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Xining Flood and Watershed Management Project
P101829
Social Assessment Report
West Development Research Center, Central University for Nationalities
2008.8.5 Beijing
E2007V2
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Contents
I RESEARCH TASK, METHODOLOGY AND PROCESS ....................................................................1
I-I TASK AND TASK BASED POINT ...............................................................................................................1 I-II A SSESSMENT QUANTIFICATION AND METHODOLOGY...........................................................................2 I-III SOCIAL ASSESSMENT RESEARCH PROCESS...........................................................................................3 I-IV PRELIMINARY CONCLUSION...............................................................................................................11 I-V A CKNOWLEDGE AND COMMITMENT ....................................................................................................12
II PROJECT INTRODUCTION AND REGIONAL ECONOMIC AND SOCIAL DEVELOPMENT.......................................................................................................................................................................14
II-I PROJECT AND PROJECT AREA ..............................................................................................................14 II-II REGIONAL ECONOMIC AND SOCIAL DEVELOPMENT SITUATION ..........................................................16
II-II-I Natural Geographical Environment and Ecology.......................................................................16 II-II-II Climate.......................................................................................................................................17 II-II-III Human Geography....................................................................................................................18 II-II-IV Economic and Social Development Status Quo ........................................................................20
II-III S EVERE ENVIRONMENTAL AND ECOLOGICAL SITUATION .................................................................22 II-III-I Urgent Need to Improve Water Environment ...........................................................................22 II-III-II Frail Natural Ecology...............................................................................................................23 II-III-III Prominent Contradictory Between Economic Development and Environmental Protection ..24 II-III-IV The Necessity to Carry out This Project Construction ............................................................24
II-IV C ONCLUTION ....................................................................................................................................25
III REVIEW OF RELEVANT POLICIES................................................................................................26
III-I T HE CHINESE GOVERNMENT POLICY SPIRIT ......................................................................................26 III-II T HE CURRENT LAWS AND REGULATIONS IN CHINA ..........................................................................27
III-II-I Ethnic and Religious Laws.........................................................................................................27 III-II-II General Laws and Regulations.................................................................................................28 III-II-III Resettlement Policies and Measures of Immigration ..............................................................29
III-III W ORLD BANK POLICY ....................................................................................................................32
VI STAKEHOLDER ANALYSIS...............................................................................................................33
IV-I I DENTIFICATION THE STAKEHOLDER OF THE PROJECT........................................................................33 IV-II STAKEHOLDER ANALYSIS ..................................................................................................................33
IV-II-I Owner .........................................................................................................................................33 IV-II- II People’s Government of Qinghai Province ...............................................................................34 IV-III-III Xining City and Three Counties People’s Government Subordinate by It ..............................34 IV-II-IV World Bank...............................................................................................................................35 IV-II-V Designer and Builder ................................................................................................................35 IV-II-VI Project Area Residents .............................................................................................................36 IV-II-VII Other Underprivileged Groups in the Project Area................................................................36 IV-II-VIII Analysis on the Relationship Between Stakeholders in the Project Area...............................37
V LAND SYSTEM AND MODE OF LIVING..........................................................................................41
V-I LAND SYSTEM CHANGE.......................................................................................................................41 V-II L AND LAWS AND REGULATIONS.........................................................................................................41 V-III N ATURE RESOURCES, LIVELIHOODS AND LAND USE STRUCTURE....................................................43 V-IV T HE IMPACT AND POSSIBLE CONSEQUENCES OF THE PROJECTS ON THEIR LIVELIHOOD AND LAND
SYSTEM......................................................................................................................................................45
VI ETHNIC MINORITIES ........................................................................................................................49
VI-I T HE CONNECTION BETWEEN PROJECT AND ETHNIC MINORITY .........................................................49
2 .
VI-I-I The Overview of Ethnic Minorities in the project areas ..............................................................49 VI-I-II The Connection Between Project and Ethnic Minority ..............................................................50
VI-II HISTORY, CULTURE AND LIVELIHOOD OF ETHNIC MINORITIES ........................................................51 VI-II-I Tibetan........................................................................................................................................51 VI-II-II Hui people.................................................................................................................................55
VI-III E THNIC RELATIONS IN PROJECT AREA ............................................................................................57 VI-IV T HE MAIN ATTENTION POINT OF THE ETHNIC MINORITY RESIDENTS TO THE PROJECT..................58
VII POVERTY AND GENDER .................................................................................................................62
VII-I POVERTY SITUATION IN THE PROJECT AREA.....................................................................................62 VII-I-I Overview ....................................................................................................................................62 VII-I-II Causes of Poverty Analysis .......................................................................................................62 VII-I-III The impact on the poor of the project......................................................................................63
VII-II W OMEN ...........................................................................................................................................64 VII-II-I Women’s Quality and the Traditional Labor Division...............................................................64 VII-II-II The Association Between Project and Women .........................................................................64
VIII INSTITUTIONAL CAPACITY BUILDING....................................................................................66
VIII-I I NSTITUTION STATUS .......................................................................................................................66 VIII-II I NSTITUTE IMPROVEMENT..............................................................................................................66 VIII-III C APACITY BUILDING .....................................................................................................................67
VIII-III-I Enhance Learning ..................................................................................................................67 VIII-III-II Experience.............................................................................................................................68
IX PUBLIC PARTICIPATION ..................................................................................................................70
IX-I I NFORMATION PUBLICITY ...................................................................................................................70 IX-II PROJECT DEMAND AND ATTITUDE ....................................................................................................70 IX-III PARTICIPATION SCHEME AND MECHANISMS....................................................................................72
IX-III-I Participation Scheme................................................................................................................72 IX-III-II Safeguard Mechanism of participation....................................................................................73
X MONITORING AND ASSESSMENT OF SOCIAL ECONOMIC EFFECT.....................................77
X-I THE TARGET, SUBJECT AND TASK OF MONITORING AND ASSESSMENT...............................................77 X-II T HE BASIS, PRINCIPLES AND MAIN CONTENTS OF MONITORING AND ASSESSMENT.........................78 X-III B ASEMENT INVESTIGATION...............................................................................................................79 X-IV M ONITORING AND ASSESSMENT INDEX............................................................................................79
X-IV-I Community Monitoring and Assessment Index...........................................................................79 X-IV-II Farmers Monitoring and Assessment Index ..............................................................................80
X-V M ONITORING AND ASSESSMENT CYCLE AND INFORMATION PUBLICITY ............................................80
XI�CONCLUSION AND SUGGESTION.................................................................................................82
XI-II PROJECT NECESSITIES AND SOCIAL SUITABILITY .............................................................................82 XI-II PROJECT PARTICIPATION DESIGN......................................................................................................83 XI-III G ENDER, POVERTY AND DEVELOPMENT.........................................................................................83 XI-IV �ETHNIC MINORITIES .......................................................................................................................84 XI-V �IMMIGRATION AND LAND POLICY FRAMEWORK..............................................................................84 XI-VI C ULTURAL RELICS...........................................................................................................................85 XI-VII I NSTITUTIONAL CAPACITY-BUILDING AND PUBLIC PARTICIPATION ................................................85
I Research Task, Methodology and Process
I-I Task and Task Based Point
In November 2007, based on the recommendation of World Bank Project Preparation
Group ,Xining World Bank Project Office (hereinafter using abbreviation the entrusting
party) entrusts Professor Zhang Haiyang and Jia Zhongyi ,Who are director and deputy
director of West Development Research Center, Central University for Nationalities
(hereinafter using abbreviation the entrusted party)to have social influence assessment on
Xining Flood and Watershed Management Project.The entrusted party accepted formal
commission on December December 2, 2007.
According to the TOR provided by Xining Project Office, entrusted party holds that the
following tasks are what should be undertaken.
First, Have integral Assessment on the social, economical and cultural effect that the
Project(Engineering Control and ecological management included) have on the residents in
Xining project area, including one city, three counties, and those live along the riverside of
the three main branch river of Huangshui and its 28 gullies.
Second, Have basic description of the Project, Project area, especially the Population
Scale , Distribution ,Administration unit, Living style, Ethnic composition ,Cultural
characteristics and Economic and social development condition of the residents influenced by
the Project.
Third, Identify the category, mode and degree of opportunities and risks brought to the
minority ethnic residents and their community culture, meanwhile, put forward improvement
suggestion referring to resident participative management organized by community.
Fourth, Write social Assessment Report based on the above mentioned and make
assessment suggestion on whether the Project can define ethnic minorities development plan.
According to the agreement made by World Bank and the entrusting party, the entrusted
party should submit Work Outline in Chinese to Xining Municipal People’s Government and
World Bank. Besides, the entrusted party should complete the main part of field research and
confirm whether the establishment of Ethnic Minorities Development Plan is needed by the
end of February. The first draft of the social Assessment Report will be submitted to Xining
Municipal People’s Government in March beginning (if needed, an ethnic minorities
development plan will be included) and complete necessary supplement research as well as
submit the Chinese and English final draft(electronic document included) named “Xining
Flood Prevention and Watershed Management Project Social Assessment Report”(if needed,
an ethnic minorities development plan will be included).The revised draft will be completed
2 .
in 20 days after pre-evaluation and the final draft should be completed in 10 days after formal
evaluation.
From the last ten days of November 2007 to the middle ten days of January 2008, the
entrusted party did field research on the project area for two times by a 9-person assessment
group, including Zhang Haiyang, Jia Zhongyi (Miao Ethinic Group, associate professor),
Lamaocuo (female, Tibatan, research fellow),Lu ShunYuan (Tibatan, associate research
fellow),E Zongrong (Tu Ethinic Group, associate research fellow) and other four Graduate
Students named Li Jianming (Tu Ethinic Group), Sui Yanqing, Liu xueli (Female,Tujia
Ethinic Group ) and Yanying ( Female, Man Ethinic Group ).
This assessment investigation will be mainly based on three sorts of documents. One is
Policies and Regulations of the Safeguard on Ethnic Minorities’ Rights and Interests as well as
reasonable resources utilizing and exploiting strategies (e.g. land, forest and water) from
central and local governments; the other is World Bank Social Safeguard policies ,especially
ethic minority policies; the last is “The Feasibility Study of Project”(FS) provided by Xining
Project Office, alongside which gets reference from “Environmental Impact Assessment
Draft”,“Immigration Action Plan Draft”,“Participatory Management Manual Draft”in
Watershed Management part and brief instruction to dams above 15 meters in Project Area.
I-II Assessment Quantification and Methodology
The entrusted party has rich social assessment experience and participated in quite a few
World Bank Loan Project in China, such as Reservoir, Highway, Forestation, Watershed
Management and Railway, etc. We are familiar to World Bank Standard and have sufficient
knowledge on Chinese laws, regulations and related policies; furthermore, we have
understanding on the situation and demand of Chinese ethnic minorities and their language
culture. All the four graduated students from Central University for Nationalities can develop
community research work independently, since they have multiple ethnic culture background
and field experience; besides, they all have received Anthropology, Sociology and History
training and are familiar to the environment of project area. Totally considering factors like
gender, ethnic group, knowledge background and project experience, the entrusted party
consist of a research group with multiple subject background, also include 8 ethnic minority
members, 3 of them are female, 5 are Qinghai natives, so this group is enough to meet the
qualification standard of the social assessment project.
Based on the Holistic and Comparative Study of Anthropology and Sociology, the
entrusted party mainly applied Participatory Rural Appraisal (PRA) during the assessment
research, collecting data from field work and statistical data from information list, using
methodologies like participant observation, focus interview, focus group interview, adding the
3 .
analysis of historical documents, policies and regulations, therefore, it will satisfy the writing
requirement of social assessment and Ethnic Minority Development Plan.
This assessment has covered the whole Project area with emphasis on basic community
and paid prominent attention to nationality and religion. The assessment group has labor
division and cooperation as well as share data with immigration and participatory
management group.
On county level assessment research, the group mainly held forum with local Project
Office, Minorities and Religion Bureau, Women union, Poverty Relief office, Civil Affairs
Bureau, Agricultural Bureau, Statistical Bureau and gets data from them. On town level
assessment research, the group mainly collected data by interviewing the local leading cadres
and investigating the economic and social development situation of the villages managed by
them, meanwhile, studied the local ethnic cultural resources and their development demands.
Community research mainly consists of two parts, including informal discussion with villager
representatives, community baseline survey and household survey. The villager
representatives who were invited to the informal discussion included village cadres, women,
youth, old people, country teachers, religious personages, etc, fixed on the overview of
community, development thought, sensitive problem, previous project experience ,demand
and suggestion aiming at this project and so on. The questionnaires were completed by the
villager representatives and village cadres. Household survey consisted of questionnaires and
deep interviews, and the samples covered different economic status, livelihood,, family scale
and member structure, ethnic composition and the degree affected by the Project.
The above mentioned research and data collected will meet the social assessment
objective; hereby, the entrusted party should appreciate the support from all local project
office and residents there.
I-III Social Assessment research Process
The entrusted party did two times field research. From November 29 to December 3
,2007,professor Zhang Haiyang and Jia Zhongyi went to Shuer Village in Qiaotou Town
,Datong Autonomous County of Hui and Tu Nationalities; Hanggou Drainage Area in
Huangyuan County; Huoshao Channel, Baojia Channel, Liberation Dyke in Nanchuanhe
Drainage Area, Urban district, Daya Channel in Xichuanhe and Urban district of Beichuanhe
to investigate the ecological conditions , natural geographical environment, community
arrangement and measures and results of previous project in the target watershed .Meanwhile,
they communicated with the project office of city and county level, collecting data on
nationalities, statistics, geography ,local history and project materials, consulting the target,
task and coordination with the City Project Office.
4 .
From January 4 to 15, 2008, all 9 social assessment group members met in Xining to
develop formal field research and cooperated with immigration and small drainage area
participatory management group under level best coordination of the City Project Office. The
three groups reached mutual communication and cooperation. The social assessment group
members attended the participatory management field activity in Huoxi village(Han
People)and Huodong village(Han People)in Huoshao Channel, Nanchuanhe Drainage Area.
The assessment group also and arranged members to attend community research in the South
City organized by immigration group; Meanwhile, the assessment group have a general study
on Hui ethnic Group Village in Wanfeng new village,Quanerwan Channel in Huangyuan
county, Hujigou(han people) small drainage area and Daitong Village(Tibetan),Shuobei
Town Dongxiang River. Furthermore, the group had deep investigation on 11 different
communities, which are Erma Village(Tibetan) in Dongxia Town , Yuanshuer Village(Hui
people)in Qiaotou Town, and QiaoergouVillage(Hui people) in Liangjiao Town, Datong
County; Qingquanyi village(Hui and Han people), Qingquanervillage Hui,Han people and
Tibetan in Lushaer Town,Qingshan Village(han people) in XibaoTown,Nalongxi
Village Han people and Tibetanin BoHuang Town,Huangyuan County and Shangye
Village(Han people),Dujiagou Village(Han people)in South City New District. Accompanied
by the local People’s Political Consultative Conference member and the Project officer, the
social assessment group had informal discussion with living Buddha, Tibetan monk
representatives and persons in charge of the famous “Tar Temple”.
The above mentioned research involved 3 counties, 2 districts,8 towns and 17
communities. Basically, it covers all minority ethnic towns and communities, multi-ethnic
residential communities and important religious place. All about 130 families accepted the
family baseline research, over 70 multiple ethnic residents accepted the deep interview, 8
communities accepted the participatory demand assessment. (Attached list 1: Schedule of the
Field Research Condition of Project Communities.)
To definite the validity of this social assessment, the entrusted party would like to
introduce the detail process as follows:
1.Apply flexible investigation method according to the targets’ characteristics
The investigation applied the holistic method of Anthropology research view.
Considering the distribution features of the target communities; we take villages in the project
area as research unit. The main investigation methods we apply are: participate observation,
interview, questionnaire, etc. based on the concerned fact that the local resident’s pattern is
“big area inhabited by several nationalities and little region inhabited by one’s own”;
therefore, the assessment group adopts the semi-structure questionnaires and interviews. The
assessment group consisted of Hui,Miao,Tu,Han people and Tibetans, so we can arrange
research members aiming at the different community residents characteristics. For instance,
Maolacuo is a Tibetan from Qinghai Academy of Social Science, we mainly depended on her
5 .
when investigating in Tibetan communities, she can have deep interview by her Tibetan
language advantage. Besides, the group used different research method and questionnaire
design during the investigation. For instance, we fully considered the different religious belief
in different religious areas, so we added or canceled the relative questions on minority
characteristics and their taboo culture in our questionnaire design.
2.Stepwise process and research layer upon layer
For the sake of the holistic assessment of the Project, the social assessment group based
on cooperation and exchange with two other assessment groups to learn and complement each
other, and developed investigating activity independently.1
Our work step is as follows, the main members of the studying group visited the Project
Office, promoted work coordination and collected relative data and information. The research
assistants follow the small drainage area participatory management group and immigration
group instead, learning and observing their working process as well as paying preliminary
visit to the target communities to grasp their local characteristics .They had to summarize the
daily investigation condition ,comprehend relative data , finish investigation record and
discuss the problems they find in the investigation . Besides, they should spare no effort to
improve the investigating methods and daily efficiency.
On January 5,2008, the main members in the entrusted party divided into two groups,
one to Datong County and the other went to Huangyuan County to do initial investigation and
know about the ethnic minority distribution situation in the project areas so as to determine
the target communities. Meanwhile, the entrusted party sent one assistant to follow the
participatory management group to Xining West City district, Huoxi Village to learn
participatory management techniques and their spot investigation method, alongside doing
community investigation. The social assessment group and the participatory management
group had further discussion on research method and project experience that night and
identified the investigation thought that combining Anthropology method with the
participatory mobilization method, which got a good survey effect later.
On January 6,2008,the entrusted party sent 6 assistants to accompany the participatory
management group and staff from Agriculture and Animal Husbandry Administrative Bureau
to Xining West City district, Pengjiazhai, Huodong Village to learn participatory management
Programming and did community investigation. Basing on coordination work with the
participatory management group, the social assessment group members had an informal
discussion with the villagers there. They applied Stratified Sampling investigation method
according to indexes like gender, age, duty and income, etc to have deep interview to village
cadres, villagers (including 3 male and 2 female) and get primary understanding on the
1 The social assessment groups reported the main community condition where they did research and had discussion on the communities that had similar characteristics. So the villages and communities where the social assessment group did research are quite more that the villages mentioned in the report. The detail investigated village result will be showed in $WWDFKHG�
OLVW��
6 .
villagers’ attitude and desire to this project. The social assessment group learned that: There
are quite lot abandoning croplands in the two villages and the basic income of the villagers is
the compensation from these lands. Most villagers work in Xining urban district and many a
villager has immigrant plan. Huodong and Huoxi village are typical Han people community in
suburb, the characteristics of which are: lying in the Joint Region between urban and rural, for
the lack of water, their livelihood modes are comparatively multiple; however, the villagers
still want to have more farmland. Their best wishes to the Flood Control project are to
promote ecological restoration and make water source supply stable.
From January 8 to 9, 2008, the social assessment group had formal investigation on the
main target communities. All members went to Datong County to do research on
Touzhengdaitong Village and three natural villages of Dongxiazhengerma administrative
Village. Erma Village has highest ratio of Tibetan residents, so it is defined as a typical
Tibetan village to have social assessment on. The Tibetan residents there work on farm and
generally raise cows and goats in captivity from Conversion of Cropland to Forest in
2000.The local Han people’s culture and custom are similar to the Tibetans.
This project mainly uses Ecological way to control Erma gully and the control area is
5km×25m. The Project planned to control 500 mu2,but the villagers demand to add 900 mu
barren hill and desolate slope to it. At present, there are over 200 families, 936 persons
(including 749 Tibetans and 11 Tu people) in No 1,2 and 3 village which are under Erma
administrative village. The total area of these three villages is 900 mu.
There were totally 12 village cadres and villagers participating in the informal discussion
(including 7 male and 5 female).The assessment group get 30 valid questionnaires and made
16 deep interviews in one and a half days. The result of the social assessment is as follows:
The main residents in Erma village are Tibetans. Although Tibetans and Hans living in
multinational pattern, they are in harmonious relationship. Erma village is next to Guanghui
Temple. The villagers do not have outstanding language culture characteristics but their
Ethnic Consciousness is clear. The questionnaire suggests that 96 percent of Tibetan residents
have obvious Ethnic Identity. Villagers earn their living by agricultural and animal-
husbandry. They plant on the hilly dry lands which are distributed on the slope of the gully
and necessary to take soil and water conservation practices. The villagers are enthusiastic and
attentive to the project. One of villagers recalled that many mountain flood disasters happened
in the 1950s and 1980s.however, mountain flood controlling could not be solved for a lack of
financial aid. They hope the project can completely solve the flood control problem and they
also demand to increase fencing land area. During the interview, some villagers proposed the
property right of the fenced forest, hoping the village collective can own the use right of
forest resource and the income from it is used as the economic sources of the village
collective.
2 conversion unit: one acre =6.07mu, one mu= 666.7m2.
7 .
On January 9, 2008, the social assessment group did social research on Yuanshuer
Village and Xiangqiaoergou Village ,which separately belongs to Qiaotou and Liangjia Town
of Datong County. The detail information will be showed in the following graph.
8 .
Graph 1: The status investigated on Yuanshuer village and Xiangqiaoergou Village
Method
Time Investigation
spot Community characteristics
info
rma
l
disc
ussi
on
que
stio
nna
ire
inte
rvie
w
Pa
rtic
ipa
tion
Tim
e c
onsu
min
g
Pe
rson
nel i
nput
Achievements
January
8 to 9
Yuanshuer
Village
HuiPeople Community, Project
area, low average farmland,
High ratio sideline production
population, suburb
8
villagers’
representa
tive
10 4 1.5
days
4 The project is welcomed by the
Residents and religious
personnel; Shift of livelihood
need to be guided.
January
9
Da
tong
Cou
nty
Qiaoergou
Village
HuiPeople Community, Project
area, low average farmland, no
irrigated land, relatively large
poverty area, natural damaged
small Hydraulic Engineering,
urging Hydraulic Engineering
4 village
and town
cadres
14 4 � 1da
y
5 Small hydraulic engineering
project
can be solved only by bring
into the Flood Control Project.
9 .
What needs to be emphasized is the two communities belonging to the little region
inhabited single Hui ethnicity. Residents mainly live around a Mosque, their religious activity
place, which stands in the center of the community. Therefore, the residents comparably care
about whether the Project will damage or occupy it.
January 10, 2008, the social assessment group had assessment on villages under the
project area in Huangzhong County where they had assessment on Qingquan Village in
Lushaer Town, Tar temple, Qingshan Village in Xibao Town (governed by Huoshao channel)
and Fengtaigou Village (governed by Fengtaigou Channel).The group paid great attention to
the investigation in Huangzhong County, in which Tar Temple is a key research spot.
Tar Temple is one of the six most eminent lamaseries of the Gelugba Sect, which is also
the birth place of famous master Tsong-Kha-Pa. It is reputed both at home and abroad,
attracting many visitors for sight and pilgrimage. Tar Temple just lies next to the Project area
in Jiaomu channel but separated by a hill. Assorted with the county government, the social
assessment group paid a special visit to the temple management committee director and
superior monk Xiageri living Buddha and Xina living Buddha, alongside having around 2
hours’ informal discussion with the monks there. The assessment explained the visiting
purpose and relative measures and arrangement of Xining Flood control project, also carefully
hearing the temple management committee and monk’s suggestion. The Tar Temple
management Committee suggested clearly that the Xining Flood Control Project has no
conflict with their Temple both in physical and religious areas; meanwhile, they make sure
that the execution of the Project will benefit the ecological environment around the Temple,
so they sincerely welcome the Project.
January 11.2008,the assessment group separated into two to have investigation on 4
Villages named Bohuang, Nalong, Guanghua and Wanfeng in Project area, Huangyuan
County.3 One 4 -person group made investigation in Nalong Village which lies in Bohang
Channel and the total area is 27.86 hm2 .4There are 6 villages in the Project red line and the
total population is 1 900, including 80 Tibetans. The land area is 12 294.9 acre in the village,
hereinto 8 257.8 mu are farmland. The woodland and forest covered area are 2 271 mu, 745
mu Returning Farmland to Forest.5 Villagers mainly pursue agriculture. 92 percent villagers
welcome the project construction, thinking it will be good to improve the ecological
environment and can defend the natural disaster damage to their life and production. Although
there are only 80 villagers in the village and more than 20 Tibetan families, the villagers still
3 Nalong village has typical Representative of social culture condition of that region, hereby, the social assessment group only uses Nalong village as analysis object.the condition of other villages will show in Attached list 3 4 The data is all from the local village committee except special introduction. The assessment group check the facility of the data by interview the local villagers of different income level and admit the data is generally inerrant.
10 .
have their self- identity and remain their own ethnicity boundary. There is significant
difference between that Han people call them “them” and they call themselves “us”. They
have their own history memory, for instance, The Yang family Tibetan have the memory of
“brother ancestor”. On the aspect of religion, the village take on the condition of “culture
combining” between Han people and Tibetans. The social assessment group got deep
understanding on local culture through investigation and validated that although it is a village,
it plays an important role for learning the whole history process of Hehuang Valley. To get
culture comprehension like this will provide us great inspiration for how to deal with
nationality relationship during the Project construction. Tibetans mainly lived in this region in
the past, during the interaction process with Han people (Han people inlet while Tibetans out),
some Tibetans remained living in this region but changed their livelihood from animal
husbandry to agriculture. The contact between Han people and Tibetans did not embody into
conflict, but accept according to their separate belief system. A culture agent in the village
told us how the Han people and Tibetans honored the same hero or Mountain God by their
own belief system and reach mutual fusion. To understand it means to learn why the
relationship between Han people and Tibetans is so harmonious. Therefore, whether the
project will damage the local belief system or how to mend it should be considered during the
project executive process. Fortunately, the social assessment group can make sure that the
project did not damage the local belief system.
During the whole social assessment process, the group paid great attention to the local
document data collection .The documents that the entrusted party collected including: County
annals, Ethnography, Government work report, Development plan, Statistical yearbook,
Report Forms, Study report, Map , various data provided by project office, data collected by
the relative studying team and Local Scholar’s research works. The first hand data collected
by the entrusted party include forum record, Community baseline census schedule, graphs
filled in the villager participatory spot , Questionnaire, interview data and photos taken in the
spot, etc.
The assessment group thinks that the field investigation mentioned above fully
considering multiple factors such as the religion sensitivity, administrative region, economic
condition, project management measures and community type. Meanwhile, according to the
commission of the assessment group, the city and county level Project Office did baseline
investigation on 20 channels and all the administrative villages that they governs. Thereby,
the report is reliable for being based on the entire information of the project area.
11 .
I-IV Preliminary Conclusion
The social assessment group draws the following conclusion through investigation:
(1) The mountain flood is profoundly affected by terrain and climate of local areas and
the residents there have clear memory to the damage of the flood; meanwhile, the local
ecological environment is comparably flimsy and the earth surface stream is seriously
polluted ,thus the execution of this project is timely and necessary.
(2) The Project Plan and Design advanced by Xining City government is based on the
local practice and comparably practical and realistic. The previous project carried out in this
Project area applied similar measures and have positive effect, besides, they accumulated
experience. From Propaganda to Communication, the Project Office ensured the residents’
Right to Know in the Project.
(3) Residents in the project area worry about flood threat as well as soil and water loss,
instead, they eager to restore ecology and improve the quality of environment. They sincerely
welcome the project and warmly hope to participate in it.
(4) Hui people,Tu people ,Tibetans and many other ethnic minorities live in the project
area, of whom only 10 Tu people and they are widely distributed ,so only Hui people and
Tibetans can form extensive “little region inhabited by their own”. Hui people centralized in
Datong (Liangjiao Town and Qiaotou Town) and Huangzhong County (Luersha town), less in
Huangyuan County(Chengguan Town).The Project will not lead to the resident immigration
and mosque removal. The Tibetans centralized in Datong County, Dongxia Channel, Shuobei
Town, Tongdai village and Dongxia Town, Erma Village. According to the introduction of
the local Tibetan cadres, the Tibetans’ ratio in Daitong Village is more than 95 percent, while
it is not in the project area and will not be negatively influenced by project construction, land
exploration ,house removing, returning farmland and fenced way. There are around 80 percent
Tibetans in Erma village, which is a typical Tibetan village in project area. Not only because
Tibetans relatively centralize there, but also for the strong representatives of their economic
society and culture .Besides, there are also a few Scattered living Tibetans in Bohuang
Channel(belonging to Boliang town) and Jiaomu channel (belonging to Lushaer Town) The
investigation affirms that: over 10 communities including Tibetans distribute in the Project
area, altogether more than 400 families,1886 persons ,98 percent of them are rural residents
(“6.2.1 Tibetan” of this report details the distribution of Tibetans and their economic society
and culture characteristics) The Tibetan residents in the project area belong to scattered living
group, also named “Jiaxifan” by local people, meaning Tibetans who lose much of their own
culture characteristics. They have nothing different from the local Han people except that they
have Buddhism belief and relatively clear ethnicity consciousness. They scatter in the project
area, mix residence with Han people and make intermarriage with them. So the national
relationship is harmonious there. The project mainly take measures like Channel dredging,
12 .
increasing flood mitigation and sand shelter dam, Forestation on barren hill and slope instead
of house removing and immigration in the communities where the Tibetans live. Guanghui
Temple (Datong Dongxia Town) and Tar Temple (Huangzhong Luersha town) are important
Tibetan Buddhism Temples near the project area, but the project does not touch the holly
space of the two temples or have side effect on their religious activities. By interviewing the
community resident representatives, village cadres and eminent monks in the temples the
assessment group learned that the Tibetan residents know the Project, moreover, they
welcome and want to participate in it. Whereas the Tibetans mainly live in the edge not core
of the project area, but their distribution scope is large, furthermore, both the Tibetans and
Hui people accord with the definition of “ethnic minority of World Bank. To tone up the
advantage to the ethnic minority meanwhile to materialize consistent policy and spirit of
World Bank and Chinese Government, we advise that an ethnic minority development plan
aiming at Tibetans and Hui people should be established.
(5) The present policies and laws are unanimous with relative policies’ aim of World
Bank .Besides, the present policies and laws can guarantee the establishment and implement
of the project. There is no need of the new policies.
(6) The relationship between nations and ethnic groups is harmonious and there is a good
foundation to carry out ethnic minority development plan (EMDP), meanwhile, the all levels
governments have capacity and enthusiasm to carry out this project and ethnic minority
development plan (EMDP).
(7) To bring ethnic minority development plan (EMDP) into effect mainly lies in carry
out the following principles: One Overall Planning, Two Guarantees and Four promotions.
The difficulty is to reasonably choose projects which match the characteristic of this project.
(8) The project will not have direct side effect on women, children and poor people,
while by protecting the local ecological environment, channel management and promoting the
community infrastructure, the project will benefit the whole residents’ production and life.
I-V Acknowledge and commitment
To help and support data collected for this report , officials from local Project Office,
Minorities and Religion Bureau, Women union, Poverty Relief office, Civil Affairs Bureau,
Agricultural Bureau, Statistical Bureau etc in the 3 counties Huangyuan, Huangzhong and
Datong gave up their holidays ,besides, village cadres and villagers sacrificed their labor or
rest time to cooperate with our assessment work, hereby the Entrusted party express our
sincere gratitude to all of them.
The entrusted party promise that the data collected for this report is based on the Chinese
laws. What we collected is according to the principles like informed consent, voluntary
13 .
participation and free expression as World Bank requires. This report together with “Ethnic
Minority Development Plan” will be public by World Bank and Xining Project Office in a
proper way to hear the suggestion and feedback of local residents and other aspects
The entrusted party ensures that the present data and attitude bear wide representative
and can reveal the main condition, suggestion, problems and demands of the Project area.
Meanwhile, the assessment group left our contact ways to the communities, greeting all idea
and suggestion that were not proposed in the assessment spot.
14 .
II Project Introduction and Regional Economic and Social Development
II-I Project and Project Area
Xining Flood Control and Watershed Management Project (hereinafter referred to Xining Project) is
based on the result of Flood Control , Water Pollution Prevention and City Beautification Programs the in
the early stage in order to further improve and optimize the urban flood control capacity of drainage
systems, improve Ecology of Huangshui drainage area and protect life and property safety of residents
there .So loans from the World Bank will be used in 4 District 3 County (North city, Downtown, West City,
South of the new district , Huangyuan, Huangzhong, and Datong Hui and Tu Nationalities Autonomous
County) ,3 Chuan 1 River (that is, Xichuan , Beichuan, Nanchuan and Dongxia River) and 20 small Ravine
to have large-scale integrated Water Management Projects.
The project mainly consists of flood control, flood management, watershed management and waste-
water collection according to the consultation result of the Xining project Office and the World Bank
preparation Mission.
Flood control and flood management, including: strengthening the dikes, improving river water
quality (support for strengthening 63.734 km main river embankment and 33.712 km dike tributary); flood
control forecast, early warning systems and emergency plans (support flood control forecast in Xining City,
develop early warning systems and emergency plans, including strengthening flood control of Xining City
and the institutional capacity of Drought Control Office).
Watershed Management include: start with support the implementation of participatory management
of the small watershed in three pilot counties ( Huangshui, Huangyuan and Datong) of the three basins,
finally to cover 20 Basin in the three counties. Investment-building activities include: environmental
management (including reforestation, Terrace creation and planting grass to reinforce slopes); rural
infrastructure construction of flood control, water and soil conservation, drainage improvement;
community livelihood activities (including Greenhuse building, methane-generating pit Building and
animal husbandry activities); capacity-building of lower-level members and members of the community.
Wastewater collection system construction, including: Waste water interception and sewage
collected project of Huangshui River, Beichuan River and Nanchuan River in urban Xining and improve
the Rain drainage systems in Xiaoqiao area; 11 km wastewater interception and collection Project in the
urban district area of Beichuan River and Dongxia River in Datong County; Wastewater collection and
drainage pipe network in Huangzhong County District .
To achieve these three objectives mentioned above, the project also includes strengthening
institutional capacity and project management content: Project Management ,which includes Project
Management Office as well as expert panels ’ project management activities related to it, such as the initial
and final designed establishment; bidding document preparation and establishment, project supervision,
15 .
quality control, project monitoring and evaluation and development of management information system
(MIS) to improve project management, financial management and monitoring and evaluation of it.
immigrants: Implementation of the immigration action plan. Environmental management: the
Implementation and Management of Environmental Management Plan (EMP).
Huangshui River is the largest branch of the Upper Yellow River and the Huangshui River Basin in
Qinghai Province is the most densely populated and economically developed regions. The area accounts for
only 2% of the Qinghai-Tibet, while population and economic output accounted for more than half of the
province. Xining City in Qinghai Province is the political, economic, cultural and transport center. The
project is of great significance for the upper Yellow River to reduce pollution and enhance flood control
capacity of Xining City, meanwhile, it is of great significance for improving the ecological situation and
the living environment, protecting life and property safety of residents of all ethnic groups and the
protection of economic and social development results in Qinghai Province.
The area where this project is implemented is Project Area. The Project focused on 3 Chuan and 1
River (that is, Xichuan, Huangshui direction of the main stream, Beichuan, the direction of Huangshui
tributaries, Nanchuan, in the direction of Huangzhong and Dongxia River and the tributaries of the Beichua
River) and 20 valleys , involving the land area of about 250 km ², the total length of River Management is
48.62 km and mountain torrents-channel management length 32.45 km, together control an area of about
170 km2. The project area is not over the scope of jurisdiction of Xining City government, specifically
relating to North and West city, south of the new district, 16 townships or neighborhood offices and 53
Administrative villages, about 200 villager groups of municipal Datong, Huangyuan, Huangzhong County.
In total, there are 2 127 Tibetan, Hui and Tu ethnic minority families, 11 673 people and the per capita of
net income of rural residents in 2007 is about 3 158 Yuan.
In the urban areas of Xining City, a total of 7 channels (Huoshao channel, Baojia channel, Daya
Channel, Dujia Challel, Diaogou , Dacao Channel and Xigou) and 9 administrative villages in North city
District are in management, of which 7 belong to Ershilibao Town .Besides, 4 administrative villages in
West City district , 2 in Mid-city district and 4 in South city new district are also involved in the Project
area. There are 7 429 families in the urban district and a population of 30 885, among which 28 232 people
are the agricultural population and 1058 ethnic minorities, hereinto 796 people of Hui, 37 Tibetans, 16 Tu
people and 209 other minorities. The minorities, including Tibetan and others get into the community
through intermarriage or town residence registration in addition to a small settlement of Huis.
A total of eight channels (Dongxia Channel, Huji Channel, Miaogou, Yuan Shuer Channel, Maojia
Channel, Qiaoer Channel, Dameidong and Xiaomeidong Channel) are managed in Datong county, ,
involving three towns ( Dongxia Town, Qiaotou Town and Liangjao Town) , 14 administrative villages and
53 villager groups. Altogether 4288 families, 18 607 of them are agricultural population and 9 434 ethnic
minorities, of whom 7 886 people of Hui, Tibetan 1391, 88 Tu people and 69 of other ethnicities. In 14
administrative villages, five for the small Muslim village inhabited by a single nation; five are mixed
residence of Tibetans and others. Tibetans are relatively concentrated in Erma Village (749), the yuan
Dunzi (224) and Liujiazhuang (240).
16 .
Huang Yuan County manage four channels (Bohang Channel, Lasa Channel, Quanerwan Channel and
Hela Channel), involving four towns (Chengguan, Bohang, Heping and Shengzhong), 9 villages and 61
groups of villagers. 2 155 families are in the project area, 877 ethnic minority people of the total 8 721,
including 355 Hui people, 417 Tibetans and five of other nationalities. In all 9 administrative villages,
Tibetan residents live in 7, of which 5 are over 40 Tibetan residents villages, in Husitong(134),Nalong
(80)Village live a little more Tibetans. Hui residents distribute in three villages.
Three channels(Huoshao Channel, Jiaomu Channel, Lu Shaer Channel) are managed in Huangzhong
County, , involving two towns (Lu Shaer and Xibao ) 11 villages and 54 villager groups; totally 2 453
families, 10 030 people, 1 636 ethnic minority people , of whom 1 578 are Huis, 58 Tibetans. There are
three of 11 administrative villages living Tibetan residents. The Hui residents mainly live in Qingquan
village, Lu Shaer Town. (The distribution of Minority communities in project area details in Schedule 3)
Economic and social conditions of project areas, engineering measures, community and
the residents’ production and living conditions as well as the project need will be attached in
chart (see Annex schedule 2, 3, 4 and 5). Please refer to Chapter II Section III of” Ethnic
Minority Development Plan” for more detailed information of individual minorities in project
area .
II-II Regional economic and social development Situation
II-II-I Natural Geographical Environment and Ecology
Qinghai Province lies in the northeast of the Qinghai-Tibet Plateau, between east longitude 89º35' to
103º04' and latitude 31º39' to 39º19'. It is about 1200 km long from east to west and 800 km from north to
south.with the area of 721,200 square kilometers, covering 7.51 percent of China's total area , second only
to Xinjiang, Tibet and Inner Mongolia, listing the fourth in the nation. It is next to Qinling Mountain in the
east , connecting the Loess Plateau to the northeast and attaching Hengduan Mountains in the southeast
and connecting with the Qiangtang Plateau,which is in Central Tibetan Plateau to the southwest. Aerjin
Mountain and Qilian Mountains separate the North and Northwest of Qinghai, overlooking the Tarim Basin
and opposite to the Hexi Corridor.
Mountains tower in the province, which across the Kunlun Mountains in central. Tanggula Mountain
lying in the south opposite to Qilian Mountains towering in the north. Among the mountains are the
plateau, basins and valleys, and the terrain is complex and varied tilting from west to east, rivers crossing
the province and lakes scattering the length and breadth grassland stretching everywhere.. Its average
elevation is 3 000 meters, and the highest point of the Kunlun Mountains is Bukadaban peak, around 6 860
m, while the lowest point is Minhexiacunkou Village, with an elevation of 1 650 meters. Qingnan Plateau is
over 4 000 meters and the area accounts for more than half of the province. Hehuang River Valley is in the
lower altitude, around 2000 meters. In total area, the plains of 30.1 percent, 18.7 percent of the hilly;
mountainous account for 51.2 percent and the area below 3,000 meters sea level account for 26.3 percent of
17 .
the area, besides, 3 000 meters to 5 000 meters account for 67 percent of the area, 5 000 meters above 5
percent; Water area accounting for 1.7 percent. Elevation of 5 000 meters above the mountains and valleys
are snow covered and glaciers widespread through the year , .
Throughout all areas, there are 276 rivers with the water area of 500 square kilometers, and the lakes
with the area more than one square km is 266 151 of which are fresh water lake, 85 lagoons and 30 Salt
Lakes. The Yangtze River and the source of the Yellow River are evolved here and China’s largest
conservation of the inland plateau salt-water lake is Qinghai Lake. The Yellow River Basin area account
for18.7 percent of the total drainage area and the average runoff of it accounts for 49.2 percent of the entire
Yangtze River. The Yangtze River drainage area accounts for 9 percent of the total drainage area. 16
percent of the Lancang River water outflows from the Qinghai .Heihe is the pulse of China’s second largest
inland river originating from the Qilian Mountains. 40 percent of the water out flowing is from the Qinghai.
Therefore, Qinghai Province is known as “the source of rivers” or “Chinese water tower”, which is
strategic location of China’s ecological environment construction .
Vegetation in Qinghai Province is diverse but mainly to meadow vegetation, followed by desert and
grassland vegetation, forest vegetation is seldom. In 2006, the forest area in the province is 3.172 million
hectares, 4.4% of the forest coverage rate and per capita forest area is 0.66 hectares. Forest reserves 35.926
million cubic meters and living tree stand volume is 41.014 million cubic meters. Wetland area of the
Province is 4.126 million hectares, accounting for 5.7 percent of the land area, including: 4.088 million
hectares natural wetlands and 2.748 million hectares marshes.
Xining City is located in the eastern part of Qinghai province, lying in middle reaches of Huangshui
River ,which is a branch of Yellow River, surrounded by mountains, where the three-convergence meet
together and is the gateway to the East Qinghai-Tibet Plateau. Its Geographical coordinates of longitude is
101°49'17 " and north latitude is 36°34'3". Huangshui River, Nanchuan River, Beichuan River from the
West, South and North direction meet in urban areas, then running into small Gap to the east ,forming
“Four Hills folder three rivers” by the East, South, West and North to the river valley and the northeast,
northwest, southwest and southeast to the mountain crossing area. Topography leaning from north to south
toward the northwest, herein southeast is low but long and narrow from west to east, shaping as a tiny boat.
Xining stands in the valley areas, covering 7 299 km2,and the city's total area is 7 665 km2, of which the
urban area is 350 km2 and building urban area is 75 km2. The urban area is located on the first and second
band ground in a river floodplain, , the highest elevation is 4 394 meters inland and ,2 275 meters above sea
level in the urban centers, with an average elevation of 2 295 m.
II-II-II Climate
The Climate of Qinghai province belongs to plateau continental climate and has the following
characteristics: (1) strong solar radiation and enough illumination. The sunshine time is more than 2,500
hours per year, so it has the longest sunshine hours and highest total radiation in the provinces of China.
(2)Low average temperature, the average temperature in the territory is between minus 5.7 ~ 8.5 in
18 .
one year, and the hottest average temperature across the province is 5.3 ~ 20 and the average
temperature in the coldest month is between minus 17 ~ 5 . (3) Little rainfall and large regional
differences, the annual rainfall in most regions is below 400 mm. (4) Rain and hot days are over the same
period. Qinghai has monsoon climate and most areas stay in the rainy season after mid-May and the rainy
season ends in mid-September , the monthly average temperature during this sustained period is equal or
more than 5 .(5) Great harm of natural disasters. Natural disasters mainly include drought, hail, frost,
snowstorms and heavy winds.
Xining has semi-arid plateau continental climate. Its characteristics are: low pressure, long time
sunshine, less rainfall, evaporation, strong solar radiation and temperature difference between day and
night, frost-free period short but frozen period long .The average annual rainfall is 380 mm and the
evaporation is 1363.6 mm. The average temperature is 7.6 with the duration of 1939.7 hours sunshine
period ,The highest temperature is 34.6 and the lowest is minus 18.9. Being surrounded by the hills,
there is no much cold winter and too hot summer. The average summer temperature is between 17-19. It
is a summer resort famous as "China’s summer capital" for the pleasant climate,
II-II-III Human Geography
Qinghai is adjacent to Gansu Province to the north and east and Sichuan Province is to its southeast.
The South is connected to the Tibet Autonomous Region and next to Xinjiang Uygur Autonomous Region
to the northwest. Being a Connecting tie of Tibet, Xinjiang, Inner Mongolia and China mainland, Qinghai
is a very important geographical position.
There is one Province City (Xining), six Autonomous Prefectures and 51 County-level Administrative
units (two cities, seven ethnic autonomous counties and 5 cities area, 30 counties and 7 executive
committees), 114 towns, 285 townships (including 30nationality townships). The population is 5.516
million at the end of 2007, of which the urban population is 2210200, accounting for 40.07 percent; 3.3058
million rural populations, the proportion of which covers 59.93 percent of the total population.6 Separated
by the Vehicles, which is a natural boundary, the Huangshui River drainage area in the east is agricultural
area, accounting for 4 percent of the province area; the west, south and north are animal husbandry areas,
accounting for 96 percent of the province.
At present, Xining governs 5 districts ( East city, Mid-city, West city, North and South city), 3counties
(Datong, Huangzhong and HuangYuan) , 50 towns( 27 towns , 23 townships, of which six national
townships) and 934 villages, with a population of 2.1273 million ,accounting for 38.84 percent of the
province population, among which Hui people, Tu people, Tibetan, Mongolian, Man ,Sarah and other
ethnic minorities accounting for 23 percent of the city’s total population .Huis and Tibetans are particularly
more. Xining is the first city whose population reaches over one million, which is also the centre of city and
provincial politics, economy, culture, science and technology, education, transport and business. As a
6 Qinghai Provincial Bureau of Statistics, the National Bureau of Statistics survey of Qinghai Corps: "2007 national economic and social development in Qinghai Province Statistical Communiqué", February 22, 2008.
19 .
famous historical and cultural city, there are many sites in Xining, of which Beishan Temple, the East
Muslim Temple and Ma Bufang houses are famous; Tar Temple in Huangzhong County is the sacred place
of Tibetan Buddhism and the famous Qinghai Lake is 290 km from Xining City.
The East city district lies in the eastern urban part of Xining, and downstream area of the Huangshui
River, covering the area of 114.59 square kilometers, with a population of 300,000, of which Hui People
accounts for 32.4 percent of the total population. It is a major salt chemical, medicine, livestock products,
real estate, tourism and catering base of Xining.
Midcity district, where provincial and municipal party department and government organs are all
centralized is located in the centre of Xining City, with the area of about 20 square kilometers and a
population of about 150,000. It has the fastest growing Tertiary Industry and most concentrated service
industries
West city is located in the central territory of Xining City, connecting Huangzhong County in the south
and scenic HuangYuan Gap in the west, with the area of 82.9 square kilometers and the population over
240,000. It is a collection of scientific research, culture, education, commerce and tourism.
North City lies in the northern area of Xining City , with the area of 137.7 square kilometers and the
population over 230,000.It is the main suburban agricultural areas and also the city’s high-efficiency
agriculture demonstration zones , as well as standardized vegetable base of Xining City
Datong Hui Ethnic Minority Autonomous County is in the northwest of Xining City and south to
Qilian Mountains, with the area of 3,090 square kilometers and the population over 450,000. It is an
important commodity grain base, also one of the 500 major grain and cotton counties of China as well as an
important power, building materials and aluminum industrial base of Qinghai province.
Huangzhong County lies in the eastern agricultural zone of Qinghai Province, located in the upper
reaches of Nanchuan River, Huangshui River branch, covering 2,700 square kilometers and a population of
about 480,000. The Tar temple, peasant paintings and hand-woven Tibetan carpets in Huangzhong County
is famous at home and abroad.
Huangyuan County is located in the eastern part of Qinghai-Tibet Plateau, covering 1,509 square
kilometers with a population of about 140,000. It is the only way from mainland to the pastoral areas in
Qinghai and Tibet, known as “the throat of Qinghai and Tibet” or “thoroughfare of Qinghai and Tibet”.
New District in south city lies in the southern suburbs of Xining City, 11.3 km from north to south and
2.3 km width from east to west, covering 30 square kilometers. On April 25, 2001, It started foundation and
set to be built as an modern ecological city district ,centralizing real estate industry, commerce and trade,
information industry, the executive office, sightseeing, culture and entertainment, the ecological landscape
and processing resources of Qinghai-Tibet Plateau characteristics.
In July 2000, Xining economic and technological development zone lying in the East city District
(National Level) was approved to establish by the State Council officially. The west of it is next to Qinghai
Institute for Nationalities, East to small gorge, north from the Huangshui River and south to Nanshan. The
first phase development area is 4.4 square kilometers, the control area of 8 square kilometers. The
Development Zone implements the “three mainly insisted and one committed” policy to manage the
20 .
District, that is, mainly to industrial projects, mainly to take advantage of foreign capital, mainly to export
oriented and commit to the development of high-tech industries in order to build it as the Qinghai reform
and opening-up test base, the industrial economy center, the high-tech incubator and the vanguard of
economic development.
II-II-IV Economic and Social Development Status Quo
II-II-IV-I Economic and social development of Qinghai Province
Qinghai province is sparsely populated; whose population is only more than Tibet. As the statistics
that Qinghai Provincial Bureau of Statistics released in 2007: the province realized 76.096 billion Yuan
GDP, an increase of 12.5 percent over the previous year, the speed of growth rate is 0.3 percent over the
previous year. The capita GDP is 13,836 Yuan, an increase of 11.5%. The agriculture production added
value of 8.585 billion Yuan, an increase of 4.9% over the previous year, industrial production added value
of 39.665 billion Yuan, increasing 14.8 percent; tertiary industry added value of 27.846 billion Yuan, an
increase of 11.7%. The first, second and tertiary industry to GDP contribution rates were 4.3%, 59.4% and
36.3%. Three industrial structure by 2006 the 10.9:51.6:37.5 changed into 11.3:52.1:36.6 in 2007.
The general budget revenue of the Province was 11.05 billion Yuan in 2007, an increase of 33 percent
over the previous year. The local general budget revenue was 5.67 billion Yuan, up 34.2 percent; Central
general budget revenues 5.38 billion Yuan, an increase of 31.8 percent. The general budget expenditures is
28.23 billion Yuan, an increase of 31.5 percent. The general public services spending 5.83 billion Yuan, up
38.7 percent; employment and social security expenditures 5.11 billion Yuan, up 16.3 percent; education
expenditures 3.47 billion Yuan, up 26.5 percent; health spending 1.96 billion Yuan, an increase of 61.6% ;
Environmental protection spending 1.9 billion Yuan, up 21.1 percent; public safety expenditures 1.6 billion
Yuan, up 28.6 percent; agriculture spending 1.25 billion Yuan, up 44.5 percent; cultural, sports and media
spending 700 million Yuan, up 91.1 percent; science and technology category Spending 250 million Yuan,
an increase of 74.2 percent.
The consumer price level of the residents rose 6.6 percent over the previous year. The urban consumer
prices rose 6.3 percent, the rural consumer prices rose 7.3 percent. Food prices rose 14.8 percent, non-food
prices rose 3 percent, consumer prices rose 7.9 percent and that of service rose 2.7 percent. In the food
category, food prices rose 8.1 percent, oil prices rose 24.8 percent, meat and its products prices rose 37.9
percent. Compared with the previous year, commodity retail prices rose 6.0 percent; agricultural capital
goods prices rose 8.1 percent, factory price of industrial products rose 4.15 percent; raw materials, fuel and
power purchase prices rose 4.44 percent; investment in fixed assets rose 4.2 percent; Xining Urban property
prices rose 3.9 percent, and housing sales price rose 3.8 percent, land transactions price up 3.2 percent;
property rental prices rose 4.2 percent.
The employment population is 3 124 400 in end of 2007, an increase of 2.8 percent. Among them,
urban employment staff 1 091 700 people, 58,200 more than the previous year, an increase of 5.6 percent.
21 .
The registered urban unemployment rate was 3.77 percent.
II-II-VI-II Economic and social development of Xining City
By the end of 2006, Xining City achieved 28.161 billion Yuan GDP, calculated according to constant
prices, an increase of 14.5 percent and over a year increased 0.3 percentage points. Per capita GDP 13,326
Yuan, calculated according to constant prices, an increase of 12.9 percent. The first industry realized an
added value of 1.237 billion Yuan, an increase of 5.6 percent; Secondary industry realized an added value
of 13.786 billion Yuan, up 19.9 percent; tertiary industry realized an added value of 13.138 billion Yuan,
an increase of 10.4%. The first, second and tertiary industry value added production of the region’s Gross
Domestic Product from the previous year 4.84:45.71:49.45 adjusted to 4.40:48.95:46.65. To achieve
financial year total revenue 3.042 billion Yuan, an increase of 20.0 percent, of which: local general budget
revenues 1.415 billion Yuan, an increase of 20.1 percent. Completion of 3.514 billion Yuan of financial
expenditure, an increase of 29.8 percent, of which: local general budget spending 3.429 billion Yuan, an
increase of 30.2 percent.
The present resident population is 2127300 in Xining City, 28,300 people more than the previous year,
an increase of 1.35%; population birth rate is 11.22 ‰, mortality rate was 4.97 ‰, the natural growth rate
of 6.25 ‰, respectively fell 1.38, 0.45 0.93 per thousand over the previous year, the population
development initially into the stage of "low birth, low mortality rate and low growth". In the general
population, the urban population is 1267700, the rural population to 859,600 people, the level of
urbanization reached 59.59 percent, 0.77 percentage point increased.
At present, the city has the full realization of the “Two Bases” target and a nine-year compulsory
education is basically universal. There are a total of 679 primary schools, 145 for ordinary schools, four
vocational schools, four special schools, 216 kindergartens. Primary school-age children enrollment rate of
99.9 percent, Promotion Rate of Primary School was 100 percent; Promotion Rate of junior middle school
graduates was 81 percent. The gender disparities eliminated for children to access to basic education. The
schooling per capita of population over six years reached 8.25 years, the adult literacy rate of 90.54 percent.
According to 2006 population survey data showed: people over a college education degree accounted for
8.04 percent and a high school education accounted for 14.28 percent of the staff, with primary and junior
middle school education level of staff 68.81 percent, illiteracy and semi-illiteracy account for 8.87% .
The employment is 1 182 200 people all around the city, an increase of 28 200 people over the
previous year, among whom urban employment is 528,300, accounting for 44.69 percent of total
employment; primary industry employment 334 200, accounting for 28.27 percent over the previous year,
fell 6.23 percentage point; secondary industry employed 308 100 people, covering 26.06 percent, raising
2.39 percentage points; tertiary industry employed 539 900 people, covering 45.67 percent, 3.84 percentage
point increase. The registered urban unemployment rate was 4.04 percent over the previous year, fell 0.11
percentage point.
The urban residents’ per capita disposable income is 9 334.63 Yuan, an increase of 11.16 percent;
22 .
rural resident’s per capita net income is 2 950.99 Yuan, an increase of 13.82 percent. In post staff annual
average wages is 20 984 Yuan, an increase of 18.23 percent. Urban household’s per capita consumption
expenditure is 6 722.54 Yuan, an increase of 4.91 percent, among which food expenditure covers 2 463.71
Yuan, an increase of 4.26 percent; recreation, education and cultural services expenditure 788.99 Yuan, an
increase of 1.03 percent. Per capita consumption expenditure in the rural residents’ family is 1 604.59
Yuan, an increase of 177.10 Yuan, and 12.41 percent. Among them food expenditures is 447.16 Yuan, an
increase of 54.04 Yuan, 13.75 percent; cultural and educational entertainment products and services
expenditure 165.08 Yuan. Minimum living guarantee for urban residents of 73 600 people, provide relief
for the population of 55 300 people of rural extremely poor families.
Urban resident’s per capita housing space is 24.72 square meters, 0.62 square meters more than the
previous year; rural per capita living space is 27.5 square meters, impartial with last year. Urban per capita
public green area is 7.38 square meters. The countryside changes the water benefit 94.6% of the population,
rural sanitation restroom popular rate is 82.4%, countryside excrement detoxification processing ratio 9%,
urban sewage processing ratio 38%, city life trash detoxification processing ratio 91.54%. The
contradictions of living environment, such as the people's housing, travel and drinking water have eased,
urban and rural residents living conditions and the rate of tap water coverage, all these increasing the water
security in rural areas and improving farmer's quality of life effectively.
There are 453 health agencies and 8 534 beds in the whole city, every thousand people have 4.04
hospital bed; health professionals 9 345, generally realizes every village has the clinic. Neonatal mortality
rate from the previous year's 22.81‰ dropped to 21.08‰; under-five mortality rate from the previous
year's 28.49‰ dropped to 27.89‰; maternal mortality rate dropped significantly from 79.33 down to 60.8
in 100 000; Incidence of infectious diseases from 630.37 fell to 615.65 in 100 000.
The broadcast population coverage fraction is 96.09% and the TV population coverage fraction is
98.72%, furthermore, the television launch transmission network has covered the whole city basically.
II-II-VI-III Economic and Social development situation within Red Line Region
The economic and social development of community and resident for details will list in Annex 3,
Schedule 5 according to the questionnaire survey and the residence interview material statistics.
II-III Severe Environmental and Ecological Situation
II-III-I Urgent Need to Improve Water Environment
According to “the Environment Communiqué of Qinghai Province in 2006” issued by the EPA in
Qinghai Province in June 2007, the water condition of Huangshui branch and major tributaries of it is better
23 .
than that in 2005. The water pollution of it is moderate. Provincial Boundaries and Bridge cross section is
in inferior water quality . The main polluting factor is ammonia nitrogen .Beichuan River tributaries and
Shatang River is lightly polluted, Nanchuan River is in severe pollution. The 17 monitor cross section
success rate raises 23.5 percentage points compared to 2005 ,main polluting factors are: ammonia nitrogen,
the permanganate index, on fifth the biochemical oxygen demand and the petroleum, assuming the organic
pollution.
In 2006, Xining City government set five groundwater monitoring points in Nanchuan,
Xina Chuan, Xichuan ,Pingan and other places, with the exception of the groundwater quality
in 1st water wells in Xina Chuan Dan Ma Temple and the 4th well of water sources one in
Nanchuan reaches class � Standard, the water quality of other three measuring points has varying degree exceeding the allowed figure, the main exceeding factors are total hardness
and Kraft index.
Huangshui River is the focus of water pollution control basin in Qinghai Province. In
2006, the total wastewater discharged into the basin was about 141.1 million tons; accounting
for 72.7 percent of the province’s total, including: industrial wastewater of 49.06 million tons,
accounting for the total basin 34.77%; sewage volume 92.04 million tons, accounting for
65.23 percent of the total watershed. COD emissions 52,314 tons, accounting for 69.9 percent
of the province's total, including: industrial COD emissions 24,971 tons, accounting for 47.73
percent of the total watershed; life COD emissions by 27,343 tons, accounting for 52.27
percent of the total watershed. Ammonia emissions by 5 152 tons, accounting for 74.2 percent
of the province's total, including: industrial ammonia emissions by 1 049 tons, accounting for
20.36 percent of the total watershed; life ammonia emissions by 4 103 tons, accounting for
79.64 percent of the total watershed. The compliance rate of the industrial wastewater
discharged into basin was 69%, increasing 8 percentage points over the previous year.
Xining First Sewage Treatment Plant processes around 71 800 tons sanitary sewage per
day, achieving 84.5% of the designed handling ability, raising 5.6 percentage points over the
previous year. Annual volume of sewage handling is 26 million tons, COD removal 7 826
tons, which enables urban sewage treatment rate reach 21.24 percent, increasing 0.42
percentage points over the previous year. In 2006, a Sewage Treatment plant which can
processes 22 500 ton sewage started to construct in the newly developed area of Xining City.
II-III-II Frail Natural Ecology
Qinghai Province is located in the plateau with complex terrain and various vegetation
types, mainly to meadow vegetation, followed by desert vegetation and grassland vegetation,
while the forest coverage rate is only 4.4 percent. Limited by the special natural condition, the
ecosystems and ecological types both show as unique complexity and vulnerability. The
bearing and resistance ability is relatively poor on climate change and anthropogenic
interference. Ecological environment's sensitivity and instability are prominent. In recent
24 .
years, due to the rainfall increase and the implementation of a series of ecological projects,
such as nature reserve construction, ecological protection and construction, returning
farmland to forest (grassland), draws back the herd also grass, artificial forestation, protecting
natural forests and soil and water conservation, the ecological environment quality in some
areas has improved, but the worsening trend overall ecological environment has not been
effectively curbed.
II-III-III Prominent Contradictory Between Economic Development and Environmental
Protection
In recent years, the western area has obtained considerable development along with the
country’s West Developmental Strategy, especially achieved great achievement in the
infrastructural facilities and economic development. The central authorities enlarged
investment efforts in the industrial development area to promote economic development in the
western area, at the same time, numerous large enterprise groups presented, which enabled the
western economic development to have the economical support's basic point. As one of
national west development provinces, Qinghai has obtained the unprecedented development
opportunity during the development process. Various industries have benefited from the
development plans, particularly the industry obtained considerable development and provided
working opportunity and skill for people of various races, meanwhile, people’s living
standard improved .However, along with the industry rapidly expanded and the urban rapid
expansion, production and daily life cause growing serious pollution to the natural
environment, such as soil, water, air and so on, bringing serious challenge for Qinghai's
ecological environment. Qinghai is situated at the Qinghai-Tibet Plain, famous as “water
tower” of Chinese nation, is the origin of main big rivers in our country, which is also a frail
ecological environment area. Its ecological environment self-repair cycle is long, all by all,
the incisive contradiction between regional economic development and country ecological
security becomes obvious.
II-III-IV The Necessity to Carry out This Project Construction
Therefore, this project is imperative in view of the situation above. Through river
pollution control, ecological environment maintenance and flood control, not only can greatly
improve the ecological environment and beautifies the humanities environment of project area
in Xining City, also can actively prevent the threat of the flood to the economic and social
development of Xining ,even Qinghai. Moreover, it will also play an important role to the
current pollution management of Huangshui downstream, the Yellow River main branches
and the flood management.
25 .
II-IV Conclution
The report reached the following conclusions on the situation above:
First, the project is conducive to enhancing the project area’s ability to withstand natural
disasters and has the important safeguard and promoter action regarding Xining, even the
entire Qinghai Province’s economy and the social development.
Secondly, the project involves a number of ethnic minorities’ neighborhood and
communities, moreover, the local ethnic minorities are Native peoples (indigenous people), so
the establishment of Ethnic Minority Development Plan of this project is essential to project
procedures, also it will reflects the project and the local national minority residents offer
mutual benefit and achieve common progress.
26 .
III Review of Relevant Policies
III-I The Chinese Government Policy Spirit
The People’s Republic of China established in 1949 and the ruling Chinese Communist
Party always advocate the interests of the people and serve the people. Since 2000, the
country has enriched the connotation of the concept of serving the people and proposed”
humanist” and scientific development concept, striving to build a harmonious society. These
thought and the idea, become guiding principle for all levels of the government to formulate
the social policy and process social affair.
In ethnic and religious issues, the CPC and the Chinese government in accordance with
international pop values, claim national equality and freedom of religious belief in the
principle of “three inseparables” (Han people can not be separated from ethnic minorities,
ethnic minorities can not be separated from the Hans, ethnic minorities can not be separated
from each other) and “ethnic and religion is no small matter” ,using “unite to struggle and
promote common prosperity and development ” as a basic principle, striving to build
“equality, solidarity, mutual assistance and harmony” socialism Ethnic relations. At the policy
level, the Chinese central government base on the basic national condition of regional, urban
and rural, ethnic imbalance in the development, and stress that advanced to help backward,
the Han to help ethnic minorities, developed areas to support poverty-stricken backward
areas. Since the 1980s, the government has implemented poverty elimination and the western
development strategy. Since 1998, in order to reverse the trend that the land ecological
environment is deteriorating, the nation carry out policies like returning farmland to forest,
drawing back the herd to grass with national strength .As China's ecological barrier, the
western region is key areas of the projects above mentioned. In recent years, the state
energetically improve the social security situation of urban and rural residents and implement
financial transfer payment system on state-level poor counties, eight provinces and
autonomous regions (including the Qinghai) with large proportion of ethnic minority
population and all the ethnic autonomous areas . Meanwhile, the government speeds up rural
material and spiritual civilization construction through the implementation of socialism new
rural construction. The guiding ideology, policies and measures reflect that the Chinese
Communist Party and the Chinese government sincerely serve the people and the society,
caring for ethnic minorities and like to accelerate their development, which has made
universally acknowledged achievements in practice.
27 .
III-II The Current Laws and Regulations in China
Qinghai Province has multi-ethnic population, which also enjoys the treatment of ethnic
minority autonomous and provinces in the western region, meanwhile, it is deeply affected by
Tibetan Buddhism and Islam, and also key areas for the Government launch the ethnic and
religious work. Therefore, this project involves environmental, social, ethnic, religious, and
other factors, the suitable laws and regulations are widespread. Hereby focus on general
ethnic and religious laws and regulations and have a brief assessment on them.
III-II-I Ethnic and Religious Laws
The Chinese government implements the regional autonomy for the safeguard the right
of domestic ethnic minorities and help to speed up their development. In 1984 the government
developed fundamental law “Law on Regional Ethnic Autonomy” whose status is lower than
the constitution but higher than the criminal law, and obtained the revision in 2001. Besides
reiterate the right that "Constitution" entrusts with the ethnic minority and ethnic minority
area, “Law on Regional Ethnic Autonomy” also particularly makes it clear:
Chapter 6, Article 54: Resolution, Decision, Order and Instruction of the higher authority
State agency related to ethnic autonomous areas should be suitable for the actual situation of
the ethnic autonomous areas.
Article 65: When exploring resources or making construction in ethnic autonomous
areas, the state should take care of the interests of the ethnic autonomous areas and the
arrangements made should benefit the economic construction of the ethnic autonomous areas,
should take care of the local production and life. State should take measures to give certain
benefit compensation to the ethnic autonomous areas for output of the natural resources.
Article 66, Section 3: Any organizations and individuals developing resources or making
construction in ethnic autonomous areas, should take effective measures to protect and
improve the local living and ecological environment, prevent pollution and other hazards.
To ensure the implementation of Law on Regional Ethnic Autonomy, the Chinese State
Council promulgated “Implementation of The Chinese State Council ‘People's Republic of
China Law on Regional National Autonomy’ certain provisions” in 2005, especially stressed
that:
Article 5: when making medium or long-term plan of economic and social development,
the higher authority people's government and Functional departments should listen to the
views of the Ethnic autonomous areas and the national department, should base on the
characteristic of ethnic autonomous areas and their demands, meanwhile, should support and
help to strengthen the infrastructural facilities, develop the human resources, optimize
economic structure and use natural resource reasonably, should strengthen the ecological
building and the environmental protection, accelerate the development of economic,
28 .
education, science and technology, culture, health, sports and other utilities to achieve a
comprehensive, coordinated and sustainable development.
In order to safeguard citizen’s religious belief right, the Chinese government has
promulgated “Regulations on Religious Affairs”, which came into effect from March 1, 2005.
In order to guarantee the urban ethnic minority resident's legitimate rights and interests,
the Chinese government has also formulated “Urban Ethnicity Work Rule” authorized by the
State Council and issued the execution by the State Ethnic Affairs Commission on August 29,
1993.
In addition, Datong Hui and Tu Ethnic Minority Autonomous County in the project area
promulgated the regulations on autonomy in 1990, basing on“ People’s Republic of China
Law on Regional Ethnic Autonomy” and connecting the local realities. The regulation,
together with laws and regulations established by central government and organs at higher
levels constitute a system of laws and regulations to safeguard ethnic minorities’ rights and
interests. It is also the basic standard which this project construction should follow.
III-II-II General Laws and Regulations
Any stakeholders’ rights and obligations of all parties involved in the project
construction, governments at all levels and Functional departments will have the quite perfect
laws and regulations to carry on the standard. For example:
On Project establishment and bidding, guaranteed by “Law of the People's Republic of
China on Tenders and Bids” (January 1, 2000) and so on;
On land acquisition and demolition, guaranteed by “Land Administration Law of the
People’s Republic of China” (August 28, 2004),” “Law of the Peoples Republic of China on
Land Contract in Rural Areas” (March 1, 2003), “Real Right Law of the People's Republic of
China ”(March 16, 2007), “Xining Regulations for Management of Urban House Demolition
” (September 20, 2002), “Regulations on City Planning of Xining” (July 24, 1998) and so on.
Environmental safety and ecological protection, guaranteed by “Environmental
Protection Law of the Peoples Republic of China” (December 26, 1989), “Law on
Environmental Impact Assessment in People's Republic of China” (September 1, 2003), “
Forest Law of the People’s Republic of China ” (1998), “Law of the People’s Republic of
China on Water and Soil Conservation” (1991), “Law of the People's Republic of China on
Prevention and Control of Water Pollution.” (May 15, 1996) and "People's Republic of China
Water Pollution Control Act Rules" (March 24,2000), “Law of the People's Republic of China
for the Protection of cultural relic” (October 28, 2002) and “Rules of the People's Republic of
cultural relic conservation” (May 1992), “returning farmland to forests Ordinance” (January
20, 2003), “on the Qinghai Provincial People's Government to further strengthen the work of
energy-saving emission reduction policies and measures”(July 19, 2007), “Xining water and
29 .
soil conservation management approach”(August 27, 2001)and “Xining Urban residents
living pollution prevention approach”(July 1, 2001),etc.
III-II-III Resettlement Policies and Measures of Immigration
(1) Resettlement principles
To facilitate the implementation of this project, the Xining municipal government
formulated the following resettlement principles:
Correctly handle the relationship among the state, collective and individuals, the
resettlement of migrants should be co-ordination arranged within the framework of in national
policies.
The immigration resettlement should be in accordance to the local economic
development, resource development and conservation of water and soil, diligently
guaranteeing the residents’ living standard in the flood-control project area achieves or
surpasses the original level and createing the development condition.
Resettlement planning should implement the policy of “development resettlement”
and “taking modernized agriculture primarily but basing on soil”. The immigration production
restores and living facility compounding should be comprehensive feasibility studied and
planned.
The resettlement plan should take flood control project area and the local resource
situation in consideration, and give preference to the “latterly settled” and “protective”.
Stick to the development of immigration policy and enhance their self-development
power, mobilize the masses of immigrants self-reliance and hard work for development,
reasonably develop and use resources, strengthen their self-accumulation and self-
development ability
Adhere to environmental protection, economical use of land and the principle of
arable land protection, promote harmony between man and nature in accordance with the
construction of a resource-saving society’s requirements, realize the harmony among
economic development, population, resources and environment , Promote the sustainable
development of socio-economic.
Adhere to connecting regional economic development planning and the integration of
the region in economic. Establish the development plan on the basis of social economic plan,
speed up the economic and social development speed of reservoir area and resettlement areas.
(2) The legal principle basis of resettlement
Land Administration Law of the People’s Republic of China (August 29, 1998
revision);
Environmental Protection Law of the People’s Republic of China (December 26,
1989);
30 .
Law of the Peoples Republic of China on Water and Soil Conservation
(June 29,1991);
Forest Law of the People’s Republic of China (April,1998 revision);
Law of the People's Republic of China for the Protection of Cultural Relic (October
28, 2002);
Regulations for the Implementation of the Land Administration Law of the People’s
Republic of China (December 27, 1998);
Village and Town Planning Standard (GB50188-93);
Dike project Design Standard (GB50286-98)
(3) Resettlement planning objectives
Planning horizon year
2007 is the reference year of the plan, the recent planning horizon is 20l0, medium and
long-term planning horizon is 2020.
Planning goals
Short term target: Solve outstanding problems of economic development in the flood
prevention project area and resettlement areas by increasing investment and make the
economic and social development of resettlement areas reach the end average level in “11th
Five-Year Plan”.
Medium and long-term target: Connect the requirement of the socialism new countryside
construction and the comprehensive construction affluent society, further strengthen the
infrastructure and the ecological environment construction of flood-control project area and
the immigrant resettlement area, make the living standard achieves the local countryside
average level gradually and realize economic society and the local countryside simultaneously
develop in the flood-control project area and immigrant resettlement area.
(4) Safeguard mechanism of the plan implementation
Clear about the organization and leadership in the implementation and management
of plan. Bring forward the work responsibility and administration authority of the
organization at all levels. Propose the names and contents of rules and regulations which
safeguard the plan implement smoothly.
Carries out organization funds and the operational funding of the plan implementation
supervisory work; carry out the local co-funding measure in the fund raising plan
Clear supervision of the monitoring mechanism, propose immigration supervision,
administrative supervision, monitoring and evaluation of the main contents.
(5) Resettlement plan for the project
To protect arable land with every effort, reduce wastage and lighten the difficulty of the
immigrant resettlement, the project fully considered characteristics like topography,
landscape, ground elevation, geology, and so on in the flood control project area on the
choice resettlement:
31 .
Xining City Project Area: the project scheme to take the occupation of 1380.4 hectares
cultivated land, housing demolition 62 919.91 square meters, people involved in the
relocation covering a population of 1880. As a result of this relocation scope located at the
city center, both sides of the river, the moving population subordinate city resident, has
integrated the cities’ social security system. According to the municipal government
concerned requirements, this project relocation occupying land area uses the disposable
currency placement means that the displaced households should purchase or lease commercial
housing by individuals with compensation funds.
Datong County project area: Land occupation and resettlement dealt with the principle of
compensation funds. As a result of this project for the social public welfare project, therefore,
compensation methods is based on “Land Administration Law of the People’s Republic of
China ”, also referring to the 74th Command of State Council and “Land Compensation and
Resettlement Rule on large and medium-sized water conservation and hydropower project
construction”. Principles of construction in Project area is: Insisting humanist, science plan,
rational distribution principle, strictly based on the construction plan, insisting circumstances
permit, realistic, the government support as well as rely on their own effort to revive; Insisting
paying equal attention to the project construction and ecology restoration, unifying the
immigration new village construction with the socialism new rural reconstruction, insisting
resettlement after housing construction.
Huangyuan County Project Area: The relocation of the population involved in this
project area is township dwellers and has been incorporated into the urban social security
system. According to the concerned requirements, this project uses the disposable monetary
resettlement, so the relocated households can purchase or rent commercial housing with the
compensation fund. The project relocation placement take full respect of local displaced
households’ wish as a premise, adopting relative centralism but also combining with
decentralization principle. The local government provides preferential policy and gives certain
subsidy on the house of the immigrants, guiding them move out by subsidization and
encourages. The project occupying land area uses the fund compensation principle, besides,
they also make the later period support and solve the resident’s employment question, which
is not only the premise to increase the income, also the key to maintain the project area to be
stable. The government releases the corresponding employment favorable condition in the
displace households’ employment aspect and provide the employment information to those
who have the ability to work by the local re-employment department, they also provide career
guidance and employment training fro them. The Local government act tax revenue
preferential policies to enterprises which employ the immigrants. To those no longer have the
ability to work, the government include them into urban minimum living subsidy and give the
fund subsidy.
32 .
Huangzhong County does not involve the occupying land area relocation compensation
issues.
����Costs of migration and settlement �
According to preliminary calculation, the immigration moves and places expenses,
including other costs, is 197 140 700 Yuan.
III-III World Bank Policy
The World Bank, which has the widespread international background and the multi-
disciplinary training background first-class expert team and the management troop develop
numerous domain aid project in the global scale, accumulating the rich project experience for
more than a half centuries, has forming the scientific standard project establishment and
examination procedure, and also owning the advanced development idea. The service policy
it draws up has the important instruction value to the numerous countries and the area,
specially the developing country and the area. This project is suitable for world bank service
policy OP 4.01 (environmental impact assessment), OP 4.10 (ethnic minority), OP 4.11
(cultural relic) and OP 4.12 (involuntary resettlement) and so on.
Through comparative analysis, this assessment group beholds that: the goal of the World
Bank’s relevant operational policies and legal framework is consistent with China’s existing
policy in the promotion of economic and social development in less developed areas, increase
residents rights, and safeguarding the interests of vulnerable groups, protection of minority
cultures and sustainable development foundation. As the World Bank’s policy is to face the
vast number of developing countries and regions, so, it bears the nature of guidelines in
practice, while policies and regulations in China are more focused and practical. However, the
World Bank’s policy emphasizes on informed consent and participation in decision-making,
which plays an important guiding role in practice of this project. Relevant policies and
regulations in China benefit the society, and the determination and sincerity of China to
pursue sustainable development, promote social justice and harmony, help accelerate
economic and social development in ethnic minority area is of the high degree of unity with
the World Bank's policies of standard, tightness, cautiousness. All these ensure the project
design optimization, construction projects evolvement smoothly, protection of the rights of
residents and the achievement of the project. Therefore, the editorial group believes that this
project implementation does not need to formulate the special supporting policies.
33 .
VI Stakeholder Analysis
IV-I Identification the Stakeholder of the Project
Based on the feasibility study material compiled by “Coordination Leading
Group of Xining Urban District and Three Counties Flood Control Project Using
World Bank Loan”, this report identified the related stakeholders/groups as follows:
Owner: After consulting with the World Bank, the Xining Municipal government
agreed to establish “the Xining Project Office” (to hereafter refer to as “Project
Office”) ,which has the separate legal entity status, and specifically charge of the
project construction and later operations.
People’s Government of Qinghai Province: one of capital contribution party of
the project.
Xining City People’s Government and the subordinate districts and counties: one
of capital contribution party of the project.
World Bank: the main provider of loans of this project.
Residents in the Project Area: Han residents, Minority residents, immigrants an
so on.
Enterprises and institutions in the Project Area: Enterprises, Organs, and
Institutions related to the Project or impacted by project construction.
Residents in Xining City: the Change of the sewage treatment expense involve
the residents’ benefit.
Builder: project contractor undertaking the project construction work
IV-II Stakeholder analysis
IV-II-I Owner
In order to avoid departmental interests interfered with the project and raise the
professional level of the project, also enable the project progress smoothly under the
supervision of all interest related parties, an the project Office with independent legal
person status is specially set up with the agreement of Xining City government and
the World Bank, mainly responsible for the initial operation of the project, building
construction, maintenance and later administration. Project Office has separate
personnel, financial and decision-making powers, whose staff unhooked from
government departments, or directly to social employment advertise. The planning,
project design, budgets, work program proposed by it should accept the supervision
and review of World Bank and Xining City People's Government , the World Bank
34 .
will provide specific guidance to its capacity-building. The present project office
which has launched the preliminary work is a provisional institution, a will have the
separate legal entity qualifications and truly independent legal status of the project
implementation, namely the owners, after its personnel quit relevant government
departments and confirmed by world bank and Xining Municipal government. In
accordance with the requirements of World Bank experts ,the project Office must
absorb professionals of water supply, agriculture, forestry, finance, computers,
engineering and other areas, and the staff recruited not necessarily limited in Xining
City or Qinghai Province.
In order to guarantee that the project can advance smoothly, the assessment
group suggests that a formal Project Office should be set up as soon as possible,
besides, should identify its responsibility, authority and benefits, clearing about its
legal status and the relationship with the city and county government, meanwhile, the
present Project office should strength institution and capacity-building, constantly
improve their own function while continuing the current project with the support of
government and guidance of the World Bank.
IV-II-II Peop le’s Government of Qinghai Province
Qinghai Provincial People’s Government is one of the investment party also the
beneficiaries of the project. According to the memorandum (on January 18, 2008) of
the project preparation group, Qinghai Provincial People's Government should
provide 190 million Yuan project investments, accounting for 16% of the static
investment of the project, of which 80 million invest to Xining urban district project,
20 million to Chengnan newly developed area ,40 million to Huangyuan County and
50 million to Datong County.
In addition to investment support, the Qinghai provincial government also
provides supports for implementation of the project on policy, task decomposition of
returning farmland to forest , technology, personnel, inter-regional cooperation,
declared the operation of project and so on. Meanwhile, the Qinghai provincial
government should also fulfill their oversight responsibilities for the usage of the
project fund.
IV-III-III Xining City and Three Counties P eople’s Government Subordinates
Xining City People’s Government as well as three county governments
administered is the application party of this project, also the main beneficiaries and
the repaying responsible party. They are also responsible for the entire process
guidance, supervision and support responsibilities of the project. Based on the
35 .
memorandum, Xining City governments at all levels need to bear part of the project
matching funds, the total amount of about 381 million Yuan, accounting for about
32% of the total investment.
As a large investment and long-term impact project, Xining and three county
people’s government’s responsibility is significant. On one hand, they must guarantee
that the fund is in full amount and prompt arriving, also pay attention to strengthening
project monitoring to ensure the construction progress and quality, on the other hand,
To respect the project office as an independent legal status, the guidance and
supervision to it can not be offside so as to avoid affecting their routine work.
IV-II-IV World Bank
World Bank is the loans provider of the project. According to the memorandum,
World Bank confirmed to Xining City for a total of 615 million Yuan of loans,
accounting for about 52% of all project investment. The contribution of World Bank
to this project is not limited to the provision of loans. In order to help Xining to carry
out this project construction smoothly, World Bank established a project team,
providing important guidance and the support for Xining’s project application, project
design and evaluation, study tours and the organization ability construction and so on
.At the same time, World Bank maintains that its security policy must be implemented
in the entire process of project, which is also of significant value for improving the
project regulatory policy, normative operation and reducing potential risks of the it.
IV-II-V Designer and Builder
The main designer of this project is the Design Institute of Gansu. The Design
Institute has many years’ business and cooperative relations with related departments
of Xining City in Qinghai Province and of mutual trust between each other. The
Design Institute has the Project Design Qualification other than the design of flood
control early warning systems, which is also the reason why World Bank confirmed to
look for other institution with the corresponding qualification to undertake the
feasibility study report of early-warning system of flood control.
Builder: Project Office will select specific construction unit by public bidding.
Since the project is still in the trial stage and the construction unit has not yet been
determined, so the vast majority of small watershed management project will suitably
absorb the local labor force participation according to the project content and
technical requirements.
36 .
IV-II-VI Project Area Residents
Project area resident mainly refers to those distributing in the project area and
belonging to each kind of city and rural local resident population, including the Han
residents, ethnic minority residents, project non-voluntary immigrant and so on. From
field investigation of the social assessment group to three counties and two district,
the immigration group to the urban district, as well as the materials of participation
investigation of the small basin participation management group, we know that
residents in the project area generally welcome and expect the project, bearing good
anticipation on conservation of water and soil, ecology restores, environment
beautification, flood and disaster prevention function and so on.
Ethnic minority residents in project areas: They have high expectation on
community driven project for development and improvement of traditional
livelihoods, improve infrastructure and enhance the ability of individuals and families
in the development of such areas, hoping the project to strengthen its support
functions, to create more opportunities for participation. The establishment of Ethnic
Minority Development Plan (EMDP) is welcomed in this area.
Project involuntary immigration: Mainly in urban and rural and urban
intersections, primarily Han residents. The non-voluntary immigrants deeply concern
about land expropriation, house relocation’s compensation standard and whether the
compensation funds can be realized and prompted full amount, and they also regard
the replacement plan. They hope to have the opportunity to equal participation in the
consultations when the authorities concern formulates plans of action and immigration
policy introduced.
IV-II-VII Other Underprivileged Groups in the Project Area
The poor, the elderly, women, children and handicapped persons do not have
much side effect on the Project Area, but there are still some problems to be caused
concern in this project:
The project which takes Returning Farmland to Forests and animal husbandry
limited as one of important measures, will inevitably stimulate the capable labor force
outflow quantity increase, the increase in traffic, so elderly maintenance, burden on
women, child care and education, the care of critically ill patients and other issues will
become more prominent. In order to better protect their interests, the Government and
relevant departments in the proposed project areas should co-ordinate the resource of
civil administration, poverty relief, education, agricultural, health, infrastructural
facilities etc, and the project again puts in appropriate fund to help improve irrigation,
37 .
water diversion, Medical care, markets, schools, transport, communications and other
production and living conditions for residents of the project area . Meanwhile, provide
more security on development of planting and breeding, treatment medication,
shopping transactions, outside connection and children schooling. At the same time, it
is necessary to strengthen working-age women and youths in the scientific and
technological knowledge and production skills training, to improve their working
ability and production efficiency. Provincial, municipal, county government should
strengthen leadership and coordinate to ensure that the above measures which to
enhance the social benefits of the project can be implemented.
IV-II-VIII Analysis on the Relationship Between Stakeholders in the Project
Area
It is certain that this project aims at a win-win situation and long-term benefits,
so the coordination among various interest groups should be cared. Besides, the
project should ensure that all parties have the opportunity to benefit. For an in-depth
analysis of the complex relationship of stakeholders, and further ensure a clear win-
win measures, SWOT analysis (Strengths, Weaknesses, Opportunities, Threats) will
be adopted here to analyze the relationship of various interest groups to show the
association among various groups of interests and the potential interest risk that need
to avoid, finally, provide the necessary background for countermeasures to this
project.
38 .
Table 3: SWOT Analysis of projects related interest group
Stakeholders
People’s Government of Qinghai Provincial (A)
People’s government of Xining and three county subordinate by it (B)
World Bank (C) Designer and Builder (D)
Project Area residents (including other under- privileged groups) (E)
Advantage
(1) Strong administrative capacity, (2) Unique ability to regulate and control the local community resources, (3) Rich experience in the local community.
(1)Relatively strong administrative capacity, (2) Unique ability to regulate and control the local community resources, (3) With rich experience in the local community.
(1) Adequate financial capacity, (2) Rich work experience (3) Strong ability to regulate and control; (4) Strong supervision.
(1) Strong operational capacity, (2) Mature construction experience, (3) good social reputation.
(1) Direct beneficiaries of the project; (2) Strong initiative ability
Disadvantage
(1) Relative lack of construction funds; (2) lack of Flood management experience, (3) Relatively weak self-supervision
(1) Relative lack of construction funds (2) lack of Flood management experience, (3) Relatively weak self-supervision
(1) Less indigenous knowledge; (2) Limited supervision; (3) The consequences of the project can not be expected
(1) less funds; (2) weaker management and supervision dynamics; (3) potential construction quality problems
(1)less self-determination ability (2) less problem analysis capacity, (3) relatively loose organization . (4) direct undertaker of project negative effect
Opportunity
(1) obtains World Bank project investment; (2) Thorough Settlement potential flood danger of Xining and three county ; (3) good cooperation foundation and prestige (4) more investment plans and
(1) Obtains World Bank project investment; (2) Thoroughly Settle potential flood danger of Xining and three county ; (3) good cooperation foundation and prestige; (4) more investment plans and cooperation
(1) More opportunities for cooperation, (2) Promote the development of developing countries, (3) To strengthen the sense of participation of citizens in developing countries in
(1) economic efficiency; (2) accumulation experience (3) more cooperation opportunities;
(1) Completely solve the potential flood danger (2) to improve the living environment, (3) to increase employment opportunities, (4) promote local economic development, (5) poverty elimination
39 .
cooperation opportunity.
opportunity. public welfare undertakings.
Challenge
(1) To coordinate the interests of all parties, and integrate resources effectively , (2) how to achieve the balance between participatory and government planning (3) How can local residents benefit from the project;(4) How to eliminate the benefit battles among parties
(1) how to achieve the balance between participatory and government planning (2) How can local residents benefit from the project;(3) How to eliminate the benefit battles among parties
(1) How to effectively use the funds on project management (2) how to effectively monitor the various interest groups to effectively carry out cooperation (3) how to help developing countries improve the conditions of the residents, (4) how to handle relationship well with the local government
(1)how to enable the project quality to achieve superiorly; (2) how to use the existing resources effectively; (3)how to get good relationship with the with the residents in construction areas ; (4) how to coordinate the interests of all parties.
(1) How to protect their legitimate rights and interests, (2) how to make useof favorable opportunities to promote their own development, (3) how to make itself the real beneficiaries of the project.
40 .
As is seen from the table, not only interests of consistency existing among the
various interest groups, there are also potential conflicts of interest.
(1) There is something in common between interest group A and B, and the
difference lies in the two is their intensity. This is because the administrative rank of
interest group A is higher than interest group B. However, interest group B also
reduced the inferiority and challenge as a result of that.
(2) Very strong as well as a strong mutual dependence cooperation exists
between interest group A and C, this is because interest group A is one of partial
investors and also beneficiary of this project .Interest group C is the main investor of
this project, but they must depend on the local experience and resources of interest
group A. The superiority and inferiority between the two groups is actually a kind of
supplementary relationship, furthermore, the opportunity between groups has many
similarities. Therefore, if the two groups like to take positive and operative attitude,
they both will obtain more opportunities.
(3) Like the relation between interest group A and C, the difference between
interest group B and C is intensity.
(4) The relation between interest group A, B, C and D is labor and employment
relationship, that is, interest group D is actually the main implementation party of the
first three. Therefore, how to effectively monitor interest group D and make it
complete the task better is the common challenges in the face of the first three interest
group.
(5) E is the ultimate goal of manifestation of the first four interest groups, among
which, interest group A, B, C have objectives of coincidence to interest group E,
namely, to improve the living environment of E through the project and avoid the
potential challenges and disadvantages encountered by E. The problem that how to
coordinate between D and E exists during the construction period, and what enforced
by D would become the effective safeguards key to the living environment of E and
flood control management.
41 .
V Land System and Mode of Living
V-I Land System Change
More than half a century since the 1950s, China’s land system experienced three
major changes: The first time was in the early 1950s; the land reform abolished the
feudal land ownership and practiced “the cultivator had its field” small farmer system
of ownership, the general farmers obtained Land-use autonomy. The second time was
collectivization of agriculture during the mid-1950s to the late 1970s, when farmer
collective ownership substitutes for the small farmer system of ownership, the land
use right concentrated in village groups and teams. Third is the late 1970s and early
1980s, based on not changing the nature of the collective ownership of land use to
practice household contract responsibility system, farmers got the land (mainly
farmland and woodland) contracted by the operational autonomy. After 1995, in order
to further stabilize the enthusiasm of farmers operating and enhance their confidence
in the rural policy, the government carried on second round land contract., which is a
status-based land contract and also based on the regional actual land to have trimming
of small scope area , the contract duration extended to 30-50 years.
Qinghai land system is almost simultaneously with the changes throughout the
country .From 1998, the project areas carried on the second round of land contract on
the basis of household contract system in 1980-1982, that is, the rural households
contract will be extended for a period of 30 years through the formal signing of the
contract between the collective and farmers. The system of this phase will become
the land based system during the process of the implementation of this scheme or
project when the issue of land item involved.
V-II Land Laws and Regulations
� � � � � � � � � � � � � � � � � 2003� 3� 1� � � � � � � �
“Law of the Peoples Republic of China on Land Contract in Rural Areas”(March
1, 2003) says that:
Article 4: The State protects, in accordance with law, the long-term stability of
the relationship of land contract in rural areas.
Article 9: The State protects the legitimate rights and interests of the owners of
the collective land and the right of the contractors to land contractual management,
which no organizations and individuals may infringe upon.
42 .
Article 10: The State protects the circulation of the right to land contractual
management, which is effected according to law, on a voluntary basis and with
compensation.
Article 20: The term of contract for arable land is 30 years. The term of contract
for grassland ranges from 30 to 50 years. The term of contract for forestland ranges
from 30 to 70 years; the term of contract for forestland with special trees may, upon
approval by the competent administrative department for forestry under the State
Council, be longer.
Article 24: After a contract goes into effect, the party giving out the contract may
neither modify nor revoke the contract due to the change of the representative for the
party giving out the contract or the responsible person concerned, or due to the split or
merger of the collective economic organization.
Article 26: During the term of contract, the party giving out the contract may not
take back the contracted land.
Article 27: During the term of contract, the party giving out the contract may not
readjust the contracted land.
Article 32: The right to land contractual management obtained through
household contract may, according to law, be circulated by subcontracting, leasing,
exchanging, transferring or other means.
Article 42: For the purpose of developing the agricultural economy, the
contractors may, of their own free will, jointly pool their rights to land contractual
management as shares to engage in cooperative agricultural production.
In addition to “Law of the Peoples Republic of China on Land Contract in Rural
Areas”, governments at all levels of the project areas also issued related land
management provisions, such as “the implementing method of Qinghai Province
on‘Land Administration Law of the Peoples Republic of China’ ” ( revision in 2006),
“Xining City Interim Procedures for the collective land expropriation ”(February 16,
2001), “Management approach on using rights transfer of urban state-owned land in
Xining City”(October 1, 2001) , “Management approach on idle land in Xining
City”(October 1, 2001) etc, clearly defining the ownership of rural land resources,
development and utilization, expropriation, compensation standards and so on.
The basic spirit of these laws and regulations is to ensure the contract farmers
have long-term land use rights and to protect their enthusiasm and independency of
agriculture management, also to avoid the waste of land and protect the limited arable
to make farmers have a basic source of livelihood. The ultimate goal is to safeguard
farmers enjoy a good and prosperous life and the society is harmonious ordered.
43 .
V-III Nature Resources, Livelihoods and Land Use Structure
Although Qinghai Province a is vast territory with a sparse population, yet for the
cold highland climate, most districts only suit the forage grass to grow, area that is
suitable for forestry is not big; the suitable agriculture’s land is less. The arable land
only accounts for 0.85 percent of the area, woodland (including woodland, stocked
land and shrub land) only 4.68 percent, meadows accounting for 50.5 percent and the
rest is desert, desertification, which is very difficult for human being to survive .The
total arable land in the Province is 515 600 hectares, per capita arable land area is
only about 1.5 mu. The Huangshui valleys where the Project area covers only
accounting for around 4 percent of Qinghai land area, while centralizes 72 percent of
arable land of and support about 85 percent of the population the Province, causing
the situation of many people and less land, cultivated land tension and serious
shortage of back-up land resources.
Residents of all ethnic groups living in the rural project areas are in the
agriculture-based livelihoods. Tibetan communities are concentrated away from urban
and suburb of the larger population density , usually in farmland and pasture
intersection mountainous area, therefore the village territory is broad, the land area is
wide , per capita arable land is relatively more and have abundant land types. such as
Dongxia Town Maer village in Datong County, Bohang Town Nalong Village in
Huangyuan County, the per capita arable land area is more than 2 mu (land in Nalong
Village is irrigated land, Maer Village only has slope land ), 4-5 per capita acre of
barren hills and meadows , and some woodland. Therefore, their traditional mode if
living is planting and breeding, mainly to agriculture and a small collection of
resources. Muslim communities are mainly in suburbs, along the transportation
route� The community density is big while villages territory is small, per capita
cultivated land is generally less than 1 acre, some communities do not have irrigated
land also barren hills and meadows are less, nearly few large areas of forest land. So
their livelihood is based on the planting industry, combining agriculture and
commerce, restaurants, fur processing, slaughtering and trafficking.
Tibetan areas lie in relatively high altitude, and more in the 2 700-3 000 meters.
Their farming System is one-year maturity. They plant and fertilize per year from
March to April, and harvest crops around September, they turns the soil around
November. Their main crops are wheat, barley, potatoes, broad bean, etc. In general,
families mainly grow grain, of which wheat, potatoes, rape are planted in their basic
land while barley, broad bean in the high mountain regions. The potato production per
acre is approximately 1 000 kilograms, the wheat class production per acre is 150 to
200 kilograms, the Tibetan barley yield per acre is approximately 100 kilograms, rape
44 .
per-acre production is about 150 kilograms, and broad bean per-acre yield is about
200 kilograms. In addition to the arable land contracted at the beginning of household
contract responsibility system ,families of large population and labors wealthy also
reclamation a number of slope lands in the barren hills and slopes .In more than 10
years, since there are many young migrant workers and the relatively stably employed
minority families will be transferred their arable land to their relatives and friends for
free , resulting in the actual acreage land of some families is to 2-30 mu, while some
families basically not planting anything, but rely on migrant workers to make a living.
The barren hills and slopes belong to village’s collective ownership, mainly as public
grazing land. Families of large population and ability have land cultivation according
to their need and are not necessary to pay rates for the collectivity. The shady side
region plants the birch tree, the spruce and so on, some region of serious soil erosion
also stopped plowing and plant trees, grass for restoration in recent years.
Hui people mainly live in the region of an altitude of 2 700 meters or below.
Their farming System is also one-year maturity. Families in general are fighting for
self-sufficiency in food; arable lands are mainly used for species of wheat, potatoes,
and a small number of rape and broad bean. As most arable lands lie in the gentle
slope, so there is less loss of soil and fertilizer, meanwhile, farmers put into much
chemical fertilizers and other agricultural materials , therefore, the per-acre yield is
relatively high, in 1200-1500 kg of potatoes, wheat and rapeseed about 200-300 kg,
broad bean 200-250 kilograms. As less barren hills and slopes and a lack of arable
land reserves, the per capita arable land is decreasing with population growth. To
transfer employment to the non-agricultural area has increasingly become a necessary
survival and development choice of the Hui people.
The main body of residents in the project area is Han people, most of whom are
relatively concentrated, and forming single ethnic sectors-connecting villages, part of
them living mixed with the Hui people and Tibetans. The regional distribution of the
Han people is density, which is similar to Hui people with little land but large
population. Han people mainly live on farming and fence cultivation and their
farming Systems is one-year maturity and land use method is basically the same with
Hui people. Since public barren hills and grass land is small in size and the reserve of
arable land is less. Therefore, the labor migrant is also a way to increase household
income and the main choice to solve livelihood difficulty.
The living structure of all nationalities and ethnic groups of counties in project
area is detailed in Schedule 3.
45 .
V-IV the Impact and Possible Consequences of the Projects on Their
Livelihood and Land System
The project has both positive and negative impact on the livelihood of residents
of all ethnic groups in the project area and the current land system, of which the major
positive impact is the following aspects:
First, Exclusion measures of planting trees and grass in the small basin is
conducive to water and soil conservation as well as the improvement of ecological
state in the project areas. The assessment group make the following conclusions by
investigation and understanding of a number of typical communities: 96 percent of
villagers in Erma agreed with the measures and expected benefits, with the support
rate of 94 percent in Qiaotou Village and Yuanshu Village(both the two villages Are
Hui ethnic villages and have strong social structure similarity, so the statistics merges
together),while 95 percent and 94 percent support rate in Huangzhong and
Huangyuan. The above data show that the residents in the project area highly affirm
that the project will help to improve the local ecological environment.
Second, the project to reinforce slope cropland on both sides of the steep valley
and change slopes for terrace is conducive to maintaining water and soil fertility, also
can consolidate the arable area. The survey that the social assessment group did in the
communities of project area showed that torrents disasters happened in many villages.
Take Erma village as an example, the survey showed that several serious mountain
torrents happened in Erma village in the 1950s, two of which directly caused
economic losses to the local Tibetan residents. The serious trend of soil erosion
increasingly declined the fertility of arable land, the standard of living growth is in
negative Second Derivative trend(that is, the standard of living in the process of
growth is slow, to a certain stage there will be zero growth).
Third, the construction of check dam, flood prevention wall and dam etc in the
gully area can effectively reduce threat of mountain torrent to farmland and villages
during the rainy season, also good to prevent further deep channel and reduce
sediment, the villagers also facilitate the use of plot water for irrigation, increasing
irrigated area. Such a conclusion is from the practice of local residents, many of the
residents in different villages affirm that the dams and flood prevention walls that
government department built in tens of years, especially in recent decades, in Erma,
Qiaoergou and Yuanshuer Village of Datong County,Yongxing,Guanghua,Bohuang
of Huangyuan County and Qingquan Villages of Huangzhong County definitely play
the role of water storage in usual time and flood control in flood period.
46 .
Fourth, the long-term benefit of afforestation is to increase local live standing
timber reserves and the lumber reserves, if managed well can also increase the income
of local communities. The practice of Erma village has proved that: local residents are
reluctant to report the area in the initial implementation of exclusion, but after a
period of exclusion to facilitate afforestation, local residents found the relatively rapid
recovery of ecological environment, furthermore, it brings a lot of actual and expected
benefits, forest products, such as mushrooms has increased; so has the expected
natural scenery such as the summer tourism opportunities. Therefore, we found in this
survey that residents have expressed their willingness to report area of exclusion that
they did not report first to further increase the forest coverage rate and make the
vegetation around more luxuriant as well as the scenery more pleasant to attract
tourists.
Fifth, with the gradual restoration of the ecological environment, manual and
non-manual gathering forest product, even dangerous animals like wild boar have
increased. However, as the community involvement in management strengthened, the
farmers can increase the long-hoped Games in the four seasons on their dinner table
without having a negative impact on the ecosystem.
Sixth, as some residents actually have the ability to transfer to towns or non-
agricultural industries, and they also have such wishes. So if negotiate properly in the
project land-levying and demolition process, the relative department can give cash
compensation to this part of residents, and replace their land to farmers who need it,
so that everything can take their proper place. Village cadres and farmers agreed that
during the investigations and thought there is no difficulty in consultation.
The potential negative effects may include:
First, Project construction need to occupy a small amount of arable land, resulting
in further reduction of the total arable land which will have the long-term impact on
residents income and life ,also stimulate labor migration. Therefore, minimizing land-
levying, cleaning up the temporary land and restore their function promptly should
become the important principles of the project design and construction. During the
interview in Huodong and Huoxi Village, the assessment group found that the
villagers had misgivings about the last project of returning farmland to forests and
grasslands. While the Government still have regular compensation policy, but the
villagers generally believe that losing lands makes their lives more uncertain in the
long term, and they have many worries for the future.
Second, Exclusion measures to be implemented in small basins will lead to the
reduction of community pasturage also restrict grazing activities, so it is imperative to
develop captivity , but burdens like shed building, feed stuff and labor force will
increase correspondingly. Part of the residents surveyed indicated that if there is no
47 .
place to herd, they will no longer raise sheep or cattle. However, we learned through
the survey that those who do not raise cattle, horse and other animals when farm on
the slopes that can not be implemented mechanized operations must hire animals of
others (40-50Yuan per acre) to plow and turn the soil, twice in the spring and winter;
even if the arable land is on the gentle slope, farmers also need tractors to plow and
the cost is still relatively high. Without cows or sheep raise, farmers will suffer from a
lack of their own source non-staple food and their breed aquatics income will cut off,
meanwhile, the meat or milk they usually have will depend on the market and the
demand for cash will also increase.
Third, the reclamation activities on barren hills and slopes have been strictly
limited after the implementation of exclusion measures, the income of a small number
of residents who once benefited from the reclamation way will be reduced
accordingly. From the space of resources, the production and living space of farmers
is not just limited to farming the land, the land without restriction before was not the
wasteland, the villagers will take full advantage of these space for the benefit, if limit
strictly, their space activities may be reduced and the resources will be reduced
accordingly. Since 2000 Qinghai had the program of conversion of slope farmland to
forestry and the related farm households gained grain and cash subsidies in
accordance with the national policy.
In 2004, Xining municipal government and its surrounding three county
authorities issued official decrees to prohibit grazing on ecological deteriorated
mountainous areas, with the hill closure measures, encouraging fenced livestock. The
total area of hill closure in Xining municipal region was about 145 square km, in
which rotational closures were conducted quite often so that local households could
graze as needed rotationally in another years. No population relocation caused by the
hill closure took place, as reported. However, there were also no compensation or
subsidies from the exclusion measures of hill closure. The project social assessment
has assessed the possible impacts of hill closure under this project in different
localities, working with RAP team and Participatory Management team together, and
a Process Framework document was developed to guide project activities in the
Watershed Rehabilitation component in light of minimizing the closure impact and
developing alternative livelihoods as needed.
Fourth, The gentle and farming accessible slope land on both sides of valley
surrounding communities are changed into terrace, however, according to the
investment principle of “the one who benefits must share the burden” , the burden of
land contract farmers will increase.
Fifth, In addition to the impossibility of involuntary immigrants in Huangzhong
and Datong County, there are still a small number of immigrants in the urban district
48 .
and Huangyuan County. The overwhelming majority of immigrants are located in the
urban-rural intersections, mainly belong to town accounts. On sensitivities about
ethnic, religion and culture, because there are no ethnic minority groups involved in
resettlement, there is no need of special measures. On the livelihoods and
compensation for resources, the long-term prospect of this part of residents is
employed or living in the cities and towns, therefore, the immigrants who had
restaurants, shops or other business should be considered to continue operating the
original business when resettled and guarantee the basic conditions for their operating
activities ; the relative department of this project should also create a stable
employment condition to those who do not have any business before in accordance
with their wishes and requirements . For the small part rural residents in the urban-
rural intersections formed by construction and exclusion should also be provided in
cash compensation, meanwhile, taking into account the shift of their employment,
skills training, and opportunities provision to help them smoothly integrate into the
life of towns. Detailed discussions will be conducted in the immigration assessment
report.
On the whole, in view of the project impact by land acquisition or hill closure,
closest attention need to be paid and effective mitigating measures should be designed
and adopted in consultation with local peoples to be affected, so as to ensure this kind
of impact could be minimized. According to the World Bank OP4.12 Involuntary
Resettlement, the project is preparing Resettlement Action Plan (RAP) and Process
Framework (PF) to safeguard local people from project adverse impacts .
49 .
VI Ethnic Minorities
VI-I The Connection between project and Ethnic Minority
VI-I-I The Overview of Ethnic Minorities in the project areas
By the end of 2006, the total population of Xining City is 2 127 300, covering
38.84 percent of total population in Gansu province, of which Tibetan, Mongolian,
Man people, Sarah, and other 37 ethnic minorities come up to 543 385 people,
covering 25.55 percent of the total population of Xining City. There is one ethnic
autonomous counties (Datong Hui and Tu Autonomous County ) and six national
towns of all 5 districts (East, mid, west, north and south city) 3 counties (Datong,
Huangzhong, Huangyuan) and 50 townships and towns (27 towns and 23 townships)
under the city governs . There is one autonomous counties and three national
township (Dongxia Town,Shuobei Township and Liangjiao Township)in the project
and project-affected area.
The ethnic minorities distribute in the small watershed of Datong, Huangyuan,
and Huangzhong County where the ecological engineering management is in
implementation. Among them Includes ethnic minority centralized communities,
such as Dongxia Town, Liang xiang and Qiaotou Town in Datong County,
Chengguan Town, Bohang township in Huangyuan County, and Lu Shaer town in
Huangzhong County , of which Muslim and Tibetan account for higher proportion .
Although the statistics also reflect on Tu people, Salar and Mongolians, etc, but they
are mainly urban residents living in urban areas ,some individuals are found in the
village census because of work, marriages, etc. Ethnic Minority population and its
distribution detailed in the table below (The concrete distribution of ethnic minority in
small watershed see Table 3).
Xining City, ethnic minority population List in 2000,2006
Tibetan Hui TU Salar Mongolian Other ethnic
minorities District
County 2000 2006 2000 2006 2000 2006 2000 2006 2000 2006 2000 2006
East City 7733 8732 88233 99314 2219 2504 2160 2736 1017 1186 3311 3575
Mid City 3576 3940 10395 11417 993 1095 470 584 760 857 1498 1659
West City 7751 8854 14775 16793 1953 2235 820 1032 1133 1347 1785 2064
North City 2581 2857 11124 12288 928 1036 347 429 729 834 2454 2731
50 .
Subtotal 21641 24383 124527 139812 6093 6870 3797 4781 3639 4224 9048 10029
Datong 29160 30436 125161 130264 43810 45947 162 225 4611 4960 949 992
Huangyuan 13565 14283 2259 2369 397 415 81 97 1815 1981 62 55
Huangzhong 38899 40876 74913 78392 1288 1362 29 48 427 438 144 146
Total 103265 109978 326860 350837 51588 54594 4069 5151 10492 11603 10203 11222
1 In 2000, the total population of the city is 1 733 400, among which 506 500 is ethnic minority; In 2006, the
total population of Xining City is2127300, 543,400 ethnic minorities.
2 IN 2006, the ethnic minority accounts for the total population proportion:: urban 23.06 percent; 47.20% in
Datong; Huangyuan 13.86 percent, 24.92 percent in Huangzhong.
Source: "Xining Statistical Annual (2007)", Xining Statistics bureau, in June,
2007
VI-I-II The Connection Between Project and Ethnic Minority
The overall situation of the distribution of minority population in the project area
as mentioned above (see Annex 3, also can be found in Chapter II, section I of this
report that “2.1 projects and project areas”). From the area and river basin that the
project actually impact on we can see, only Tibetans and Hui people relatively
centralize in the project area and will suffer from the radiation and significantly effect
of the project. Specifically speaking, the Tibetans mainly distribute in Donghe basin
of Datong County (Erma, Yuandunzi and Liujiazhuang in Dongxia Town), Bohang
Channel in Huangyuan County and Huoshao Channel in Huangzhong County; Hui
people mainly live in Qiaoergou, Yuanshuer, Dameidong and Xiaomeidong etc in
Datong County , Lassa Channel (Chengguan Town)in Huangyuan County and
Huoshao Channel in Huangzhong County (Lushaer Town). From the distribution
pattern, Hui people live in individual concentrated communities around the mosque,
especially prominent in Datong and Huangzhong County;They live together with Han
people in Huangyuan County. Tibetans rarely form a single ethnic communities, but
the rate of Tibetan covers up to 90 percent in Erma Village ,Datong County. There are
134 residents in Angzang Village and more than 80 of them in Nalong village, living
together with the local Han people. From the layout of urban and rural areas, Hui
people distribute in the urban-rural intersections and along traffic lines; Tibetans
mostly live in mountainous areas, namely the transitional zone of agricultural and
pastoral areas, far from cities and the strategic way, among which Tibetans in
Dongxia Town is most typical.
The measures that the project take will help to reduce soil erosion in project areas
and strengthen the local residents’ (including minority residents) flood prevention and
51 .
disaster reduction capacity, but the project will also bring about the occupation of a
small amount of arable land, demolition of some housing and ancillary facilities,
interference of construction and so on . The biological measures that the project take,
such as returning farmland to forests, grasslands grazing limitation and afforestation
will compress the space of production of rural ethnic minority residents and bring
about the press like the changes of resource usage system, livelihood transition, labor
movement, re-learning to enhance skills and ability to adapt to the demands and
stress, etc. Through the establishment and implementation of ethnic minority
development plan and the related policies and measures carried out, the negative
impact above will be greatly reduced; moreover, the project can create opportunities
to restore and improve living standards of minority residents, enhance their adaptive
capacity and increase the sustainability of the survival and development.
VI-II History, Culture and Livelihood of Ethnic Minorities 7
VI-II-I Tibetan
Tibetan is an ethnicity with a long history and excellent cultural tradition.
According to historical records, the Tibetan ancients lived on both sides of the middle
reaches of the Yarlung Zangbo River as early as before Qin and Han dynasty. They
multiplied and expanded gradually and absorbed many other ethnic groups with their
expansion, thus covering the whole Qinghai-Tibet Plateau. The geographic
distribution pattern of Tibetans today forms around the Tang period and directly relate
to the rise of Tubo Dynasty.
The main body of Tibetan ethnic group mainly distributes within the boundaries
of China, mostly centralizing in Tibet (accounts for 52.84 percent of the total Tibetan
population), besides, states of Yushu, Hainan, Huangnan, Haibei, Guoluo, Haixi in
Qinghai province, Gannan state and Tianzhu County in Gansu province, Ganzi state,
Aba state and the Muli county in Sichuan province, Diqing state in Yunnan province
etc are also relatively centralized the Tibetan minority. In addition, Bhutan, Nepal,
Sikkim, India, Pakistan and even Europe and America also have a part of Tibetan to
live.
The Tibetans call themselves “Bobas”, which is divided into “Duiba”(Ali),
“Zangba” (Rikeze), “Weiba”(Lhasa) , Kangba (Western Sichuan) and “Anduowa”
(Northwestern Tibet, Yunnan and Sichuan) according to the different region . The
Tibetan ethnic minority has their own language which is divided into three dialects,
7 The Social Assessment Group list the livelihood structure of Tibetan and Hui ethnic group by the comparison table of income and expenditure according to the investigation of typical communities, See Table 1-5.
52 .
Weizang, Kang and Anduo depending on the regionalization. Tibetan ethnic minority
is divides into two kinds in terms of this project, one weighs pasturage and speaks
Tibetan, strictly attaches to Tibetan Buddhism and lives together in a community, the
other stresses agriculture and speaks Chinese (they nearly can not speak Tibetan and
live together with Han people, named “Xifan”in local). The Tibetan residents in this
project area all belong to the latter.
According to the fifth national population census, the total population of Tibetans
in China is 5.416 million, increasing 822 900 compared with the “fourth census” in
1990, with the growth rate of 17.92 percent, and the average annual growth rate is
1.60%. The life expectancy of the population is 66 years old. The urban Tibetan
population accounts for 12.83 percent of the total population, while rural population
accounts for 87.17 percent. Compared with the data before1990, the ratio of urban
population increases 5.76 percentage points. In the population over 15 years old, the
illiteracy rate is 47.55 percent, 35.14 percent for men, women accounting for 59.66
percent. Compared with 1990, the illiteracy rate dropped by 21.85 percent. In the
population of 6 years old and above, those with primary (including primary school)
education account for 48.44 percent, junior middle school or above (including junior
high school) education account for 13.27 percent, with high school or above education
account for 5.55 percent. Those who have received tertiary or university education
account for 1.35 percent, the average level of education is 3.52 years. In the
population aged 15 and above, the labor force participation rate is 81.53 percent,
80.87 percent in employment and 0.81 percent unemployment. 86.41 percent of the
employment population engage in the primary industry, 2.66 percent in the secondary
industry and 10.93 percent in the third industry. As far as the occupation, 86.74% of
the population engage in the countryside physical labor, 8.11% in the mental labor
work and 5.16% engage in the city physical labor.
Tibetans live in the edge of Tibetan Centre in the projects area belonging to
mixed living group of the Tibetan. By the end of 2006, the total Tibetan population is
nearly 110,000 in Xining City, nearly covering 5.17 percent of the city's total
population and 20.24 percent of the city's total minority population; Tibetans living in
cities and towns in the province account for about 25 percent of the total Tibetan
population, rural Tibetans accounting for about 75 percent. The report confirms that
Tibetans who live in the project area and directly affected by the project measures
are over 400 households, 1866 people. Dongxia river basin in Datong County is most
concentrated. There are four villages whose Tibetan is close to or more than 100, and
the total number of Tibetan is 1391, accounting for about 75 percent of the Tibetan
population in the red line. Among them there are 749 Tibetan residents in Erma
village, up to 40 percent of the total Tibetan population within the project red line.
53 .
417 Tibetan people are in the red line of Huangyuan County, and they concentrate in
Bohang Town, that is, the several administrative villages in Bohang Channel
management region, among them administrative villages which have over 50 Tibetan
people is over 5. There are 58 Tibetans in the red line of Huangzhong County,
concentrating in Angzang and No.2 Qingquan Village of Lu Shaer Town, belonging
to Jiaomugou management area, besides; there are some Tibetan monks in Tar
Temple which is near one side of Jiaomugou.
Tibetans in the project area, that is, “Jia xifan” mainly live on farming, which
includes planting wheat, potatoes, and industry crop like rape and peas, etc. Some
Tibetans in the top mountains also plant barley as food crops, but the project doesn’t
have a negative impact on it. The Tibetans self supply their own food, while
transportation, animal power, meat and cash income mainly depend on their breeding
industry. What they raise including cattle, horses, Tibetan antelope, pig, etc. Some
farmers keep cows since the 1990s. After 2000, the implementation of returning
farmland to forest and exclusion area affects the livestock, so some farmers no longer
raise cattle, sheep, or they change from stocking into captivity. The gathering of
herbal medicine and wild fungus and so on are also traditional economic activities in
summer or fall season, but it accounts for very small proportion of the household
income .Over the past 20 years, the Tibetans are the same with the majority of
farmers, to increase their income by the capable migrant labor force, which is also the
choice of many Tibetans in the project area. The places go for work are mainly in
Qinghai Province, such as providing labor force to build house, repair the railing or
mine in pastoral areas like Guoluo and Yushu. Tibetan ethnic minority’s livelihood
structure and their economic conditions are detailed in Schedule 5.
Tibetan residents in the project area mainly live in brick cottage like the local
Han and Hui people. Every household have a courtyard, taking the courtyard house as
the basic pattern. Main room is in the center, where Buddhist statues are consecrated;
houses on its right are for daily living and bedrooms for the elders and superiors, the
left are bedrooms for the younger people; the left of the side houses are for the
younger people’s bedroom, storage and the right for the animals and wood storage. A
small number of Tibetan in Huangyuan set Woi-sang stove in their courtyard to show
their ethnic identity. But the stoves are not often used. There is a portrait of living
Buddha in the Tibetan’s room. The mountains near the villages where Tibetans live
have the eye-catching Mani rock pile or arrow rests.
There are rural roads in Tibetan villages within the project area .Generally the
Tibetan residents all have walking tractor for transport, land plow and so on. Some
Tibetan villages have equipped the tap water, and villages without tap water have
wells, so the drinking water for human being and animals are safeguarded. Labor in
54 .
the top steep mountain is relatively difficult, Tibetans need trolleys, ox-cart or
carriage to transport fertilizer, besides, they also need animal power to turn the soil
and manual handling when harvest, Animals also needed in pulling grind and turn
millstone in autumn.
The staple food of Tibetan residents is mainly wheaten food, and some high-
altitude area residents also have the roasted barley and buttered tea, however, some
residents in better conditions buy rice as one of the staple food. They drink brick tea
themselves or treat guests. They have diet taboo, namely do not eat dead animals and
horse, donkey, mule or dog meat. They cook in their daily life or heat in winter
mainly by lump coal or honeycomb briquette, using leaves and crops such as straw to
light fire; nearly every village has electricity, television and telephone, and some
young people also use mobile phones. They use electricity power to have grain
processing.
Tibetans in the project areas no longer use their mother tongue and basically do
not understand Tibetan language, so they communicate in Chinese each other or with
others ,and they have switched to Chinese for about five or six generation. The living
elder seldom heard the old generation speak mother tongue when they were young.
However, some Tibetan residents in a few communities next to Guanghui temple in
Dongxia Village of Datong County still know Tibetan language, but they mainly
communicate in Chinese in their daily life. Daitong primary school in Shuobei Town
use bilingual teaching in recent years for the restoration of the Tibetan language. They
invite teachers from the pastoral areas to teach Tibetan language, two classes per
week. However, due to lack of language environment, children easy to forget the
language when learning it and the effect is not so satisfactory, but the national cadres
and the schools are very serious to it.
The Tibetan ethnic costumes are still in reservation and people wear them mainly
during the New Year period or in wedding or funeral ceremony. There is no
difference in dress between the Tibetans and the local Han residents in daily life. The
Tibetans don’t have any special ethnic holiday and their major holidays are spring
Festival, Dragon Boat Festival and Mid-Autumn Festival, which roughly the same
with local people. Enshrining the image of Buddha is the only way to maintain
Tibetan Buddhism beliefs and custom, however, they do not have the Buddhist Shrine
or hang Golden Statue of Buddha. Tibetans in Dongxia Town should enshrine living
Buddha in Guanghui Temple. They also go to burn joss sticks in the 15th of lunar
January , lunar June 15th and the first day of the Lunar New Year , meanwhile ,they
also go to burn joss sticks and ask Living Buddha touch the top and get Lucky Knot to
safeguard peace in the first and mid day every month. The family which have the old
55 .
shall kowtow in front of the Buddha statues in their own family in the monthly first
and 15th day , and some family worship food.
VI-II-II Hui people
Hui is one of the ethnic groups which believes in Islamism in China which
consist of Persian and Arab businessmen, who were known as “fan off” during the
Tang and Song Dynasties of China, and ethnicities of Mid-Asia, Persians, Arabs
who had the Islamic faith and moved into China at the beginning of the 13th century
when Mongolian army in the western expedition , also include Han, Mongolian,
Uygur and other ethnic groups that were absorbed through intermarriage after a long-
term integration. The Hui is a ethnic group of big area inhabited by several ethnicities
and little region inhabited by their own, distributed all over country and centralize in
Ningxia, Gansu, Henan, Hebei, Qinghai, Shandong, Yunnan, Xinjiang and other
provinces and autonomous regions.
The Hui ethnic group mainly uses the Chinese language, but still retains some
Arabic and Persian glossary in their religious or daily life. A part of Hui ethnic group
which lives together with different ethnic minorities also know the language of the
neighbor ethnic group.
According to the fifth national population census in 2000, the total Hui ethnic
population is 9.8168 million, of which the urban population accounts for 45.30
percent and rural population accounts for 54.7 percent. Life expectancy for the
population is 73.36 years old. In the population over the age of 15, the illiterate
population ratio is 17.77 percent. Compared with 1990, the illiteracy rate dropped by
15.34 percent. Those of 6 years old or above who have primary school or more
education account for 81.67 percent, junior middle school education or above account
for 44.88 percent, and high school or higher education account for 15.89 percent.
Those who have received tertiary or university education account for 4.08 percent.
The average number of years of education is 6.89 years. In the population aged 15 and
above, the labor force participation rate is 73.76 percent; 69.7 percent in employment
and the unemployment rate is 5.50 percent. In the employed population, 59.59
SHUFHQW engage in the primary industry, 14.29percent in the secondary industry and
26.12 percent engage in the third industry. As to profession, the ratio of population
that engages in manual labor in rural areas is 59.59 percent, 12.39 percent in the
intellectual work and the ratio of population who engage in city physical labor t is
28.02 percent.
Hui ethnic group began to enter Hehuang district since Yuan dynasty, and
increasingly moved to Qinghai province during Ming and Qing dynasty by promoting
56 .
the immigration policy. By the end of 2006, there were 350,837 Hui people in Xining
City, accounting for 16.49 percent of the total city population, and is the most
populous ethnic minority in Xining City .The rate of urbanization is on the national
average level. Hui people in the cities and towns mostly run catering business,
handicraft industry, and fur processing industry, commerce and trade activities, while
the rural Hui people engage in agriculture, also working on breeding industry. The
common characteristics of Hui people in Qinghai province is that they are proficient
in beef and mutton business, fur processing and catering industries, therefore, they
become the most active ethnicity in Qinghai commercial trade market.
Hui people distribute broadly in the project Area. Besides the urban district,
there are Muslim communities in Dameiyao, Xiaomeiyao, Qiaoergou ,Yuanshuer gou
and other small watershed (Qiaotou Town, Liaojiao Township) of Datong County,
Quanerwan, Lhasa gou (Chengguan Town) of Huangyuan County and Jiaomugou (Lu
Shaer town) of Huangzhong County. 9 819 Hui people live in the Red line, including
7886 in Datong County , accounting for 80 percent and concentrating in five Muslim
villages; 1578 in Huangzhong, concentrating in Lu Shaer town Chingchuan Village;
355 Hui people in Huangyuan County, Mainly concentrate in Guanghua and Wanfeng
administrative villages of Chengguan Town.
The traditional livelihoods of rural Hui residents in the Project Area is mainly
planting,and some of the families also run breeding industry and commerce. The
crops they plant are mainly wheat, potatoes, and economic crops such as rape and
peas. Most household food is basically self-sufficiency, however, there are still some
residents who have little arable land and do not have enough rations, so they need buy
food to eat. The major livestock they breed are horses, ox and Tibetan sheep, also a
small number of farmers raise cows. Horses and cows are mainly kept for animal
force while sheep are sold for cash. Since the implementation of returning farmland to
forests and grasslands, the grazing land reduced and only left a handful of sheep
farmers now. Part of farmers even does not raise draft animals. Most Hui families run
business, restaurants, trafficking cows and sheep or other traditional sideline to
increase revenue in addition to planting and breeding industry. The Hui people in
Datong County mainly work on digging coal and mine. In recent years, some young
people also do business or work outside the province. The economic conditions and
livelihood structure of Hui people in the project areas are detailed in Schedule 5.
Although Hui and Han people live in a mixed pattern, however, Hui people in the
communities usually live around the mosque. Hui residents generally live in brick
courtyard-style room, which is consistent with the local Han people. The main room
is in the north and trees or flowers are planted in the yard. The communities they live
in generally access to road, electricity, television and tap water. Most families have
57 .
walking tractor to turn the soil, transport fertilizer, harvest crops, and daily travel;
Young people generally ride motorcycle instead of walking.
The dress of men Muslim is slightly the same with the local Han people, but
adults generally wear the white flat topping and no brim” top hat” and the elderly
often store beard. The religious worship and elderly persons wear “quasi-white” (long
coat) and “Tess Daer” (entangle head wrap)� females after “Young” (9-12 years old)
should wear veils when out, young people often use green, cyan for middle-aged and
white for the elderly.
Hui people primarily eat wheaten food; they have many strict diet taboos. For
example: they are banned to drink muddy water and generally refuse to drink stagnant
or filthy water that is trampled by human and animas. They refuse to wash food;
generally prohibit tobacco and alcohol also do not treat guest with them. Pig, horse,
mule, donkey, dog, pigeon and all meat from self death are all their fasting. They are
banned to drink animal blood, mare's milk or Koumiss; they must invite imam or the
honest elderly to kill cows, sheep, chickens, ducks, rabbits, camels with the
regulations. The birds or animals which are killed by those who do not belong to
muslin or not clean and honest in the religion are also regarded as unclean.
Hui people in the project area reverently believe in Islamism, which is divided in
to new and old religion within it, but they gather in Mosque to have worships
together, some communities build Mosque separately for the new and old religion of
muslin. Generally there is Mosque administrative committee in the community. They
manage the possession of Mosque and organize the religious activities.
Major festivals of Hui people are the Lesser Bairam, the Corban Festival and
Mawlid al-Nabi (Shengji Festival or the Birthday of the Prophet Mohammed).
Hui people implement burial after death. Generally there is a public cemetery in
the community where they live together or take the family as the unit to concentrate
burying. They do not believe in geomancy, do not select date and time and do not use
coffin. The corpse is buried with head to north and feet to south.
VI-III Ethnic Relations in Project Area
The relation of Han, Tibetan and Hui people, and the relation between Muslim of
the old and new religious sects are relatively harmonious. One of the performances is
that Han, Tibetan and even Hui people live together or next to each other, forming the
general living pattern along Huangshui River. This mixed situation is not only showed
as the different ethnic communities in terra connection, but many communities are
formed by multi-ethnic polymerization. The second performance is that intermarriage
58 .
among ethnic groups is very common, particularly between Han people and Tibetan.
Although Hui people have the religious beliefs and living habit restraint, so they are
less active in marriages with other ethnic group, however, great change has happened
in the past 10 years, the intermarriage between Hui and Han people or Tibetan has
gradually increased. Third, in the village cadres elections of the multi-ethnic
communities, there were no inter-ethnic struggle for power. The social assessment
group found in the field survey that village cadres are well aware of different ethnic
villagers and their family circumstances, reflecting ethnic barriers rarely exist
between the cadres and the villagers. The fourth performance is that Hui people can
bear Tibetan and Han residents raise pigs, eat meat or have the habit of smoking and
drinking. There is nearly no contradict and conflict caused by very little mutual
respect for each other’s customs and practices. The fifth performance is that Tibetan
Buddhism and Islam, and Islam between the old and new religious sects live in
harmony, and have no religious conflict or sectarian conflict. The sixth Performance
is that school students of all ethnic groups in schools at all levels and the youth from
different ethnic communities communicate freely and hold harmonious relations.
There is no group fight, no language discrimination, and no national or ethnic
boundaries among them. The seventh performance is that the cadres of all ethnicities
at all levels of government departments and organizations hold harmonious relation,
close cooperation and mutual respect each other.
Given the harmonious relations between various ethnic groups in the project area,
the ethnic minority development plans must try to avoid dividing Hui ethnic minority,
Tibetan and Han into different areas, and should increase public welfare projects
while appropriately reduce particular projects which specially aim at the development
and support for the ethnic minorities or individual Farmers to reduce the negative
stimulus of project measures to inter-ethnic relations.
VI-IV The Main Attention Point of the Ethnic Minority Residents to
the Project
The positive and negative influence of the project listed in the previous chapter is
completely applicable to the ethnic minority residents which will not be repeated here.
However, during the investigation in the minority communities, the residents asked
much about the following questions which should arouse the concern of the owners,
since they also directly link to the project design and effect, and the social assessment
group suggests taking it as an important part of the informed consultations.
First, they express the understanding that the project will take up part of their
arable land inevitably, and some farmers even said that the land belongs to the
59 .
country so the government have right to decide how to use the existing arable land.
However, they also are very concerned about the following: how to ensure that the
income of the farmers does not reduce when their land reduce , that is, how to
properly resolve the traditional planting way which is heavy labor output but low
efficiency, and safeguard their income resource and standard of living when their
arable land reduce? Ways to renew crop varieties improve cultivation methods and
promote irrigation conditions all can be considered as effective substitute. However,
which measures are more practical needed to have further consultations and research.
Second, the ethnic minority residents can accept that the implementation of the
project has to remove housing and ancillary facilities and lead to the occupation of
cultivated land. They did not object to that during the survey. However, they pointed
out: how to ensure that the compensation of farmland is reasonable, if necessary,
make farmers in their proper place through land transfers? If the occupied arable land
belongs to those who rely on them to have long-term food supply and basic survival
rations, and the contracting household which can not access to income supplement
through the output of labor, the limitations of cash compensation and risks will
increase. Therefore, a better approach might be to allow those who have relatively
stable source of income and are willing to exchange their arable land with cash
compensation of farmers who need the arable land. The difficulty of this issue is that
the replacing arable land is different in the farming conditions, such as the production,
so it is hard to solve if the farmers care too much for that. Therefore, it is necessary to
fulfill the red line to find out possible problems and difficulties and have timely
consultation with village cadres and farmers, so as to avoid affecting the progress of
project due to such outstanding issues during the occasion of the construction.
Third, they generally can not afford the project financing principle, which is
“those who benefits from must share”. The measures that the project owners take are
reasonable and necessary from a long-term and overall interests .However, the
minority communities and farmers in the project area are hard to bear the cost burden
of the project, including dam, drains, irrigation canals, bridge, aqueduct, slope
changes and so on, because each of these small projects usually need millions of
RMB, and a majority of communities have no source of collective income, so many
farmers failed to this cost. Therefore, alternatives need to be considered, such as
convert labor force into investment, or through participation in the management of
post-maintenance to change manual labor inputs into financing and so on. In any case,
details of specific alternatives and the cost of labor standards should have serious
consultations with the local residents.
Fourth, minority residents also concerned about: how to make it possible and
sustainable to restructure breeding methods? After exclusion and animal husbandry
60 .
restriction, the barren hills and slopes where residents can graze freely before reduce,
but it is not realistic to completely give up farming. First, the power animal which suit
to the Top Mountain and slope land can not be completely abandoned; besides, many
residents also plan to raise cows to increase revenue. From the results of the breeding
restructure methods in the region of Erma village, the efficiency of new fence is not
bad, but the cost is as high as 5,000 Yuan or above, also need 10 square meters of
space, which is inappropriate to the crowded living Hui people community;
furthermore, fresh milk preservation and processing need certain technique, so it is
hard to expand. How to safeguard the high quality and inexpensive pasture is also a
problem, because grazing species and arable land resources are not easy to resolve.
Therefore, how to take measures to keep breeding and ensure the income of farmers
need the involved investigation and research by agriculture, animal husbandry and
other departments.
Fifth, the residents in Erma village also asked: when the wood formed by
biological engineering become useful, how to definite the ownership? Although this
problem was not generally asked, still it is actually a very important issue and worth
serious consideration and consultation of owners and communities in the project area.
Part of residents point out that the use right of woods planted on the barren hills and
slopes of the village within the small watershed during the construction of projects
should belong to the villages, which will also be responsible for caring of them; the
village community members should share the economic benefits from over cutting the
wood. According to the experience of the social assessment group on a number of
projects, we propose that project should clarify the responsibility of caring the trees in
the form of contracts and the economic benefits after the trees become useful can use
as collective economy of the corresponding village. However, in order to ensure the
ecological effectiveness of these woods does not reduce by over cutting; the owners
should commission the forestry departments of territorial government to strengthen
supervision and technical services.
Sixth, the residents also generally concern about: how this project link up with
the returning farmland to forests and grassland project that has implemented before?
The project is carried out after generally returning farmland to forest and grassland in
the project area, so, part of small watershed does not need additional exclusion area,
but still some small watershed need to implement and expand the exclusion area.
Then what compensation policy will be taken on the new exclusion area? The social
assessment group suggest that all levels of government of the project areas could
consider giving priority to new task of the returning farmland to forest into the project
area, trying to covering exclusion area (including the new area needed)of this project,
on one hand to ensure that residents in the project area to enjoy the same policy and
61 .
reduce working difficulty; on the other hand can also reduce the burden of
compensation of the project to ensure that limited funds can be used on key project
construction.
62 .
VII Poverty and Gender
VII-I Poverty Situation in the Project Area
VII-I-I Overview
The total population Qinghai Province was 5 165 000 by the end in 2001, among
which poverty population is 1 976 900, accounting for as high as 38.27 percent of the
entire province total population. By the end of 2005, according to the data which is
provided in “The 11th Five-year Plan Summary about Qinghai Province National
economy and Social development”, the total population of the province was 5 180
000, Stricken people reduced 770 000 in the farmland and pasture area, and the
proportion dropped by 23.3%.
According to data from investigation of the social assessment group, the poverty
population in project area is approximately 4 500, covering 8 percent of the various
ethnicities of residents in the community .The lowest incidence of poverty is around
3% and the highest incidence of poverty does not surpass 10 percent. (For details sees
the attached list: Community Baseline Investigation Statistical Table in the Project
area)
VII-I-II Causes of Poverty Analysis
Project areas belong to relatively economic development regions of Qinghai
Province, whose overall inhabitants poverty levels is nearly lower 14 percentage
points than that of the province. However, there are about 8-10 per cent of the
population living in poverty, of which 99 percent has been included in the target of
rural minimum life insurance and enjoy the minimal needs subsidies. The amount of
subsidies is from 150 Yuan per person to 500 Yuan per person every year and
implemented by the civil affairs department.
The causes of poverty of this part of the population are:
(1) Less arable land and food rations can not be self-sufficient; what’s more, they
have no surplus grain to develop family breeding and other business to increase
income, resulting in the vicious circle of little grain causes less money and less money
leads to less grain. Namely: less arable land - food shortage - breeding difficulty –
smaller input in the field - low-yield - food gap further expanded……the highest
proportion of this part of residents is Hui people who have less arable land per capita
.According to statistics from the survey data analysis, the average household
expenditure on food consumption of residents in the project area is up to around 40
63 .
percent of total revenue8, so even if they have some extra income, which will also be
used to solve food supply and can not increase production inputs.
(2) Labor shortage. Another important reason for poverty is the lack of family
labor. 35 percent of the household income of the residents is from the labor income of
the migrant workers, some families are even unable to operate their own land because
the families members are old or disabled .There are nearly 2 to3 families like this in
every village, and they belong to the most difficult crowd.
(3) Poverty caused by disease and education. The expenditure of medicine and
education which is a great burden on the families in the project areas accounts for
about 25% of their average expenditures. About 15 percent of poor families lead to
poverty by medical treatment and education. As the government is vigorously
promoting the new cooperative medical care, and putting the 6-year compulsory
education and 9-year compulsory education into effect, which will help relieve the
poverty situation caused by medical treatment and education in the near future.
VII-I-III The impact on the poor of the project
The positive effects of the project for the poor are roughly the same as the general
population (see section 5.4 and 6.4 of this report). Potential risks and countermeasures
are:
(1) The reduction of arable and available land will lead to the labor shortage; the
families which can not increase the family income through the labor movement will
suffer from the basic survival difficulties. If the project occupies the land of this part
of residents, we propose to replace land within the village to guarantee the stability of
their basic income, since cash compensation can not solve their fundamental problem.
At the same time, when the project provides livelihood transition support, it is better
to have well-off families help the poor, strong families help the weak ones, friends
and relatives help each other or other combinations through voluntary or
consultations, to provide support for the production development of these families to
ensure the support of the project can bear fruit. According to various investigation and
observation in the project area, we found that residents in the local communities and
relations between ethnic groups are relatively harmonious, so the helping and
supporting in relatives, friends, neighbors and other primary groups can be organized.
In addition, the village communities participate in part of the project management
(such as management and protection of the new forest, and inspections of limited
pastoral areas, etc.), whose staffing requirements may also consider arising from these
8 Information, in 2003and 2004, the Engel’s coefficient of urban and rural areas in Xining city is 0.40 and-++ 0.35.
64 .
families and reward them from the compensation of the collective barren hills and
slopes from returning farmland to forest in order to increase the income of these
families.
(2) The effect of the poor caused by disease and education is mainly from
migrant workers job opportunities and the uncertainty of new livelihood support
projects. To strengthen the labor skills training and enhance the competitiveness of
their operating capacity are reliable approaches to reduce the risk.
VII-II Women
VII-II-I Women’s Quality and the Traditional Labor Division
According to the family members’ baseline data from field investigations, the
women in the project areas, especially the women employees are generally in low
level of education, illiteracy or semi -illiteracy and primary level education covers
more than 80 percent of the women. They often work on the traditional crafts and
rarely have the opportunity to receive new knowledge, learn new technology.
The traditional role of women of all ethnic groups in the project area is to
maintain almost all the housework and care for the elderly and children. They help in
the field in busy seasons and do embroidery in the farm slack seasons; they hardly
participate in the affairs outside the family, only men take part in the village affairs
and the assembly, and there is almost non-participation of women. With the rise of the
labor economy in more than 10 years, men labors and unmarried women go out to
work the whole year or in farm slack seasons to earn money. The majority of women
at home have more responsibility for caring for children and elderly, meanwhile, their
Labor burden are gradually increased. That women plant and care for family while
men go out to earn money becomes a gender labor division model of average family.
VII-II-II The Association Between Project and Women
The labor division model of “the Domestic Wife and Social Husband” makes the
community participation of this project will be mainly to the participation of women.
In order to increase women's participation and make it effective, meanwhile to
improve women's economic and social status through project, the social assessment
group recommends:
(1) To enhance the mobilization of the project and create opportunities to
strengthen women's participation and improve their awareness to participate in the
project. Publicity mobilization of the project must ensure that women at home arrive
65 .
at the scene, if necessary, can convene special meetings for women (This is
particularly needed in the Muslim communities), so as to make them understand the
project purpose, significance, content, participation mode and demands, also increase
their consciousness in the participation.
(2) To involve women in the community-based project management
organizations and ensure their organization and decision-making participation.
(3) To strengthen women’s skill training. Aiming at the weaknesses that women
have less access to education, poor self-learning ability and slow to understand, the
project can organize knowledge and skills training for them or set up special teams to
give more attentive and meticulous guidance and training to women.
(4) To enable women establish the confidence to participate in the project, apart
from concentrating on skills training, the project can organize study tours or provide
internship opportunities to broaden their outlook and arouse their enthusiasm.
(5) In design of women’s participation project, in addition to absorbing the
participation of women in decision-making and organizational management, the
participation of women’s federations and other departments which are familiar to the
situation of rural women is also very important. In the organization of training, we
propose to increase the female experts and technical personnel to facilitate local
women learn from them. This is particularly important in the training of Muslim
women.
66 .
VIII Institutional capacity building
VIII-I Institution Status
Currently the main executing agency of the project is “Xining, flood control and
watershed management project office world bank project” the plan establishment of
personnel is around 140 people. Internal labor division and its organizational structure
decomposition as is shown in the attached drawing:
Project leading group consist of a vice mayor, a director general of the Water
Supplies Department and two deputy directors separately from Municipal
Development and Reform Commission and the Water Supplies Department. The
Leading Group mainly plays a key role in decision-making and macroeconomic
coordination. Project Management Office is the specific institutions of
implementation, whose members are mainly from Xining City water supply system.
According to the requirements of World Bank, with the project forward, the Office
should be separated from the Water Supplies Department and become a specialized
agency of independent legal status, and should be given personnel , financial and
property right in accordance with their function.
VIII-II Institute Improvement
From the view of field survey, we found two major problems existing in the
Project Office: First, relatively a single source of personnel who are basically from the
water supply system, so the knowledge of team is rather narrow and is not sensitive
enough on the areas covered by the project, particularly those involving ethnicities,
society, gender, religion, agriculture, animal husbandry and factors of the livelihood
transition. The other is that the project does not get enough support and cooperation
from the people's government of cities and counties or relevant departments, which
will affect the project to co-ordinate all Kind of resources and the implement ability of
complementary measures related to the project.
The social assessment group can understand that the main reasons of the current
status is that the project is still at a trial stage and the tasks are not specific, nor have a
clear responsibility, therefore, the main energy of all departments and the leadership is
on the work of the established plan. However, initial preparations of this project will
have great impact on the smooth progress of the work for a formal project later. In
particular, the design and content of project are most crucial and will directly
influence the effectiveness of the project. Therefore, solving the problem of
67 .
inadequate participation has become the work that government at all levels should
focus on strengthening in current project areas
The Social Assessment Group recommends:
(1) Major leaders or leaders who are in charge of the project at all levels
governments in project areas should pay more attention to this project, not only play a
coordinating role in the horizontal level People’s Government, but also co-ordinate in
the lower or higher levels of government and departments to match make the
cooperation between the project office and other department also remove obstacles to
create advantageous conditions for co-ordinate the use of various resources in the
project area.
(2) Clarify that ethnic, religious, women’s federations, poverty relief, civil affairs,
education, health, agriculture, forestry, animal husbandry, environmental protection,
transportation and other departments are all business support units for the project . It
will be better to take experienced senior leadership in these departments as advisory
experts and involve them in the project design and evaluation of the program to
improve the reliability and feasibility of the project, meanwhile, to achieve more
understanding and support in co-coordinating the use of related resources.
VIII-III Capacity Building
VIII-III-I Enhance Learning
This project is the first World Bank project declared in Xining City even Qinghai
Province, therefore, there is a lack of personnel who are familiar with the World
Bank’s policies and procedures related to the project. The Projects is related to flood
control and flood management, watershed management, waste water collection,
institutional capacity building, project management, and so on. Although they are not
totally new business to the relevant departments, however, they are quite different
from the project and related businesses led by the Government or function department
in the past. This requires that the project office should study as soon as possible and
familiar with the rules and regulations of World Bank and understand their concept
and procedure in order to form suitable institutions, team, and ability, work plan in
accordance with it.
Learning content should include: the World Bank’s policies; the concept of the
World Bank project; financial management; the location of project implementing
agencies; requirements and quality of the project participation; objectives and
methods of project management , policy development and improvement related to
supporting the project; Multi-department and multi-level coordination and
68 .
cooperation; advocacy and mobilization of the project; organizing farmers training
and practicing sensitivity on ethnic, religious, social factors ,gender, and so on.
The contents of the study above can be solved by two basic ways: One is the
recruitment of senior experts with relevant experience into the project in a targeted
manner from both within and outside of the province to solid team and strengthen the
operational capacities of relevant departments, especially the function and role of
agriculture, forestry, animal husbandry, and other experts can not be ignored .the
other is to help raise the awareness of projects office staff and help them to enter the
role through the guidance of World Bank experts and supports of the cooperation
experts.
According to the field research of the social assessment group, the consciousness,
initiative and enthusiasm of current personnel in Xining Project Office are to be
applauded. However, due to the staffing is still not in place, the existing burden of the
work is too heavy and work-and temporary-bit are more frequently, which is not
conducive to learning and improving professional level. At the same time, the basic
staff of the project must remain relatively stable, which can help maintain the
continuity and efficiency of work.
VIII-III-II Experience
Gansu Province, which is adjacent to Qinghai Province, has as long as more than
10 years project cooperation experience with the World Bank is in the western
provinces. World Bank loan projects that Gansu Province has implemented involve
water and soil conservation, water, electricity, agriculture, animal husbandry, health
and farmers training with wide field, multi scope and level. They also have
accumulated experience and trained a good many local experts in the project
implementation. What’s more, there are many similarities between Gansu province's
natural environment, ethnic, religious, humanities and social situation and those of
Qinghai Province. Departments and government at all levels of the two provinces are
holding the horizontal cooperation and remain harmonious relations. Besides, Gansu
Province is next to Xining City, so it is very accessible. All these decide that Qinghai,
with a lack of project implementation experience will mainly learn from Gansu
Province. At present, Xining Project Office has hired Design Institute of Gansu
Province to have project feasibility study, and invite experts of watershed
management in the responsible for the typical small watershed management pilot
projects, meanwhile, have staff training related to the projects.
The Social Assessment Group noted that the feasibility of the flood control project
on early warning systems can not be completed by the existing team of experts with
69 .
established qualification in Gansu Province by the review of the World Bank experts,
In response, the World Bank experts help the project office in Xining City get in
touch with relative institution in Bengbu City of Anhui Province. Officials in the
Xining Project Office have gone to approach in mid-January 2008.
The social assessment group also noted that the World Bank is very concerned
about and support this project, experts specified by the World Bank have both strict
and detailed guidance to all the project-related aspects, which can not only help the
project run smoothly in Xining in all aspects of the work, But also conducive to
enhancing the confidence to do the project, and strengthening the relations of trust
between the two sides.
70 .
IX Public Participation
IX-I Information Publicity
Since the project establishment, all levels of government and departments in the
project areas have learned the basic situation of the project through meetings,
documents, and other means. As the project still in the stage of establishment and
project approval, therefore, it has not been public widely through television, radio,
newspapers and other public Medias.
However, in various small watershed areas of the project, the publicity and
mobilization work have already been carried out by municipal and county project
office and the local government departments since October, 2007. The objective of
the municipal and county project Office is to have the baseline survey of all
communities of the entire watershed and develop publicity and mobilization work
before March 2008.
The survey of typical small watershed participative management presided by the
cooperation experts covers south city and three small watershed of three counties and
six communities; immigrant groups developed parts of investigation in the urban
Xining; the communities and farmers’ baseline survey chaired by the social
assessment experts covers 7 small watersheds and 15 different types of communities,
including ethnic communities and religious temples, not only made investigation on
the project demand and publicity of local residents , but also learned that the
municipal and county project office have done in-depth pre-publicity publicity and
mobilization work; besides, the village level community held the villager assembly
,therefore, the residents informed level is the relatively high.
Information Publicity is a premise for public participation, with the date of the
formal assessment of the project is approaching, we hope that the project office and
governments at all levels in project areas to strengthen information Publicity and
widen the channels of public information, meanwhile, to establish an effective
information communication platform and maximally to ensure the public's right to
know.
IX-II Project Demand and Attitude
Based on open participative field surveys conducted in the community, we found
the residents in the project area put forward the following demands:
Statistical table of Residents’ demands in Project area
71 .
Residents’ Project participative demands� Concentration degree�
To improve road infrastructure, harden and widen the road to make the
residents enjoy convenient traffic condition.
100%
To improve school facilities, increase teacher staff, improve the
teaching quality and solve the problem of education.
77.8%%
To constructs the canal and solves the human and animals’ potable
water problem
66.7%
To develop technical training, construct greenhouse facilities and
bring into livestock-breeding to develop breeding industry.
66.7%
The government should strengthen the employment information
service and skill training to solve the rural labor force’s hard
hiring problem
55.6%
To built formal health care, and equip the doctors with high
technique and the necessary medical equipment.
55.6%
To manage dirty and chaotic drainage, and solve the problem of its
infiltration.
44.4%
To repair communications towers and improve communication
facilities.
33.3%
To engage in greenhouse cultivation of vegetables and develop a
variety of economic crop cultivation.
33.3%
To re -forest on barren hills, reduce soil erosion and improve the
ecological environment.
33.3%
To improve housing conditions, solve the housing difficulties. 33.3%
To Implement the new rural reconstruction project. 33.3%
To manage the littering issue 22.2%
To strengthen “five guarantees” and establish pension institutions. 11.1%
To construct cultural centers and enrich cultural life of the villagers. 11.1%
Sources: According to the collect of participative assessment investigation and
base line survey that the social assessment group did in Erma, Qingquan,
Qiaoergou, Guanghua,Nalong, Huodong, Huoxi and Shangye village and so on.
Data reflected on the table that the residents in the project area have high
expectations on solving the infrastructure issue, followed by the hope that the project
could increase training opportunities to help them improve production skills.
Information on these requirements explains that residents in the project area focus on
how to improve the community, family and personal development capabilities.
Residents concern little about the religious and cultural issues and the demand for
regional and ethnic differences is not evident.
72 .
The social assessment group mainly concern about the rural communities in the
project area, rural residents of all ethnic groups in the project area fully affirmed the
efficiency of the project on flood prevention, disaster reduction, soil erosion reduction
and ecological environment improvement. They thought this is a win-win project both
for the country and themselves. At the same time, they also actively expressed their
wish to participation the project construction and benefit from the project by their
participation. Religious figures of Tibetan Buddhism temples, mosques did not worry
about the negative impact of the project and welcome the project to develop in the
local.
IX-III Participation Scheme and Mechanisms
IX-III-I Participation Scheme
(1) Participation approaches
Organization means: the residents of all ethnic groups should participate in the
project mainly basing on the existing villager groups or natural village .Since apart
from the land requisition and immigration which are related to individual residents,
projects and biological measures are implemented on the barren hills and slopes or in
the village’s public channel. So no matter pre-launch organization, informed
consultation, or maintenance and management of the latter period, are all suitable to
carry out with village as the basic unit.
Measures: In order to avoid the project participation of residents only having the
forms, or even just the implementation of directives, the General Assembly of
residents or residents of representatives must be held in the project preparation stage
to have fully informed consultation so that the content of the project arrangements,
design and implementation of the program will absorb the views and wisdom of the
residents, and get their understanding and recognition.
(2) Participation type
The level of resident participation may be considered as three forms:
infrastructure and ecological projects are mainly participated in the form of the village
collective ;skills training, livelihood transition and poverty alleviation are mainly in
the form of individual and family participation ;at the same time, in order to reduce
the loan risks of the livelihood restructuring project and increase the driven effect by
loan project, which may encourage the farmer’s families to combine cooperation
group freely while the collective proposes the project plan .
Resident’s participation should be voluntary and autonomous, government
departments at all levels and the project office can not impose organization mode,
73 .
participation way, the type and amount of fund, etc on the people of all ethnicities.
However, the government departments and project office do need to provide relevant
information services, safeguard the people’s right to know, and make the request of
participation as simple as possible.
Since the vast majority of villages in the project area belonging to multi-ethnic
mixed community, in order to provide a good social infrastructure to implement the
project, the government should encourage the participation of all ethnic groups and
compose inter-ethnic working Group on the project so that the implementation of the
project can strengthen while not undermine the relations among various ethnicities.
(3) Participation in Decision-making Process
The construction period of the project is rather long and the later operation will
be longer. During this period will possibly present some situation that is not estimated
in advance and need to amend the original plans and program. Therefore, the entire
process of the project construction and operation need to maintain openness of policy
and transparency of information to ensure that residents of the communities involve in
the decision-making on any change of their own interests and have the right to know
and full right to participate.
IX-III-II Safeguard Mechanism of participation
(1) Women’s federations, Civil affair, Poverty alleviation, Agriculture, Forestry,
Animal husbandry and other departments in cities, counties, townships and towns
should be involved in the project institutions, and give the relevant policy advice
during the entire process of implementation of the project, meanwhile, they should
provide ethnic community project experience ,knowledge and technical guidance.
(2) To elect one from each corresponding ethnicities’ county or township cadres
who are from project area and familiar to situation there, besides, they also have
experience to join in the project management. If there is related ethnic cadre in the
related department and they have rich experience, then these personnel should better
represent this department into the project management team, to provide advice,
communication services and play a supervisory role.
(3) To set up a Service Association in the township for farmer’s production and
operation, its members should include the township agricultural, animal husbandry
and veterinary, forestry, science and technology department cadres and experienced
representatives in every village. They will become an important bridge in the
communication of village farmers, counties, township technical support Agencies, and
county and township project offices. They will be directly involved in the planning
74 .
design, implementation, evaluation and other activities to ensure that farmers in the
township-level participation in the implementation.
(4) To elect villager representatives in every village to form project management
teams, and organize residents to participate in specific activities; members in the
management team should be considered factors like gender, ethnic, religion and so on
in order to avoid significant omission when considering the needs and wishes of
members in the community.
(5) In multi-ethnic mixed villages, if the project can not cover all, at least to
ensure that all ethnic groups in accordance with the same proportion, and based on the
principle of voluntary participation in project. The scattered ethnic minorities should
be directly included in the scope of participation under the premise of their own
willingness
(6) Cities and Counties should implement the project in accordance with its
content, implementation steps and the needs of the project content to maintain regular
contact and close communication and consultation with the villagers in the project
area, the scene should be in the village to facilitate participation by the masses.
(7) Through the relevant training to absorb the local residents as far as possible to
participate in the project implementation process.
(8) Finally, as the basic participation guarantee, the project should provide the
necessary fund support in activities like promotion, mobilization and participation.
In order to make arrangement of the consultation and participation above more
concisely, more illustration provided in the table below.
75 .
7KH�LPSOHPHQWDWLRQ�VWHS�WDEOH�RI�RUJDQL]LQJ�FRPPXQLW\�DQG�UHVLGHQWV�SDUWLFLSDWLQJ�LQ�WKH�SURMHFW�Stage Main tasks Specific content Target Organizer Fund resource Time
The first stage
Project design, Demonstration, propaganda and mobilization
• Organizing experts to have baseline research and participatory watershed plan, to understand needs and aspirations of residents, and know local knowledge.
• To provide guidance and promotional materials to the residents in project area, through meetings, radio, notices and other forms of project publicity plan
Safeguard the right to know of each kind of resident in community, and their participation independency and enthusiasm; forms feasible project plan
Project offices of city and county Project Office May, 2007 to
March, 2008
The second stage
Collect the feedback, and further improve the project design
• To identify the specific participation way of every project community
• To establish the necessary institutions or organizations and clarify the organizational functions
• Identify family participating plan • Organizing corresponding training • Clarify relevant sources of funding
Ensure that the program is specific and feasible; Ensure the full participation of community residents; Guarantee funds
The city and county project office; towns government and the two village committees
Project Office April to December,2008
The third stage
The specific implementation of project
• Continue to conduct training • Implementation of the participation plan • Complete part of the project tasks
Make the residents have appropriate skills; production and lifestyle adjustment to the project
The city and county project office; towns government and the two village committees
Project Office January to December, 2009
The fourth stage
Continue to implement projects, mid-term assessment, and fine-tune the plan in accordance with the problems which may arise to
• Communities and farmers have assessment on project construction and participation benefit and make recommendations for improvement
• Project Office and the independent expert assessment and make recommendations for improvement
• Continue to receive relevant training • Continue the implementation of the project plan
Maintain the dynamic optimization of project plan; To promote community and residents adjust to the new production and lifestyle; to create sustainable development ability; To resolve project risks
The city and county project office; World
Bank Community Resident Representatives or the two village committees
Project Office January to March, 2010
The fifth stage
Continue to implement the project plan and have assessment on the project results ;acceptance
• Community and the residents have independent assessment on the project benefits
• Organize experts to have project assessment and approval to the project
Ensure that the project tasks completed on schedule; Ensure the win-win project and get general agreement of community and residents.
The project
Office World Bank Resident Representatives or the two village committees
Project Office March 2010 to the completion of projects
76 .
The sixth stage
Operation and maintenance of the latter part of the project
• Maintenance of infrastructure • Maintenance of the outcome of the ecological
construction • Continuing to improve livelihoods • Improvement of the related system
To ensure the sustainability of project results, and continued to benefit communities and residents
The project
Office World Bank resident representatives or the two village committees
Project Office Is expected after 2013
77 .
X Monitoring and Assessment of Social Economic Effect
X-I The Target, Subject and Task of Monitoring and Assessment
Monitoring and Assessment of the project is an important part to ensure the
economic and social effects of this project, also an important correcting and
participation mechanism. To the grass-roots community residents, Monitoring and
Assessment is an important arrangement to assure and reflect their participation. In
order to ensure the extension and objectivity of Monitoring and Assessment, the plan
propose: to establish independent, but mutual communication assessment and
monitoring teams by four representatives of the Government, World Bank, Project
Office and Residents , the focus of the monitoring and Assessment of each team is:
Government supervisor assessment team: Mainly concern about the
implementation capacity and efficiency of the Project Office and whether the
environmental, ecological, social benefits, SA, MEGDP plans are implemented,
whether farmers face problems or help them to solve problems that may arise, so as to
avoid accumulation of the problems. Their memberships include officials from
Departments of agriculture, forestry, animal husbandry, science and technology,
poverty alleviation, women’s federations and civil administration.
World Bank supervisor assessment team: mainly concentrate on the project
design, technology guidance, supporting policies, participation degree of relevant
departments involved in the project, project progress, the implementation effect of
EMDP, the residents participation and satisfaction degree, the implementation of rules
and regulations, the reasonable fund usage and the work carried out by the other three
Monitoring and Assessment teams, and so on. World Bank assessment team consist of
independent experts of assessment, immigration, participatory watershed
management, finance, water conservation, agriculture, forestry, and other aspects who
are employed by the World Bank
The Project Office supervisor assessment team: to urge the relevant government
departments and community residents implements a responsibility system and to
assist and promote the supervision work of Government, Resident Representative,
World Bank assessment group and put forward concrete proposals to perfect MEGDP.
The vast majority of the content of EMDP is also appropriate for other communities.
Resident representative supervisor assessment team: mainly to have Monitoring
and Assessment on the implementation situation of MEGDP by village-level project
management team, the effect of the project implementation, and whether the project
can achieve objectives on schedule. They should be elected from the farmers who are
involved in the project, represent various ethnic groups, and have the courage to
78 .
speak; moreover, they are not overlap with the team members in the village
administration.
X-II The Basis, Principles and Main Contents of Monitoring and
Assessment
The main principles of Monitoring and Assessment of the project:
China’s national and local relevant laws, administrative regulations and technical
standards;
World Bank guidelines of the business;
The project’s relevant legal documents, including technical documents, project
reports, assessment reports and the loan agreement and so on;
The project implementation plans, statements and the related report.
The project Monitoring and Assessment should obey the following principles:
To select rural family and village samples prior to the implementation of the
project, investigate the socio-economic information of the survey base year, and
establish the basement database;
After the implementation of the project, conduct regular or irregular follow-up
survey, monitoring the samples of village and families in the project area after the
implementation of socio-economic conditions;
To have accurate data collection and data analysis and make scientific, objective
and impartial evaluation of economic social benefits before and after the
implementation of projects;
To report the Monitoring and Assessment situation timely to the project
management agencies and the World Bank, so they can grasp the social and economic
consequences of the project timely and have dynamic decision-making.
The project Monitoring and Assessment focus on the economic social benefits
and divide into two levels, communities and residents, the main contents are:
The reasonableness of the projects and the provision of related services;
Whether the community and residents access to these services and how to use
them;
The immediate impact by the services provided directly
The Monitoring and Assessment process should not only concern the process,
including the participation procedure of communities and residents, the effectiveness
of organizations etc, also should concern about the results, for example: whether the
ecological environment is improved, whether droughts and floods, erosion have a
significant mitigation; whether the infrastructure such as transportation, irrigation and
so on has been markedly improved; whether the crops are appropriate to animals,,
79 .
whether residents’ employment opportunities have increased and the labor shift is
smooth, whether the income of farmers increased and whether it is convenient for
residents to see doctors, and so on..
X-III Basement Investigation
During the process of investigation, the assessment group chose 15 communities
to have investigation, in 10 of which, around 130 residents of all ethnic groups carried
out questionnaire investigation according to the level of economic development,
ethnic composition of residents, livelihood type, the region and other factors.
Meanwhile, the social assessment group also instructed the project office of three
counties to assist investigation on all the watersheds of the project areas based on the
investigative tools provided by the social assessment group. Villages in the project
area have a routine annual report of households’ basic conditions of rural residents to
the township; therefore, the basement of communities and farmers in the project area
is relatively clear. See Schedule 3 and 4.
X-IV Monitoring and Assessment Index
X-IV-I Community Monitoring and Assessment Index
Community monitoring and Assessment includes infrastructure, ecological
environment, economic development, participation and recognition, and other aspects.
The social assessment group proposes to use the following specific indexes:
(1) Infrastructure
The level of village road and the accessible situation in the Four Seasons
Irrigation facilities and utility
“Four-joint” (water, electricity, TV and telephone) condition and the ratio
Clinic settings and medical services capacity
School building status and the enrollment� graduation and promotion rate of school-aged children , etc.
(2) Ecological environment
The effective exclusion area and the restoration of vegetation
Whether forest products increase or not
Whether the channel runoff can use or not
The times of flash floods; arable land and housing destruction, personnel loss,
etc.
(3) Economic development
80 .
Whether form the new industries
The change of labor migration scale
The changes of residents’ per capita income and expenditure
Changes of poor families and poverty population
Changes of residents’ housing type and area
The increase amount of agricultural machinery and consumer durable goods, etc.
(4) Participation and self-identity
Community participation
Residents’ population of participation and benefit
Project engineering maintenance
Destruction or stolen of project infrastructure, secret herding, etc.
X-IV-II Farmers Monitoring and Assessment Index
Farmers monitoring and assessment can be considered from two aspects,
participation and benefit. Specific indexes for the following recommendations:
(1) Participation
Participation in the project construction
Participation in planting ecological forest etc
Provide local knowledge
The times of training acceptation and training content
Access to funding support
Participation in project design, facility maintenance etc.
(2) Benefit situation
Changes in household income sources
Per capita net income (Yuan)
Production and living expenses (Yuan)
Type of housing and the per capita housing area (square meters)
Household appliances and other consumer durable goods (pieces)
Farm vehicles
Whether the wounded and sick can get prompt treatment
Direct income from project participation, etc
X-V Monitoring and Assessment Cycle and Information Publicity
Monitoring and assessment, including two basic forms, annual assessment and
periodic assessment .Four monitoring and assessment groups can carry out their work
separately or together with other groups. It will be better to have a joint consultation
of monitoring and assessment every year. The fundamental purpose of monitoring and
81 .
assessment is not to make troubles, but to find reasons or countermeasures of the
problems and solve or reduce them. Therefore, monitoring and assessment is a
constructive mechanism. Consultation of monitoring and assessment of projects is
organized and coordinated by the project office, so the running fees should be
incorporated into the project budget.
The work of monitoring and assessment by governments, project offices, World
Bank’s should form into report and submit to the project office, governments in the
project area, World Bank and communities. What is more, the report should be public
in the World Bank and government website, community and village affair column and
so on to accept the supervision from all sides, in particular to ensure that residents in
the project area are informed. Supervisor on behalf of the residents group’s views
must get the agreement of the community residents and then submit to the project
office, government and World Bank by the text form after the censor of
representatives from community residents .Given residents in the project area do not
use ethnic minority language, the assessment report domestic text only provide the
Chinese version.
82 .
XI�Conclusion and Suggestion
XI-II Project Necessities and Social Suitability
Qinghai has a higher proportion of China’s ethnic minority population and is one
of the less economic developed provinces. Xining City in Qinghai Province is the
centre of its politic� economic ,cultural exchanges and traffic. The total economic
output covers about two-fifths economy gross of the province, which plays an
important role of radiation to the province’s economic and social development. As the
special geographical structure, Xining City lies in the intersection of Huangshui
Valley belt, Huangshui main stream and the major tributaries Nanchuan River,
Beichuan River ,coupled with the rainy season here is mass and more heavy rain
storms, which is easy to cause flood and bring catastrophic damage to Xining, even
the province’s weak economy. At the same time, traditional farming communities are
mainly distributed in both sides of the Huangshui River channel and develop
irrigation agriculture by surface water, so mountain torrents and other natural disasters
also pose a serious threat to the rural life and property safety of residents. The project
aims to strengthen the flood control; watershed management and flood warning
capacity in the project area, at the same time enhance the functions of living and
industrial sewage treatment capacity, which is entirely appropriate for the economic
and social development of the project area.
Before the implementation of this project, river management, drainage channels,
landscaping and small watershed returning farmland and other related and ecological
projects have been implemented in the urban district of city and counties in the project
areas, whose ecological, economic and social effect have initially manifested and the
residents welcomed the project. Owing to the above-mentioned project experience,
residents in the project areas have relevant experience of participation and reasonable
expectations to the project; furthermore, they also have psychological preparation for
the negative impact of the project. According to field surveys of social assessment
group, small watershed management participation, immigration and other independent
third-party investigation group, we can confirm: the urban and rural residents of all
ethnic groups welcome this project; meanwhile, they have understanding and support
on the project engineering and non-engineering measures. The benefit of the previous
projects is significant, and the potential negative impact on the project can be
controlled and prevented. Other sensitive points like ethnic, religion, cultural and
substance can be ruled out, therefore, the implementation of projects has the
availability of social conditions and there is no unforeseen social risk.
83 .
XI-II Project Participation Design
In the existing project content design, the content about the communities and
farmers participation is not specific enough, the diversity needs of farmers
participation is not fully reflected, therefore, we propose the project office to promote
survey activities of small watershed participation management as soon as possible and
have more in-depth and meticulous informed consultation with the community
residents, trying to form a more specific and targeted participation plan. Informed
consultations are essential and necessary in the entire process of the project .It is also
a premise to improve and fulfill the project design. At the same time, aiming at the
policy of “those who benefit should share the financing investment ”, the project
office and the leading group have formed the thought that converting labor force
investment into financing investment, which is in line with the aspirations of the
community residents, hoping it can be confirmed as soon as possible in the form of
official documents, This is not only a compensating people policy to alleviate the
burden on communities and farmers, but also an important policy which can stimulate
the initiative, awareness of the community residents to participate in project and
enhance social recognition of the project.
XI-III Gender, Poverty and Development
The labor division model of “the Domestic Wife and Social Husband” and the
fact that the female’s average education is generally lower than the males’ lead to the
regardless ness of the female participation demands. However, the present male
capable labor forces go out to work massively, the general families more and more
depend on the income from work, so women not only dominate the family life, also
gradually become the main force in the community public affairs. Therefore, the
community and residents participation condition of the project will directly affected
by the women’s participative capacity and degree. Hope that in the publicity and
mobilization of the project, informed consultation, and organizing participation in the
project area, we must pay special attention to the protection of women's rights, and
develop informed consultation activities and skills training aiming at the
characteristics of women. If this project can effectively promote the participation of
women, their position in families and communities will be improved, so their ability
and confidence will be significantly enhanced.
Because of a lack of labor force and basic means of production, plus the poor
laboring skill and fund insufficient, the poverty groups are easy to be marginalized in
the project participation. Therefore, we propose in the session of informed
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consultation between communities and farmers, the way to help poverty-stricken
family should be specifically discussed, forming that party member households or
well off ones combine with the poverty-stricken households in helping and supporting
mechanisms and absorb the poor households into the project activities. At the same
time, although the project area in Qinghai Province is relatively developed regions,
however, Qinghai Province’s overall economic and social development level is
relatively low, the lack of infrastructure is the universality obstacle when the
community residents seeking for development. Therefore, this project should fight for
the strong support of the relevant departments and all levels of government co-
ordinate resources. The residents should also take the project construction as an
opportunity to promote infrastructure construction of the community and create
conditions for the development of residents and community, meanwhile, lay the
foundation for the community oriented action to help the poor.
XI-IV �Ethnic Minorities
Minority residents in the project area are mainly Hui and Tibetan, except that
Hui people relatively form more mono-ethnic communities, many Tibetans live
together with Han and Hui people, which is a long term pattern. The ethnic relation
among ethnicities is relatively harmonious. Against the relative group living
ethnicities, the assessment group propose a “Ethnic Minority Development Plan”, the
plan is necessary to enhance the development of ethnic minority groups and raise
positive political and social impact of the project, which is hoped to follow in the
entire project Process. Meanwhile, the social assessment group propose that the
minority and Han mixed living community where the degree of livelihood and
development is not significantly different should be based on the reality and stressed
the community's overall interests and common development, otherwise it will trigger
new contradictions and conflicts. (Please refer to the detailed contents of the EMDP)
XI-V �Immigration and Land Policy Framework
There are some immigrants in urban areas and Huang Yuan County where there
is land expropriation and demolition, no immigrants in Datong and Huangzhong
County. People to be affected by land acquisition and resettlement are the Hans in the
project context, and no ethnic minority groups involved. In this regard, project
safeguard document RAP will guide resettlement implementation and the Process
Framework direct hill closure in watershed rehabilitation (cf. RAP and PF). The
situation of household’s contract in the village immigrants is needed to have special
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consideration. If the farmers are willing to sign the land, or mainly rely on the land,
the assessment group proposes to replace the land through consultation in the
community. Meanwhile, to consider the combination between the resettlement of
immigrants and urbanization, of which the important condition is the sustainability of
immigrant’s livelihood and the opportunity for entering the urban life. Anyway, the
key is to have fully informed consultations on the resettlement plan with the residents
and respect their wishes as far as possible.
In addition, afforestration on the public barren hills and slopes to maintain water
and soil and restore the ecology needs to solve the new forest property right
ownership and the benefit distribution policy, which is suggested to be an important
point and should form a clear policy during the informed consultations between the
Project Office and the residents.
XI-VI Cultural Relics
There are two points need to clarify in the ethnic, religious and cultural
sensitivities of this project:
First, Tar Temple, which is located in Lu Shaer Town of Huangzhong County, is
a famous temple of Tibetan Buddhism, the national conservative heritage unit. The
assessment group specifically went to visit the Tar Temple and senior monks,
illustrating the projects and seeking for their advice. They clearly expressed that they
had understanding on the project and the project construction will positively improve
the surrounding environment of Tar Temple while do not have negative impact.
Datong Guanghui Temple, which is another important Tibetan Buddhist Temple, lies
in Dongxia town. After field investigation and asking the local residents for advice by
the assessment group, we found that there is a long distance between the project
construction areas to the sacred space under the safety control. No sensitivity issue
exists.
Secondly, the project within the Muslim community did not have demolition
activities, so will not affect mosques and Muslim religious activities of residents.
XI-VII Institutional Capacity-building and Public Participation
There are four points that needed to pay attention to during Institutional capacity-
building and public participation:
(1) Public Participation of the current projects has not been carried out and
related work need to be developed as soon as possible. The purpose of publicity is not
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simply to ensure that the various interest groups’ right to know also is to ensure the
public's right to participate.
(2) The project Office of city and county levels need to recruit professionals
from society so that the knowledge structure , team ability structure can adjust to the
comprehensive characteristic of the project.
(3) The project office should fight for the support and participation of the
leaderships and relevant functional departments at all levels to enhance working
efficiency and effectiveness.
(4) Community Participation should base on the project content and actual need
to establish the appropriate organizations and promote residents participation and
enhance the participation sustainability in the form of organization.
——The End——
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