTION PLAN.. 34 ANNEX 1: TERMS OF REFERENCE FOR DAUR NATIONAL FOLK CUSTOM TOURISM SPECIALIST 49 ANNEX 2: TERMS OF REFERENCE FOR THE ETHNIC MINORITY DEVELOPMENT PLAN EXTERNAL MONITOR 51 ANNEX 3. HOUSEHOLD QUESTIONNAIRE SURVEY SAMPLING 53 ANNEX 4. SCOPE OF RESETTLEMENT AND DETAILS OF AFFECTED HOUSEHOLDS 55

7 1 I. EXECUTIVE SUMMARY 1. Introduction. This Ethnic Minority Development Plan (EMDP) has been prepared to ensure that ethnic minority people are able to benefit equally from the Xinjiang Tacheng Border Cities and Counties Development Project (the Project), and that any negative impacts that might affect them are either reduced or mitigated. Adequate provisions to enhance economic conditions of minority groups have either been integrated into the project design or specified separately in the EMDP. Special mitigation measures have also been included in the resettlement plans (RPs) to ensure that ethnic minorities affected by land acquisition and resettlement (LAR) will also benefit from the Project. The EMDP is based on relevant laws and regulations of the People s Republic of China (PRC) as well as ADB s Safeguard Policy Statement (SPS). The EMDP has been prepared as per ADB requirement. 2. Project Description. The Project is implemented by the Xinjiang Uygur Autonomous Region Government (XUARG) with support from the Asian Development Bank (ADB). The project will affect Tacheng City and the county seats of three counties of the Tacheng Prefecture: Emin, Tuoli, and Yumin. Project components will include (i) rehabilitation of Kalangguer river, (ii) district heating improvement, (iii) municipal solid waste management improvement, (iv) alley rehabilitation in Tacheng City, (v) urban roads and bridges; (vi) municipal services improvements in Tacheng City and counties of Emin, Tuoli, and Yumin; and (vii) capacity development and institutional strengthening during project implementation. 3. The Project will directly benefit a total of 256,751 people, including about 34,533 poor (13.5% of the total beneficiaries), 127,268 female residents (49.6% of the total beneficiaries) and 120,183 ethnic minority people (46.8% of the total beneficiaries). The project will contribute to poverty reduction by improving access for urban, rural, and peri-urban residents to municipal services such as transportation, water supply, sewerage, wastewater treatment, heating, and support direct and indirect employment opportunities with expanded tertiary industries and an enabling investment environment. 4. Legal and Policy Framework. This EMDP is in line with the People s Republic of China s laws and regulations and ADB s Safeguard Policy Statement. The EMDP specifies mitigation and enhancement measures to comply with ADB s SPS, Safeguard Requirement No. 3 on indigenous peoples The EMDP is designed to ensure that project benefits are distributed equitably and that culturally appropriate measures are taken to (i) avoid or mitigate adverse impacts, and (ii) enhance benefits for ethnic minorities. The project will ensure that ethnic minorities are consulted in matters related to each subproject, and provided with opportunities to participate in decision making and/or implementation activities. 1 According to ADB SPS safeguard requirement 3, the term indigenous peoples includes ethnic minorities. In the PRC such plans are called Ethnic Minority Development Plans. Ethnic minority groups refer to those groups that are distinct from the mainstream ethnic group in the PRC- the Han. The PRC policy defines nationalities based on, inter alia, shared language, territory, economic base, and traditions/culture.

8 2 6. Socioeconomic Characteristics of Ethnic Minorities. In the project-affected city/counties, ethnic minority people represent between 40% and 75% of the total city/county population. The majority of ethnic people in these counties are Kazakh, who, in 2012, represented over 76% of the ethnic minority population in the project city/counties. The other main ethnic minority groups present in these counties are the Hui, the Uygur, the Mongolians, the Daur and the Russian. A number of other minority groups are also present, but in very small numbers. 7. Both urban and rural poverty incidences of all four project city/counties 2 are higher than the average of Tacheng Prefecture. No official figures are available on the ethnic composition of the poor urban population. 8. Project Benefits and Risks. The key immediate benefit of the project will be an improved quality of life, including improved physical well-being, for the town residents as a result of (i) improved river environment by eco-rehabilitation of the river, (ii) improved environmental sanitation due to better solid waste disposal, (iii) improved access to a safe and reliable source of water for domestic use, (iv) improved road network and traffic flow and safety, and (v) improved centralized heating and reduced air pollution from town heating facilities. The construction activities are anticipated to create close to 25,727 person-month jobs in the construction areas, which, together with the impacts of local procurement and associated multiplier effects in the labor market, will help reduce the incidence of unemployment in the area. Awareness building activities in road safety and environment will help to ensure the social benefits of infrastructure improvements. The long-term benefits of the project will be increased economic development, opening up of new areas for urban expansion enabling the counties to service a growing population, and encouraging new sectors such as tourism. 9. The potentially negative impacts will be (i) temporary impacts associated with construction such as dust, noise, disruption to movement, etc.; (ii) the need for resettlement and land acquisition; and (iii) increased risk of HIV/AIDS/STIs transmission from migrant laborers into the local population, should construction utilize external laborers. 10. Project Impacts on Ethnic Minority People. The poverty, gender and social analysis (PSA) concluded that ethnic minorities and the remainder of the population are integrated physically, socially and economically in the county seats and that ethnic minority people will benefit directly from all aspects of the improved urban infrastructure. The improved infrastructure will contribute to local economic development and be beneficial to ethnic minority people promoting new job opportunities and new access to basic services. No ethnic minority communities will be split as a result of relocation, and the project will not affect the customary rights of use or access to land and natural resources as a result of land acquisition. In Tacheng City, 66 ethnic minority households with 242 family members will be affected by land acquisition and resettlement, including 18 HHs affected by demolition, 40 HHs affected by land acquisition and 8 HHs affected by both demolition and land acquisition. In Emin County, 45 ethnic minority households with 186 family members will be affected, including 35 HHs affected by demolition and 10 HHs affected by land acquisition. In Tuoli County, 44 ethnic minority households with 182 family members will be affected by land acquisition. In Yumin County, 5 ethnic minority households with 25 family members will be affected by land acquisition. The project s RPs 2 The urban and rural poverty incidences are 11.8% and 12.2% in Tacheng City, 16.0% and 14.0% in Emin, 13.7% and 8.9% in Tuoli, and 12.5% and 13.5% in Yumin.

9 3 include specific provisions for ethnic minorities and the environmental management plan (EMP), gender action plan (GAP), and social development action plan (SDAP) will address other negative impacts that affect the community as a whole. 11. Other project risks specific to ethnic minority people include (i) that their customs and beliefs might be inadvertently disrespected in the course of project implementation, (ii) a moderate risk of HIV/AIDS, and (iii) possible risk of lack of access to inclusive benefits and possible lack of participation, especially women. Some of these risks stem from the expected induced impacts of increases in economic and tourism development. To avoid, reduce or address these risks a number of mitigation or enhancement measures have been designed under the project. Risks such as exposure to HIV/AIDS are mitigated through provision of HIV/AIDS awareness training to construction workers and local communities in collaboration with the Center for Disease Prevention and Control. 12. Other key issues addressed in this EMDP include (i) ensuring that all measures taken to mitigate general risks, such as campaigns to increase awareness on road safety, and all temporary and permanent road signage are bilingual 3 ; (ii) measures to ensure that the customs and beliefs of ethnic minority people are respected throughout the project implementation; and (iii) setting of targets and specific measures for the employment of ethnic minority people on construction sites. 13. Participation and Information Disclosure. At various stages, project beneficiaries, including ethnic minorities, have been consulted about the likely positive and negative impacts of the Project. The stakeholders consulted include (i) 486 households survey, (ii) 17 focus group discussions, and (iii) 30 interviews. The consultations took place between January and May To facilitate the involvement of ethnic minority people in planning, decision making and participation throughout the entire project cycle, all information dissemination and consultative meetings outlined in the EMDP, EMP, SDAP, GAP, and RP, and any other meetings which may prove desirable in the course of project implementation, will be translated into Kazakh and disclosed to local communities. 15. Upon ADB approval, the EMDP will be uploaded to ADB website. Continued consultation, participation and monitoring will take place during implementation. 16. Grievance Redress Mechanism. Any complaints or grievances of ethnic minority people during the Project will be handled in accordance with the grievance redress procedure established in the RPs and/or EMPs, depending upon the type of issue. An appeal can progress through a number of stages if the appellant is not satisfied with the initial response. The RPs outline (i) details of these stages, (ii) the procedures for moving through the different stages, and (iii) the different agencies which will be responsible for handling an appeal at each stage. To ensure that any complaints on the EMDP, land acquisition, resettlement, compensation, or other issues are handled openly, fairly and timely, specific contacts have been appointed within each of the agencies which will be responsible for accepting appeals at different stages in the appeal process. 3 Mandarin and Kazakh, or Mandarin and Uygur depending upon the location.

10 4 17. Institutional Arrangements. The Tacheng Prefecture Government is the executing agency (EA) of the project. The Tacheng Prefecture PMO is responsible for supervision and management of the project implementation and reporting to ADB on behalf of the EA. The construction bureau of each project city/county are the implementing agencies (IAs) of the project and responsible for the implementation of the project components in their city/county, while the city/county PMO is responsible for supervision and management of implementation of the project components related to their city/county. 18. The Tacheng Prefecture PMO will require that the city/county PMOs be responsible for implementing the EMDP; each city/county PMO will be asked to assign a staff member to be responsible for the project social safeguards; this will include implementation of the resettlement plans, this EMDP, the SDAP, and the GAP. Where necessary, the social safeguards staff will be responsible for assigning particular responsibilities for implementation of certain actions prescribed in the EMDP. The social safeguards staff will also be responsible for planning and implementation of EMDP internal monitoring and coordination of an external monitoring. The community office staff will provide an important link between the ethnic minority and other residents, and the city/county PMO social safeguards staff. They will also assist with any projectrelated community meetings, facilitating, in particular, the participation of ethnic minority women. The loan implementation consultants will provide the training and support to local officers. 19. The social safeguards staff will also work closely with the implementing agencies (IAs) to ensure that contractors are aware of, and in compliance with, their responsibilities under the EMDP. 20. The Ethnic and Religious Affairs Bureaus in each of the city/counties will assist with those activities in the EMDP that require input regarding the local ethnic minority beliefs and customs. They will also provide support to coordinate, advice, and assist in monitoring the implementation progress. 21. The Center for Disease Prevention and Control in each county will work with the PMO safeguards staff to conduct HIV/AIDS/STIs awareness and prevention campaigns in Mandarin and local languages, both in the community, and among contracted workforces. 22. Monitoring, Evaluation and Reporting. The implementation of this EMDP will be monitored both internally and externally. The key objective is to ascertain the effectiveness of the EMDP planning (review and verification of EMDP impact assessment and action plan) and implementation (including implementation of action plan and consultation and grievance redress). 23. The city/county PMO social safeguards staff and the IAs will conduct an internal monitoring of the EMDP as part of the overall project monitoring process, according to the monitoring indicators included in the EMDP. They will prepare and submit semi-annual monitoring reports to Tacheng Prefecture PMO who will consolidate the reports and submit them to the Tacheng Prefecture Government, as the executing agency (EA), for forwarding to ADB. The reports, by subprojects, will review progress, newly emerged issues, and corrective actions where required. 24. Before project implementation, the Tacheng Prefecture PMO will contract an independent institute or nongovernment organization to conduct an external monitoring and evaluation. The external monitoring will be conducted twice a year. Objectives of the external

11 5 monitoring of the EMDP will include (i) ensuring that the EMDP is being properly implemented and the overall objectives of the EMDP are being met; (ii) collecting data and information to describe social and poverty impacts on ethnic minority people and their communities; (iii) ensuring that appropriate participatory approaches and quality communication have been adopted and that appropriate involvement of minority men and women in planning and implementation has undertaken, (iv) identifying complaints and/or ensuring that the grievance mechanism is effective, and (v) verification of the internal monitoring reports. 25. Budget and Financing. The actions to be implemented under the EMDP are either (i) be included as part of the project budget in the RP and EMP; (ii) represent expenses contractors incur as line items in their budgets; or (iii) be implemented by staff of government agencies such as the Ethnic and Religious Affairs Bureau, and hence covered by local government staffing and related costs. In addition, some budgets for specific actions such as producing HIV/AIDS/STI information, education, and communication materials in the Kazakh language are included in the Project budget. The estimated EMDP budget for a national customs tourism specialist, a social safeguard implementation consultant and EMDP external monitoring is about CNY 293,000.

12 6 II. DESCRIPTION OF THE PROJECT 2.1 The Xinjiang Uygur Autonomous Region 26. Xinjiang Uygur Autonomous Region (XUAR) is located in the northwestern China. XUAR is the largest province/autonomous region in the People s Republic of China (PRC) with a total area of 1.66 million km 2, which is about one sixth of the total area. The geographical location of XUAR defines that it is the gateway connecting the continents of Europe and Asia. A major transport corridor on the historic Silk Road, the XUAR shares borders with eight neighboring countries: Russia, Kazakhstan, Kyrgyzstan, Tajikistan, Mongolia, Afghanistan, and Pakistan. There are a total of 17 national and 12 provincial level border ports along Xinjiang border. The border trade is one of the important trading developments in XUAR. 27. The XUAR is a minority concentrated living area. About 60% of the total population is ethnic minorities. More than 30 different ethnic minority groups lives in the region. Uygur comprise 46% of the total population, Kazakh 7%, Hui 4.5%, Kyrgyz 0.9% and Mongolians 0.8%. These major ethnic groups have been involved in constant migration over the centuries. The population movements have caused religious and cultural intermingling, producing the region s present unique culture. 28. Xinjiang is one of the less developed provinces/regions in the PRC. It is one of the poorest of the Western provinces. By 2013, the total gross domestic product (GDP) was CNY851.0 billion, ranked 25th; the average GDP per capita was CNY37,847, ranked 18th, and the average urban resident disposable income was CNY19,874, ranked 28th among 31 provinces/regions in the PRC. In comparison to the national averages (GDP/person = CNY41,805, disposable income = CNY26,955), they are well below the national averages. 29. At the same time, the XUAR has one of the highest population growth rates in the PRC. As a result, serious challenges are arising from unemployment and urbanization, inadequate urban infrastructures, and land degradation in rural areas compound the impact of its overall poverty on the local standard of living. 2.2 The Project Area 30. Tacheng Prefecture is located in the northwest of XUAR and consists of two (2) cities and five (5) counties 4 with area of 104,547 km 2 including Tacheng City, Emin County, Tuoli County and Yumin County defined as the direct project city/counties or project areas. There are five (5) counties (city) 5 bordering Kazakhstan. A total of million of ethnic minority s people representing 29 ethnic groups are living in Tacheng Prefecture, accounting for 45.8% of the total ethnic minority population in The project area, of Tacheng City, Emin County, Tuoli County and Yumin County accounts for 37.9% of the total area of Tacheng Prefecture. The population and its composition of the project area and Tacheng Prefecture in 2012 are presented in table below. 4 Including Tacheng City, Wusu City, Emin County, Tuoli County, Yumin County, Hoboksar County and Shawan County. 5 They are Tacheng City, Emin County, Tuoli County, Yumin County and Hoboksar County.

13 7 Table 1: Population and Its Composition in the Project Area and Tacheng Prefecture in 2012 Item Unit Project Area Tacheng Tacheng Emin Tuoli Yumin Prefecture City County County County Land Area km 2 4, ,147 19,992 6, ,547 No. of Household HH 51,475 58,493 28,988 1, ,776 Population person 153, ,759 97,855 54, ,416 Ethnic minority person 62,168 98,232 73,245 23, ,623 Male person 76,931 82,611 48,991 27, ,254 Female person 76,248 81,148 48,864 26, ,162 Non-rural person 91,006 78,161 38,354 24, ,722 Rural person 62,173 85,598 59,501 29, ,694 Source: Statistical Communiqué on 2013 National Economic and Social Development of Tacheng Prefecture; Leader s Handbook of Tacheng Prefecture Figure 1: Project Map Kazakhstan Kazakhstan Tacheng City Emin County Yumin County Tuoli County 31. The Project will be implemented in Tacheng City, Emin County, Tuoli County and Yumin County, which population accounts for 48% of the total population of Tacheng Prefecture. They are all border counties. Among them, Tuoli is a key national poverty county and Yumin is one of poverty counties in the level of XUAR. 32. Tacheng City is the administration, cultural and business center for Tacheng Prefecture and it is the development center for border trade, agricultural production and tourism development. In Tacheng City, the GDP increased steadily over the past three years. In 2012,

14 8 the GDP reached billion yuan and increased by 12.4%, and GDP per capita was 38,316 yuan. The lack of adequate urban infrastructures and municipal services cause negative impacts on the local economic development including less competitiveness to attract more investments and skilled people. The subproject will help to improve the living conditions in the urban area and improve the investment environment to increase the city s competiveness. 33. Emin County is another development center in the prefecture with strong local economy based on agricultural production and tourism development. In Emin County, the GDP increased steadily by 15.8% over the past three years. In 2012, the GDP reached billion yuan and increased by 14.7%, and GDP per capita was 28,938 yuan. The Emin subproject will rehabilitate a section of the existing urban road and build new urban roads in the new urban area. The subproject will improve the living and traffic conditions in the urban area and promote development of the new zone. 34. Tuoli County is the industrial development center in the prefecture with high growth rate in the last several years. The county is also an important production center for the border trade development for the industrial products of non-ferrous metals. In Tuoli County, the GDP increased steadily over the past three years. In 2012, the GDP reached billion yuan and increased by 16.2%, and GDP per capita was 35,636 yuan. The Tuoli subproject will build a new outer ring road to accommodate the urban expansion needs. The subproject will help to improve the transport condition and traffic safety in the urban area. 35. Yumin Town is an urban-rural integrated center as well as the administration, business and production center of Yumin County. The county s GDP increased steadily over the past three years. In 2012, the GDP reached billion yuan and increased by 10.3%, and GDP per capita was 19,630 yuan. The Yumin subproject will build new urban roads to accommodate the urban expansion needs. The subproject will improve the traffic conditions and traffic safety in the urban area. 2.3 Project Overview 36. The Xinjiang Tacheng Border Cities and Counties Project (the Project) aims to help the border trade development and enhance the living conditions of urban residents of Tacheng City, and counties of Emin, Yumin and Tuoli. It is a multispectral and integrated urban upgrading project that will address urgent infrastructure needs. The four project city/counties are located in the remote border area with Kazakhstan in northwest Xinjiang. 37. Xinjiang connects Asia to Europe by land transport and it is an important gateway for Europe to reach Asia and the sea ports along the Asia coastal line for trade and economic development. This trade route has been developed over thousand years. It was called the "Silk Road" historically due to the trade between the PRC and Europe started with silk trading. According to the Xinjiang 12th Five Year Plan, 6 strengthening the trade corridor development to connect Europe and Asia is one of the major focuses in the plan. Border trade is one of the important trade developments in Xinjiang. 6 XUAR Economic and Social Development 12th Five-Year Plan, January 2011.

15 9 38. Tacheng has five border ports with Kazakhstan including Baktu near Tacheng City. It is one of the two border trade routes connected to Europe in Xinjiang. In order to promote the border trade development, the central government has cooperated with the local government to build both expressway and railroad lines from Karamay to Tacheng, and also to upgrade the existing Baktu Port facilities. The border trade will increasingly play an important role in the local economic development. The proposed project will help the local municipalities improve the urban infrastructures and municipal services at Liaota new district and at Baktu Port to facilitate the trade development. 39. Tacheng City and the counties of Emin, Tuoli, and Yumin are medium to small cities and counties. The urban development in these cities and counties shall emphasize developing a people-centered integrated urban transport system consisting of motorized and non-motorized traffic (NMT) with the emphasis on developing pedestrian, bicycle and public transportation system. The project will promote the people-centered urban transport system to provide a more environmentally friendly and resident friendly urban transport system. 40. The existing municipal solid waste (MSW) management systems in the PRC are still relatively basic, focusing mainly on collection, transport and disposal. These practices have led to many types of secondary pollution, especially near the MSW collection stations. The key for MSW management is to reduce the final quantity for disposal, which will effectively reduce the demand for land resource uses, save money and protect the environment. The Project will bring in the 3Rs principles to develop the MSW component by: (i) developing and implementing a 2- bin system for MSW sorting and recycling; setting up a direct collection and transportation of waste in order to avoid secondary pollution; (iii) acquire a construction waste recycling machine to recycle the construction waste for construction uses; and (iv) provide capacity building to local governments in order to improve their solid waste management systems. 41. The proposed Project targets urgent needs in urban infrastructures and municipal services, urban environmental improvements, improves the urban living conditions and promotes the local economic and border trade activities. The proposed Project includes: (i) rehabilitation of Kalangguer river in Tacheng; (ii) district heating improvement in Tacheng; (iii) municipal solid waste management improvement in Tacheng; (iv) alley rehabilitation in Tacheng; (v) urban roads and bridges in Tacheng, Emin, Tuoli and Yumin; (vi) municipal services improvements in Tacheng, Emin, Tuoli and Yumin; and (vii) capacity development and institutional strengthening during project implementation. 2.4 Project Components 42. The project has five components/subprojects: (i) Tacheng City infrastructures, municipal services, district heating, MSW management, and river rehabilitation; (ii) Emin County infrastructures and municipal services; (iii) Tuoli County infrastructures and municipal services; (iv) Yumin County infrastructures and municipal services; and (v) capacity development and institutional strengthening. (i) Tacheng City Infrastructures, Municipal Services, District Heating, MSW Management, Alley Rehabilitation, Baktu Port Equipment Upgrade, and River Rehabilitation The component will improve the urban infrastructures and municipal services in the existing and new urban areas, including: (a) construction

16 10 of 13 urban roads with a total length of 29.5 km for people centered urban transport system with emphasis on developing pedestrian/bicycle and public transport; (b) installation of a 47.7 km water supply piping network; (c) installation of a 48.8 km sanitary sewer piping network; (d) installation of a 35.5 km primary hot water heating pipe network and 21 hot water heat exchange stations; (e) rehabilitation of 14.1 km alleys; (f) upgrade of security monitoring and MSW equipment for Baktu Port; (g) improvement of the MSW management by applying 3R principles; (h) city operation and maintenance (O & M) equipment upgrade; and (i) rehabilitation of 15.2 km Kalangguer. (ii) (iii) Emin Town Infrastructures and Municipal Services The component will improve the urban infrastructures and municipal services in the existing as well as new urban area including: (a) rehabilitation one and construction of 5 urban roads with a total length of 10.1 km; (b) installation of a 8.3 km water supply piping network; (c) installation of a 9.8 km sanitary sewer piping network; and (d) maintenance equipment upgrade. Tuoli Town Infrastructures and Municipal Services The component will improve the urban infrastructures around the existing urban area by (a) construction of the outer ring road with a total length of 14.1 km, and (b) the upgrade of city maintenance equipment. (iv) Yumin Town Infrastructures and Municipal Services The component will improve the urban infrastructures and municipal services in the existing as well as new urban area including: (a) rehabilitation one and construction of six urban roads with a total length of 9.7 km for people centered urban transport system with emphasis on developing pedestrian/bicycle and public transport, and (b) maintenance equipment upgrade. (v) Improved Capacity and Institutional Arrangement Provide support for project implementation on project management, institutional strengthening, capacity development and training, technical support, financial management support, and other tasks to ensure the smooth implementation of all project components. The capacity development component has included three specific features to strengthen the capacity of the EA and IAs on: (a) MSW management to help the IAs to improve the overall MSW management capacity especially to introduce and implement 3R MSW management principle; (b) border trade and logistics development to improve the border trade capacity in considerations of local economic and production characters, market study and business development strategy, logistic planning and development; and (c) an urban transport capacity development program including holistic urban road design and road safety audit, people-centered urban transport planning, road network management and maintenance, and related training.

17 11 III. LEGAL FRAMEWORK 43. This EMDP is pursuant to relevant laws or regulations related to ethnic minorities of PRC, the policy requirements for indigenous peoples and involuntary resettlement of the ADB and relevant regulations of the XUAR, which are shown in Table PRC Government Policy and Programs 44. After 1949, the Government of the PRC adopted a policy of ethnic equality, in which all groups are regarded as legally and constitutionally equal. However, given the poorer social and economic conditions of most minorities, the government has subsequently adopted preferential policies towards minority groups to help them catch up. Policies and regulations now incorporate a variety of measures to address the specific needs of ethnic people, including autonomous institutions of legislation, administration and law enforcement at various levels, special consideration in education, and funding of programs for the development of ethnic peoples, especially in border areas. 3.2 National Laws and Regulations of the PRC relating to Ethnic Minorities 45. The system of national laws and regulations of the PRC generally consists of three parts: (i) the Constitution, (ii) basic laws, and (iii) related laws and regulations. 46. The 1954 Constitution guarantees the equality of people in the PRC and specifies mechanisms for the exercise of autonomy in minority areas. Its preface states that the PRC is a unitary multinational state created jointly by the people of all its nationalities. The state protects the equal rights of all its nationalities and makes its best endeavor to promote common prosperity of all its nationalities. Articles in the Constitution state that: (i) the State protect the lawful rights and interests of the minority nationalities and upholds and develops the relationship of equality, unity and mutual assistance among all of the PRC s nationalities. They emphasize that the State helps the areas inhabited by minority nationalities speed up their economic and cultural development in accordance with the distinctive characteristics and needs of the different minority nationalities; (ii) regional autonomy is practiced in areas where people of minority nationalities; in these areas, institutions of self-government are established for the exercise of the right of autonomy; (iii) the people of all nationalities have the freedom to use and develop their own spoken and written languages, and to preserve or reform their own ways and customs, and (iv) citizens of the PRC enjoy freedom of religious belief. 47. The organs of self-government of the minority autonomous areas have the right to independently administer educational, scientific, cultural, public health and physical culture affairs in their respective areas, sort out and protect the cultural legacy of the nationalities and work for the development and prosperity of their cultures. 48. Subsequent laws and regulations have expanded the government s policy with respect to ethnic minorities. The Notice of State Council on the Establishment of Ethnic Minority Villages (1983) stipulates as the condition for the establishment of ethnic minority townships or

18 12 villages that there are areas in which ethnic minority people are concentrated and, except under special circumstances, comprise at least 30% of the population. In 1984, the Law of Regional National Autonomy and Related Regulations (amended 2001) reiterated, detailed and expanded on the various rights of ethnic minority and regions inhabited by ethnic minority. It gave governments of autonomous areas the right to decide on economic policy, and some latitude in allocating government subsidies. In 2005, the State Council promulgated the Several Provisions of the State Council on the Implementation of the Law of the People s Republic of China on Regional National Autonomy. These required that in the formulation of long-term economic and social development plans, people's government at higher level and its functional departments consult with the minority autonomous areas and nationality departments, in accordance with local characteristics and needs, to support and assist minority autonomous areas to enhance infrastructure construction, develop human resources, optimize the economic structure, make rational use of natural resources, strengthen ecological construction and environmental protection, speed up the development of economy, education, technology, culture, health, sports, etc., and all kinds of social programs, realizing the comprehensive, balanced and sustainable development. 49. Other relevant laws and regulations include: Ethnic Minority Autonomous Religion Law of the PRC (Approved on 31 May 1984 and revised on 28 February 2001 by the National People s Congress); Village Committee Organization Law of the PRC (Approved on 4 November 1998 and revised on 28 October 2010 by the National People s Congress); Regulations on Administration of Ethnic Minority Autonomous Township (Approved by the State Ethnic Affairs Commission of the PRC on 15 September 1993); Regulations on Xinjiang Uygur Autonomous Region Language Work (Approved by People s Congress Standing Committee of XUAR on 20 September 2002); Regulations on People s Congress Work of Township, Ethnic Township and Town of XUAR (Approved on 13 January 1995 and revised on 26 September 1996 by People s Congress Standing Committee of XUAR). 50. As a result of these laws and regulations, minority autonomous areas now enjoy preferential treatment from the central government. To assist with economic development, they have special access to relief funds, loans, subsidies and tax relief. Educational and medical organizations in the minority autonomous areas may apply to the local Ethnic and Religious Affairs Bureau (ERAB) for assistance and funding. Children of minority residents receive a small increment in their education scores for admittance to higher education. If local residents meet special difficulties in education or medical fields, they can apply for a subsidy from the local ERAB. District and county governments, through the ERAB, can undertake projects and programs aimed at improving infrastructure and wellbeing of ethnic minority communities, especially in border areas.

19 ADB s Safeguards Policy Statement and Indigenous People s Principles 51. Indigenous peoples (IP) in ADB s Safeguard Policy Statement (SPS) (2009)/SR-39 is defined as groups with social or cultural identities distinct from that of the dominant or mainstream society (for this project the mainstream society is the Han). It is a generic concept that includes cultural minorities, ethnic minorities, indigenous cultural communities, tribal people, natives, and aboriginals. 52. Two significant characteristics of indigenous peoples are (i) descent from population groups present in a given area before modern states or territories were created, and (ii) maintenance of cultural and social identities separate from mainstream or dominant societies or cultures. Additional characteristics include (i) self-identification and identification by others as being part of a distinct indigenous cultural group, and the display of the desire to preserve their cultural identity; (ii) a linguistic identity different from that of the mainstream or dominant society; (iii) social, economic, and political traditions and institutions distinct from the mainstream society; (iv) an economic system oriented more toward a traditional system of production that toward the mainstream production system; and/or (v) a unique tie with and attachment to traditional habitat and ancestral territory and its natural resources. 53. The ADB s SPS recognizes the potential vulnerability of indigenous peoples in development processes. The policy works to ensure that indigenous peoples have opportunities to participate in and benefit equally from development. Accordingly, project activities must ensure that development initiatives affecting indigenous peoples are effective, sustainable, and culturally appropriate. Initiatives should be compatible in substance and structure with the affected peoples culture and social and economic institutions, and commensurate with the needs, aspirations, and demands of affected peoples. Initiatives should be conceived, planned, and implemented, to the maximum extent possible, including consultation with affected communities to ensure respect for indigenous peoples dignity, human rights and cultural uniqueness. Projects must avoid negatively affecting indigenous peoples, and provide culturally adequate and appropriate mitigation when a negative impact is unavoidable. Project strategies and approaches to development that affect indigenous peoples must include clear mechanisms for accurate, objective analysis of their circumstances. Development processes must incorporate transparency and accountability, and encourage the participation of ethnic minorities in project design and implementation. 54. The 2009 ADB Safeguard Policy Statement (SPS) outlines the requirements that ADB borrowers/clients are required to meet in delivering involuntary resettlement (IR) safeguards 7 to ADB supported projects. The overriding objectives of the safeguards are: (i) avoid involuntary resettlement wherever possible; (ii) minimize IR by exploring project and design alternatives; (iii) improve, or at least restore the assets, living conditions and livelihoods of affected persons; and (iv) improve the standards of living of vulnerable displaced groups. 7 Refer to Appendix 2 of the SPS Safeguard Requirements for Involuntary Resettlement.

20 Comparison of the PRC s Ethnic Minorities Policies and ADB s SPS 55. Both the PRC s ethnic policies and regulations and ADB s policy share the same goals: focusing on nationality equality and development, and paying special attention to affected ethnic minority people in the process of economic, social, and cultural development of various undertakings, in order to safeguard the rights and interests of ethnic minorities, and promote their social and economic status. The ADB requirements are consistent with the intent of PRC policies, but are being applied at the project level. 56. The PRC policies and regulations are not applied on development projects. However a social risk assessment is now required for national projects. In project preparation, implementation and monitoring phases, we need to actively listen to views, attitudes and expectations of affected ethnic minority people. Therefore, this requires us to be concerned about public participation, especially women, the poor and other vulnerable groups throughout the project cycle, so as to ensure that they can benefit from the project. It is addressed in the EMDP. Table 2: Ethnic Minority Policy Framework in the PRC Type Major Laws and Regulations Main Contents and Points Relevant laws and regulations of the PRC, and regulations of Xinjiang Uygur Autonomous Region Government. Constitution of the People's Republic of China, Law of the People's Republic of China on Regional National Autonomy, Organic Law of the Villagers Committee of the People s Republic of China National Town Administration Work Regulations 12th Five-year Plan Outlining the Social and Economic Development in the Ethnic Minority Areas Regulations on Spoken and Written Language in Xinjiang Uygur Autonomous Region Regulations on People s Congress at Town Level and Village Level in Xinjiang Uygur Autonomous Region In addition to exercise the functions and powers of local organs of State, the autonomous region exercise the power of autonomy within the limits of their authority as follows: the power to enact regulations; independently mange its local political, economic, fiscal affairs, develop education, science and technology, culture and art, public health, sports, etc; organize local public security forces for the maintenance of public order; and use and development its own spoken and written language. All citizens of the People s Republic of China, including ethnic minorities, enjoy freedom of religious belief. The organs of self-government of national autonomous areas shall have the power to adopt special policies and flexible measures in the light of local conditions to speed up the economic and cultural development of these areas, safeguard the legitimate rights and interests of ethnic minorities, and enhance national unity. All citizens of the People s Republic of China who have reached the age of 18 have the right to vote and stand for election, regardless of ethnic status, race, sex, occupation, family background, religious belief, education, property status or length of residence, except persons deprived of political rights according to law. The State provides financial, material and technical assistance to the minority nationalities to help accelerate their economic and cultural development. The organs of self-government of national autonomous areas shall guarantee the freedom of the nationalities in these areas to use and develop their own spoken and written languages. The organ of self-government of a national autonomous area shall persuade and encourage people of the various nationalities to learn each other's spoken and written languages.

21 15 ADB Type Major Laws and Regulations Main Contents and Points Indigenous Peoples Policy Requirements (SR-3 of the Safeguard Policy Statement) Its target is to ensure the indigenous peoples can benefit from the project. ADB recognizes that the living standard of indigenous peoples is often lower than that of the mainstream; therefore, it should ensure that they benefit from certain measures. The Indigenous Peoples (Ethnic Minority) Development Plan should (i) be consistent with the needs and aspirations of affected indigenous peoples; and be compatible with affected indigenous peoples cultures and social and economic institutions; (ii) ensure that the project s design and construction will not lower the minority people s living standard; (iii) ensure that the minority people will benefit from the development measures in a culturally appropriate manner. The plan should include consultation, implementation, grievance redress, supervision, monitoring, and evaluation procedures.

22 16 IV. SOCIAL ASSESSMENT OF ETHNIC MINORITIES 4.1 Ethnic Minorities in Project City/Counties 57. Overview of the Ethnic Minorities in the Project Area. The total population of ethnic minorities in Tacheng Prefecture is about 445,600 accounting for 45.8% of the total population in The ethnic minorities with a population of more than 10,000 persons are Kazakh (264,421), Hui (80,007), Uygur (41,878), and Mongolians (34,406). The minorities with more than 1,000 to 10,000 persons are Daur (5,350), Russian (3,506), Khalkhas (2,151) and Xibe (1,990) nationalities. The other minorities with more than 100 to 1,000 persons are Man (814), Tatar (505), and Uzbek (405) nationalities. In addition, the other minorities distributed sporadically are Tajik, Salar, Ewenki, Tujia, Zhuang and Miao nationalities. The top seven minorities in the Project area and Tacheng Prefecture based on the last census are presented in Table 3. In Tacheng City, ethnic minority population in 2013 increased to 41.1% from 36.8% in Table 3: Population of Main Ethnic Minorities in Project Area and Tacheng Prefecture in 2011 (person) Location Kazakh Hui Mongolians Uygur Daur Russian Xibe Han Others Tacheng 522,793 13, ,421 80,077 34,406 41,878 5,350 3,506 1,990 Prefecture Tacheng 91,011 6,232 26,723 13,201 1,824 5,122 5,167 2,379 1,520 City Emin 65,527 1,056 74,823 7,339 6,194 8, County Tuoli 24, ,266 1, , County Yumin 30,169 1,184 18,365 3, County Source: Xinjiang and Tacheng Prefecture Statistic Yearbook 2012; Annual reports of Tacheng Nationality and Religious Affairs Committee 58. In Tacheng City, the project will affect directly Ergong Township and Axier Township. Ergong Township is suburban area around the city and has about 32,000 residents. Seven villages of Ergong Township are affected directly by project, and they have 390 households with 1,048 people of ethnic minorities, accounting for 3.3% of total population of the township. The main ethnic minorities are Kazakh, Hui, Mongolians, Uygur and Dongxiang. Axier Township is the only township of Daur nationality in Xinjiang with 20 villages and a population of about 10,111 persons including Daur nationality of 2,178 persons, accounting for 20.7% of the total population of the township; the others are Kazakh, Hui, Mongolians, Uygur, etc. accounting for another 15.7% of the population. The Daur nationality was migrated from Heilongjiang Province of northeast of the PRC in eighteenth centuries and believed in Shamanism. Farming is their main mode of production. 59. The Emin Component of the project will affect directly two townships, Emin Town and Jiaodong Township. Emin Town has ethnic minorities with a population of 19,570 persons, accounting for 48.5% of the total population of the town. Jiaodong Township has ethnic minorities with a population of 8,658 persons, accounting for 48.7% of the total population of the Township. Kazakh, Hui, Mongolians and Uygur are the main ethnic minority groups.