Green Agricultural and Rural Revitalization Program for Results Environmental and Social Systems Assessment (Draft) World Bank January 2022 OfficialUse Official Use Contents 1. OVERVIEW ................................................................................................................................................ 1 1.1 Objective and Tasks ......................................................................................................................... 1 1.2 Methodologies ................................................................................................................................. 1 1.3 Program Description ........................................................................................................................ 2 2. E&S IMPACTS ASSESSMENT ................................................................................................................. 6 2.1 E&S Exclusion ................................................................................................................................ 6 2.2 PforR Activities and Associated Facilities ....................................................................................... 6 2.3 E&S Assessment and Risk Rating .................................................................................................. 8 3. ENVIRONMENTAL MANAGEMENT SYSTEM ASSESSMENT ............................................................. 13 3.1 General Principles ........................................................................................................................ 13 3.2 Environmental Management Systems .......................................................................................... 14 3.2.1 EIA System .................................................................................................................. 14 3.2.2 Pollution Control System.............................................................................................. 19 3.2.3 Natural Habitat Protection System ............................................................................... 32 3.2.4 Health and Safety Management System ..................................................................... 34 3.3 Consistency with the Bank Principles ........................................................................................... 35 4. SOCIAL MANAGEMENT SYSTEM ASSESSMENT ............................................................................... 39 4.1 Correlation Analysis with the Bank's Principles ............................................................................ 39 4.2 Assessment of Social Regulations and Policies ........................................................................... 43 4.2.1 Core Principle #1: Program E&S Management Systems Designed for Promoting E&S Sustainability ................................................................................................................................ 44 4.2.2 Core Principle #2: Program E&S System for Adverse Impacts to Physical Cultural Resources Avoided, Minimized, or Mitigated ............................................................................... 46 4.2.3 Core Principle #3: Program E&S System for Public and Workers’s Safety Protected 47 4.2.4 Core Principle #4: Program E&S System of Involuntary Resettlement Established ... 48 4.2.5 Core Principle #5: Program E&S System on Management of Ethnic Minorites and Vulnerable Groups ....................................................................................................................... 51 4.2.6 Core Principle #6: Program E&S system on avoid exacerbating social conflicts ........ 54 4.3 Assessment of Social Management Mechanism and Capacity ................................................... 54 4.3.1 Social risk assessment management agencies ........................................................... 54 4.3.2 Cultural relic protection agencies ................................................................................. 55 4.3.3 Land acquisition and house demolition Agencies ........................................................ 55 4.3.4 Public and worker health and safety, and emergency engagement agencies ............ 59 4.3.5 Ethnic minority management agencies ........................................................................ 61 4.3.6 Vulnerable group protection agencies ......................................................................... 61 4.4 Assessment of Social Practice Effects ......................................................................................... 63 4.4.1 Core Principle #1: Program E&S Management Systems Designed for Promoting E&S Sustainability ................................................................................................................................ 63 4.4.2 Core Principle #2: Program E&S System for Adverse Impacts to Physical Cultural Resources Avoided, Minimized, or Mitigated ............................................................................... 67 4.4.3 Core Principle #3: Program E&S System for Public and Workers’ Safety Protected .. 68 4.4.4 Core Principle #4: Program E&S System of Involuntary Resettlement Established ... 70 4.4.5 Core Principle #5: Program E&S System on Management of Ethnic Minorities and Vulnerable Groups ....................................................................................................................... 72 5. PUBLIC PARTICIPATION AND GRIEVANCE REDRESS MECHANISMS (GRMS) ............................. 76 5.1 Public Participation ....................................................................................................................... 76 5.1.1 Initial Participation Activities ......................................................................................... 76 5.1.2 Public Consultation on the ESSA ................................................................................ 76 5.2 GRMs ............................................................................................................................................ 77 6. CONCLUSIONS, RECOMMENDATIONS AND ACTION PLANS ......................................................... 78 ii OfficialUse Official Use 6.1 Conclusions .................................................................................................................................. 78 6.2 Recommendations ........................................................................................................................ 78 6.3 Action Plan .................................................................................................................................... 79 7. MANAGEMENT AND MONITORING ..................................................................................................... 80 7.1 The Borrower ................................................................................................................................ 80 7.2 The Bank....................................................................................................................................... 80 APPENDIX 1: GOVERNMENT PROGRAMS AND THE PFORR BOUNDARY ............................................ 81 APPENDIX 2: E&S RISKS/IMPACTS ASSESSMENT ................................................................................... 92 APPENDIX 3: COMPARISON WITH THE BANK POLICY ............................................................................ 99 APPENDIX 4: STAKEHOLDER ANALYSIS ................................................................................................. 120 APPENDIX 5: DATA COLLECTION ACTIVITIES......................................................................................... 124 APPENDIX 6: STAKEHOLDER ENGAGEMENT ......................................................................................... 125 APPENDIX 7: PUBLIC CONSULTATION ON THE ESSA ........................................................................... 129 APPENDIX 8: FIELD VISIT RECORDS ........................................................................................................ 136 Abbreviations ADB Asian Development Bank ARAB Agriculture and Rural Affairs Bureau ARAD Agriculture and Rural Affairs Department BOD5 Five-day Biochemical Oxygen Demand CAB Civil Affairs Bureau CGs County Governments CNRB County Natural Resources Bureau COD Chemical Oxygen Demand CPC Communist Party of China DLI Disbursement-linked Indicator DMS Detail Measurement Survey DPF Disabled Person’s Federation DRC Development and Reform Commission EEB Ecology and Environment Bureau EIA Environmental Impact Assessment EMS Environmental Management System ERAB Ethnic and Religious Affairs Bureau ESIA Environment and Social Impact Assessment ESSA Environmental and Social Systems Assessment FALU Facility Agriculture Land Use FGD Focus Group Discussion GRM Grievance Redress Mechanism HURDB Housing and Urban-Rural Development Bureau IA Implementing Agency IPF Investment Project Financing GRM Grievance Redress Mechanism JBIC Japan Bank for International Cooperation LA(R) Land Acquisition and Resettlement LURT Land Use Right Transfer MARA Ministry of Agriculture and Rural Affairs M&E Monitoring and Evaluation MEE Ministry of Ecology and Environment MHURD Ministry of Housing and Urban-Rural Development MHRSS Ministry of Human Resources and Social Security MLS Minimum Living Security iii OfficialUse Official Use MNRB Municipal Natural Resources Bureau MNR Ministry of Natural Resources NCD National Central Government NDRC National Development and Reform Commission NGO Non-Governmental Organization NIMBY Not In My Back Yard NPS Non-pointed Sources NRB Natural Resources Bureau OHS Occupational Health and Safety O&M Operation and Maintenance PAP Project-affected Persons PARAD Provincial Agriculture and Rural Affairs Department PDRC Provincial Development and Reform Commission PEED Provincial Ecology and Environment Department PFD Provincial Finance Department PGD Provincial Government Department PforR Program-for-Results PHURDD Provincial Housing and Urban-rural Development Department PIU Program Implementation Unit PLA Persons affected by Land Acquisition PLAC Political and Legal Affairs Committee PMO Program Management Office PPE Personal Protective Equipment PPMO Provincial Program Management Office PNRD Provincial Natural Resources Department POD Persons affected by Displacement PSW Persons Separating Waste RRB Rural Revitalization Bureau RRP Rural Revitalization Program RRS Rural Revitalization Strategic SIA Social Impact Assessment SSRA Social Stability Risk Assessment TA Technical Assistance WRB Water Resources Bureau WWTF Wastewater Treatment Facility iv OfficialUse Official Use 1. Overview 1.1 Objective and Tasks 1. The Green Agricultural and Rural Revitalization Program for Results (hereinafter, the PforR) aims to support a subset of the Chinese Government’s national Rural Revitalization Program (RRP, 2018-2035), which is implemented in phased Rural Revitalization Strategic (RRS) plans. The PforR is supporting the implementation of the RRS plans of Guangxi and Guizhou provinces to enhance environmentally sustainable agricultural and rural infrastructure development in selected areas of Guangxi and Guizhou provinces. 2. This Environmental and Social System Assessment (ESSA) is prepared as an instrument to address the environmental and social (E&S) risks and impacts of the PforR using national and local E&S legal framework and management systems. In the ESSA, the applicable national and local E&S framework and systems have been reviewed and assessed, the compliance with the Bank PforR core principles and requirements has been analyzed, and actions and recommendations have been proposed to fill the gaps to improve the implementation performance of the systems. The main tasks of the ESSA include:  Assess the potential E&S impacts and risks of the PforR activities.  Assess the applicable national and local E&S policies and regulations.  Assess the implementation procedures of the provincial and local E&S management systems.  Assess the institutional capacity and performance of E&S management authorities.  Propose recommendations and actions to improve the performance of the E&S management systems as required by China's regulations and the Bank’s core principles. 1.2 Methodologies 3. The ESSA is an instrument to analyze and assess the government RRS plans, the proposed PforR activities, the potential E&S impacts and risks, and the national and local E&S management systems and propose recommendations and actions to fill the gaps between domestic E&S management systems and the Bank’s PforR requirements. While assessing the E&S management systems, it was firstly to identify and analyze the potential E&S risks/impacts of the PforR activities, the relevant domestic E&S management systems, and the related principles of the Bank’s PfoR policy; secondly, to assess the E&S management systems in terms of applicable laws and regulations, institutional arrangement, and implementation performance; finally, to investigate the past or ongoing similar projects in the sample counties, and evaluate the implementation performance, institutional capacity, and satisfaction of the public etc. The sample counties were selected based on agreed criteria, including geographic distribution, large user of chemical fertilizers and pesticides, large producer of livestock and poultry manure, large user of agricultural plastics, lack/inadequate solid waste and wastewater management facilities, and at least one minority city/prefecture. 4. To ensure successful assessment, the ESSA team have conducted stakeholder engagement and consultation from the beginning of the PforR preparation with local governments, agencies. and enterprises, collected information about the two provinces by means of meetings, field visits, interviews, and literature review etc., and accordingly undertook the assessment and prepared the report. The following methods were used for information collection and public consultation: • Secondary information collection and analysis: Secondary information was collected where possible, including the information provided by provincial authorities and sample counties, information of the Bank's other similar projects in recent years, online public information, relevant literature, and domestic laws, regulations, policies, standards, guidelines, plans, programs on E&S management. • Primary information collection and analysis: Primary information was also obtained in 1 Official Use Guangxi and Guizhou in November and December 2021 in multiple ways including on-site meetings and virtual conferences with provincial and county-level authorities, and field visits to the sites of typical activities or projects in sample counties to learn the actual implementation effectiveness of the E&S management systems. • Project life cycle stakeholder engagement: Throughout the whole PforR preparation stage since the participating provinces were initially identified, the ESSA team have kept communicating with a variety of stakeholders at each step. During the preparation of this report, the ESSA team interviewed various relevant government departments at provincial, municipal, county and township levels and consulted different representatives of potentially affected community leaders and residents, women, the poor, and minority residents by means of face-to-face meetings, interviews, and virtual conferences etc. • ESSA consultation: In January 2022, consultation on the ESSA was conducted with two provinces’ government authorities at the provincial and county levels. The first version of the draft ESSA was sent to all relevant provincial-level authorities of the two provinces and all relevant county-level authorities of all 28 PforR counties who have provided written feedback to the ESSA team. Virtual meetings were also carried out with the government authorities at provincial and county levels of the two provinces respectively. The feedback has been incorporated into the ESSA, and the activities about data collection and consultation are listed in Appendix 5. 1.3 Program Description Government Program 5. Since 2017, the Chinese Government has adopted an ambitious national RRP (2018-2035), which is implemented in five-year phases. The main objectives are to sustainably increase rural incomes, increase access to rural infrastructure and public services, and to improve living environment in rural areas. The phased national RRS plans operationalize the national RRP. The first phase of the national RRS plans (2018-2022) has seven sub-programs for green agricultural development and six sub-programs for the rural infrastructure and public services (details are presented in Attachment 1). These RRS plans are implemented nationwide and are included in the 14th Five-Year Plan (FYP, 2021-2025). The selected two provinces, Guangxi and Guizhou have developed their respective provincial and county levels RRS plans, with clear baselines, targets, and financing plans. The respective provincial RRS plans consider the existing agro-ecological and environmental conditions, levels of economic development, available fiscal space, and the agricultural and rural development priorities. PforR Scope 6. The PforR aims to support four green agricultural development sub-programs and one rural infrastructure and public services sub-program out of the 13 sub-programs under the RRS Plans of Guangxi and Guizhou. The Government’s total budget for implementing the 13 sub-programs of the two provinces during the 14th FYP is about US$5.0 billion, while the total IBRD loan is US$320 million for the 5 sub-programs over a six-year period from 2023 to 2028. Guangxi will receive an IBRD loan of US$150 million, while Guizhou will get US$170 million. 7. The 5 sub-programs from the Government’s RRS plans are consistent with the results areas (RAs) of the PforR because they aim to: (a) strengthen institutional capacity for governance, hence increasing the effectiveness of the RRS plan; (b) increase rural incomes by promoting environmentally friendly agricultural practices, hence contributing to the reductions in GHG emissions and point source and non-point source (NPS) water pollution; and (c) increase access to rural infrastructure and public services, thus improving living conditions in rural areas. Activities that don't satisfy these objectives will not be included in the PforR. 8. The PforR will be implemented in Guangxi (13 out of 111 counties) and Guizhou (15 out of 86 counties). In Guangxi, the selected counties/districts include: Pinggui, Yuanxian, Luocheng, Tianetang, Rong’an, Xingbin, Xincheng, Tiandong, Bobai, Yizhou, Mashan, Xixiangtang and 2 Official Use Zhongshan. In Guizhou, the selected counties/districts include: Bijiang, Sinan, Yinjiang, Songtao, Jinping, Shibing, Taijiang, Luodian, Guiding, Sandu, Libo, Xingren, Zhenfeng, Xiuwen, and Xifeng. 9. The PforR will support following three RAs to be implemented in Guangxi and Guizhou provinces: RA1 - Strengthening institutional capacity for governance. The RA1 aims at putting in place governance and training and capacity building frameworks needed to enhance the effectiveness of the Government’s RRS plans. RA2 - Greening selected agricultural value chains. The RA2 aims to increase rural incomes (farm and off-farm) and promote environmentally friendly agricultural production practices. RA3 - Increasing access to rural solid waste and wastewater services. The RA3 aims to improve the living conditions in the rural areas and contribute to the reduction in point source and NPS pollution. 10. The typical activities within the PforR boundary and the disbursement-linked indicators (DLIs) are presented in Table Error! Reference source not found.: Table 1-1: The PforR Activities and DLIs Typical Activities DLIs RA1 - Strengthening institutional capacity for governance i) developing regulations, standards, and guidelines for green DLI1: Number of counties with IT- agricultural development, as well as rural infrastructure based system for the management development; of rural infrastructure and public ii) establishing mechanisms for program-budgeting, expenditure services tracking and reporting; DLI2: Number of counties with IT- iii) establishing mechanisms for M&E of rural infrastructure and based system for the green public services; and agricultural program-based iv) developing frameworks/action plans for nurturing green skills budgeting and expenditure reporting and talents in rural areas DLI3: Number of counties with approved green agricultural development regulations, standards, and guidelines RA2 - Greening selected agricultural value chains i) strengthening the protection and utilization of agricultural DLI4: Reduced use of chemical resources (i.e., building resilience), including protecting and fertilizer in selected value chains improving quality of farmlands, improving the efficiency of DLI5: Improved management of agricultural irrigation water use (e.g., rehabilitating irrigation livestock and poultry manure systems and promoting drip irrigation), and protecting DLI6: Reduced pollution from agricultural biological resources (e.g., improved climate resilient agricultural plastics seeds and breeds); ii) preventing and controlling agricultural NPS water pollution, including promoting the reduction in fertilizer use and increasing efficiency of fertilizers (e.g., fertigation, deep placing) and low residue pesticide use, increasing soil testing and use of formula and organic fertilizer, promoting the recycling of livestock and poultry manure and crop straws, and strengthening the white (agricultural plastics) pollution control; iii) building green and low-carbon agricultural industry chains, including promoting green agricultural value chains, industrial agglomeration, and circular economy; and promoting pollution- free, green, organic and geographical indication (GI) agricultural products; iv) providing infrastructure needed for the development of green agricultural value chains (e.g., constructing/rehabilitating climate resilient production/access roads, rehabilitation of irrigation and drainage systems, construction/rehabilitation of cold storage facilities); 3 Official Use Typical Activities DLIs v) nurturing green skills and talents in rural areas (e.g., training and capacity building of FCs, FAs, WUAs, input stockists, and agro- enterpreneurs); and vi) enforcing green agricultural development regulations and standards (e.g., toxic pesticides use, effluent standards and burning of straws). RA3 - Increasing access to rural solid waste and wastewater services i) preparing spatial Integrated Village Development Plans (IVDPs) DLI7: Number of Integrated Village that will guide future rural investments; Development Plans (IVDPs) ii) improving rural habitat environment including, constructing rural approved climate resilient solid waste (garbage) and wastewater DLI8: Number of demonstration (sewerage) treatment systems, improving rural domestic waste villages with newly constructed collection and disposal systems, promoting classification and climate resilient wastewater resource utilization (recycling) of waste, and promoting the “toilet treatment systems and established revolution�; and solid waste collection, sorting and iii) providing training and capacity building in the operation and transfer system maintenance (O&M) of wastewater and solid waste facilities. 11. In general, the main types of TA activities supported by the PforR include developing standards and guidelines, establishing financial systems and M&E mechanisms, developing talents nurturing plans, preparing IVDPs, and training and capacity building activities, etc. The physical works supported by the PforR are investments related to agricultural production and village infrastructure construction including rural toilet construction, wastewater collection and wastewater treatment facilities (WWTFs); rural domestic solid waste collection and transfer; collection of waste agricultural plastics; collection and recycling of crop straws; treatment and recycling of livestock and poultry manure; rehabilitation of irrigation and drainage systems; and constructing/rehabilitating production/access roads, and cold storage facilities etc. 12. The PforR will be implemented cross various sectors at different levels to ensure efficient and effective supervision and coordination. Provincial program management offices (PPMOs) have been set up in Guangxi and Guizhou provinces and will be responsible for overall coordination and management of the PforR. and program implementation units (PIUs) have also been established to include relevant government authorities at different levels. The provincial level authorities are responsible for overall management and supervision, and the county-level authorities for planning, implementing and monitoring of specific PforR activities. Agriculture and rural affairs bureaus (ARABs) are responsible for pest control, pesticide reduction, fertilizer reduction, livestock and poultry manure treatment and utilization, straw collection and integrated utilization, and agricultural plastic mulch film and pesticide/fertilizer packages collection and recovery. Housing and urban- rural development bureaus (HURDBs) take lead in rural domestic solid waste management. Ecology and environment bureaus (EEBs) are responsible for rural domestic wastewater management, straw burning pollution supervision, livestock and poultry farming pollution supervision, water and soil environment monitoring, and ecological redline management etc. Natural resources bureaus (NRBs) are responsible for setting and managing ecological redline, guiding village planning, and land use. Water resources bureaus (WRBs) are responsible for management of irrigation water sources (e.g. reservoirs), and primary and secondary irrigation channels. Health commissions (HCs), emergency management bureaus (EMBs) and related sectoral authorities are responsible for OHS management. 13. Both Guangxi and Guizhou provincial governments have rich experience in implementing foreign loan projects. The Foreign Fund Agricultural Project Management Center under Guangxi Provincial ARAB (hereinafter, the “Guangxi PPMO�) is a public institution founded in 1996. There are 5 operational divisions (General Affairs, Finance, Project Management I, and Project Management II) set up under the Guangxi PPMO with total 18 staff, and the Project Management Division I is responsible for projects E&S management. To dated, the Guangxi PPMO has implemented 9 loan/grant projects of the World Bank (WB), the Asian Development Bank (ADB), the United Nations, and other international organizations. The ongoing World Bank Guangxi Poverty 4 Official Use Alleviation PfoR has similar activities to this PforR. Likewise in Guizhou, the Foreign Fund Project Management Center under Guizhou Provincial Rural Revitalization Bureau (RRB) (hereinafter, the “Guizhou PPMO�) is also a public institution founded in 1994. It has 5 operational divisions (General Affairs, Planning, Project Management, Finance, and Monitoring and International Cooperation) with 29 staff, and the Monitoring and International Cooperation Division is responsible for projects E&S management. The Guizhou PPMO has implemented 6 loan/grant projects financed by the WB, ADB, and Japan Bank for International Cooperation (JBIC), including the JBIC Guizhou E&S Development Project, the World Bank Guizhou Rural Development Project, and World Bank China Poor Area Industry Poverty Alleviation Pilot Demonstration Project. These projects also have similar activities to this PforR. By visiting some sites of their past projects, it's found that both provinces have rich experience and good track records in E&S management and monitoring of which the performance has been satisfactory to date. In addition, other relevant authorities at provincial and county levels have also appointed E&S personnel to coordinate and manage the PforR related E&S issues. 5 Official Use 2. E&S Impacts Assessment 2.1 E&S Exclusion 14. Purpose: During the PforR identification and the ESSA preparation, the Bank's core principles and requirements on E&S screening have been fully considered, and screening has been conducted to the government program activities to 1) identify and exclude the activities with significant E&S risks/impacts; and 2) define the scope of activities to carry out ESSA. 15. General principle: While defining the PforR scope, the exclusionary principle has been applied to exclude all activities with significant E&S impacts below: • Significant conversion or degradation of critical natural habitats or critical cultural heritage sites; • Air, water, or soil contamination leading to significant adverse impacts on the health or safety of individuals, communities, or ecosystems; • Workplace conditions that expose workers to significant risks to health and personal safety; • Land acquisition and/or resettlement of a scale or nature that will have significant adverse impacts on affected people, or the use of forced evictions; • Large-scale changes in land use or access to land and/or natural resources (eg ecological resettlement); • Adverse E&S impacts covering large geographical areas, including transboundary impacts, or global impacts such as greenhouse gas (GHG) emissions; • Significant cumulative, induced, or indirect impacts; • Activities that involve the use of forced or child labor; • Marginalization of, discrimination against, or conflict within or among, social (including ethnic and racial) groups; • Activities that would (a) have adverse impacts on land and natural resources subject to traditional ownership or under customary use or occupation; (b) cause relocation of ethnic minority groups from land and natural resources that are subject to traditional ownership or under customary use or occupation; or (c) have significant impacts on ethnic minority cultural heritage; or • Activities that have significant adverse impacts and are classified as Category A projects according to domestic environmental impact assessment (EIA) regulations 16. Other excluded activities: Considering the likely substantial influence of shutting down or relocating livestock and poultry farms on farmers’ livelihoods, the potential significant E&S risks of solid waste disposal and other large-scale infrastructure (including land acquisition and NIMBY1 risks), and the possible conflicts over international waterways induced by increased irrigation water supply, following activities are also excluded from the PforR scope: 1) construction or upgrading of livestock and poultry farms; 2) relocation or shutdown of livestock and poultry farms; 3) construction or upgrading of domestic solid waste disposal facilities (e.g., incineration plants or landfills); 4) construction or upgrading of township and urban wastewater treatment plants; 5) biogas power generation using crop straws and/or manure; 6) construction of new irrigation systems; and 7) construction or upgrading of rural roads for the purpose of public transport etc. 2.2 PforR Activities and Associated Facilities 17. Main PforR activities: With the above-mentioned activities excluded, the main activities that the PforR will support include 1) pesticide and fertilizer reduction; 2) waste plastics (mulch film, pesticide/fertilizer packages) collection and recovery; 3) livestock and poultry manure treatment and utilization; 4) straw collection and recycling; 5) rural production/access roads, and cold storage 1 The NIMBY effect means that residents or local organizations worry about any construction project (e.g., landfill, WWTP) that may create negative impacts on physical health, environmental quality, asset value, etc., resulting in aversion. 6 Official Use facilities; 6) rural household toilet renovation, and wastewater collection and treatment; 7) rural domestic solid waste collection and transfer; 8) nurturing green skills and talents in rural areas; 9) capacity building and research (e.g., preparation of village plans). 18. Through meaningful consultation with the provincial and local authorities and a series of field visits to the sample counties, it's found that: (i) village WWTFs are usually small in size (0.5- 500m3/day) with proper sewer pipelines constructed; (ii) since domestic solid waste disposal facilities (landfills or incineration plants) have been excluded, the PforR-supported rural solid waste collection and transfer facilities will be relatively small in size and simple in treatment process; (iii) the PforR will only support collection of waste plastics which are associated with simple facilities and activities, and the collected waste plastics will be treated or recycled using existing facilities; (iv) there is no new livestock and poultry farm to be constructed under the PforR so only existing farms will be involved in manure treatment and recycling; and (v) crop straws are usually used to make fertilizers, feeds, base materials, and raw materials, so the processing is relatively simple such as fermentation, cutting and crushing, excluding using straws for biogas power generation. Because of the size and nature, these activities will not fall into the above-mentioned exclusion list. In addition, activities of capacity building and village planning aim to improve rural infrastructure and environment, so they will not be falling into the exclusion list, either. Accordingly, these types of activities will be kept in the PforR boundary for further E&S screening, as shown in Error! Reference source not found.. 19. Associated facilities/activities: The PforR will not involve any associated activity defined by the Bank ESF policies. Instead, as per the Bank's PforR ESSA Guidance, associated (or linked) activities refer to activities that would be required to meet the PforR objectives but are not explicitly defined as PforR activities or included in the expenditure framework; and if the risks of the associated facilities are too high, the proposed activities would not be eligible for PforR financing. Accordingly, E&S risk identification, exclusion, screening, and ranking have been conducted to the activities/facilities associated to the proposed activities that are to be included in the PforR. Some proposed activities (such as construction of new irrigation systems) have been excluded from the PforR scope because the associated activities (possible increase of water intake from international waterways) would have potential high E&S risks/impacts. Other associated facilities/activities have also been identified and the E&S risks have been screened and ranked as shown in Table 2-1. Table 2-1: Associated Facilities/Activities Identification and E&S Screening Main proposed Associated E&S risks/impacts of the associated facilities/activities PforR activities facilities/activities 1. Rural domestic Existing domestic solid The leachate, odor, and OHS issues have been regularly solid waste collection waste disposal facilitiesmanaged and monitored under the existing domestic E&S and transfer management systems. The general risk ranking is Moderate. (incineration or landfills) 2. Mulch film, and Existing plastics The dust and waste gas emission, wastewater, solid waste, pesticide & fertilizer processing and recycling and OHS issues have been regularly managed and monitored packages collection facilities under the existing domestic E&S management systems. The general risk ranking is Moderate. 3. Livestock/ poultry Existing livestock and The manure, wastewater, odor, and OHS issues have been manure treatment poultry farms that regularly managed and monitored under the existing domestic and recycling produce manure E&S management systems. The general risk ranking is Moderate. 4. Existing irrigation Existing reservoirs/dams The dams have been under strict inspection and regular systems rehabilitation to supply irrigation water maintenance under the existing domestic dam management to improve irrigation systems. The general risk ranking is Moderate. efficiency and save Water receiving bodies Drainage water reuse in irrigation is encouraged by using water for drainage systems drains, artificial wetlands and/or storage tanks to save water so there will less and less receiving water influenced in the future. The general risk ranking is Moderate. 20. The ESSA team have conducted due diligence fieldtrips to some sample associated facilities such as landfills, incineration plants, and waste plastics processing plants. It has been verified that the E&S risks of these associated facilities/activities could be well managed by domestic E&S management systems. About dam safety of existing reservoirs to supply irrigation water, the due diligence results of similar World Bank projects are quoted in this ESSA. China has established 7 Official Use a sound dam safety management system which is commonly applied throughout the country. It’s supported by a legal framework including the Water Law, the Dam Safety Management Regulations, the Dam Registration Measures etc., and local implementation rules. Each reservoir dam has specific management instruments (e.g. reservoir/dam O&M manual, emergency response plan, and monitoring apparatus plan) prepared and implemented as legally required. All reservoir dams are under regular inspection and taken reinforcement or upgrading as needed. Except that some small reservoirs are operated by village governments, other reservoirs have well established specific reservoir management units equipped with sufficient O&M personnel. The due diligence investigation reveals that the general E&S risk ranking of the associated facilities/activities are thought to be moderate and controllable, implying that the corresponding proposed activities are legible for PforR financing. 2.3 E&S Assessment and Risk Rating 21. Risk criteria: Following the E&S exclusion procedure, the ESSA team assessed the E&S risks/impacts of the PforR activities, using four criteria: 1) likely E&S effects; 2) E&S contextual risks; 3) institutional capacity and complexity risks; and 4) political and reputational risks. All activities involved in the PforR have been analyzed against the above four criteria, which concludes that these activities have different levels of E&S risks, a few of them have potential High risks and need to be excluded, while others have substantial, moderate, or low risks and can be mitigated through proper E&S management measures. The following sections will provide general E&S assessment and risk screening and the details are presented in Error! Reference source not found.. Likely E&S effects 22. Overall E&S benefits and impacts: The PforR will have obvious positive E&S benefits to Guangxi and Guizhou through pesticide and fertilizer reduction, agricultural waste plastic management, crop straw recycling, rural domestic wastewater and solid waste management, etc. These will be achieved by reducing pollution to soil and water, rehabilitating ecological environment, enhancing farm products safety and quality, and improving rural living environment etc. In addition, these activities will also generate certain E&S risks and impacts. Through theoretical analysis, experience comparison and field due diligence, the E&S risks of these activities are thought to be Low, Moderate or Substantial, and the adverse impacts could be avoided or mitigate by applying technically and financially feasible measures. 23. Major environmental impacts: • Environmental pollution in the PforR implementation: Dust, noise, wastewater, and solid waste will be generated in the construction stage, but they are usually temporary and site-specific and can be properly managed through good construction practice and disappear after the construction is completed. During the operational phase, noise, and wastewater would be generated at village WWTFs; leachate, odor, noise, solid waste and OHS risks would be produced at rural solid waste collection and transfer facilities. In agricultural production practices, improper application of chemical fertilizers and pesticide might cause NPS pollution; crop straws burning would cause air pollution; improper disposal of mulch film residues and pesticide/fertilizer packages may cause white pollution to the soil and water environment; inadequate treatment of livestock and poultry manure may produce odor, wastewater and solid waste issues; and application of poor quality organic fertilizers or overuse of organic fertilizers might result in soil pollution and degradation etc. The impacts produced in facilities operation or agricultural production are normally predictable and can be avoided or mitigated using known and demonstrated techniques or management measures and unlikely to cause significant environmental risks. • Environmental impacts on natural habitats: Construction activities might cause disturbance to water environment, damage to local vegetation, influence on wild animal habitats, as well as site-specific soil erosion, etc. However, site selection is usually a very important procedure in the design and EIA processes for a physical project under the PforR. It won't pass technical review and government approval unless it's conducted in line with 8 Official Use domestic regulations such as the “Three Lines and One List�2 mechanism to avoid crossing the ecological redlines or having any significant impacts on critical natural habits. • Health and safety risks: Hazards might be involved in some of the PforR activities such as operating facilities to manage rural domestic wastewater, rural domestic solid waste, and livestock and poultry manure. Odor generated from these facilities usually are usually strong and contains ammonia, hydrogen sulfate, and other inhalable toxic substance. Among rural domestic solid waste, there are hazardous waste such as waste drugs, waste pesticides, waste paints, waste fluorescent tubes, and waste batteries etc. Some pesticides used in farming practice belong to hazardous chemicals. Some solid and liquid waste and animals died of diseases at livestock and poultry farms typically carry pathogenic microorganisms. These hazards may pose health risks to workers or nearby residents if they are not managed properly. 24. Major social impacts: Through screening and analysis of the activities in the provincial plans and consistent with the PforR priority areas, and maybe able to include into the PforR boundary, those with potential high social risks have been excluded from the PforR boundary. Meanwhile, referring to the experience of local projects during implementation and implemented, it is considered that the rural roads that exceed the demand of agricultural production and aim for traffic may involve large-scale and uncontrollable LAR, and the large-scale of land uses are hard to be approved sometimes, so they are risky, and should be excluded from the PforR scope, but field roads intended to improve farmland accessibility and agricultural convenience involve limited land occupation, and do not change the agricultural land type, so they are limited risks, and may be included in the PforR scope; ecological resettlement, and farmland conversion into woodland should also be excluded because they normally involve many households, multi-authority coordination, and long-term planning and monitoring. Other activities have minor social risks, such as small-scale land use, temporary livelihood impacts, or OHS and community safety management at the construction or operation stage. Some activities such as pesticide and fertilizer reduction, straw reuse and organic fertilizer use involve daily behavior changes which may involve slight impacts. Different types of social impacts are analyzed as follows: • Labor impacts: Such risks include protection of the rights and interests of the workers of contractors and agencies of associated facilities, living environment risks in working sites, camps and living areas, risks of disturbance to nearby communities, workers’ occupational health and safety risks, etc. Pesticides for agricultural production should be purchased through regular channels, and used, stored and disposed of as required, otherwise the health and safety of workers and related staff may be endangered. In addition, child labor is a worldwide concern, which could be a risk given the activities are in the agriculture sector. • Community impacts: The site selection of associated facilities (e.g., manure recycling facilities) may lead to NIMBY3 risks, such as impacts on the living environment and property value of community residents, diseases brought by external workers, and potential environmental, traffic and safety issues during construction and operation. • Land use and involuntary resettlement: During the preparation of this report, the E&S team conducted risk screening for activities that may be included in the PforR scope in the provincial green agriculture and rural revitalization plans and excluded those with potential high risks in terms of involuntary resettlement from the PforR scope. Remaining activities that may involve land occupation include: 1) integrated straw utilization facilities with land use around 20mu for each; 2) manure disposal and utilization facilities with around 10mu on the existing poultry and livestock farms; 3) village WWTFs with about 100 to 400m2 for each as well as some underground connection pipeline with temporary land occupation ; 4) rural domestic waste collection and transfer with about 2mu of land acquisition for each; 5) 2 Three Lines refer to ecological protection red lines, environmental quality bottom lines, and resource utilization limit lines. One List refers to the list of criteria to prevent high resources-consuming or high-pollution activities from being implemented in certain areas. 3 NIMBY: Not-In-My-Back-Yard, means that people or units concern about the potential negative impacts to their health, quality of living environment or assets value due to site selection of a particular construction project, e.g. landfill of solid waste, WWTP, and therefore, resent to the project or the proposal of the project. 9 Official Use access roads for the fields and agricultural facilities that are restricted on existing road bases; and 6) cold chain storage facilities with land use around 10mu. Land use for these activities are not big scale, and the risks can be controlled to the low level through the existing domestic management systems in terms of involuntary resettlement. And, some use land will be reached in voluntary basis, e.g. negotiation with the current land users by lease, etc., and the overall risks will be much slighter than involuntary resettlement. • Livelihood impacts: Although small-scale land use has limited livelihood impacts, they should still be identified and managed. Pesticide and fertilizer reduction, straw reuse, organic fertilizer use, etc. involve daily behavior changes that may just have slight impacts, but they need to be managed by policy support, training, etc. • Impacts on ethnic minorities: Although the minority policies in place on the state, provincial and county levels, which ensures it will not exclude ethnic minorities from the beneficiary population based on their special history, cultures and traditions; and in Guangxi and Guizhou, there are even offering much more preferential financial and policy support for minority areas in certain projects as compared to other regions, it is considered meaningful consultation with minority residents should be carried out when it is in design, construction and maintenance, so as to avoid or reduce negative impacts on them, and respect their cultures and customs. 25. E&S impacts of TA activities: In addition to physical works and activities, the PforR also includes TA activities, such as developing regulations, standards, and guidelines; establishing mechanisms for program-budgeting, expenditure tracking and reporting; developing frameworks/action plans for nurturing green skills and talents in rural areas, etc. These activities will help improve institutional capacity, public environmental awareness, rural living environment, and rural residents’ health. Except that the TA activities are involving outdoor surveys, multi-authority coordination and stakeholder engagement, implementation of the TA activities will have minimal or no direct adverse E&S impacts. However, the outputs of some TA activities (e.g. development of standards and guidelines) may trigger or influence downstream investments (e.g. green agricultural farming) once the standards and guidelines become effective, which might induce indirect E&S risks and impacts (see Error! Reference source not found.). Generally, the TA activities under the PforR are not likely to create high E&S risks but it's required that: 1) requirements on carrying out E&S assessment and stakeholder engagement should be proposed in the TA ToRs; 2) stakeholder engagement should be conducted during implementing the TA activities; and 3) proper E&S assessment should be conducted and presented as a chapter of the TA outputs. 26. Cumulative E&S effects: Except for site-specific E&S impacts of the PforR activities, the synergy between the PforR activities and other development projects (such as the provincial RRS programs activities and similar World Bank projects in the two provinces) would also have cumulative effects. Firstly, under the stringent supervision of EEBs and NRBs on ecological redlines and land use plan, these development activities are not likely to take place in environmentally sensitive areas so they won’t produce cumulative impacts on these sensitive areas; and the land use for all projects, no matter it is the PforR activity or others, has to respect the overall land use planning in the region, by which the provinces and/or the counties ensure the land use across projects in a period are under planning. Secondly, these activities are to be implemented by stages in different periods and widespread distributing in numeric counties of the two provinces. It's unlikely to happen in a single place simultaneously so the site-specific negative impacts will not become cumulative. Finally, the objectives of most activities are to protect and improve rural environment and society, so they would have cumulative E&S benefits in the two provinces in terms of pollution reduction, environment improvement, and social and economic development, including: • Reduce regional pollution through improved wastewater management: The village WWTFs and sewerages to be implemented under the PforR and other township or urban wastewater treatment plants will jointly and largely reduce pollutants from entering into surface water bodies. They can usually realize a COD reduction of 70%-95%, an ammonia nitrogen reduction of 80%-97%, a total phosphorus reduction of 50%-90%, and a total nitrogen reduction of 70%-90%. The cumulative benefits of operating all of the wastewater management facilities in the two provinces will be significant in pollution reduction. 10 Official Use • Reduce regional pollution through improved livestock and poultry manure treatment and recycling as organic fertilizers: Livestock and poultry manure treatment and recycling will reduce the pollutant discharge of livestock and poultry farms. Livestock and poultry manure treatment systems can usually realize a COD reduction of about 40%-95%, a BOD5 reduction of 60%-96%, a coliform reduction of 70%-97%, and a total phosphorus reduction of 50%-95%. While the manure is applied to land as organic fertilizers, a greater reduction in pollutant discharge can be achieved. Within the two provinces’ RRS programs and the PforR regions, multiple livestock and poultry manure treatment systems will work together to generate significant benefits, in terms of NPS pollution reduction, soil improvement, farm product quality upgrading, community health enhancement, etc. • Promote regional rural economic development through improved rural roads under the two provinces’ RRS programs: More developed rural roads would improve rural passengers transport and logistics distribution, agricultural products transport time and cost will be reduced, and rural economy can be improved. • Promote regional green agriculture and rural development through various similar World Bank projects: The World Bank projects implemented in the two provinces, such as Guangxi Poverty Alleviation PfoR, Guizhou Rural Development Project, and China Poor Area Industry Poverty Alleviation Pilot Demonstration Project, have similar activities to this PforR and similar E&S management mechanisms. These projects will have synergic effects in the regions, improving deeper development of green agriculture and rural revitalization, and promoting broader agroecosystem conservation and rural living environment improvement. 27. OP 7.50 - International Waterways: The PforR includes rehabilitation of existing irrigation & drainage systems and construction of village WWTFs, therefore OP 7.50 - International Waterways (hereafter ‘the Policy’) is triggered because international waterways are involved in the PforR especially in Guangxi since the Policy is triggered for any sort of water use and in case of risk of pollution of international waterways. However, the PforR will not diminish quantity of water because it will on focus on rehabilitation of the existing irrigation and drainage systems, which result in increase of water use efficiency. The PforR will also support the construction of village WWTFs, which only include small-sized facilities and will reduce pollutants entering the waterways, hence improving water quality. An exception to the notification requirement will apply according to the OP7.50 since the proposed PforR investments will not adversely change the quality or quantity of water flows to the other riparians and do not change the nature of the existing scheme. The Bank task team is processing the exception to the riparian notification requirement under OP 7.50 following the Bank procedures. 28. It's therefore concluded that, the general rating of likely E&S effects is Substantial. E&S contextual risks 29. All activities under the PforR will be conducted in rural areas. The facilities of rural wastewater collection and treatment, rural domestic solid waste collection and transfer, livestock and poultry manure treatment and utilization, waste plastic collection and storage are located in or close to townships or villages, other than in undisturbed natural habits. In addition, China has strict nature resources conservation and ecological redline systems to prevent natural habitats from being destroyed, and the PforR’s environmental exclusion criteria have excluded the activities that may affect critical natural habitats. Therefore, it’s unlikely to implement activities in sensitive areas to cause environmental contextual risks under the PforR. 30. Systematic management mechanisms on land acquisition and resettlement (LAR), facility agricultural land use (FALU), and land use rights transfer (LURT) have been established at the central and local levels, and local governments have gained rich experience through the implementation of extensive projects. Most of Program facilities, such as livestock and poultry manure recycling facilities, are located in existing breeding farms without additional land use, and few facilities may be located out of breeding farms but are small in scale. The PforR is a green agriculture development program, and many activities, such as FALU and LURT, do not involve 11 Official Use permanent land acquisition which need transfer the collective agricultural land to state-owned construction land. Instead, it may be used without changing the nature of collective-owned. And, according to the regulations, these land use modalities are subject to voluntary negotiation, and the lease price and payment mode may be negotiated other than compulsory, and the land used shall be reclaimed after use. In this context, of the risk on involuntary resettlement is low. Replacement of chemical fertilizers with organic fertilizers does not require to completely change from chemical fertilizers to organic. It just suggests using organic fertilizers and reduce the use of chemical fertilizer, and farmers may choose to use organic fertilizers freely. The purpose of agricultural waste management and agricultural mulch film collection is to improve farmers’ environmental awareness, for which the relevant training will be offered by the government in a unified manner to farmers for free, so social impacts are low. 31. Some activities will be implemented in minority areas, and no outstanding E&S issue has been identified so far. Once any such issue is identified, the related activity will be excluded from the PforR. Implementation of relevant activities will promote environmental improvement and economic development of minority areas, and minority residents will not be excluded from the PforR benefits due to their unique cultural and ethnic characteristics. 32. Therefore, the general rating of E&S contextual risks is Moderate. Institutional capacity and complexity risks 33. E&S risks/impacts management will involve various government authorities, such as development and reform, finance, agriculture and rural affairs, rural revitalization, EEB, housing and rural-urban development, natural resources, human resources and social security, water resources, health, labor, culture, and tourism etc. These authorities perform regular E&S related duties as per national/local regulations with sufficient institutional organization, staffing, and budgets. Since the PforR activities are widespread in the two provinces covering various regions and involving numerous sectors, different authorities should make efforts to work together to implement the PforR. All authorities concerned will take their responsibilities in the PforR implementation and the related E&S management under the instruction of central and provincial governments and the coordination of the PPMOs. 34. Therefore, the general rating of institutional capacity and complexity risks is Substantial. Political and reputational risks 35. The PforR will help promote green agriculture development, reduce environmental pollution, protect the ecological systems, and improve rural environment and living standards. The objectives of the PforR are consistent with national and local policies and plans with high political security. Local people will largely benefit from the PforR and will make efforts to support it. There will be minimal or no political risk to the PforR. This has been demonstrated by a variety of similar projects that were implemented in the past. 36. Therefore, the general rating of political and reputational risks is Low. 37. As a conclusion, the overall rating of the E&S risks of the PforR is Substantial. 12 Official Use 3. Environmental Management System Assessment 3.1 General Principles 38. The Bank’s PforR ESSA Guidance provides six core principles for E&S assessment, of which the first three are associated with environmental management systems (EMSs): Core Principle #1 is about environmental assessment and management. Program EMSs are designed to promote environmental sustainability in the Program design; avoid, minimize, or mitigate adverse impacts; and promote informed decision-making relating to a Program’s environmental effects (social impact assessment and management will be described in Chapter 4). Core Principle #2 is about natural habitats protection. Program EMSs are designed to avoid, minimize, or mitigate adverse impacts on natural habitats resulting from the Program (physical cultural heritage protection will be described in Chapter 4). Core Principle #3 is about health and safety management. Program EMSs are designed to protect public and worker safety against the potential risks associated with exposure to toxic chemicals, hazardous wastes, and otherwise dangerous materials under the Program (other items on health and safety will be described in Chapter 4). 39. China has substantially sound EMSs to respond the Bank’s principles. Since the Environmental Protection Law became effective in 1979, China has been building up a legal framework for environmental protection and pollution control. This framework consists of over 80 laws, 120 departmental bylaws, over 1,000 technical norms and standards, and numerous local regulations. It’s run under an institutional structure led by EEBs and assisted by multi-sectoral departments. This constitutes the regulatory framework for management of environmental risks and impacts of the PforR activities, covering EIA, pollution control, and ecology protection, and fully corresponding to the Bank’s EIA principles for PforR Programs. 40. The Environmental Protection Law is the fundamental law for China’s environmental protection and pollution control systems, and aims to protect and improve the environment, prevent and control pollution, protect public health, and promote sustainable development. It’s required to abide by the regulations on ecological protection redlines4, ecology and biodiversity protection, EIA, "Three Simultaneously" 5 , pollutant discharge permitting 6 , information disclosure, and public consultation etc. These mechanisms have become fundamental instruments in the environmental safeguard systems. Under this framework, Guangxi and Guizhou have also their local regulations, such as Guangxi Environmental Protection Regulations (2016), Guizhou Ecological Environment Protection Regulations (2019) etc. 41. For the potential environmental impacts of the PforR activities, several domestic EMSs have been identified and deemed relevant and efficient to manage these impacts (as shown in Table 3- 1). Their legal framework, management procedures, and institutional organization and performance have been evaluated one by one. Accordingly, the domestic EMSs have been compared with the Bank’s principles, and gaps have been identified for improvement. 4 China sets up ecological redlines in critical areas that have ecological significance, environmental sensitivity or vulnerability to strengthen protection of these areas. 5 Three Simultaneously mechanism: The pollution prevention and control facilities of a construction project must be designed simultaneously, constructed simultaneously, and put into operation simultaneously with the main components of the project. 6 Enterprises and public institutions subject to pollutant discharge permit management should discharge pollutants according to the pollutant discharge permit, and pollutant discharge is prohibited without qualitied discharge permits. 13 Official Use Table 3-1: Domestic EMSs Applicable to the PforR Bank’s core Environmental impacts Domestic EMSs Responsible principles Authorities 1. Environmental  Dust, noise, waste gas, wastewater, and solid  EIA system  EEBs assessment and waste in construction; odor, noise,  Pollution control  ARABs management wastewater, solid waste, hazardous waste, system (pesticides,  HURDBs and sludge in operation of rural wastewater fertilizers, agricultural  Other relevant and solid waste facilities. waste plastics, crop authorities  NPS pollution from pesticides and fertilizers; straws, livestock and agricultural mulch film, pesticide, or fertilizer poultry manure, rural packages; air pollution by straw burning; domestic wastewater, livestock and poultry manure, etc. and rural domestic solid waste etc.) 2. Natural habitat  Site selection challenges to ecological  Ecology protection  EEBs protection redlines; and vegetation damage and habitat system  NRBs disturbance in construction and farming  Forestry Bureaus 3. Health and  Worker and community health and safety  Health and safety  HCs safety risks caused by H2S and NH4 from odor; management system  EMBs management pathogenic microorganism from wastewater,  Other relevant solid waste, and sick animals; hazardous authorities waste from solid waste; hazardous chemicals from pesticides, etc. 3.2 Environmental Management Systems 3.2.1 EIA System A. Legal framework 42. Under the guidance of the Environmental Protection Law, the Environmental Impact Assessment Law along with a series of technical standards constitutes a sound EIA system in China. 43. Environmental Impact Assessment Law (amended in 2018): When preparing plans7 or construction projects, potential environmental impacts should be identified and assessed, mitigation measures should be recommended, and follow-up monitoring and supervision should be conducted. Environmental screening and classification are necessary to ensure the EIA is proportional in depth and scope to the identified adverse impacts. The EIA is approved by an EEB at proportional level to the impacts as well. Construction is not allowed to start until the EIA is approved. Entities, experts and individuals are encouraged to participate in public consultation on an EIA. 44. Construction Project Environmental Protection Management Regulations (2017 Amendment): Basic requirements on EIA screening, classification, preparation, and approval procedures are given in the regulations. “Three Simultaneously� mechanism and construction completion acceptance requirements are also clearly prescribed. 45. Pollutant Discharge Permitting Management Regulations (2021): Enterprises, public institutions, and other entities who produce pollutants in their operation activities are not allowed to discharge pollutants to the environment unless they obtain a proper pollutant discharge permit. 46. Measures of Public Consultation in EIA (2018 Amendment): If a project or a program is likely to have potential significant impacts on the environment, it’s required to carry out public consultation in the EIA process. 47. Construction Projects Completion Acceptance Regulations (Interim, 2017): Project 7 These refer to land utilization plans, regional, basin and sea area construction and utilization plans, as well as special plans for industry, agriculture, stockbreeding, forestry, energy, water resources, traffic, urban construction, tourism, natural resource development. 14 Official Use implementation unit (PIU) is responsible for undertaking environmental completion acceptance and shall prepare an investigation or monitoring report and disclose it to the public. The PIU is not allowed to start commissioning before proper mitigation measures and/or pollution control facilities are in place with a pollutant discharge permit obtained as required. The project should not start operation until the measures and/or facilities have passed the test and got accepted. 48. Construction Projects Follow-up Supervision Regulations (Interim, 2015): Follow-up supervision is conducted throughout the project lifecycle. EIA quality, technical review procedure, EEBs’ performance in EIA approval and supervision of “Three Simultaneously�, PIUs’ implementation of “Three Simultaneously� and completion acceptance, and qualified operation and maintenance are all within the scope of follow-up supervision. 49. Construction Projects Environmental Impact Registration Regulations (2016): For a construction project that has minimal or no environmental risks/impacts, the PIU should take online environmental impact registration before project commissioning, implement the mitigation measures as recommended in the registration form, and manage pollutants complying with relevant discharge standards and environmental regulations. The PIU would get punishment from local EEB if they start operation without qualified registration. Local EEB discloses the registration information to the public through the online registration system. 50. Strengthening Construction Projects EIA Follow-up Supervision (2018): Follow-up supervision should be strengthened to ensure practical effectiveness of the EIA system. 51. Construction Projects EIA Classification Catalogue (2021): There are 55 industrial sectors (173 types of projects) listed in the Catalogue. Specific criteria are given to classify environmental impacts into three levels, namely significant, moderate and minor for each type of projects taking into consideration the project scale and contextual environmental sensitivity. 52. EIA Technical Guidelines: China has developed 24 sets of EIA technical guidelines, including general guidelines and a series of specific guidelines. The General EIA Technical Guidelines provide guidance on EIA preparation, alternatives analysis, positive and negative impact assessment, long-term and short-term impact assessment, direct and indirect impact assessment, cumulative impact assessment, etc. There are also details about how to develop mitigation measures, costs, and environmental management and monitoring plans, etc. 53. “Three Lines and One List� Preparation Guidance (Interim, 2017): Any of the numerous environmental management plots in a region has specific ecological protection redlines, environmental quality bottom lines, resource utilization limit lines, and criteria to prevent high resources-consuming or high-pollution activities from being implemented within the lines. All the 31 provinces have prepared “Three Lines and One List� and started operation in practice to provide a basis of rational project site selection. 54. Guidance on Ecological and Environmental Protection for Promoting Epidemic Prevention & Control and Social-Economic Development (2020): All provinces are required to develop and implement EIA exemption lists, aiming to enhance environmental management efficiency, support enterprises to resume production and improve the EIA review and approval services. Some Category C projects are exempted from environmental reginstration because they have no or minimal environmental impacts. Provincial EEBs are encouraged to develop and implement their own EIA exemption lists according to local conditions. The approaches can be integrated into long-term regular EIA management mechanisms when they are demonstrated effective and widely accepted. 55. Local regulations: Under the national environmental legal framework, the two provinces have developed many local regulations and standards on EIA, such as Guizhou EIA Implementation Requirements (2017), Guizhou EIA Exemption List (2021), Guizhou Projects List for EIA Commitment Approval (2021), Guangxi EIA Approval Methods (amended in 2021), Guangxi EIA Exempt List (2021), Guangxi Projects List for EIA Commitment Approval (2021), etc. These 15 Official Use documents specify fundamental requirements on construct project site selection, proportional EIA approval duties, and simplified EIA procedure for projects with minor environmental impacts. B. Management procedures and methods Environmental impacts screening and classification 56. China has established a detailed and comprehensive catalogue for screening environmental impacts and classifying EIA scope and depth proportional to project nature, location, scale, environmental context, etc. At the beginning of EIA preparation, screening is conducted according to the EIA classification catalogue to figure out specific requirements on EIA instruments. To proportionally manage different levels of environmental impacts of construction projects, EIA instruments are divided into three categories, namely a full EIA report (for Category A with significant impacts), EIA form (for Category B with moderate impacts) and environmental registration (for Category C with minimal or no impacts). In addition, as per the MEE’s requirements on simplifying EIA procedures, all provinces have produced and implemented their exemption lists under which some Category C projects are not required to register online for the purpose of accelerating project preparatory and implementation procedures. However, the PIUs concerned are not exempt from responsibilities of environmental management, and local EEBs would undertake more stringent follow-up supervision on their environmental management performance in the construction and operation. 57. The PforR activities in Guangxi and Guizhou do not include Category A projects. No new planting farm or livestock/poultry farm will be built under the PforR. Pesticide and fertilizer reduction activities will be implemented in existing planting farms, and manure treatment and utilization facilities will be constructed or upgraded in existing livestock/poultry farms. Rural domestic wastewater management will only involve small-size WWTFs with a capacity of 500t/d or less. The remaining PforR activities are small-scale environmental rehabilitation or improvement projects, and no EIA is needed as per government requirements. Accordingly, the types of EIA processes applicable to the PforR activities could be EIA form, EIA registration, and EIA exemption. In addition, Both Guangxi and Guizhou have developed lists of construction projects (Category C) that have minor impacts and are subject to exemption from environmental registration. The EIA classification for the key PforR activities is shown in Table 3-2. The detailed EIA instruments that each project should prepare will be determined by local EEBs during the PforR implementation. Table 3-2: EIA Classification for Key PforR Activities Typical activity Sector Sub-sector EIA Categories Category A - Category B - EIA Category C - full EIA report form registration Rural wastewater Water Wastewater Construction or Construction or Others (except for treatment production treatment and expansion of expansion of urban WWTF upgrading, and recycling urban / rural / rural WWTFs with septic tank supply 46 WWTFs with a a capacity of 500t/d effluent recycling; capacity of - 100,000t/d settlement tanks) 100,000t/d and above Rural domestic solid Public Domestic solid / Transfer capacity is / waste collection and facilitieswaste (incl. 150t/d and above transfer kitchen waste) transfer stations Human and animal Public Manure / Treatment capacity / manure treatment facilities treatment is 50t/d and above Irrigation Water Irrigation works Involving Others (except for / improvement to save resources sensitive areas high standard water and increase farmland and water- efficiency saving facilities) 58. PIUs are responsible for the quality and conclusions of their projects’ EIA instruments, and 16 Official Use EIA agencies engaged to prepare the EIAs are also taking responsibilities. Under the national EIA engineer qualification system, only EIA engineers who have such certifications can prepare EIAs. EIA approval 59. EIA report and EIA form should be submitted to competent EEBs for approval, while a simple EIA registration for record can be done online by PIUs. The Ministry of Ecology and Environment (MEE) approves EIAs of some large-scaled or cross-province projects; and for other projects, the EIAs are approved by EEBs at different levels proportional to nature and scale of project, magnitude of impacts, and sensitivity of context, etc. Provincial EEBs approve large-scaled, heavy-pollution, or cross-city projects which are very unlikely to be supported by the PforR. EEBs at county or district level in Guangxi and Guizhou do not have authority to approve EIAs, so the EIAs of the PforR activities will be mostly approved by municipal EEBs. 60. In principle, EIA instruments should go through technical review before approval. Technical review of full EIA reports is usually performed by a panel of independent experts. EIA forms can be reviewed by either an expert panel or by staff of EEBs. EIA review experts are randomly selected from EEBs’ expert database, and at least three experts are selected for each project. 61. Usually if an EIA skips or fails in approval, the project is forbidden to start construction. To accelerate poverty alleviation activities and considering COVID-19 restriction, China has been undertaking administrative reform to smooth and simplify government review and approval procedures. In March 2020, the MEE released a document to encourage local EEBs to simplify EIA approval procedures. Accordingly, Guangxi and Guizhou provincial EEBs practice EIA approval upon PIUs’ commitments for some projects such as mushroom cultivation activities. Local EEBs can make an approval decision on the EIAs without technical review to help accelerate project preparation, and afterwards check the EIAs and the commitments based on site investigation. Once any incompliance with the commitments or any significant impact is identified, the PIU will be required to make correction within a given time or take punishment according to relevant laws and regulations. Public consultation 62. For a Category A project, the PIU must conduct public consultation by interview, meetings, or questionnaire survey in the EIA process. Three rounds of information disclosure have to be conducted at the beginning of the EIA (within seven days), when the draft EIA report is completed (not less than 10 days), and when the EIA is finalized (with a public consultation statement), respectively. For a Category B project, public consultation is not compulsory. However, if it has potential impacts on adjacent areas (e.g. WWTFs or solid waste management facilities that generate odor), local EEB would usually suggest the PIU to conduct public consultation. Environmental management in construction 63. PIUs are responsible to implement mitigation measures at the construction stage. China’s Standard Construction Bidding Regulations require that the technical specification of a bidding document should include a chapter about environmental protection and impact mitigation measures taken from the EIAs. The general conditions of a standard civil work contract should include a chapter on work safety and environmental protection, which clarifies contractor’s duties on environmental, health, and safety management as well as on implementation of mitigation measures. After the contract is signed, the contractor will prepare a construction organization program which includes environmental protection and work safety management plans. During construction, supervision engineers will oversee the implementation of the plans. Completion acceptance 64. A PIU is responsible for implementing the mitigation measures and/or pollution control facilities as per the approved EIAs of a project. When the project is ready to commission, the associated mitigation measures and/or pollution control facilities should be tested, and pollutants 17 Official Use discharge must meet national/local standards. At the project completion, the PIU will organize environmental test/investigation for completion acceptance, prepare an environmental completion report, check for any nonconformity, and draw a conclusion on completion acceptance. 65. The PIU will disclose the environmental completion report within five working days after its completion and keep it open to the public for at least 20 working days. Within five working days after disclosure, the PIU will log into the national environmental completion acceptance platform to upload basic information of the completed project and the mitigation measures or pollution control facilities. This will also be disclosed to the public by the EEB. Pollutant discharge permitting 66. Any entity that is discharging pollutants should comply with national discharge standards and keep the total discharge amount within given limits by applying pollutant discharge permitting mechanism. The permitting is classified into two categories: 1) an entity with a large amount of pollutant production or a large amount of pollutant discharge or significant environmental impacts will be classified as a key monitoring object under the permitting system; 2) an entity with a small amount of pollutant production and discharge and minor environmental impacts will be classified as an ordinary object subject to simplified permitting management. 67. Pollutant discharging entities should operate their facilities in line with the permits, build qualified discharge outlets, set up obvious signs, conduct monitoring to the effluent, and keep the monitoring records for at least five years. Entities as key monitoring objects must install automatic monitoring devices and connect them with EEBs’ online systems. Other entities are not required on this, but local EEBs will take spot check on them irregularly. Follow-up supervision 68. Follow-up supervision during EIA is to check if EEBs are justly fulfilling their duties of EIA approval; if technical review agencies are providing rational review comments on EIA; if EIA agencies are carrying out EIA based on true data and in a scientific and reliable way; if project implementation agencies are going through proper EIA procedures and conducting public participation as required. 69. Follow-up supervision after EIA is to check if EEBs have overseen the implementation of “Three Simultaneously�; if EIA agencies have produced qualified EIA instruments; if PIUs have implemented “Three Simultaneously� (mitigation measures and/or pollution control facilities are designed, constructed, and operated simultaneously with the main parts of a project) as per the EIA recommendations, EIA review/approval comments, and relevant regulations. C. Institutional organization and performance 70. EEBs are responsible for project EIA management. The EIA and Pollution Control Department under the MEE is generally overseeing project EIA and life cycle environmental management at the national level. 71. The Guangxi and Guizhou provincial EEBs have respective Division of EIA and Pollution Control. It’s responsible for approval of program EIAs, project EIAs, and pollutant discharge permitting, supervision of pollution control, and development and implementation of ecological redlines etc. 72. Under the cascade governance mechanism, county EEBs work as dispatched offices of upper-level municipal EEBs in Guangxi and Guizhou, and they don’t have the right to approve any EIA instruments. Regarding the nature and scale of the PforR activities, the EIAs will go through approval by municipal EEBs of nine cities in Guangxi (Hezhou, Yulin, Guilin, Hechi, Chongzuo, Liuzhou, Laibin, Baise and Nanning) and five cities in Guizhou (Tongren and Guiyang Cities, and Qiandongnan, Qiannan and Qianxinan). These municipal EEBs have similar institutional structures to that of the provincial EEBs. The Division of EIA and Pollution Control usually has 2-3 staff 18 Official Use members who endorse EIA approval for a project after the technical review is done by a panel of experts selected from the EEB’s expert database. Each municipal EEB also has an environmental law enforcement team responsible for inspecting implementation of project mitigation measures and pollution control facilities. 73. Each county EEB has a section of EIA approval (1-3 staff members), responsible for assisting the counterpart municipal EEB with EIA approval by advising PIUs on EIA preparation in the early stage and guiding and supervising the PIUs on EIA implementation in the later stage. There are usually 1-2 full-time environmental officials at each township government to report and support upper-level EEBs by performing environmental management at grassroot level. 74. Information on EIAs and pollutant discharge are open to the public via online platforms such as the EIA Information Disclosure, the Pollutant Discharge Permit Management, and the Pollution Source Monitoring Center, etc. Violations of projects or enterprises are also disclosed on EEBs’ official websites. In addition, the MEE has set up other channels such as the National Ecological and Environmental Complaint and Reporting Platform, the minster’s mailbox, the 12369 environmental hotline, the 12369 WeChat account, and the 12345 government service hotline, for the public to report environmental complaints, track feedbacks, and voice their opinions. 75. The EIA system has been implemented in China for decades and kept improving. It’s becoming a sound framework for project lifecycle environmental management. It is learned from the due diligence to the sample counties of Guangxi (Pinggui, Ziyuan and Luocheng) and Guizhou (Xifeng, Sandu and Shibing) that similar projects (e.g., village WWTFs, and livestock and poultry manure recycling) implemented in the past have gone through proper EIA procedures as required; the civil works contracts have included a chapter about environmental protection and safety management; and independent supervision engineers have been appointed to oversee implementation of mitigation measures. It’s also identified that some PIUs didn’t carry out environmental completion acceptance in a timely manner, which EEBs are making efforts to improve. 3.2.2 Pollution Control System 76. General laws and regulations on pollution control as listed in Table 3-3 have covered a broad field of activities including those under the PforR (e.g. project construction and operation, and agricultural farming). In addition, each subsystem (for fertilizers, pesticides, livestock and poultry manure, agricultural waste plastics, rural domestic wastewater, and rural domestic solid waste) has specific regulations, standards, and guidelines for detailed instructions. Table 3-3: General Laws and Regulations on Pollution Control National Guangxi Guizhou Water Pollution Prevention and Control Law (amended in 2017): Rural Guangxi Guizhou wastewater treatment and solid waste facilities should be well designed Water Province Water and constructed, and sustainable O&M should also be ensured. Pollution Pollution Guidance and advice should be provided to farmers in scientific Prevention Prevention and application of fertilizers and pesticides. Livestock and poultry farms should and Control Control have proper facilities to treat or recycle manure and wastewater, and Regulations Regulations sustainable O&M should also be ensured. Construction, rehabilitation, or (2020) (amended in extension of facilities that discharge pollutants directly or indirectly to 2018) waters shall be subject to EIA process according to laws. Soil Pollution Prevention and Control Law (2018): Production of Guangxi Soil pesticides and fertilizers should be subject to registration requirements. Pollution Pesticides and fertilizers’ impacts on soil should be assessed Prevention appropriately. Use of pesticides and fertilizers in farmland should be and Control guided and controlled. Use of agricultural mulch film should be controlled. Regulations Collection, storage, utilization or disposal of livestock and poultry manure, (2021) biogas residues, and biogas slurry should be supervised and inspected. Air Pollution Prevention and Control Law (2018 Amendment): Farmers Guangxi Air Guizhou and farm operators should improve fertilization techniques, apply Pollution Province Air fertilizers and use pesticides in a scientific and rational way to reduce air Prevention Pollution pollutants such as ammonia and volatile organic compounds. Livestock and Control Prevention and 19 Official Use National Guangxi Guizhou and poultry farms should collect, transport and treat wastewater, manure, Regulations Control and died animals to prevent odor emission. Forbidden zones should be (2018) Regulations set to prevent straw burning to cause air pollution. Straws can be used to (amended in make fertilizers, feeds, fuels and raw materials using advanced 2018) technologies. Solid Waste Pollution Prevention and Control Law (amended in 2020): Guizhou Solid Entities that generate, collect, store, transport, utilize, treat, or dispose Waste Pollution solid wastes should disclose information on pollution mitigation measures Prevention and to the public in a timely manner. It’s promoted to build an solid waste Control classification system in terms of collection, sorting, transportation, and Regulations treatment. Entities that generate straws, mulch film residues, pesticide (2020) packages and other cropping waste should promote recycling to prevent pollution. Entities that operate livestock and poultry farms should collect, store, recycle, or dispose of manure and other solid waste in a proper and timely manner. Agriculture Law (2012 Amendment): Fertilizer producers and sellers Guangxi should be subject to registration and permitting requirements as required. Agricultural Users should use fertilizers, pesticides, and mulch film in a proper way Environmental and increase use of organic fertilizers to prevent farmland pollution and Protection degradation. Regulations (amended in 2016) Rural Revitalization Promotion Law (2021): Rural revitalization should include ecological protection activities, including resource conservation and NPS pollution control (e.g., reduction in water, fertilizers, pesticides and energy), improving rural living environment (e.g., sanitary toilets, solid waste sorting and management, rural domestic wastewater treatment), safety of cropping inputs (e.g., highly toxic and high-residue pesticides prohibition, and veterinary drugs), and rural environmental protection (e.g., recycling of mulch film residues, pesticide and fertilizer packages, crop straws, and livestock and poultry manure). NPS Pollution Management Action Plans (Interim) (2021): It’s to promote NPS pollution control in terms of fertilizer and pesticide reduction, mulch film and crop straws recycling, and manure treatment and utilization; improve legal framework, standard systems, and economic policies; and investigate agricultural pollution sources, evaluate impacts of NPS pollution, and establish NPS pollution management platforms. (1) Fertilizer management system 77. One of the main activities under the PforR is to reduce chemical fertilizers consumption. Chemical fertilizers are not toxic or hazardous chemicals, but overuse will lead to soil degradation and NPS pollution, so it’s important to reduce chemical fertilizers and manage them properly. A. Legal framework 78. Chemical Fertilizer Registration Management Measures (2017): These measures apply to production, operation, use and publicity of chemical fertilizers. All chemical fertilizers must go through registration procedures, and unregistered chemical fertilizers cannot be imported, produced, sold, used, and advertised. 79. Technical Guidelines on the Environmentally Safe Application of Chemical Fertilizers (2010): It’s required to increase efficiency of chemical fertilizer use and prevent NPS pollution in all aspects e.g. purchase of qualified fertilizers, scientific application, and drainage interception etc. 80. In recent years, Chinese government has promoted fertilizer reduction energetically. A national Chemical Fertilizers Use Zero Growth Action Plan became effective in 2015 to promote formulated fertilization, advanced fertilization approaches, efficient slow-release fertilizers, and increase of organic fertilizers. In the same year, Guangxi and Guizhou promulgated their local action 20 Official Use plans. As of 2020, both provinces had realized zero growth in chemical fertilizer consumption for five consecutive years. B. Management procedures and methods 81. Fertilizer registration: Fertilizer producer must pass a professional field test before applying for fertilizer registration. The application is reviewed by PARAD and approved by MARA. If the range of application, the formula, the trademark or the company name of a registered fertilizer changes within the valid period (five years), the producer must register again for the changes. Since chemical fertilizers are not hazardous chemicals, they are not required to get permits for producing and marketing like pesticides. Chemical fertilizers are produced and sold in a market-based manner. The producers and sellers manage their activities along with markets; and farmers are responsible for the use of fertilizers. 82. Fertilizer selection: Select fertilizer varieties in a rational way based on different soils, crops, fertilizers, and environmental characteristics, prioritize formulated fertilization, and use efficient new fertilizers such as composite, slow release and water-soluble fertilizers. 83. Fertilizer reduction: Determine fertilizer consumption by testing soil and based on crop type, output target, soil nutrition and environmental sensitivity. In addition, replace chemical fertilizers with organic fertilizers, green fertilizers, crop straws, and biological fertilizers, and reduce chemical fertilizer consumption by improving soil conditions. 84. Fertilizer application: Promote mechanical fertilization and water-fertilizer integration. Schedule fertilization timing to improve fertilizer efficiency. Apply suitable cropping pattern, irrigation technique and rotation cycle. Intercept drainage and recycle farmland effluent. Keep fertilization far from drinking water sources or vulnerable areas (soil erosion, or high groundwater levels) to prevent fertilizer losses and NPS pollution. C. Institutional organization and performance 85. ARABs are sectoral authorities for fertilizer management. Provincial ARABs are responsible for province-level planning and guidance. County ARABs are responsible for local fertilizer supervision and management. They take periodical inspection and spot check on fertilizer products in the market, ask producers to improve their unqualified products or take new registration for any expired fertilizer products, and provide technical training and guidance to farmers under the assistance of local agriculture promotion stations, soil and fertilizer stations, plant protection stations, farmer training schools, etc. 86. The ESSA team carried out due diligence to some sample counties in Guangxi (Pinggui, Ziyuan and Luocheng) and Guizhou (Shibing, Xifeng and Sandu). At each county, the soil and fertilizer station or plant protection station has 2 to 5 staff members, and they usually provide training to farmers over 20 times a year; and the farmer school has about 10 technicians and they provide training to farmers over 10 times a year. All of the sample counties have complete institutional organization with sufficient staff to manage fertilizers and can guide farmers to use fertilizers rationally. In recent years, the two provinces have been largely promoting formulated fertilization and encouraging to replace chemical fertilizers with organic, green, and biological fertilizers. They have realized negative growth in chemical fertilizer use for five consecutive years. It is also found that a few participating counties still have problems of inefficient fertilization because the fertilizer applying equipment is not advanced, some people are still use excessive chemical fertilizers to pursue high production, and farmers lack of awareness on scientific fertilization and need more training. (2) Pesticide management system A. Legal framework 87. Pesticide Management Regulations (2017 Amendment): Pesticide manufacturers and 21 Official Use sellers take responsibility for the safety and quality of their pesticide products, accept government and public supervision, and promote biological, physical and technical measures to reduce pesticide use. Pesticide producers and sellers are subject to pesticide registration and permitting requirements; pesticide users are asked to follow specifications while applying pesticides; and ARABs should oversee pesticide production, sale and use regularly. 88. Regulations on Crop Pest Control (2020 Amendment): It calls for application of IT and biological technologies to promote intelligent and green pest control and encourages the use of green techniques, advanced application machinery, and safe and efficient pesticides to control pest. 89. There are other laws and regulations on pesticide management such as the Farm Product Quality and Safety Law, the Food Safety Law, the Regulations on Hazardous Chemical Administration, the Measures for Pesticide Registration Management, the Management Measures for Pesticide Production Permitting, the Management Measures for Pesticide Operation Permitting, the Standard for Safe Pesticide Use, the Technical Guidelines for Environmental Safety of Pesticide Use, etc. In addition, the Ministry of Agriculture and Rural Affairs (MARA) keeps updating the Catalogue of Restricted Pesticides and releases it to guide farmers to use pesticide properly. These laws and regulations provide guidance on pesticide safe use and constitute a legal framework for pest control and pesticide management. 90. In recent years, Chinese government has been promoting zero growth in pesticide use. A national Pesticide Use Zero Growth Action Plan became effective in 2015, proposing to build a resource-efficient and environment-friendly sustainable pest control system and realize zero growth in pesticide consumption by 2020. In the same year, Guangxi and Guizhou prepared and implemented their local action plans. As of 2020, both provinces had achieved zero growth in pesticide use for five consecutive years. B. Management procedures and methods 91. Management of pesticide producers: Pesticide producers should apply for a pesticide registration certificate which provides basic information about the pesticide products in terms of the name, ingredients, toxicity, scope of application, usage and dose, valid period, etc. Pesticide producers should also apply for a pesticide production permit. A pesticide product must pass a quality test and obtain a qualification certificate before entering the market; the pesticide label should give key information of the pesticide product. Pesticide producers should keep sales records for at least two years and recycle pesticide packages as per government’s requirements. 92. Management of pesticide sellers: Pesticide sellers should obtain a permit to sell pesticides. They should also have qualified staff with professional education background or 56-hour on-the-job training certification in the field of agriculture, plant protection, pesticide, etc. The sellers should have suitable selling and storage spaces and facilities, keep track records, and prepare regulations on safety, emergency response, waste recovery and disposal, etc. Pesticide sellers should not purchase pesticides from any producer who doesn’t have a pesticide production permit or from any pesticide seller who doesn’t have a pesticide selling permit; and they should not process or sub-package pesticides. Pesticide sellers should explain the scope, methods, dose, requirements, and precautions about pesticide application to buyers and recycle pesticide packages. 93. Management of pesticide users: Pesticide users should strictly follow the specifications on scope, function, dose, requirements, and precautions about pesticide application and should not apply pesticide beyond the prescribed scope, dose or function. Pesticide users should not use prohibited pesticides, or dump pesticides or pesticide packages in sensitive areas such as drinking water source reserves or water bodies. They are required to protect the environment and wildlife and collect pesticide packages for recycling. 94. Pesticide reduction: Different approaches can be integrated to accelerate pesticide reduction: (1) improvement of technique: it’s better to use advanced equipment to enhance pesticide attachment and effects; (2) selection of efficient pesticides: it’s required to follow the pesticide 22 Official Use catalogue recommended by ARABs and avoid high-toxicity pesticides; (3) green control methods: it’s encouraged to adopt agricultural, physical, chemical, and biological methods (e.g. pest killer lamps, food or sexual attractants, insect nets) instead of pesticides; (4) innovation: it’s more efficient to apply integrated pest control through third party services; (5) pesticide marketing control: it’s requested that local ARABs strengthen inspection on pesticide permits, quality and safety and provide training to pesticide users on pest control. C. Institutional organization and performance 95. ARABs are responsible for overseeing pesticide production, selling, and use. Once an application for pesticide registration is received, the provincial ARAB will make a pre-review and the MARA will approve the application and issue a certificate. Pesticide production permits are approved by ARABs at provincial level; and pesticide selling permits are approved by ARABs at county level and above. 96. County ARABs are responsible for green pest control, pesticide reduction and safe use of pesticides involved in the PforR. They usually have different functional sections to manage cropping, livestock and poultry farming, agricultural product quality and safety, and farmland construction, respectively. County ARABs also have some branches. Agricultural law-enforcement teams supervise and inspect on pesticide sellers’ permit, production quality, and safe operation; while agricultural technology popularization stations, plant protection stations, and agricultural training stations provide technical services, advice, and training to pesticide users. 97. The due diligence to the sample counties (Pinggui, Ziyuan and Luocheng in Guangxi and Shibing, Xifeng and Sandu in Guizhou) shows that the county ARABs have complete institutional organization and sufficient staff and budgets on pesticide management. For example, in Xifeng and Sandu counties in Guizhou, the plant protection section under the county ARAB have 3 or 5 staff members responsible for cropping and pesticide management. The agricultural law-enforcement team has about 20 people for routine inspection on pesticide markets. They conduct regular inspection once a month and special inspection three times a year. 98. According to the county report on pesticide reduction in 2021, the amount of pesticide use decreased by 8.8% from the previous year in Shibing under the strengthened system of pest monitoring and integrated control. Throughout the year, 26 rounds of pest warning were posted and over 90% of them have been demonstrated right; 5 green control zones were established to promote ecological, physical, and biological control on rice, potato and fruit diseases; various forms of training was conducted and numerous technical advice was given to pesticide users; new machinery like drones were used in pesticide application; pest control effects were evaluated; pesticide stores were checked in rural market days, and no prohibited or restricted pesticides were found for sale. 99. It’s concluded that Guangxi and Guizhou have appropriate institutional organization, staffing and funding for green pest control and pesticide management. They have made significant achievements in the past, and their experience and capacity are demonstrated sufficient to serve the PforR. There were a few common issues noted in the due diligence. For example, some farmers lacked awareness of green pest control and they still prefer traditional pesticides instead of ecological, physical, and biological methods, which requires more training, education and advice provided by the government to make great changes. (3) Cropping waste management systems 100. Green planting and cropping activities supported by the PforR will produce cropping waste such as mulch film residues, pesticide and fertilizer packages, and crop straws etc. There are established systems to manage the waste in China. A. Legal framework 101. Crop Straws Burning and Recycling Management Regulations (1999): Forbidden 23 Official Use zones should be set up to forbid burning straws in densely inhabited areas or natural reserves, or near important traffic facilities. Township governments are responsible for supervising and controlling straw burning in their areas. Straw recycling is encouraged to replace straw burning. 102. Agricultural Mulch Films Management Regulations (2020): Agricultural mulch film producers and sellers should establish and keep mulch film sales records; farm owners, farmer cooperatives and other users should establish and keep use records; mulch film collection and recycling entities should keep collection and recycling records; and mulch film users should pick up mulch film residues in a timely manner and deliver them to collectors or recycling enterprises instead of dumping, burying, or burning. 103. Pesticide Packages Recycling and Disposal Regulations (2020): Pesticide producers and sellers are required to collect and recycle pesticide packages and take effective measures to guide pesticide users to return pesticide packages timely. 104. Fertilizer Packages Recycling and Disposal Guidelines (2020): Fertilizer packages should be collected and recycled like pesticide packages and subject to classified disposal. It’s the obligation for fertilizer producers, sellers, and users to collect and recycle packages. 105. National Hazardous Waste Catalogue (2021): Pesticide packages will be classified as hazardous waste if they have contacted with pesticides or are still containing pesticide residues unless they are properly collected, transported, treated, and recycled by qualified entities in appropriate ways as required by the Pesticide Packages Recycling and Disposal Regulations (2020). 106. The National Green Agricultural Development FYP (2019): It’s promoting to recycle crop straws as fertilizers, feed, fuels, production materials, and base materials, and forbidding straw burning to prevent air pollution. 107. Guizhou has formulated local regulations and rules, such as the Strengthened Plastic Pollution Control Action Plan (2020), and Pesticide Packages Recycling and Disposal Guidelines (2021). Guangxi has also issued local regulations, such as Agricultural Mulch Film Management Regulations (2020), and Pesticide Packages Recycling and Disposal Guidelines (2020). B. Management procedures and methods 108. Crop straws: (1) straw burning forbidding: it’s to set up forbidden zones and establish mechanism of burning monitoring, fire warning and disaster response etc. (2) recycled as fertilizers: it’s to use multiple technologies to turn straws into fertilizers such as composting, fermentation, biological reaction, and organic fertilization etc. (3) recycled as feed: it’s to use straws to make feed by means of silage, ammonisation, microorganism inoculants, pellets etc. (4) recycled as fuels: it’s to use straws to make fuels by biological gasification, pyrolysis gasification, curing, carbonization, combustion, and biomass energy etc. (5) recycled as base materials: it’s to use straw to work as base materials for culturing edible fungi and seedlings etc. (6) recycled as production materials: it’s to use straws to produce non-wood pulp paper, xylitol, packaging materials, degradable films, tableware, artificial boards, composite materials, woven products etc. 109. Mulch film residues: Mulch film residues should be picked up by users/farmers, kept in storerooms at villages, and recycled by township government or recycling enterprises. Local governments should provide supports in the procedures. Mulch film users keep usage records; and mulch film recycling enterprises keep collection and recycling records. Main methods to manage mulch film residues include: (1) reducing mulch film use: rational reuse of mulch film is encouraged; (2) improving mulch film products quality: Apply agricultural mulch film standards strictly, and promote the application of agricultural mulch films thicker than 0.01mm; (3) mechanical picking: Establish agricultural mulch film recovery cooperatives to strengthen the development of recovery machinery; (4) industrializing and commercializing: encourage NGOs and private enterprises to 24 Official Use recycle mulch film to form a systematic recycling industry. 110. Pesticide packages: According to the latest regulations, pesticide packages are not regarded as hazardous waste if they are collected, transported, and disposed of as required. However, they should following procedures for proper management: (1) Scope of management: All waste pesticide packages including bottles, cans, buckets, and bags that have contacted with pesticides or still contain pesticide residues, should be properly managed. (2) Responsible entities: Pesticide producers, sellers, and users should take the lead in pesticide packages recycling. Pesticide producers and sellers should set up specific facilities to keep collected pesticide packages and guide pesticide users to return pesticide packages timely; pesticide users should collect pesticide packages, return them to pesticide sellers or waste collection entities in a timely manner, and are not allowed to discard them casually. (3) Recycling approaches: Recycling sites should be set up at pesticide producers, sellers, large cropping farms, large pesticide users, farmers cooperatives, and village committees. In principle, one collection site should be set up in each village, one transfer site in each township, and one centralized storage site in each county. Rural solid waste system can be utilized for pesticide packages transfer. Different ways of recycling are encouraged such as using pesticide packages to generate power or to make manhole covers or pipes. The pesticide packages without recycling values should be properly disposed by landfilling or incineration. (4) Recycling costs: They should be borne by pesticide producers or sellers, or by local county fiscal budgets when it’s difficult to identify pesticide producers or sellers; (5) Reduction at source: Pesticide producers are encouraged to use large-volume recyclable packages (e.g. water soluble high- molecular materials, or degradable materials) and avoid aluminum packaging materials. (6) Social services: Industry associations are encouraged to provide coordination, technical guidance and services in pesticide packages recycling, and professional agencies are encouraged to provide services in collection, recycling and disposal of pesticide packages. 111. Fertilizer packages: they are subject to integrated management considering: (1) Scope of management: All packages of chemical, organic, microbiological and water-soluble fertilizers should be properly managed; (2) Responsible entities: Fertilizer producers, sellers and users should take the lead in fertilizer packages recycling. Fertilizer producers and sellers should set up specific facilities to keep collected fertilizer packages. Farming service agencies, marketing cooperatives, and recycling enterprises are encouraged to participate in collection and recycling of fertilizer packages. (3) Recycling approaches: reusable packages should be collected by users, recycled by sellers, and utilized by professional enterprises; and non-reusable packages can enter local rural solid waste systems or pesticide packages management systems; (4) Source reduction: Fertilizer producers are encouraged to use large-volume recyclable packages, and recoverable reused packages; (5) Social services: It’s promoting socialized fertilizer formulation and application services, providing large-volume package of fertilizers to large-scale sellers, and encouraging unified fertilization service to large pieces of farmland etc. C. Institutional organization and performance 112. ARABs are responsible for managing recycling activities of cropping waste (mulch film residues, pesticide and fertilizer packages, and crop straws) and taking the lead in developing the recycling systems. EEBs are responsible for managing pollution issues related to waste plastics recycling and straw burning. County ARABs, through their plant protection stations or rural service centers (1 to 4 staff members), carry out regular site inspection on plastics and straws recycling, check the track records of recycling activities, conduct publicity and education, and organize construction and operation of cropping waste collection, storage and recycling facilities. County EEBs, through pollution prevention and control sections (2 to 5 staff members), or environmental law enforcement brigades (about 10 staff members), monitor and supervise pollution control performance of these activities and facilities. 113. Guangxi provincial EEP has been making great efforts in managing straw burning problems. Six satellites are used to monitor all villages throughout the province and monitors are set up in the burning-forbidden zones to get constant information of burning affairs. In addition, a manpower monitoring system has also been established with 1 to 2 personnel designated at each village to 25 Official Use look around for straw burning behaviors. Once a violation is identified, local EEB will work together with public security bureau, ARRB, and local government to take actions such as imposing a fine on the violator, disclosing the violation case by the media, cancelling the crop subsidies entitled to the violator, and/or stopping buying their farming products etc. The efforts have resulted in obvious improvement in air quality, and the days of heavily polluted weather have become less and less. 85% of the crop straws have been collected and recycled in various ways in both Guangxi and Guizhou, and most of them have been used to make fertilizers and returned to farmland. 114. In recent years, the PforR counties in Guangxi and Guizhou have enhanced mulch film recycling actions. In 2021, Shibing County ARAB in Guizhou undertook integrated management of mulch film recycling such as: (1) conduct propaganda by means of leaflets, posters, inquiry desks, and workshops to guide farmers to collect and recycle mulch film; (2) provide training and guidance to guide farmers and cooperatives to efficiently recycle mulch film; (3) carry out inspections to 32 shops, 13 big farms, and 11 farmer cooperatives from all eight townships in the county on their mulch film selling, using, and recycling performance. In this county, the average amount of mulch film use was about 6 kg/m and the collected mulch film was disposed of through local rural waste management system. 115. China is still at the initial stage of pesticide packages management. Many provinces, cities and counties have developed their action plans, and more and more collection, storage and disposal facilities are being constructed. Shibing County ARAB took the lead to set up a leading group composing the plant protection station, farming technique promotion station, soil and fertilization station, agricultural law-enforcement team and township farming service centers. A pesticide packages recycling action plan has been developed and issued to each township. In 2021, there were 22 rounds of training conducted to 1,200 farmers, 4,380 copies of education materials distributed, and over 300 posters posted. In Shibing, a county-level storage site, eight township transfer sites, 96 village storage sites, 61 recycling sites at selling shops, and 21 recycling sites at cropping farms have been established. In addition, each village has 1 to 2 cleaners designated to collect pesticide packages, and a third-party company has been contracted for dispose of the collected pesticide packages by landfilling or incineration. During site visits in Xifeng County, Guizhou Province, the ESSA team found that large cropping farms performed very well in pesticide packages collection, sorting and storage and returned them to sellers for recycling in a timely and regular manner. 116. Other plastics like fertilizer packages are usually reused by farmers or recycled by sellers or waste collection entities, and the collected fertilizer packages could be used as raw materials to produce plastic particles etc. Unrecyclable plastics are disposed of through rural domestic solid waste management system. The ESSA team visited a plastic particle production plant in Guizhou. They collected waste plastics (mostly mulch film and fertilizer packages) from rural areas, and then crushed, washed, and melted them to make plastic particles. The plant has obtained a pollutant discharge permit. The wastewater was reused within the plant and wasn’t discharged to the environment. The major pollutants were organic waste gases which were under the monitoring and supervision of local EEB. 117. Through the due diligence to the sample counties in Guangxi and Guizhou, it’s realised that the county ARABs have complete institutional arrangements and sufficient staffing to manage cropping waste collection and recycling; and the EEBs have been strengthening related pollution control. The main identified issues include that mechanization of mulch film collecting was inefficient in mountain areas, and farmers’ awareness of plastics recycling still needed to improve. (4) Livestock and poultry manure management system 118. The PforR does not include construction, rehabilitation or expansion of livestock and poultry farms but support improvement of manure management and utilization facilities at existing farms to prevent pollution and recycle manure. A. Legal framework 26 Official Use 119. Livestock Farming Law (2015): livestock and poultry farms should have proper facilities to treat and recycle manure, wastewater, and other waste. Any violation that results in environmental pollution should be subject to implementing corrective measures and compensating for the losses. 120. Large-scale Livestock and Poultry Pollution Control Regulations (2013): Environmental carrying capacity and livestock and poultry pollution control requirements should be considered while producing livestock husbandry development plans, and varieties, scales and quantities of livestock and poultry farms should be design in a rational way. It’s encouraged to recycle manure to make biogas or organic fertilizers. 121. Livestock and Poultry Pollution Control Technical Policy (2010): It provides general principles of source reduction, clean production, integrated recycling, and pollution prevention for livestock and poultry manure management. 122. Livestock and Poultry Manure Harmless Treatment Guidelines (GBT36195-2018): It specifies technical requirements on farm layout, manure storage, wastewater treatment, manure treatment and utilization, farming management, sick/died animal disposal, pollutant monitoring, etc. 123. Technical Specification for the Harmless Treatment of Animals Died of Diseases (2017): Animals died of diseases and related products should be treated by proper physical and/or chemical means to kill pathogens. 124. China has also promulgated other relevant technical standards, such as the Technical Norm on Livestock and Poultry Manure Application to Farmland (GBT25246-2010), the Livestock and Poultry Pollutant Discharge Standard (GB18596-2001), and the Technical Guidelines on Land Capacity of Carrying Livestock and Poultry Manure etc. They provide comprehensive technical guidance on livestock and poultry manure disposal and recycling. 125. Guangxi has formulated a series of relevant local regulations, such as the Implementation Plan for Promoting Livestock and Poultry Manure Management and Recycling (2018), and the Livestock and Poultry Manure Recycling Evaluation Methods (2018) etc. Guizhou has also issued relevant regulations, such as the Livestock and Poultry Manure Recycling Evaluation Methods (Interim, 2018), the Livestock and Poultry Manure Recycling Work Plan (2017), etc. B. Management procedures and methods 126. Pollution prevention: (1) Prepare local livestock and poultry farming pollution control plans; (2) Set prohibition zones to forbid constructing livestock and poultry farms and manure treatment facilities in drinking water source areas, scenic areas, nature reserves, urban residential areas, and education and research areas. (3) Construction, rehabilitation or expansion of livestock and poultry farms or manure treatment facilities should follow the requirements of relevant government plans and carry out EIAs. 127. Pollution management: (1) Scientific breeding pattern should be applied to reduce manure generation; (2) Within livestock and poultry farms, specific manure storage areas must be set up with anti-seepage and anti-runoff measures implemented, and rainwater and wastewater separation systems must be installed as well; (3) Leakage-proof measures should be implemented to manure collection and transport facilities; (4) Reuse or discharge of manure should comply with the applicable national and local standards; (5) Applying livestock and poultry manure, wastewater, or biogas residues as a fertilizers must match farmland carrying capacity; (6) Animals died of illness and their related products should be subject to harmless treatment, such as deep burial and burning. 128. Recycling: Recycle manure to make fertilizers and biogas. Integrate livestock and poultry farming with crop farming. Develop social service to involve in manure collection, transportation, and field application. Improve equipment and devices to mechanize livestock and poultry manure recycling. Manage organic fertilizer products made from livestock and poultry manure, and develop 27 Official Use green products, organic products, and geographic indication products. 129. Responsible entities: Livestock and poultry farms are responsible for manure recycling and pollution control. Manure harmless treatment and recycling facilities must be built and operated in a proper way in the farms, or third-party companies can be contracted for manure treatment and recycling. C. Institutional organization and performance 130. County ARABs are in charge of guiding, serving and overseeing livestock and poultry manure treatment and recycling. From the due diligence to the sample counties in Guangxi and Guizhou, it’s found that each of the counties have established a leading group for overall supervision and guidance on livestock and poultry manure management. Each county ARAB has a livestock and poultry management section (1 to 4 staff members) responsible for daily inspection and routine management. County ARABs formulate development plans and conduct routine inspection on livestock and poultry manure management together with local EEBs, water resources bureaus and township governments. They guide cropping farmers to reuse treated manure as fertilizers and guide livestock and poultry farms to construct or improve their manure recycling facilities. Provincial ARABs conduct a third-party evaluation of livestock and poultry manure recycling once or twice a year, and randomly select a certain number of farms to take site inspection. 131. EEBs inspect livestock and poultry farming pollution control performance and monitor related pollutant discharge or emissions. Livestock and poultry farms are required to carry out EIA, take environmental test for completion acceptance, and apply for pollutant discharge permits as stipulated, and they should report to county EEBs on a regular manner about their livestock and poultry varieties, farming scale, waste generation and recycling. County or municipal environmental law-enforcement teams (about 10 staff members) conduct spot check to the farms on their pollution control performance. 132. In 2021, the total manure output was 450,000 tons in Shibing County, including 170,000 tons of feces and 280,000 tons of urine. The county ARAB and EEB conducted a site inspection on 118 livestock and poultry farms on their rainwater and wastewater separation systems, and manure treatment/recycling facilities. It was found that large and medium farms had better manure facilities, while small farms still needed to improve their manure management performance. The county was planning to build a centralized livestock and poultry manure treatment and recycling plant, for which the feasibility study has been completed. 133. The due diligence to the sample counties in Guangxi and Guizhou demonstrates that, county ARABs and EEBs have complete institutional organization and sufficient staffing and budgets, and they have made great progress in livestock and poultry manure management. The ESSA team also found that: (1) Some farms used advanced technique such as ectopic fermentation beds with satisfactory manure treatment effects. (2) Most farms still used simple facilities such as septic tanks and composting sites which were simple and scattered with inefficient treatment effects. They could not meet organic fertilizer enterprises’ demand on raw materials nor meet manure treatment and recycling requirement. (3) Most livestock and poultry farms lacked appropriate odor treatment measures. (4) Some PforR counties were planning to develop centralized manure recycling facilities but lacked sufficient vehicles. (5) Rural domestic wastewater management system A. Legal framework 134. Guidelines on Promoting Rural Domestic Wastewater Management (2019): It was promulgated jointly by nine national-level authorities 8 to promote rural domestic wastewater 8MARA, MEE, Ministry of Housing and Urban-Rural Development (MHURD), Ministry of Water Resources, Ministry of Science and Technology, NDRC, Ministry of Finance, and Banking and Insurance Regulatory Commission. 28 Official Use management, fill the gaps in rural living environment, and build of a beautiful and livable countryside. 135. Opinions on Promoting the Operation Management of Rural Environmental infrastructure (2015): It’s required to specify the responsible entities and funding sources for rural infrastructure operation and maintenance (O&M), establish sound O&M rules and regulations, strengthen O&M team building, and ensure that each facility to be put into effective operation. B. Management procedures and methods 136. Selection of rational technologies: 1) Where villages are close to urban areas, the urban wastewater treatment plants are used to receive and treat the wastewater from the rural areas; 2) Where villages are densely-populated and far away from urban wastewater treatment plants, centralized village WWTTs can be constructed to treat rural domestic wastewater; and 3) Where villages are sparsely populated, upgrading household toilets and septic tanks is the main approach to pretreat domestic wastewater, and the composts are used as fertilizers at nearby farmland. It’s encouraged to apply low-cost, low energy consumption, easy to maintain, and efficient technologies, and adopt artificial wetland, oxidation ponds, and other ecological treatment approaches. 137. Development or update of standards: Proper discharge standards and technical guidelines should be in place to guide village WWTFs O&M. 138. Improvement of O&M mechanism: Strengthen O&M teams, provide training to improve O&M capacity, promote market-based O&M service, and establish a beneficiary payment system to increase local residents’ motivation for participating in O&M of WWTFs. 139. Establishment of monitoring systems: County EEBs should strengthen environmental monitoring. For WWTFs with a capacity of 100t/d and above, monitoring of treated effluent should be conducted at least once every quarter, and those with a capacity of 20-100t/d at least once every year. Where the county EEBs don’t have sufficient monitoring capacity, the upper-level municipal EEBs should provide support, or the county EEBs could contract qualified monitoring agencies to perform monitoring exercises. 140. Improvement of rural household toilets: It’s to promote simultaneous design, construction, and operation of rural toilets with local WWTFs. C. Institutional organization and performance 141. Rural domestic wastewater management involves rural household toilet upgrading and wastewater collection & treatment. ARABs are responsible for the former, and EEBs for the later. Household toils revolution is to change original dry latrines into flushing toilets plus septic tanks. The composts are used as fertilizers at nearby farmland. By 2020, over 70% of rural toilets had been upgraded in Guizhou, and over 90% of rural toilets upgraded in Guangxi, however the counterpart wastewater collection and treatment facilities were still inadequate. 142. Based on the due diligence to the two provinces, the WWTFs of which the capacity is 20t/d and above are usually under regular monitoring by EEBs and they could satisfy discharge standards. The rural domestic wastewater treatment rate is only about 10% in Guangxi and Guizhou, below the national average level 25.5%. The two provinces are planning to increase it to reach 25% by 2025. 143. The Rural Ecology and Environment Division under the MEE guides rural wastewater management at national level. The provincial EEBs of Guangxi and Guizhou have soil ecology and environment divisions (3 to 5 staff members) in charge of organizing province-wide rural domestic wastewater management. 144. Construction and operation of village WWTFs under the PforR will be managed by related EEBs at county level. They usually have a comprehensive business section (2 to 3 staff members) responsible for supervision and management of village WWTFs construction and operation. Local 29 Official Use environmental monitoring stations (4 to 7 staff members) or contracted third party agencies conduct environmental monitoring to the WWTFs. Environmental law-enforcement teams (about 10 staff members) take spot check and inspection on WWTFs’ O&M and effluent discharge conditions. 145. According to the due diligence to the 4 sample counties (Xifeng and Xingren in Guizhou, and Bobai Guangxi), flushing toilets plus septic tanks were commonly used for domestic wastewater treatment in most villages; and a few villages had their own centralized WWTFs or delivered their wastewater to nearby sewer networks and urban wastewater treatment plants. At these sample counties, effluent monitoring had been regularly conducted to WWTFs with a capacity of 20t/d and above. Sampling/testing was done on a quarterly or semiannual basis by environmental monitoring stations or by third-party agencies. The monitoring data of two sample WWTFs at Luhua and Bashang villages have been analyzed by the ESSA team, and the effluent quality satisfied Class II limit of Guizhou Rural Domestic Wastewater Treatment Pollutant Discharge Standard (DB52/1424- 2019). This demonstrates a well operation of village WWTFs in the sample counties. It’s also found that a few village WWTFs had gaps in budgets and could hardly keep sustainable O&M. (6) Rural domestic waste management system A. Legal framework 146. Guiding Opinions on Promoting Rural Solid Waste Management (2015): MHURD requires to improve rural living environment and enhance rural solid waste management. Domesti solid waste can be collected at villages, transfered at townships, and treated or disposed of at counties. It’s required to manage farming waste, domestic waste, construction waste, and industrial waste, properly. 147. Guiding Opinions on Establishing a Sound Rural Solid Waste Collection, Transfer and Disposal System (2019): MHURD requires that the waste sorting, collection, transport and disposal system should be improved at the county, township and village levels to improve rural environmental sanitation. 148. Guizhou Rural Domestic Solid Waste Management Action Plan (Guizhou PHUDD, PARAD, PEED and Finance Department (PFD), 2021): A sound rural domestic waste collection and transport system, and a long-term village cleaning mechanism should be established to reduce and recycle rural domestic waste. B. Management procedures and methods 149. Sorting and reduction: Conduct rural solid waste sorting, compost perishable waste, and reuse ash residues and other inert waste for land backfilling, send recyclable waste to recycling systems, and separately collect and properly dispose of toxic and hazardous waste. 150. Layout of collection, transport, and disposal facilities: Utilize the county, township and village facilities and services in an integrated manner based on local economic conditions. Select feasible collection, transfer, and disposal methods suitable to local situation. Encourage sharing facilities with neighboring counties / districts. 151. Construction of collection, transport, and disposal facilities: All natural villages should be covered by solid waste collection. Collection vehicles should be enclosed and keep clean. Each township should have capacity to transfer rural domestic solid waste. Terminal disposal facilities should be improved, and each county should be able to dispose of rural domestic waste harmlessly. 152. Establishment of a sound O&M system: Build efficient O&M teams, introduce social capital in solid waste facilities construction and O&M, and establish an effect evaluation mechanism to cover the public participation. C. Institutional organization and performance 30 Official Use 153. MHURD is responsible for the top-level design and guidance of rural domestic solid waste management at national level. Provincial HURDBs are responsible for the planning, construction, and management of the province-wide rural solid waste collection, transfer, and disposal systems. For example, the Village and Town Construction Division of Guizhou provincial HURDB uses digital monitoring platform to inspect rural solid waste collection and transport and achieves real-time online supervision and management. All cities have designated deputy mayors to be responsible for rural solid waste management. The Village and Town Construction Division of Guangxi provincial HURDB conducts a survey on rural solid waste construction projects throughout the province once every quarter and undertakes evaluation at the end of each year. 154. Rural solid waste collection and transfer activities under the PforR will be managed by HURDBs or other authorities at county level. For example, the management authority is Environmental Sanitation Management Center (17 staff members) under the Administrative Law Enforcement Bureau in Xifeng County; while it’s the Village and Town Construction Management Section (8 staff members) under the HURDB in Sandu County. 155. The sample counties in Guangxi and Guizhou largely adopt the pattern of “collection at village, transfer at township, and treatment at county�. Each village has part-time cleaners for public area cleaning and uses third-party agencies for waste collection, transfer, and disposal. For example, in Xifeng County, Guizhou Province, Qiaoying Company is appointed under the PPP pattern for county-wide rural waste management. They have set up 1,273 waste collection pavilions and 5,092 dustbins, covering 161 villages. Each of the 10 townships have a waste transfer station, supported with sufficient vehicles and equipment. About 60t/day of rural solid waste is generated and disposed of at the Xifeng County landfill site, and a kitchen residues disposal station and a domestic solid waste incineration plant will be built for future waste sorting, treatment and disposal. 156. Both provinces have sound rural solid waste collection and transfer systems and sufficient management. The ESSA team visited to the sample landfills and incineration plants and found that these facilities had performed well in pollution control and had enough capacity to handle solid waste from rural areas. It’s also identified that some solid waste transfer stations needed to improve odor and leachate collection and treatment facilities as well as workers’ sanitation and rest facilities. (7) Other PforR activities 157. There are also other types of activities included in the PforR, such as improvement of existing irrigation system to save water and increase irrigation efficiency, construction or upgrading of production or rural roads, construction of fresh markets and cold chain systems etc. The scale of physical works is usually small for these activities, and the associated environmental impacts in construction and operation will not be significant. In practice, these activities are respectively managed by water resources bureaus, transportation bureaus, ARABs and other relevant authorities at county level. 158. The PforR will not include construction of new irrigation facilities but involve water-saving improvement to existing irrigation systems. In general, water resources bureaus manage water sources and trunk irrigation channels for large and medium-sized irrigation areas, while ARABs oversee irrigation facilities in farmland and other small-scale agricultural water works. This has formed an established management system in China and has been running well for decades. 159. Rural roads are generally small in scale and don’t have significant environment impacts and safety risks. County transportation bureaus are responsible for construction and operation of rural roads. In the use of the roads, various measures (limiting of speed, maintenance of road surface, and setting of signs) are implemented thus noise and dust can be reduced. The transportation bureaus will take spot check from time to time to inspect traffic safety. 160. Cold storage facilities are usually small in scale, and the construction and operation won’t produce significant impacts to the environment. The related agricultural products are all from and 31 Official Use sold within local areas and unlikely to cause epidemic outbreak. During the Covid-19 period, China has largely enhanced management of cold chains (including cold storage facilities) through joint supervision and inspection by commercial bureaus, market supervision bureaus, and health commissions etc. It’s not only effectively preventing the epidemic from spreading at the cold storage facilities but also improving food safety, sanitation, and environment of these facilities. This has gradually become a routine mechanism in the sector. 3.2.3 Natural Habitat Protection System 161. The PforR will be implemented in rural areas. It will involve farming activities on existing farmland or build small-scale infrastructure at construction land so is unlikely to occupy any critical natural habitats. In addition, the environmental exclusion principles set in this ESSA will also exclude activities that may affect critical natural habitats from the PforR scope, so the PforR activities would not cause significant impacts on critical natural habitats. China has established an effective system supported by specific laws and relations, management mechanisms, and institutional organization to protect natural habitats, wildlife, and biodiversity, therefore it can help prevent the PforR activities from affecting natural habitats seriously. A. Legal framework 162. Wild Animal Conservation Law (2018 Amendment) and Regulations on Wild Plants Protection (2017 Amendment): They specify conservation requirements for wild animals and their natural habitats, and wild plants and their growth environment. For any construction project, assessment of impacts on wildlife and habitats and suggestion of mitigation measures are always important aspects of the EIAs. The national EIA Technical Guidelines on Ecological Impacts also requires that EIAs should assess both positive and negative impacts, both direct and indirect impacts, and cumulative impacts on ecological environment, and develop proper measures to avoid, mitigate, and offset any impacts. 163. Nature Reserves Regulations (2017 Amendment): A nature reserve shall be set up for an important habitat. Activities like timber felling, herding, fishing, picking, reclamation, burning, mining, quarrying and sand digging shall be not conducted in nature reserves. No one shall enter core zones of nature reserves (except approved scientific research activities). No production facility shall be conducted in core and buffer zones of nature reserves, and no production facility that pollutes the environment, or destroys resources or landscape shall be constructed in experimental zones. 164. Guidelines on Establishing a Nature Conservation System with National Parks as the Core (2019): It’s to build a Chinese special natural protection system composed of national parks and other types of nature conservation sites 9 . Nature conservation sites are classified to three categories based on the ecological values and significance: national parks10, nature reserves11 and natural parks12. 165. Guidelines on Control over Ecological Redlines (2016): Ecological redlines are defined and strictly abided for the purpose of water source conservation, wind breaking, sand fixing, flood 9 Nature conservation sites mean land or sea areas defined by governments at all levels according to law to protect important natural ecosystems, natural relics, natural landscapes, natural resources, ecological functions, and cultural value on a long-term basis. 10 National parks mean certain land or sea areas designed to protect natural ecosystems of national representativeness and realize the scientific protection and rational utilization of natural resources, and are the most important, unique, prominent and bio-diverse parts of China’s natural ecosystems, with a large range of protection, complete ecological processes, global value and high national recognition. 11 Nature reserves mean protected areas with typical natural ecosystems, concentrated areas of rare or endangered wildlife species, and areas with natural relics of special meanings. They are large enough to maintain and restore populations and habitats of rare or endangered wildlife species. 12 Nature parks mean areas set up to protect important natural ecosystems, relics, and landscapes, of ecological, ornamental, cultural and scientific value, including forest parks, geological parks, ocean parks, wetland parks, which include ecologically important, environmentally sensitive and vulnerable, and other natural conservation sites to be protected strictly in ecological redlines. 32 Official Use regulation, biodiversity conservation, as well as social and economic development. By the end of 2020, all provinces have finished defining ecological redlines and started implementation. B. Management procedures and methods 166. In recent years, China has started to reorganize and reclassify its natural and ecological resources (e.g. nature reserve, scenic areas, geological parks, forest parks, ocean parks, wetland parks, glacier parks, meadow parks, desert parks, meadow scenic areas, aquatic germplasm resource conserves, wild plant habitat conserves, nature mini-reserves, and key wild animal habitats), based on their nature, value and significance, to form a nature conservation system composed of a variety of national parks, nature reserves, and natural parks. 167. Nature conservation sites are subject to differential levels of management. National parks and nature reserves have core areas and ordinary areas. Human activity is prohibited in core areas and restricted in ordinary areas. Natural parks are managed as ordinary areas in principle. Significant nature conservation sites (ecologically important, or environmentally sensitive, or ecologically vulnerable) are included in the scope of ecological redlines. 168. Regional ecological redlines are defined by integrating information on important or vulnerable areas such as nature conservation sites, water source protection areas, and permanent basic farmland etc. Once the ecological redlines are established, development activities within the redlines will prohibited in principle. C. Institutional organization and performance 169. Forestry bureaus: China established the National Forestry and Grassland Administration (also called National Park Administration) in 2018, to supervise and manage national parks, nature reserves and other nature conservation sites. It is planned to build a nature conservation classification system by 2020, an established nature conservation management system by 2025, and a world-class Chinese special nature conservation system by 2035. 170. County forestry bureaus have forest resource management sections (4-5 staff members), responsible for scoping and planning of nature conservation sites and put significant nature conservation sites in ecological redlines (a few counties might have different government agencies to take this work). Violations to nature conservation sites protection by illegally constructing mines, roads or dams are subject to administrative punishment from EEBs. 171. NRBs: County NRBs usually have rural land planning sections (2-3 staff members), responsible for integrating information on nature conservation sites and water source protection areas provided by local forestry bureaus and EEBs to form an integrated regional ecological redlines scheme which will be submitted to provincial-level NRBs for approval. 172. EEBs: County EEBs usually have EIA sections (1-3 staff members), responsible for defining redlines of water source protection areas, reviewing project siting’s compliance with local redlines regulations, and endorsing enterprises or projects’ entrance to certain areas. 173. Project siting and land use for village planning or rural infrastructure construction activities under the PforR will be approved by county NRBs. Prior to pre-review of a project site or land use, the PIU should consult local forestry bureau and EEB to confirm that the site does not occupy nature conservation sites or water source protection areas. Accordingly, the NRB will confirm the project siting’s compliance with local ecological redlines regulations, complete the site and land pre-review, and report to local government for approval. 174. Main authorities involved in nature conservation, ecology protection and ecological redlines include NRBs, forestry bureaus, and EEBs. These departments usually use an ArcGIS system to precisely position and manage nature conservation sites, and ecological redlines. In addition, the Ministry of Natural Resources (MNR) monitors nationwide land changes using a special satellite. 33 Official Use Once any project siting is found against the ecological redlines, the responsible local authorities would be asked to carry out immediate correction and may receive punishment. 175. In summary, the natural habitat and ecology protection system to manage the PforR activities is regarded rational and inclusive. It has comprehensive laws and regulations, logical management procedures, complete institutional organization, and sufficient staffing. They relevant authorities have suitable knowledge and skills to well manage the ecological environment and natural resources, which is thought consistent with the Bank’s core principle on natural habitats management. 3.2.4 Health and Safety Management System 176. This section is to assess the management system of protecting the public and workers safety from exposure to toxic and hazardous substances such as odor (containing ammonia, hydrogen sulfate, or other inhalable toxic substances), solid and liquid waste (containing pathogenic microorganisms), hazardous waste in rural domestic waste (e.g., waste drugs, waste pesticides, waste paints, waste batteries), pesticides (hazardous chemicals), and died or sick animals (containing pathogenic microorganisms) in rural domestic wastewater, rural domestic solid waste, and livestock and poultry manure facilities, etc. For potential health and safety risks in construction and operation of facilities under the PforR, China has established specific OHS systems which will be discussed in Chapter 4. A. Legal framework 177. Animal Epidemic Prevention Law (2021 Amendment): Personnel dealing with animal epidemic prevention, quarantine, inspection, and handling should take effective health protection and medical care measures and be paid appropriate allowances. 178. Hazardous Chemicals Management Regulations (2013 Amendment): Employers are responsible for managing hazardous chemicals, provide training on hazardous chemicals management to workers, and equip workers with proper PPE. Pesticides are falling into hazardous chemicals so need proper management as required. 179. Technical Guidelines on Harmless Treatment of Animals Died of Diseases (2017): Personnel who deal with animals died of diseases and related products should take proper personal protective equipment (PPE) and make and keep related track records. 180. Construction Projects Occupational Diseases and Hazards Risk Classification Catalogue (2021): There are 12 risk categories covering 84 sectors and 281 activities listed in the Catalogue. The activities of livestock and poultry farming, wastewater treatment, and solid waste management are defined as occupational diseases. 181. Occupational Diseases Classification and Catalogue (2013): 10 categories (e.g. respiratory, dermal, chemical, physical etc.) and 132 subcategories of occupational diseases are listed in the Catalogue. Accordingly, ammonia poisoning and hydrogen sulfide poisoning are classified as occupational diseases from chemical poisoning. 182. National Directory of Hazardous Waste (2021): Waste drugs, waste pesticides, waste paints, and waste batteries are exempt from hazardous waste management if they are collected in the mix with other domestic solid waste without sorting. B. Management procedures and methods 183. It’s understood from the above description of the pesticide management system that, pesticide producers and sellers would follow domestic regulations to obtain permits prior to starting their businesses, and their production, sale and use procedures are under strict inspection of ARABs, EEBs, industry & information technology bureaus, and market management bureaus etc. It’s 34 Official Use therefore unlikely that pesticides would cause high risks to public health. Pesticide users are advised to abide by regulations on safe use of pesticides, keeping pesticides properly and taking necessary PPE (face masks, goggles, gloves, etc.) to avoid accidents in application. 184. Hazardous waste (e.g. waste drugs, waste pesticides, waste paints, and waste batteries) produced by rural households are usually small in amount and mixed with regular domestic solid waste. In line with the current national Directory of Hazardous Waste (2021), they are exempt from hazardous waste management. Considering this situation, most incineration and landfill facilities have been designed, constructed, and operated with proper measures to manage these types of waste. For example, landfills have appropriate facilities for separate storm water drainage, double- liner anti-seepage, leachate collection and treatment, and monitoring and emergency response etc. Most counties are promoting rural domestic solid waste sorting so that hazardous waste would be collected, transported, and disposed of separately in the future 185. Village WWTFs, rural solid waste collection and transfer facilities, and livestock and poultry farms are usually located far from densely populated areas, so they are unlikely to cause high risks to public health. The operation entities of these facilities, however, should make efforts to protect their workers from risks to occupational health. They should establish an occupational health management system, make, and keep worker health records, and provide medical examinations to workers in a regular manner. Workers at special positions such as wastewater O&M, waste collection and transfer, livestock and poultry manure management, and handling of animals died of illness and sick animals should receive special pre-job and on-job training, be provided with proper PPE (e.g. protective clothes, face masks, goggles, rubber shoes, and gloves, etc.) to avoid direct exposure to toxic substances, pathogenic microorganisms, and hazardous waste. They should also maintain good health habits, such as washing hands often, taking a shower after work, and avoiding eating or drinking at the workplace etc. Workers who handle died or sick animals should also use special collection, packaging, transfer, cleaning and disinfection tools, and disinfect or destroy PPE after work to avoid pathogen transmission. C. Institutional organization and performance 186. Health and safety issues involved in the PforR activities will be overall supervised by health and emergency management authorities, but detailed management will be the responsibility of PIUs or O&M entities under the guidance of relevant sectoral authorities (e.g. ARABs, EEBs or HURDBs). County sectoral authorities usually check OHS performance in their monthly routine inspections. For example, agricultural and/or environmental law enforcement teams would ask the PIUs or O&M entities of solid waste transfer stations or livestock and poultry farms to improve their odor treatment facilities, strengthen epidemic prevention measures, or enhance workers’ PPE. ARABs would direct farmers to keep pesticides safely and wear PPE to avoid poisoning to the public or themselves. 187. The due diligence shows that, the sample counties has established basic systems for management of toxic and hazardous substances (e.g. odor, pesticides) involved in the PforR activities. Local sectoral authorities conducted regular supervision and inspection on OHS management and provided training and guidance to people concerned to raise their awareness and improve their capacity in dealing with health and safety risks. 188. It is also found that some solid waste transfer stations and livestock & poultry farms should strengthen odor treatment measures/facilities by means of sealing, deodorants, biological adsorption, filtration, tree barriers, and/or timely cleaning to reduce odor impacts. Sanitation and cleaning facilities as well as PPE for workers should also be further improved. 3.3 Consistency with the Bank Principles 189. Domestic EMSs are compared with the Bank's core principles and elements in this section13. 13 The latter three principles of the PforR ESSA Guidance (Principles #4, #5 and #6) are about land acquisition, ethnic minorities, conflicts, and other social issues, and are given in Chapter 4. 35 Official Use A summary analysis is listed in Table 3-4, and the details are presented in Error! Reference source not found.. Table 3-4: Comparison with the Bank Principles Bank Principles Domestic environmental management system Consistency Principle #1 - EIA and management: Program E&S management systems are designed to promote E&S sustainability in Guangxi design; avoid, minimize, or mitigate adverse impacts; and promote informed decision-making relating to a Program’s E&S effects. (Social impact assessment and management will be described in Chapter 4.) 1. Operate within an • China has established a complete EIA legal framework Consistent adequate legal and composed of laws, regulations, technical guidelines, regulatory framework to standards, mechanisms, and management procedures guide E&S impact dominated by the Environmental Protection Law. The assessments, mitigation, framework is approaching the world class management management and level. monitoring at the PforR Program level. 2. Incorporate recognized • China’s EIA system requires to conduct environmental Consistent elements of good practice in screening and classification at the early stage of project E&S assessment and design and EIA. Projects will be classified to three management, including: i) categories (A - EIA report, B- EIA form, and C- EIA early screening of potential registration) based on the nature of project and magnitude impacts; ii) consideration of of of environmental impacts. strategic, technical, and • In the EIA process, it’s required to analyze alternatives, site alternatives (including assess impacts (positive vs. negative, long-term vs. short- the “no action� alternative); term, direct vs. indirect, cumulative, etc.), suggest iii) explicit assessment of mitigation measures, clarify management responsibilities potential induced, and budgets, conduct public participation and information cumulative, and trans- disclosure, develop monitoring plans etc. boundary impacts.; iv) • China has a sound environmental protection identification of measures implementation mechanism and a mature organizational to mitigate adverse E&S structure led by EEBs. In recent years, China has been risks and impacts that promoting environmental management reform to change cannot be otherwise from a single-minded focus on EIA approval to avoided or minimized; v) strengthening follow-up supervision and inspection and clear articulation of progressing to project life-cycle environmental institutional responsibilities management. and resources to support • It is found from the due diligence to the sample counties implementation of plans; that large and medium-size projects have usually gone vi) responsiveness and through effective environmental management, but rural accountability through WWTFs, solid waste transfer stations and other small stakeholder consultation, projects have such problems as insufficient O&M funding timely dissemination of the and capacity, and inadequate pollutant management PforR information, and facilities. responsive GRMs Principle #2 - natural habit protection: Program E&S management systems are designed to avoid, minimize, or mitigate adverse impacts on natural habitats and physical cultural resources resulting from The PforR; any Program activity that involves the significant conversion or degradation of critical natural habitats will not be supported by the PforR Program (Material cultural resources will be described in Chapter 4.) 3. Take into account • Ecological factors (including wildlife, critical habitats, and Consistent potential adverse effects biodiversity) are important sensitive receptors to be on physical cultural discussed in EIAs. property and provide • In practical EIA process, relationship between project sites adequate measures to and ecological redlines will be identified through local avoid, minimize, or mitigate "Three Lines and One List" and be subject to approval by such effects. NRBs, EEB, and other authorities. Therefore, any activities that may involve critical natural habits under the PforR will be identified and excluded at the early stage during preparation. 4. Support and promote • China has established and is improving an advanced Consistent the protection, ecology and environmental protection system. As a 36 Official Use Bank Principles Domestic environmental management system Consistency conservation, branch, a system of nature conservation sites has been maintenance, and set up to classify and protect important and critical natural rehabilitation of natural habitats. China has specific institutional organization and habitats. budgeting to protect and restore critical natural habits. 5. Avoid significant • Site selection would be fully analyzed in EIA to avoid Consistent conversion or degradation trigger ecological redlines and subject to approval of of critical natural habitats. relevant authorities. 6. If avoiding the significant • The PforR activities will be implemented in rural areas. conversion of natural Agricultural farming activities and facilities will be using habitats is not technically existing farmland, and small-scale rural infrastructure feasible, include measures construction will be using construction land in rural areas. to mitigate or offset the They are unlikely to occupy critical natural habits. In adverse impacts of the addition, the environmental exclusion principles developed PforR Program activities. in this ESSA will also exclude any activity that may affect critical natural habits from the PforR scope. • Therefore, the PforR activities will not cause significant conversion or degradation of critical natural habitats. Principle #3 - health and safety: Program E&S management systems are designed to protect public and worker safety against the potential risks associated with (a) the construction and/or operation of facilities or other operational practices under The PforR; (b) exposure to toxic chemicals, hazardous wastes, and otherwise dangerous materials under The PforR; and (c) reconstruction or rehabilitation of infrastructure located in areas prone to natural hazards. (Other items on health and safety will be described in Chapter 4.) 7. Promote the use of • Production of hazardous chemicals needs a permit; Largely recognized good practice workers exposed to hazardous chemicals should receive consistent in the production, professional training, use standard PPE at work, and Odor management, storage, accept health checkups. collection and transport, and disposal of • Pesticide is a type of hazardous chemicals in volved in the treatment hazardous materials PforR. Producers and sellers should go through facilities generated under the PforR. registration, obtain permits, and accept inspection by should be ARABs. Rural WWTFs, solid waste collection and transfer, strengthened. and livestock and poultry manure management will generate odor (containing ammonia, hydrogen sulfate, or any other inhalable toxic substance), solid and liquid waste (carrying pathogenic microorganisms), and hazardous waste (including waste drugs, used batteries, etc.). They have potential impacts on workers’ health. The PIUs or O&M entities will develop and implement safe O&M regulations and provide PPE and traning to workers. Local authorities will conduct regular inspection and guidance. 8. Promote the use of • China has established a mature pesticide management Consistent integrated pest system and uses physical, biological and other green management practices to control methods to reduce pesticide use. manage or reduce the • Pesticide producers and sellers will obtain permits; users adverse impacts of pests will accept training and guidance, keep pesticides or disease vectors. properly, and wear PPE (face masks, gloves, etc.). 9. Provide training for • Safety training will be offered to workers who are exposed Consistent workers involved in the to hazardous chemicals, and the implementation thereof production, procurement, will be overseen by sectoral and health authorities. storage, transport, use, and disposal of hazardous chemicals in accordance with the relevant international guidelines and conventions. 190. The comparison concludes that China’s EMSs are substantially consistent with the Bank’s PforR ESSA Guidance and its core principles and can serve as effective frameworks to manage the environmental risks and impacts of the PforR activities. During the field visits, the ESSA team also identified some inadequacies or issues with the EMSs. For example, many rural solid waste transfer 37 Official Use stations have no sound leachate and odor collection and treatment systems or no sufficient worker protection and health facilities; most rural WWTFs are short of O&M budget and lack O&M techniques; and some farmers still hesitate about replacing chemical fertilizers with organic fertilizers. Accordingly, actions to fill the gaps have been recommended as presented in Chapter 6. 38 Official Use 4. Social Management System Assessment 191. 192. Table 0-1 shows that the social impacts and risks of the PforR activities in Guangxi and Guizhou fall into the following types: comprehensive social impacts (e.g., social conflict, fairness, transparency, NIMBY, etc.), tangible culture heritage, public and worker safety, land acquisition, restriction on land use and resettlement, and non-inclusiveness impacts on ethnic minorities and vulnerable groups. 193. The social risks management is achieved in China from the national to local levels by formulating and implementing a series of laws and policies and establishing and running appropriate management agencies and mechanisms. Social management systems consist of laws and regulations, management agencies and mechanisms, and management practices. In China’s social management systems, different social risks and impacts are managed by different government agencies (see 194. Table 0-1). 195. The Bank’s PforR ESSA Guidance lays down a set of principles and elements for assessing the borrower’s E&S systems systematically, including six core principles and 13 elements. This chapter identifies and analyzes China’s corresponding social management systems, and assess the relevant social management regulations, management mechanisms and capacity, and implementation performance based on the types of social risks and impacts, and against the six core principles and 13 elements stipulated in the Guidance and propose recommendations and an action plan for the identified gaps. 4.1 Correlation Analysis with the Bank's Principles 196. Generally, all the six core principles of PforR ESSA are relevant to the PforR social management system. See 197. Table 0-1 for a correlation analysis between China’s social management systems and the Bank policy. Table 0-1: Correlation Analysis between the Chinese Social Management System and the Bank Policy China’s social impacts and risks management system Social impacts Bank policy Social management and risks principle Relevant social laws and regulations agencies Comprehensive Principle #1: Notice of the National Development and State: National social impacts, social Reform Commission on Issuing the Measures Development and e.g., social impacts and for the Social Stability Risk Assessment of Reform Commission conflict, risks Major Fixed Asset Investment Projects (2021 (NDRC); fairness, assessment Amendment) Guangxi and Guizhou: transparency, and Notice of the General Office of the National  Leading authorities: NIMBY management Development and Reform Commission on provincial system Issuing the Outline for the Preparation of the development and Chapter on the Social Stability Risk Analysis reform commissions, Principle #6: of Major Fixed Asset Investment Projects and provincial, municipal social conflict Assessment Report (Interim) (NDRCOI [2013] and county political No.428) and legal affairs Notice of the Guangxi Development and committees, offices Reform Commission on Issuing the Interim for letters and visits; Measures for the Social Stability Risk  Assessors: Assessment of Fixed Asset Investment municipal and county Projects (GDRCI [2013] No.833) competent authorities Notice of the General Offices of the Guizhou (e.g., WWTF Provincial CPC Committee and Government authorities, county on Issuing the Measures of Guizhou Province housing and urban- for the Implementation of the Social Stability rural development Risk Assessment of Major Decisions (Interim) bureau (HURDB)) (QWTZ [2012] No.49) 39 Official Use China’s social impacts and risks management system Social impacts Bank policy Social management and risks principle Relevant social laws and regulations agencies Measures for the Implementation of Major and appointed third Administrative Decision-Making Procedures of parties Guizhou Province (Decree No.197 of the  Registration Guizhou Provincial Government) (2020.4) authorities: Interim Regulations on Major Administrative provincial (cross- Decision-making Procedures (2019.9.1) regional / cross- Regulations on Complaint Letters and Visits departmental (2005.5.1) projects), or municipal Notice of the Ministry of Agriculture and Rural and county political Affairs (MARA) General Office on the Training and legal committees of High-caliber Farmers in 2021 (MARAOK  Decision-making [2021] No.11) authorities: Implementation Plan for the Training of High- municipal and county caliber Farmers in 2021 of Guangxi executive meetings of Agriculture and Rural Affairs Department CPC and government (ARAD) Office (GARADO [2021] No.85) leaders Implementation Plan for the Training of High-  Implementing caliber Farmers in 2021 of Guizhou Province agencies: assessors (2021) and entrusted operating units  Supervising agencies: municipal and county governments and their grass-root agencies (e.g., township governments) Tangible culture Principle #2: Cultural Relics Protection Law (2017 State: National Cultural heritage cultural Amendment) Heritage Administration heritage Regulations for the Implementation of the Guangxi and Guizhou: conservation Cultural Relics Protection Law (2017) provincial, municipal and county cultural relic protection authorities Public and Principle #3: Civil Code of the People’s Republic of China Public security worker safety labor and (2021) State: Ministry of occupational Work Safety Law of the People’s Republic of Emergency health China (2014.12) Management Law of the People’s Republic of China on the Guangxi and Guizhou: Prevention and Control of Occupational county governments, Diseases (2018.12) emergency management Guidelines on the Prevention and Control of bureaus, production and Occupational Diseases for Employers operation entities, (2010.8) associations, agencies Occupational Health and Safety Management providing technical Systems—Requirements with Guidance for management services Use (2018.3) for work safety Classification and Catalogue of Occupational Labor safety Diseases (2013) State: National Health Catalogue for the Classified Management of Commission Occupational Disease Hazards and Risks of Guangxi and Guizhou: Construction Projects (2021.3.12) provincial, municipal and Special Rules on the Labor Protection of county health Female Employees (Decree No.619 of the commissions, provincial, State Council) (2012.5) municipal and county 2021 Working Plan for Occupational Disease health supervision Prevention and Control Program of Guangxi authorities, and the (GHC [2021] No.3) supporting agencies, like Guiding Opinions of the Guizhou Provincial provincial occupational 40 Official Use China’s social impacts and risks management system Social impacts Bank policy Social management and risks principle Relevant social laws and regulations agencies Health Commission on Strengthening the disease prevention and Technical Supporting System for Occupational treatment institutes, Disease Prevention and Control (2020.12) occupational health Work Safety Law of the People’s Republic of inspection agencies China (2014.12) Labor management Law on the Prevention and Treatment of State: Ministry of Human Infectious Diseases (2020) Resources and Social Emergency Response Law of the People’s Security (MHRSS), All- Republic of China (2007.11.1) China Federation of Regulations on the Prevention and Control of Trade Unions Geological Disasters (2004.3.1) Guangxi and Guizhou: Regulations on the Defense against provincial, municipal and Meteorological Disasters (2010.4.1) county federations of Regulations of the People’s Republic of China trade unions, and on Flood Control (2005.7.15) industrial unions; trade Law of the People’s Republic of China on unions of enterprises Protecting against and Mitigating Earthquake and public institutions Disasters (2009.5.1) Land Principle #4: Measures for the Administration of the Pre- Land acquisition acquisition, land examination on the Use of Land for State: Ministry of Natural restriction on acquisition, Construction Projects (2017) Resources (MNR) land use and livelihood Land Administration Law (2020.1) Guangxi and Guizhou: resettlement restoration Regulations for the Implementation of the provincial, municipal and and public Land Administration Law (2021 Amendment) county governments, participation Regulations on the Expropriation of Houses and natural resources on State-owned Land and Compensation authorities (Decree [2011] No.590 of the State Council) (2011.1.21) Urban house Notice on Issuing the Measures for the demolition Expropriation and Evaluation of Houses on Municipal and county State-owned Land (JF [2011] No.77) governments, housing (2011.6.3) and urban-rural Guidelines on Improving the Compensation development bureaus and Resettlement System for Land Acquisition (HURDB), house (MLR [2004] No.238) demolition agencies Notice on Doing a Good Job in Employment Training and Social Security for Land- Rural house demolition expropriated Farmers (SCO [2006] No.29) Agriculture and rural Notice of the Ministry of Labor and Social affairs authorities, Security, and the Ministry of Land and Natural resources Resources on Doing a Substantially Good Job authorities, township in Social Security for Land-expropriated governments, village Farmers (MLSS [2007] No.14) committees Notice of MNR and MARA on Issues concerning Facility Agriculture Land Use Facility agriculture Management (MNRP [2019] No.4) land use: Notice of MNR, MARA and NFGA on Issues State: MNR, Ministry of concerning Strict Control of Cultivated Land Agriculture and Rural Usage (MNRP[2021] No.16) Affairs (MARA) Guangxi and Guizhou: Measures for the Administration of the Land provincial, municipal and Use Right Transfer of Rural Land (Decree 2021 No.1 of MARA) county natural resources authorities, agriculture Notice of the General Office of the Guangxi and rural affairs Government on Implementing Block authorities, township Comprehensive Land Prices (GGO [2020] governments No.5) Regulations of Guangxi on Implementing the Land use right transfer: Regulations on the Expropriation of Houses State: MARA on State-owned Land and Compensation (GG 41 Official Use China’s social impacts and risks management system Social impacts Bank policy Social management and risks principle Relevant social laws and regulations agencies [2011] No.36) Guangxi and Guizhou: Notice of Guangxi PNRD and PARAD on provincial, municipal and Further Strengthening and Regulating Facility county agriculture and Agriculture Land Use Management (GPNRD rural affairs authorities, [2020] No.3) township governments Notice of Guangxi on Improving and Optimizing the Land Use Pre-examination and Livelihood restoration Review Procedure of Construction Projects State: Ministry of Human (GPNRD [2016] No.9) Resources and Social Notice of the Guangxi Government on Security Implementing Several Measures for the Five Guangxi and Guizhou: Optimizations of Major Construction Projects provincial, municipal and (GRG [2018] No.26) county human resources Notice of the General Office of the Guizhou and social security Provincial Government on Implementing Block authorities, county and Comprehensive Land Prices (GPGO [2020] township governments, No.68) community committees, Notice of the General Office of the Guizhou village committees Provincial Government on Implementing the Regulations on the Expropriation of Houses on State-owned Land and Compensation (GPGO [2011] No.53) Notice of the General Office of the Guizhou Provincial Government on Issuing the Measures of Guizhou Province for Housing Security for House Expropriation on State- owned Land (Interim), Measures of Guizhou Province for the Selection of Appraisal Agencies for House Expropriation on State- owned Land (Interim), and Guiding Opinions of Guizhou Province on Compensation for Production or Business Suspension for House Expropriation on State-owned Land (GPGO [2011] No.116) Notice of the Guizhou Provincial Land and Resources Department on Optimizing the Land Use Pre-examination and Review Procedure of Construction Projects (GPLRPD [2017] No.2)) Notice of Guizhou PNRD and PARAD on Issues Related to Facility Agriculture Land Use Management (GPNRPD [2020] No.1) Notice on Regulating the Application for Site Selection Opinions for Construction Projects (QJGT [2018] No.13) Ethnic Principle #5: Constitution (2018 Amendment) Ethnic minorities minorities and ethnic Law of the People's Republic of China on State: National Ethnic vulnerable minorities Regional National Autonomy (2001 Affairs Commission groups and Amendment) Guangxi and Guizhou: vulnerable Several Provisions of the State Council on the provincial, municipal and groups Implementation of the Regional National county ethnic affairs Autonomy Law (2005.5) departments Notice of the State Council on Issuing the 13th Five-year Plan for Promoting the Women Development of Minority Areas and Smaller State: All-China Ethnic Minorities (SC [2016] No.79) Women’s Federation Opinions of the Guangxi Government on the Guangxi and Guizhou: National 13 Five-year Plan for Promoting the th women’s federations at Development of Minority Areas and Ethnic different levels 42 Official Use China’s social impacts and risks management system Social impacts Bank policy Social management and risks principle Relevant social laws and regulations agencies Minorities with a Small Population (GRG [2017] No.58) Children Notice of Guizhou Provincial ERAB and Functional authorities of PDRC on Issuing the 14th Five-year Plan for governments at or above Ethnic Unity and Development of Guizhou the county level, Province (GERAB [2021] No.14) township governments, Opinions on the Implementation of the Action sub-district offices, Plan for Chinese Language and Practical community committees, Skills Training for Minority Residents of village committees Guizhou Province (GERAB [2018] No.57) Law of the People's Republic of China on the Protection of Women's Rights and Interests (2018.10.26 Amendment) Measures of Guangxi on the Implementation of the Law on the Protection of Women's Rights and Interests (Revised Draft) (2014.08) Guidelines of the CPC Central Committee and the State Council on the Three-year Poverty Alleviation Action 14th Five-year Plan for Children’s Welfare Development of Guangxi (GCAD [2021] No.43) Opinions of Nine Departments of Guangxi on Strengthening Care Services for Left-behind Rural Old People (GCAD [2018] No.4) Opinions on Further Strengthening Care Services for Left-behind Rural Old People (GPGO [2015] No.218) Opinions of the General Office of the Guizhou Provincial Government on Further Strengthening Care Services for Left-behind Rural Women (GPGO [2015] No.217) Opinions of the General Office of the Guizhou Provincial Government on Further Strengthening Care Services for Left-behind and Distressed Children (GCPCCO [2015] No.32) Opinions of Guangxi on Strengthening the Connection of Poverty Alleviation Outcomes with Rural Revitalization (2021.4.23) The Notice of the General Office o Guangxi Government on Issuing Three-year Action Plan for Rural Revitalization and Infrastructure Public Service Capacity Building of Guangxi (2021-2023) (GRGO [2021] No.19) Opinions of the Guizhou Provincial CPC Committee and Government on the Implementation of the Rural Revitalization Strategy (GCPCC [2018] No.1) 4.2 Assessment of Social Regulations and Policies 198. China’s legal framework consists of the following: 1) laws and regulations promulgated by the National People’s Congress and the State Council; 2) regulations, standards and technical specifications promulgated by ministries and commissions; and 3) regulations promulgated by local people’s congresses and governments. In general, regulations, standards and policies on land acquisition and resettlement (LAR), ethnic minority development, labor rights, public participation and consultation, grievance redress, etc. have been promulgated and implemented at the state, 43 Official Use provincial, municipal and county levels to systematically manage potential social risks and impacts in the PforR lifecycle. 199. Error! Reference source not found. compares the Bank policy with the applicable social management regulations. This section compares the relevant social management regulations with the Bank policy based on the core principles and elements, then identifies gaps in social regulations and policies where applicable and proposes actions and recommendations for improvement. 4.2.1 Core Principle #1: Program E&S Management Systems Designed for Promoting E&S Sustainability14 200. Core Principle #1 includes two elements, both are relevant to social regulations and policies. The consistency analysis is summarized as follows. Element 1: The legal framework and management agencies can direct social assessment adequately at the PforR Program level. 201. Social stability risk assessment (SSRA): The Chinese government uses SSRA as a tool to systematically manage the social risks and impacts that may be involved in major projects, policies and reforms, and mitigates and manages social impacts actively by establishing and implementing a whole SSRA system, so as to promote scientific decision-making, and sustainable Program and social development. • National development and reform committee (NDRC) promulgated the Interim Measures for the Social Stability Risk Assessment of Major Fixed Asset Investment Projects in 2012, stating that the project organization shall investigate and analyze social stability risks when conducting preparatory work, collect opinions from relevant people, identify risks, risk possibilities and risk impacts, and propose prevention and mitigation measures, and social stability risk ratings after such measures are taken. • The General Office of the State Council promulgated the Guidelines on Establishing a Sound Social Stability Risk Assessment Mechanism for Major Decisions and Matters (Interim) in 2012, requiring that an SSRA shall be conducted on major decisions, projects and policies. • Guangxi and Guizhou have promulgated the Notice of the Guangxi Development and Reform Commission on Issuing the Interim Measures for the Social Stability Risk Assessment of Fixed Asset Investment Projects (GDRCI [2013] No.833), and Notice of the General Offices of the Guizhou Provincial CPC Committee and Government on Issuing the Measures of Guizhou Province for the Implementation of the Social Stability Risk Assessment of Major Decisions (Interim) (QWTZ [2012] No.49) respectively, defining the requirements for SSRA. • The Land Administration Law (effective from January 1, 2020) requires that an SSRA shall be conducted before land acquisition and house demolition. 202. Assessment: SSRA is an important procedural requirement in project application and feasibility study. Relevant policies, mechanisms, standards, and management procedures have been formulated and implemented at the national, Guangxi and Guizhou level to regulate SSRA. It is learned through the due diligence and assessment that the related municipal and county authorities take the SSRA seriously, and the conclusions and risk ratings of SSRA are the key reference for the governments in their decision-making. However, there is no effective monitoring mechanism to track and support the implementation of risk mitigation measures. 203. Recommendation: The borrower should establish and implement a social monitoring and reporting mechanism to monitor and evaluate the social impacts and risks, implementation of related social mitigation measures and social performance regularly. 14Chapter 5 of this report quotes the information related to social system analysis in the core principles and elements in the PforR ESSA Guidance for a consistent comparative analysis. 44 Official Use Element 2: Incorporate recognized elements of good practice in E&S assessment and management, including six aspects. 204. According to the social risk screening results (Error! Reference source not found.), the activities in Guangxi and Guizhou do not involve any induced, cumulative or cross-border social impact. See Element 1 for a consistency analysis of social impact assessment. The consistency of Elements 2 and 5 is analyzed below. 205. (i) Early screening: During site selection and feasibility study of related projects, the relevant authorities (e.g., NRB, cultural heritage bureau) shall be coordinated to conduct a joint survey, and risks and impacts screening. For example, the Measures for the Administration of the Pre-review on the Use of Land for Construction Projects (2017), and the Land Administration Law (effective from January 1, 2020) require that screening be conducted so that the construction project complies with the land utilization plan and avoids any acquisition of basic farmland. The Cultural Relics Protection Law (2014 Amendment) requires that a cultural relic survey shall be conducted before project site selection to minimize impacts on cultural relics. The Regulations on the Prevention and Control of Geologic Disasters (2004) require that the project area shall not be selected in disaster areas, and related disaster prevention and control requirements should be defined through a geological disaster assessment to reduce public security risks. 206. (ii) Alternatives: Options should be compared and analyzed during project site selection and feasibility study. The Administrative License Law of the People's Republic of China, and the Decision of the State Council on Establishing Administrative License for Administrative Review and Approval Items Really Necessary to Be Retained require that the feasibility study of a project shall compare E&S impacts of different options to avoid or minimize local negative E&S impacts. The Notice of the General Office of the National Development and Reform Commission on Issuing the Outline for the Preparation of the Chapter on the Social Stability Risk Analysis of Major Fixed Asset Investment Projects and Assessment Report (Interim) (2013) also stipulates, the project implementation units (PIUs) and assessment agencies shall obtain the support of the local governments and related departments, grass-root organizations, Non-governmental Organizations (NGOs), etc. for the proposed project in terms of planning, land acquisition, house demolition, compensation, resettlement, environmental protection, etc., thereby selecting an option with acceptable social stability risks. 207. (iii) Developing measures to avoid, minimize or mitigate social impacts: The Notice on Issuing the Outline for the Preparation of the Chapter on the Social Stability Risk Analysis of Major Fixed Asset Investment Projects and Assessment Report (Interim) (2013) requires that plans and measures shall be proposed to prevent and mitigate risks. The Guidelines on Establishing a Sound Social Stability Risk Assessment Mechanism for Major Decisions and Matters (Interim) stipulate, if the assessment report thinks that if a high risk is present, a decision of non-implementation shall be made, or a decision be made after the plan is adjusted or the risk level reduced; if an intermediate risk is present, a decision of implementation shall be made after effective risk prevention and mitigation measures are taken; if a low risk is present, a decision of implementation may be made, but actions in terms of explanation and persuasion to the people affected shall be conducted, and appeals of relevant people handled properly. SSRA shall also address the legitimacy, rationality, feasibility and controllability of the proposed activities, and require that an appropriate contingency plan be developed. 208. (iv) Clear articulation of institutional responsibilities and resources to support implementation of plans: The Guidelines on Establishing a Sound Social Stability Risk Assessment Mechanism for Major Decisions and Matters (Interim) requires for assessment that if the reasonability, fairness and timeliness of related compensation, resettlement or assistance measures offered are assessed, and if appropriate manpower, material and financial resources are available. 209. (v) Public participation, information disclosure and grievance redress mechanism: The SSRA policies of Guangxi and Guizhou require that public consultation be conducted with all 45 Official Use stakeholders involved in a plan to collect their opinions and suggestions, including advice, needs and directions of public opinion on the proposed project from mass, online, mobile and other emerging media. The Notice on Issuing the Outline for the Preparation of the Chapter on the Social Stability Risk Analysis of Major Fixed Asset Investment Projects and Assessment Report (Interim) (2013) stipulates, the PIUs and assessment agencies shall obtain supports of the local governments and related departments, grass-root organizations, NGOs, etc. for the proposed project, and the completeness of public participation shall be assessed as well, including if the procedural requirements of public participation, expert consultation and information disclosure are all well implemented. For any project involving land acquisition and house demolition, the Land Administration Law (effective from January 1, 2020) requires that once the land acquisition is approved in accordance with related law, the government at or above the county level shall disclose the key information, e.g. the purpose and boundary of land acquisition, current status, compensation rate, resettlement mode, social security, etc. in the township (town), village and village group for at least 30 days, to collect comments from the affected rural collective economic organization and its members, village committee and other stakeholders. Whereas parties concerned refuse to accept the decisions, the disputes may be brought to the courts within 30 days after the notification on the decision is received. No party shall change the status quo of the land before the disputes over ownership and use right are settled. Whereas a construction unit or individual refuse to accept the administrative punishment decisions on dismantling the buildings and other facilities, it may bring the case to the court within 15 days starting from the day when the decision is received. The MNR issued the Standard Guidelines for Grass-root Government Affairs Disclosure in Rural Collective Land Acquisition on June 27, 2019, making detailed provisions on project land acquisition policies, and the scope, time limit and channels of disclosure during preparation, approval and implementation. 210. Assessment: The social impacts and risks are basically assessed and managed through regulations in terms of SSRA, land acquisition and house demolition in China, Guangxi and Guizhou. There are clear mechanisms for impact early-stage screening, option comparison, and arrangements for measure defining on social risks (e.g., LAR, social stability risks) management. The regulations also defined the responsible agencies to manage specific impacts. Comprehensive system arrangements have been established in the regulations on social stability risk management, land acquisition and house demolition for information disclosure, public participation, and grievance redress. Therefore, the social regulations and policies are generally consistent with Element 2. However, there is a lack of clear requirements for documentation of the process in terms of public participation, information disclosure, grievance redress mechanism, etc. 211. Recommendation: Define requirements of documentation in related project management documents (e.g., contracts, agreements), including (but not limited to) recording the public participation as well as information disclosure process and results, and the implementation of the grievance redress mechanism. 4.2.2 Core Principle #2: Program E&S System for Adverse Impacts to Physical Cultural Resources Avoided, Minimized, or Mitigated 212. Elements 3 and 4 under Core Principle #2 define management requirements for natural habitats, which were discussed in Section 3. Only the consistency with Element 5 is assessed here. Element 5: Take into account potential adverse effects on physical cultural property and provide adequate measures to avoid, minimize, or mitigate such effects. 213. Cultural relic protection: The activities in Guangxi and Guizhou involve small civil works, such as the construction of rural wastewater collection and treatment systems, domestic waste collection and treatment systems, and livestock and poultry manure recycling facilities. According to the social impact screening (Error! Reference source not found.), the PforR Program is unlikely to affect any tangible culture heritage. China has established and implemented a sound cultural relic protection law to assess and manage potential cultural relic impacts of construction activities. The Cultural Relics Protection Law requires that no construction works or operations such as blasting, 46 Official Use drilling and digging is allowed within the area of historical and cultural protection site. At the time of site selection for a construction project, location where immovable cultural relics located should try to be avoided. If a construction project is needed to be implemented, it should be approved by the cultural relic authority firstly, and then the urban-rural development and planning authority. Within the protection area or construction restricted area of a protected cultural relic, any facilities that may pollute such relic and its environment are not allowed to construct, and any activities that may affect its safety and environment are not allowed to conduct. Any such facilities already existed in the area shall be disposed within a specific time limit. Before launching a large-scale infrastructure construction project, the construction unit shall firstly apply to the provincial cultural relic authority for arranging a unit engaged in archaeological excavations to conduct archeological investigation at places where cultural relics may be buried underground within the project area. 214. Assessment: The Cultural Relics Protection Law and the Regulations for the Implementation of the Cultural Relics Protection Law give full consideration to potential impacts on cultural relics to protect cultural relics from construction. The regulations on tangible culture heritage protection of China, Guangxi and Guizhou are consistent with Element 5. 4.2.3 Core Principle #3: Program E&S System for Public and Workers’s Safety Protected 215. Element 7 under Core Principle #3 defines requirements for toxic and hazardous substances, and pest control related to environmental system analysis. The consistency with the public security and labor safety requirements in Elements 6 and 8 is assessed here: Element 6: Promote adequate community, individual, and worker health, safety, and security through the safe design, construction, operation, and maintenance of Program activities; or, in carrying out activities that may be dependent on existing infrastructure, incorporate safety measures, inspections, or remedial works as appropriate. 216. Worker safety management: Program activities inevitably involve health and safety risks of workers, including the occupational health management of wastewater treatment facilities (WWTFs) and its’ workers, worker health and safety management during the construction of industrial base ancillary facilities, and process of rural waste collection and treatment. China has established and implemented a system to manage labor safety: • The Labor Law (2018 Amendment), and the Civil Code make provisions on child labor, discrimination, forced labor, etc. For example, employers shall not recruit minors (under 16 years); special protection shall be given to female and underage (16-18 years) workers; workers shall not be discriminated against on the basis of ethnic group, race, gender or religion; women shall enjoy the same employment rights as men; forced labor shall be prohibited. • The Work Safety Law requires that production and operation entities must establish a sound work safety responsibility system, and relevant rules and regulations, and improve work safety conditions to ensure work safety. It also requires that reporting information be disclosed to the public for public supervision. • The Civil Code requires that work safety and health facilities of construction, reconstruction and expansion works shall be designed, constructed and put into operation along with these works. • The Occupational Health and Safety Management Systems—Requirements with Guidance for Use promulgated in 2020 require that enterprises shall identify and control potential occupational health and safety hazards systematically, and eliminate safety accidents at the beginning, thereby protecting worker’s health and safety. Enterprises may apply for “occupational health and safety management system� certification, and establish a normative management system, realizing the source identification and whole-process control of hazards, and continual improvement. However, the occupational health and safety management system is not a mandatory requirement. 217. Assessment: A whole set of regulations on worker’s health and safety has been 47 Official Use established in China, Guangxi and Guizhou to fully protect worker rights. The regulations also require that appropriate safety measures, inspections or remedial works should be taken during design, construction and operation to ensure community, individual and worker safety. The regulations on public and labor safety are basically consistent with Element 6. Element 8: Include adequate measures to avoid, minimize, or mitigate community, individual, and worker risks when the PforR Program activities are located in areas prone to natural hazards such as floods, hurricanes, earthquakes, or other severe weather or affected by climate events. 218. Disaster safety management mechanisms: The PforR is located in Guangxi and Guizhou, and may involve areas prone to natural disasters, such as floods, lightning and landslides. During implementation, the flow of migrant workers may lead to disease spreading (e.g., COVID-19). For urban-rural planning and major project construction, the Regulations on the Defense against Meteorological Disasters require that governments at or above the county level shall fully consider meteorological factors and natural disasters and propose measures to avoid or mitigate disasters. In addition, the Regulations on the Defense against Meteorological Disasters require that lightning protectors of newly constructed, reconstructed or expanded buildings (structures), places and facilities shall be designed, constructed, and put into operation along with these works. The Regulations of the People’s Republic of China on Flood Control make systematic arrangements for floods in terms of organization, flood prevention preparation and implementation, rescue, follow-up work, funding, reward, and punishment, etc. The Regulations on the Prevention and Control of Geologic Disasters make systematic arrangements for the investigation, prevention, and management of geologic disasters, such as prevention, emergency response, governance and legal liabilities. The Law of the People’s Republic of China on Protecting against and Mitigating Earthquake Disasters requires that newly constructed, reconstructed or expanded construction works shall meet seismic design requirements, and makes specific provisions on seismic safety assessment and earthquake protection. The Law on the Prevention and Treatment of Infectious Diseases (April 2020) stipulates, governments at or above the county level shall develop and implement infectious disease prevention and control plans, and establish a prevention, treatment and supervision management system; news media shall conduct public welfare publicity on infectious disease prevention and control, and public health education. According to the Notice on Targeted Health Management and Orderly People Flow (Joint Prevention and Control Mechanism (ZF [2020] No.203) promulgated by the National Health Commission, all localities shall define prevention and control ranges precisely based on pandemic risk rating and take comprehensive measures such as restriction of people flow, nucleic acid testing and health monitoring. For medium- to high-risk areas, entry into the project area, and people gathering shall be avoided where possible, and people entering the project area may flow freely only if their body temperatures are normal and proper personal protection measures are taken. Entry into medium- to high-risk areas shall be avoided if not necessary. 219. Assessment: The regulations on natural disaster prevention and control measures are consistent with Element 8. 4.2.4 Core Principle #4: Program E&S System of Involuntary Resettlement Established 220. Element 9 under Core Principle #4 manages Program LAR in six aspects, all of which are related to the social regulations and policies applicable to The PforR. Consistency is analyzed as follows: 221. (i) Minimizing negative impacts related to land acquisition: For example, the analysis of “early-stage impact screening� under Element 2, the Measures for the Administration of the Pre- examination on the Use of Land for Construction Projects (2017), the Land Administration Law (effective from January 1, 2020), and the regulations on SSRA require that projects and enterprises shall utilize existing construction land, and avoid any occupation of farmland (especially permanent basic farmland) where possible, and reduce LAR impacts through design optimization, thereby reducing social stability risks. At the preparation stage, natural resources authorities will participate in the survey to confirm the land to be used for the project, and the feasibility study will compare 48 Official Use different options for LAR impacts. The government authorities will check if the land use plan is rational during land use review and feasibility study. For facility agriculture land use (FALU), on the basis of the Notice of MNR and MARA on Issues concerning Facility Agriculture Land Use Management (MNR [2019] No.4) and Notice of MNR, MARA and NFGA on Issues concerning Strict Control of Cultivated Land Usage (MNRP[2021] No.16), Guangxi and Guizhou have promulgated management measures based on local conditions. For example, Guangxi promulgated the Notice of Guangxi PNRD and PARAD on Further Strengthening and Regulating Facility Agriculture Land Use Management (GPNRD [2020] No.3) in 2020, requiring that site and size of FALU shall be determined rationally, waste hills and slopes, tidal flat, ponds, and unused construction land should be utilized where possible, and the use of cultivated land, especially high-quality cultivated land permanent basic farmland should be avoided; Guizhou Province has promulgated the Notice of Guizhou PNRD and PARAD on Issues Related to Facility Agriculture Land Use Management (GPARAD [2020] No.1), proposing that county governments should coordinate site selection for FALU; facilities shall be constructed on unused land and collective construction land where possible, and the occupation of dam areas and cultivated area should be avoided. Where land use right transfer is involved, Measures for the Administration of the Land Use Right Transfer of Rural Land (Decree 2021 No.1 of MARA), the transferee shall submit an application, and the local government at or above county- level or the township government shall organize competent authorities, collective economic organization representatives, farmer representatives, experts, etc. to review the land use, the transferee’s operating capacity, and compliance with the food production and other industrial planning. Those who fail to submit the application for review and verification in accordance with the provisions or fail to pass the review and verification shall not carry out the transfer of land use right. 222. (ii) Identifying and addressing economic and social impacts arising from land acquisition or loss of access to natural resources: The Land Administration Law (effective from January 1, 2020) stipulates, “Owners or users of the land to be acquired shall, within the time limit specified in the announcement, go to fill the compensation registration form with holding its assets ownership certificate. The people’s government at or above the county level shall organize the department concerned to estimate the relevant costs and make them fully available.� The land acquisition compensation measures of Guangxi and Guizhou make systematic arrangements for land acquisition compensation and resettlement in accordance with the Land Administration Law, including for those lacking legal title. During land acquisition, affected people shall confirm the results of detailed measurement survey (DMS), and the land acquisition agency shall enter into compensation and resettlement agreements with landowners and users before submitting application for project approval. In terms of FALU, it’s required to sign land use agreement and submit to township government for record in both Guangxi and Guizhou Province. Where land use right transfer is involved, the Measures for the Administration of the Land Use Right Transfer of Rural Land (Decree 2021 No.1 of MARA) requires that the land use right transfer (LURT) shall follow the principle of compliance, voluntariness and compensation, a LURT contract shall be signed, and the transfer income shall be paid to the land contractor. In addition, a whole set of grievance redress mechanisms for land acquisition compensation has been established from village or community level to townships governments level, and/or to the county level or above. If any affected person is dissatisfied with the DMS result, and/or the compensation or resettlement, he/she may file a grievance with the village head or village committee, or with the township or county / municipal government. According to the Regulations on Complaint Letters and Visits (2005), governments at or above the county level shall perform such duties as acceptance, assigning, undertaking, coordination, handling and supervision. If a complainant is dissatisfied with the results of settlement, he/she may settle the dispute through litigation to protect his/her lawful rights and interests. 223. (iii) Compensation and transition subsidy to be fully paid at replacement cost before land use: The Land Administration Law (effective from January 1, 2020) defines compensation policies, rates, principles, flows, schedules, etc. for different types of land use. Article 47 stipulates, fair and reasonable compensation shall be granted for land acquisition to ensure that the living standard of the affected farmers is not reduced, and their long-term livelihoods are secured; in case of land acquisition, the land compensation fees, resettlement subsidy, and compensation fees for rural residential houses, other ground attachments, young crops, etc. shall be paid timely and fully according to the law, and social security costs for the affected farmers be disbursed accordingly; the 49 Official Use rates of land compensation fees and resettlement subsidy for acquired agricultural land is determined based on the block comprehensive land price formulated and disclosed by provinces, autonomous regions and municipalities, which shall be adjusted or reissued at least every three years; compensation rates for acquired land other than agricultural land, ground attachments, young crops, etc. shall be developed by provinces, autonomous regions and municipalities. 224. Compensation rates for land acquisition are usually adjusted every two to three years based on local economic development and market conditions in each province, city and county. For example, Guangxi promulgated the Notice of the General Office of the Guangxi Government on Implementing Block Comprehensive Land Prices (GRGO [2020] No.5) in March 2020, stating that block comprehensive land prices shall be adjusted or re-promulgated at least every three years, and confirming compensation rates for land acquisition and their scope of application. Guizhou Province also updated its compensation rates for land acquisition in November 2020 by promulgating the Notice of the General Office of the Guizhou Provincial Government on Implementing Block Comprehensive Land Prices (GPGO [2020] No.68), stating that 60% of the block comprehensive land price is the resettlement subsidy and 40% is the land compensation fee; for unused land acquired, 100% of the block comprehensive land price is the land compensation fee; if there are young crops on the acquired land, the county government shall compensate them based on the actual output value; attachments on the acquired land shall be compensated for according to the applicable provisions or the rate agreed on between both parties; if there is no such provision or no agreement is reached, the compensation should be determined by the county government based on the actual loss value. In addition, the new Land Administration Law requires that compensation should be paid before land occupation or land use. 225. For LURT, both parties shall reach an agreement through equal negotiation. Any project involving extensive transfer, many households and high operating risks, a risk security fund may be established. For projects involving the transfer of land use right of the whole village (group) with a large area, a large number of rural households and higher operational risks, risk security funds may be established, and the specific amount of the fund shall be negotiated by both parties. 226. (iv) Policy arrangements for livelihood restoration: The Land Administration Law (2020) requires that the living standard of the affected farmers shall not be reduced, and their long-term livelihoods shall be secured. In general, five main resettlement modes are available to land- expropriated farmers: agricultural production, reemployment, equity participation, non-local resettlement (Guidelines on Improving the Compensation and Resettlement System for Land Acquisition (MLR [2004] No.238)), and endowment insurance (Article 48 of the Land Administration Law (2020), etc.). In addition to the above five modes, state policies, such as the Notice on Doing a Good Job in Employment Training and Social Security for Land-expropriated Farmers (SC [2006] No.29), also requires that local government shall establish a social security system suited to the characteristics and needs of land-expropriated farmers, secure employment training and social security funds, promote land-expropriated farmers to get employed and be incorporated into urban society, and ensure that the living standard of land-expropriated farmers is not reduced due to land acquisition, and their long-term livelihoods are secured. For eligible land-expropriated farmers, employment and startup supporting policies shall be implemented, occupational training should be further strengthened, and public employment services should be improved to promote their employment and startup. 227. (v) Policy arrangements for infrastructure restoration: For potential infrastructure impacts arising from land acquisition and house demolition, the Land Administration Law and the Regulations for the Implementation of the Land Administration Law stipulate, after the land acquisition plan is approved and announced, the county government shall organize a land details measurement survey within the range of land acquisition and disclose the results to the public for at least 30 days. Article 47 of the new Land Administration Law (2020) stipulates, “For rural residential houses, fair and reasonable compensation shall be provided on the principle of compensation before relocation and residential condition improvement, ….� 228. (vi) Information disclosure, public participation and informed decision-making: Public 50 Official Use participation runs through the whole project lifecycle and is an important measure to ensure the success of LAR activities. The MNR issued the Standard Guidelines for Grass-root Government Affairs Disclosure in Rural Collective Land Acquisition in June 2019, sorting out matters to be disclosed, regulating the disclosure process, and improving modes of disclosure to protect the people’s rights of information, participation, expression, and supervision practically. The main objectives of public participation at different stages of LAR are as follows: • During option argumentation and comparison, the project owner and design agency shall conduct meaningful consultation with affected people and other stakeholders and improve the engineering measures and determine the range of land use based on feedback, thereby evading sensitive objects and minimizing LAR impacts. • Participation at the DMS stage includes land acquisition announcement, DMS publicity, participation in the DMS, and confirmation, disclosure and review of DMS results. • At the SSRA stage, meaningful consultation will be conducted with stakeholders to assess potential major social risks arising from land acquisition and house demolition, including other major risks that are not directly related to but may materially affect the project. • During the drafting of the compensation plan, the plan should be disclosed to collect comments from affected people, and a public hearing held when necessary. • Public participation at the implementation stage mainly includes production and life resettlement, and effective information disclosure and consultation should be conducted in the allocation and use of compensation. 229. If FALU is involved, before the land use agreement is signed, the township government and rural collective economic organization shall disclose the relevant matters to the public for not less than ten days, and the land use agreement shall be signed if there is no objection within this period. 230. Assessment: China has established a complete legal framework and policy system on land acquisition, FALU, LURT, house demolition, resettlement, and compensation. The implementation of rural land acquisition and house demolition is based mainly on the Land Administration Law (2020), the measures for the implementation of the Land Administration Law of Guangxi and Guizhou, and relevant compensation rates. The new Land Administration Law defines the scope of land acquisition, strengthens preparatory risk management for land acquisition, and emphasizes information disclosure and public participation (including public hearings) in land acquisition and house demolition, and requires that an agreement shall be signed with the landowner and user before application for land approval, and compensation and resettlement funds should be arranged in advance. The new law requires that land acquisition compensation rates shall be determined based on block comprehensive land prices, and adjusted or reissued at least every three years, and that fair and reasonable compensation shall be granted for land acquisition to ensure that the living standard of the affected farmers is not reduced. Therefore, the new Land Administration Law will protect the rights and interests of affected persons, ensure sustainable livelihoods and improve living conditions more effectively. In general, the LAR regulations are consistent with the requirements of Core Principle #4 and Element 9. 4.2.5 Core Principle #5: Program E&S System on Management of Ethnic Minorites and Vulnerable Groups 231. The three elements under Core Principle #5 are related to the social regulations system of The PforR Program. Consistency is analyzed below. Element 10: Undertake meaningful consultations if the ethnic minorities are potentially affected (positively or negatively), to determine whether there is broad community support for the PforR Program activities. 232. Policy requirements for ethnic minority consultation: Guangxi and Guizhou are multi- ethnic co-inhabited provinces with many ethnic minorities. Guangxi had an ethnic minority population of 18.808 million in 2020, accounting for 37.52% of the total population; there were 12 minority autonomous counties and 59 minority autonomous townships with 12 long-dwelling ethnic minority 51 Official Use groups, namely Zhuang, Han, Yao, Miao, Dong, Gelao, Maonan, Hui, Jing, Yi, Shui and Mulao, and 44 other ethnic groups, including Manchu, Mongolian, Korean, Bai, Zang, Li and Tujia. Guizhou had a minority population of 14.0503 million in 2020, accounting for 36.44%; there were 3 minority autonomous prefectures, 11 minority autonomous counties and 193 minority autonomous townships with 18 long-dwelling ethnic minority groups, namely Han, Miao, Buyi, Dong, Tujia, Li, Gelao, Shui, Hui, Bai, Yao, Zhuang, She, Maonan, Manchu, Mongolian, Mulao and Qiang. China’s Constitution stipulates that all ethnic groups of China are equal. The Law of the People's Republic of China on Regional National Autonomy stipulates, in dealing with special issues concerning the various nationalities within its area, the organ of self-government of a national autonomous area must conduct full consultation with their representatives and respect their opinions; the organ of self- government of a national autonomous area shall guarantee that citizens of the various nationalities in the area enjoy the rights of citizens prescribed in the Constitution and shall educate them in the need to perform their duties as citizens. On this legal basis, when minority residents is affected similarly by land acquisition and house demolition, they will not only enjoy the same rights as citizens, but also be subject to free, prior and informed consultation in a culturally appropriate manner organized by local governments when necessary. On the other hand, according to the regulations on SSRA, at the feasibility study stage of a project, the PIU (or through a entrusted specialized agency) shall conduct a SSRA to identify impacts, propose mitigation measures, and prepare a SSRA report; if a government at or above the county level applies for land acquisition, a current status survey and a SSRA should be conducted. Each municipal or county government has formulated local policies according to the applicable regulations, such as the Notice of the Guangxi Development and Reform Commission on Issuing the Interim Measures for the Social Stability Risk Assessment of Fixed Asset Investment Projects (GDRCI [2013] No.833) promulgated in 2013, and the Notice of the General Offices of the Guizhou Provincial CPC Committee and Government on Issuing the Measures of Guizhou Province for the Implementation of the Social Stability Risk Assessment of Major Decisions (Interim)(QWTZ [2012] No.49) promulgated in 2012. 233. Assessment: Comprehensive ethnic minority development policies have been established in China, Guangxi and Guizhou to respect minority opinions, ensure ethnic equality, and respect minority customs, and are consistent with Core Principle #5 and Element 10. Element 11: Ensure that ethnic minorities can participate in devising opportunities to benefit from exploitation of customary resources and indigenous knowledge, the latter to include the consent of ethnic minorities. 234. Policy basis for ethnic minority development: The Law of the People's Republic of China on Regional National Autonomy stipulates, when developing resources or carrying out construction in a national autonomy area, the state shall protect its interests, make arrangements favorable to its economic development, and local minority residents’ production and livelihoods, and include major ecological balance and environmental protection projects in the local national economic and social development plan. From the perspective of public consultation, the Interim Regulations on Major Administrative Decision-making Procedures stipulate, when developing major economic and social development plans, and determining major local infrastructure projects, prior public participation shall be conducted, and also make systematic provisions on the schedule, form, process, recording, etc. of public participation. Based on the above regulations, five-year development plans for ethnic minority programs have been prepared in both provinces. For example, the Opinions of the Guangxi Government on Carrying through the National 13th Five-year Plan for Promoting the Development of Minority Areas and Smaller Ethnic Minorities (GRG [2017] No.58) propose the priorities of minority work during the 13th five-year plan period, including poverty alleviation, leapfrog economic development, livelihood improvement, ecological civilization, all-round opening and cooperation, accelerated development of ethnic minorities with a small population, protection of minority villages, ethnic unity, innovative minority affairs governance system, and rapid development of minority economy, education, science and technology, culture, health, and politics. In addition, the 14th Five- year Development Plan for Ethnic Minority Programs of Guangxi is being prepared. Guizhou Province promulgated the 14th Five-year Plan for Ethnic Unity and Development of Guizhou Province (GERAB [2021] No.14) in November 2021, proposing various development targets/indicators, including promoting the economic growth of ethnic minority areas, creating a better life for ethnic 52 Official Use minorities, forging a strong sense of ethnic unity, protecting, inheriting, innovating and integrating ethnic minority cultures, and promoting exchanges and integration among ethnic groups and management capacity of ethnic affairs. 235. Assessment: Both central and Guangxi & Guizhou governments make top-down systematic planning and arrangement in ethnic minority development to create job opportunities for minority residents and improve their living standard and it’s required to conduct prior public consultation for relevant plans and projects in accordance with the Interim Regulations on Major Administrative Decision-making Procedures. This is consistent with Core Principle #5 and Element 11. Element 12: Give attention to groups vulnerable to hardship or discrimination, including, as relevant, the poor, the disabled, women and children, the elderly, ethnic minorities, racial groups, or other marginalized groups; and if necessary, take special measures to promote equitable access to PforR Program benefits. 236. Poverty and poverty reduction systems: There are complex causes of poverty, such as illness, disability and education. In China, poor households refer mainly to those below the minimum living security (MLS) standard, and are classified into a) MLS households, whose per capita annual income of an urban/rural household is below the poverty line. Urban and rural MLS standards of Guangxi are fixed by local governments at or above the county level and vary from place to place. In 2020, the average urban MLS standard was 761 yuan per month per person, and the average rural MLS standard 5,400 yuan per annum per person; in Guizhou Province, urban and rural MLS was divided into three levels, where the urban MLS standards were 695, 675 and 625 yuan per month per person, and the rural MLS standards were 4,380, 4,332 and 4,308 yuan per annum per person; and b) extremely poor persons, old and disabled persons and persons under 16 years with no ability to work, no income source, or statutory supporter, or whose statutory supporter is incapable to support, who receive full national security in food, clothing, medical care, housing, and children’s education. Local governments establish files for the poor, and offer living and housing subsidies, free education, interest-free loans, occupational skills training, priority in job placement, etc. c) people who just have been out of poverty and prevented from falling back to poverty. 237. Protection of women’s rights and interests: As for gender equality and women’s development, the Law of the People's Republic of China on the Protection of Women's Rights and Interests (2018 Amendment) requires that women’s lawful rights and interests shall be protected, and gender equality promoted, and defines the state shall ensure that women enjoy the same labor and social security rights as men. For example, this law stipulates that woman enjoy the same rights as men in rural land contracting, distribution of the income of collective economic organizations, compensation for land acquisition or land occupation, and housing plot land, etc. No organization or individual is allowed to infringe on women’s rights in the rural collective economic organizations due to non-married, marriage, divorce and widowers. In 2021, the State Council promulgated the Development Outline for Chinese Women (2021-2030), stating that women’s all-round development be included in overall national and local economic and social development plans, special plans, and livelihood support projects; systems and mechanisms of promoting gender equality and women’s all- round development shall be improved; women shall be entitled to all-round, whole-lifecycle health services to improve their health level continually; women enjoy equal rights of education to continually improve their quality and ability; women enjoy equal economic rights to steadily improve their economic status; women enjoy equal political rights to gradually improve their participation in the management of state and economic, cultural and social affairs. Women enjoy multi-level and sustainable social security as equals, and their treatment level be steadily improved. The system of laws and regulations supporting family development be more completed to widely promote the new fashion of socialist family civilization. The concept of gender equality should be greater popularized to improve the development environment for women. The legal system be more optimized to effectively protect women's legitimate rights and interests. 238. Assessment: Based on the above analysis, there are systematic plans, measures and institutional arrangements on the development, and rights and interests protection of vulnerable 53 Official Use groups and women in China, Guangxi and Guizhou, ensuring that all relevant groups participate in the project equally, and benefit from projects fairly. Therefore, the policies on vulnerable groups and women are consistent with Core Principle #5 and Element 12. 4.2.6 Core Principle #6: Program E&S system on avoid exacerbating social conflicts 239. Element 13 requires that conflict risks be considered, including distributional equity and cultural sensitiveness, and is not related to the PforR in general. In addition, based on the analysis of Core Principle #1 and Element 1, China manages social risks and impacts comprehensively through social stability risk analysis. Therefore, the PforR will not exacerbate local social conflict. 4.3 Assessment of Social Management Mechanism and Capacity 240. Elements 1 and 2 under Core Principle #1 in the PforR ESSA Guidance propose principled requirements for the responsibilities and capacity of the social agencies of the PIUs, which requires agencies responsible must have to commit all necessary resource inputs and appropriate measures to manage social risks (Element 1).On the other hand, it is also required that impact assessment and management requirements should establish clear requirements on organizational responsibilities and resources, thereby supporting the implementation of relevant plans (Aspect V under Element 2). 241. As shown in 242. Table 0-1, the provincial, municipal, and county authorities in Guangxi and Guizhou have established clear management agencies for different social risks, which have been equipped with qualified staff. This section analyzes the organizational setup of the social management system and assesses if the organizational settings are rational and needs for improvement. It is discussed through two levels: First, the organizational settings of each social management system; second, the rationality and capacity of each social management system against the requirements at Elements 1 and 2 under Core Principle #1. Where gaps identified, actions and recommendations will be proposed. The social assessment team assesses the roles and responsibilities of each administrative agency, working regulations / procedures, staffing and capacity, cross-departmental coordination, etc. through adequate consultations (see the stakeholder engagement section). 243. For different social risks, the corresponding organizations or organizational groups are assessed and analyzed in this section. Error! Reference source not found. sets out detailed stakeholder analysis conclusions, including the responsibilities of different government authorities involved in different types of activities, and results of authority interviews under the social management system. 4.3.1 Social risk assessment management agencies15 • Provincial development and reform commission: approving major fixed asset investment projects based on social stability risks and other documents relevant (attaching the SSRA report when applying for project approval). • Provincial political and legal affairs committee: coordinating, supervising and directing SSRA, convening different political and legal affairs committees, and authorities for cross- regional / departmental projects to discuss SSRA requirements, and stressing typical risks when necessary, guiding the SSRA procedures for relevant departments. • Municipal/county government: conducting county-wide social stability risk assessment, decision-making, implementation, and supervision, and it is where the SSRA report is discussed and adopted by the executive meeting of the municipal and county CPC committee. • Municipal/county political and legal affairs committees: reviewing and registering the SSRA report, and supervising the work of the assessor and implementing agency. 15 This section summarizes the responsibilities of the relevant agencies related to program social risk management, which may not be all responsibilities of the government authorities concerned. 54 Official Use • Assessor: conducting or appointing an independent appraisal agency to conduct SSRA, and implementing SSRA measures. • Independent appraisal agency: attending SSRA training and reviews organized by NDRC and getting registered at the provincial political and legal affairs committee in advance. 244. For example, the Sandu Shui Autonomous County Political and Legal Affairs Committee (PLAC) in Guizhou Province has established a SSRA center with 4 staff members, responsible for directing project owners to conduct SSRA on major decisions and construction projects, providing policy advice and guidance, and supervising project owners to implement risk mitigation measures which formulated in the SSRA reports. 245. Assessment: The state and local regulations clearly stipulate responsibilities for the agencies concerned, and the related authorities of both provinces (provincial political and legal affairs committees) require that staff concerned should attend relevant training. In addition, sufficient budgets should be available during SSRA to ensure that relevant measures can be implemented. Therefore, the SSRA mechanisms of both provinces are effective, and consistent with the Bank policy. On the other hand, although the project risk control measures are implemented by the assessor and supervised by the municipal and county authorities, various authorities are involved for different social risks. For example, the natural resources authority supervises land acquisition and house demolition compensation and resettlement only, while for other social risks, such as public participation in site selection, is supervised by another agency, like the office for letters and visits. Therefore, the PIUs have not established any project-specific monitoring mechanism for social risks at the construction and operation stages. 246. Recommendation: Social monitoring and evaluation arrangements should be established for a Bank-financed project to monitor social risks (including LAR) regularly. 4.3.2 Cultural relic protection agencies • Provincial culture and tourism department: coordinating and directing cultural relic investigation, protection and utilization, archeology, and major project implementation through the cultural relic protection division. • Municipal/county(district) government: responsible for the territorial management of cultural relic safety. • Municipal/county cultural relic authority: usually consisting of a cultural relic administration station and an integrated law enforcement team, in which the cultural relic administration station (2-3 staff members) is responsible for coordinating and directing cultural relic protection, conducting administrative law enforcement for cultural relics, assisting the competent authority in reviewing projects involving cultural relic protection, supporting the superior cultural relic and archeological authority in conducting cultural relic investigation and exploration, and archeological excavation; and the integrated law enforcement team (6-10 staff members) is responsible for inspecting and managing illegal acts related to cultural relics, where any cultural relic burial area cannot be avoided in site selection, the provincial cultural heritage bureau shall organize the archeological excavation agency to conduct cultural relic investigation and exploration at the expense of the project owner. • Municipal / county development and reform commission: organizing feasibility study review for construction projects and ensuring that the project design does not affect cultural relics. • Planning division of natural resources authority: assisting the cultural relic authority in defining the range of cultural relic protection and construction control area during local planning and project site selection. 247. Assessment: For potential adverse impacts on material cultural heritage, there are state and local regulations to avoid or minimize such impacts. The existing state and local authorities are capable to manage cultural relic risks effectively, consistent with Core Principle #2. 55 Official Use 4.3.3 Land acquisition and house demolition Agencies o Land use approval agencies: • Ministry of Natural Resources (MNR): reviewing project-specific basic farmland and ecological conservation redline acquisition. • Provincial natural resources department: reviewing project-specific permanent acquisition of collective land (except basic farmland and ecological conservation redline). • Municipal (Prefecture) Natural Resources Bureau (MNRB): reviewing and submitting of the application for permanent land use convention. • County Natural Resources Bureau (CNRB): accepting land use applications for construction projects, directing the PIUs to prepare necessary land approval application documents, and submitting such documents to the competent government. • People’ Government at and above the County Level: approving land use within corresponding authority. o Land acquisition • County or above natural resources authority or land acquisition and house demolition authority: implementing the applicable laws and regulations, drafting the local land utilization plan, directing land users to submit land use application materials, and reviewing and submitting such materials to the higher level authority; establishing a leading group for land acquisition and house demolition compensation and resettlement; entrusting he land and house expropriation department to take the lead, and local township people's governments and communities to cooperate with the third party to carry out social stability risk assessment and survey and mapping, especially land status survey, household visits, policy publicity, resettlement measures discussion, grievance handling, etc.; disclosing relevant land acquisition pre-announcement; drafting a compensation and resettlement plan at the municipal or county level; organizing public hearings on land acquisition and house demolition; signing land acquisition agreements with affected persons or entities, and disclosing land acquisition announcement, conducting land acquisition, compensation and resettlement after obtaining approval. • Township government and village committee: participating in and supporting land acquisition and house demolition, especially DMS, door-to-door visit, policies publicity and communication, resettlement measure discussion, grievance redress, etc. • Municipal county human resources and social security bureau: Population with a per capita cultivated area below the specified level after LA will be subject to social security. Usually, the application for covering by social security is raised by the expropriated farmers, discussed by the village collective economic organization, verified by township government or sub-district office and publicized for seven days, reviewed by the natural resources department in conjunction with the public security department, approved by the local government, then the subsidy funds will be allocated by the local finance bureau, and finally registered by the human resources and social security bureau. Land-expropriated farmers may cover basic endowment insurance for urban workers, or basic endowment insurance for urban and rural residents voluntarily. • Third-party appraisal agency: A qualified real estate appraisal agency will be appointed by the affected village or community under the direction of the natural resources authority to appraise house compensation rates, where relevant. • Finance bureau: preparing necessary budgetary funds according to the resettlement budget submitted by the natural resources authority and land user. • Audit bureau: auditing resettlement costs regularly according to the statutory process, and giving opinions 248. For example, in Xifeng County, Guizhou Province, the Land Acquisition Service Center of the NRB is responsible for collective land acquisition. Regarding to land and attachment acquisition for a specific project, the Land Acquisition Service Center forms a land acquisition management team jointly with the competent authority, township government and village committee. 56 Official Use For example, when the housing and urban-rural development bureau (HURDB) is in charge of a rural waste transfer station project, HURDB would be the competent authority and the representatives of township government and village committee where the waste transfer station located would be members of the team. Such team usually has 5-10 staff members, depending on project size. If house demolition is involved, the team will engage a third-party real estate appraisal agency to appraise the house value and issue an appraisal report. The whole LAR procedure is: the PIU entrusts the land acquisition task to NRB first, then the NRB issues a land acquisition announcement, conducts a detailed measurement survey and appraisal, starts the SSRA, discloses the DMS results and verifies per requests received, and finally re-discloses the DMS results. The land compensation and resettlement plan would also be disclosed at the stage. After that, pre-land acquisition agreement negotiation and signature can be initiated. when all the above activities completed, submits relevant documents to PNRD for approval. After getting approval, the PIU disburses funds to the county finance bureau (land compensation fee), and human resources and social security bureau (endowment insurance) according to the agreement for further disbursement to the affected households, and the human resources and social security bureau will proceed endowment insurance for the affected households. o Facility agriculture land use • National and provincial natural resources authorities, and agriculture and rural affairs authorities: regulating facility agriculture land use by various technical means. • Municipal natural resources authorities, and agriculture and rural affairs authorities: Municipal natural resources authorities supervise and guide the management of facility agriculture land use, establish and improve the inspection system, implement the supervision of facility agriculture land use, and submit facility agriculture land use registration records to the provincial authority annually. • County natural resources authorities, and agriculture and rural affairs authorities: responsible for routine facility agriculture land use supervision, guide the site selection of facility agriculture land use in accordance with the requirements of economical and intensive use of land, identify whether the tillage layer is destroyed, check and accept the land restoration, and report the record information to the prefecture (municipal) competent department quarterly. , where natural resources authorities, upon receipt of the approval documents and relevant record information of the facility agriculture land use provided by the township, shall timely review and upload to the facility agriculture land use regulatory platform, carry out the annual survey on the alteration of facility agriculture land use according to regulations; while agriculture and rural affairs departments at the county level should strengthen the guidance of standards for facility agriculture land use. • Township governments: organize village collective economic organizations and land users to select site and area for facility agriculture land use properly based on the facility construction design under the guidance of natural resources departments and agriculture and rural affairs department at the county level in accordance with the national spatial planning and land use planning, agricultural development planning, village development planning, natural resources, agriculture, forestry and other kinds of policies, and the premise of protection and rational utilization of cultivated land; organize rural collective economic organizations and land users to conduct site selection, complete land use right transfer, sign land use agreement; track the construction process of facility agriculture land use; supervise the land restoration and hand-over process, disclose the information of facility agriculture land use and submit the record information to the natural resources department and the agriculture and rural affairs department at the county level on a monthly basis. • Rural collective economic organization: supervise whether the land users construct the facility agriculture land use and fulfill the responsibility of land restoration in accordance with the agreement, and disclose the information of facility agriculture land use through the board in the village. 249. For example, in Shibing County, Guizhou Province, the natural resources conservation and territorial space ecological rehabilitation section (3 staff members) of NRB is responsible for routine facility agriculture land use management. The land use application procedures include: the 57 Official Use land user submit an application to rural (village or community) collective economic organization where the facility agriculture land use located; the rural collective economic organization discloses the matters of facility agriculture land use in the village for no less than 10 days after receiving the application and before signing land use agreement, and submits the information of facility agriculture land use agreement and facility construction plan to township government for record; the township government organizes the authorities of water resources, ecological and environment, road transport, forestry, world heritage, natural resources, agriculture and rural affairs, etc. to conduct a joint site investigation and review if the land use is compliance with the planning and requirements of relevant laws and regulations and provide comments on site selection; when the land use is confirmed feasible, supervise and urge the land user to engage a qualified third party to carry outland surveying and complete the documents for record, issue approval for facility agriculture land use once receiving complete record documents, submit such materials to county NRB and ARAB, and the county NRB will upload the relevant information to the facility agriculture land use regulatory platform and the county ARAB will keep the documents for record as well. In addition, the NRB law enforcement brigade (7 staff workers) will monitor and inspect the facility agriculture land use. o Land use right transfer • Ministry of Agriculture and Rural Affairs (MARA): directing nationwide land use right transfer and contract management. • Agriculture and rural affairs authorities at or above the county level : establishing sound operating rules, conducting policy inquiry, information disclosure, contract signing, transaction attestation, equity appraisal, financing guarantee, file management, etc. in relation to land use right transfer; establishing a shared rural land contracting information platform for national, provincial, municipal and county interconnection in accordance with unified standards and technical specifications, improving the management level of land use right transfer, directing the work of township rural land contracting management authorities, encouraging transferees to develop crop production, guiding enterprises to develop modern cultivation and stockbreeding suitable for large-scale operation, guiding the transferee to develop moderately operation scale in light of the natural and economic condition, the transfer of rural labor force, the level of agricultural mechanization and other factors, establishing a hierarchical qualification and project review system, and a risk prevention system, strengthening in-process and subsequent regulation, and correcting and punishing illegal acts timely. • Township governments: responsible for land use right transfer and contract management, including providing a sample contract to both parties and directing them to sign the contract, correcting violations in the contract, establishing land use right transfer ledger to timely and accurately record the transfer status and keeping land use right transfer records and documents properly. 250. For example, in Ziyuan County, Guangxi, township governments are responsible for checking land use right transfer applications, land ownership certificates, etc. of households to avoid project risks, providing guidance, and submitting land use right transfer application information to the county rural property right transaction center, which will disclose land use right transfer information through the platform, review the transferee’s qualification, and organize the transaction after receiving deposit; after the transaction is closed, the center will organize both parties to sign a normative contract, settle the price, issue a transaction certificate, and disclose the transaction information. The municipal and provincial competent authorities are responsible for data collection, monitoring, training, etc. Meanwhile, financial offices, discipline inspection commissions and agricultural departments at all levels are responsible for supervising the transfer of land use right. 251. Assessment: China has established a sophisticated organizational structure for land acquisition, facility agriculture land use, and land use right transfer management from county level to township and village level with responsibilities clearly defined. The Land Administration Law requires that land occupied or used for projects shall be compensated for before occupation or use, and the finance and audit bureaus shall review the budget regularly. In addition, during the survey, it’s found that the competent authorities implement or participate in land acquisition or occupation, 58 Official Use facility agriculture land use, land use right transfer, compensation and resettlement for several different types of projects every year, and they have rich experience to implement and manage land acquisition and compensation, consistent with Core Principle #4. o Livelihood restoration • Livelihood restoration measures are flexible, including agricultural resettlement, reemployment, shares resettlement with assets, relocation, social security, etc., which involve different management agencies. Specifically, agricultural resettlement is usually conducted by the village collective economic organization based on the land status and villagers opinions, which may decide to allocate undistributed collective land to households affected by land acquisition, or conduct land reallocation if no undistributed collective land is available; reemployment is chosen by affected households based on their own needs, where free training and employment support are provided by the county labor and employment authority; shares resettlement is determined by the PIU in consultation with affected households; relocation is requested by the affected households for new land farming at other areas, and decided by local governments after assess and consult with the host village collective economic organizations; social security is implemented by the county human resources and social security authority with the support of the township government and village / community committee. Livelihood restoration will be discussed in detail in Section 4.4.4, including case sharing, based on field visit and consultation results. 252. Assessment: Livelihood restoration is part of LAR. Different livelihood restoration measures involve different implementing agencies, such as village collectives, social security authorities, employment authorities, and enterprises, which have clearly defined responsibilities. Public finance supports the implementation of these measures. In addition, different livelihood restoration measures have different funding sources. For example, in terms of shares resettlement, it is determined through the agreement reached between the land user and the village committee or villagers. Livelihood restoration measures can be well implemented in practice due to rich experience and sound regulations on measures, organizational structures and fund arrangements, consistent with Element 9 under Core Principle #4. 4.3.4 Public and worker health and safety, and emergency engagement agencies 1) Worker health and safety • National Health Commission: preparing, adjusting and disclosing classes and catalogs of occupational diseases, and supervising national occupational disease prevention and treatment. • Provincial health commission: supervising and managing the occupational diseases prevention and control in line with the Law of the People’s Republic of China on the Prevention and Control of Occupational Diseases, including formulating and implementing relevant local regulations and policies, monitoring key occupational diseases, conducting occupational health management and risk assessment, undertaking the construction, supervision and administration of technical services for occupational health and radiation health, occupational health examination and occupational disease diagnosis technical support system, coordinating occupational diseases prevention and treatment . • Municipal / county health authority: supervising, managing and implementing the work related to local occupational health prevention and treatment. • Health supervision authority: supervising and enforcing the law on the technical service activities of relevant occupational health technical service agencies and the occupational health work of the employing units according to the laws, regulations and rules related to occupational health, the list of supervision items determined and being entrusted by the superior health administrative departments. • Human resources and social security authority: managing work-related injury insurance and settling claims. 59 Official Use • Municipal / county labor authority: establishing a tripartite mechanism in labor relations with trade unions and enterprises to solve relevant major issues. • Occupational health review agency: obtaining a practicing license and registering in the provincial health commission, where medical practitioner and nurses for registered types and items of occupational health review should be equipped and at least one licensed physician with occupational disease diagnosis qualification is required. • Trade union: directing workers and employers to enter into and perform employment contracts, and establish a collective bargaining mechanism to protect the lawful rights and interests of workers. • Women’s federation: women's federation at or above the county level is responsible for the work of women and children affairs and coordinating competent authorities to protect women’s rights and interests. 253. Health commissions of different counties / cities have a similar organizational structure. For example, in Shibing County, Guizhou Province, three organizations under the health commission are responsible for health management: 1) occupational health supervision and law enforcement brigade; 2) disease prevention and control center; and 3) county people’s hospital (occupational health examination). • Occupational health supervision and law enforcement brigade (2 staff members): checking local enterprises randomly, usually once annually, to see if they make declaration in the national toxic and hazardous factor declaration system and make punishment and rectification suggestions for those who not declare, or fail to declare due to improper information. • Disease prevention and control center (2 staff members): classifying corporate hazards into five categories (pneumoconiosis, chemical, biological, physical and radioactive factors), and checking enterprises with occupational health risks annually. • County people’s hospital: asking enterprises with toxic and hazardous factors to organize pre-job, on-the-job and post-job occupational health examinations for relevant workers, and taking measures accordingly. If there is a health problem, the enterprise and the employee shall be informed in writing and the enterprise shall not set the post, or if the employee is sick on the post, the enterprise shall transfer his position and provide treatment. 2) Community safety management • Production / operation entity: The key leader, e.g., the legal person, is responsible comprehensively for its work safety, and the trade union shall supervise work safety. • Hazardous material production / operation / storage agency: setting up a work safety management agency, or appointing full-time work safety staff. • Safety supervision authority: institutions or organizations with the functions of administration of public affairs like safety supervision shall carry out administrative law enforcement related to work safety under entrustment by competent government authorities at or above the county level. 254. In both provinces, a work safety mechanism is in place, featuring the leadership of production and operation entities, participation of by workers, supervision by the government and public, and self-discipline by the industry. Safety education covers all people, and work safety trainings are provided to each level of government official. 3) Natural disaster emergency engagement • Provincial disaster reduction commission: It is the natural disaster rescue and response agency of the provincial government, established at the provincial emergency management department, with members being the provincial emergency management department, finance department, and other competent authorities, such as the agriculture and rural affairs department, water resources department, natural resources department, housing and urban-rural development department, ecology and environment department, statistics 60 Official Use bureau, meteorological bureau, earthquake bureau, health commission, broadcast and television bureau, red cross, communication bureau, and fire brigade. The provincial disaster early warning and response system is launched based on assessment, and after it is launched, the provincial disaster reduction commission starts its working mechanism immediately to organize and coordinate emergency warning and response activities, such as post-disaster relief and reconstruction, including transitional living assistance, winter and spring relief, recovery and reconstruction of damaged houses, etc. • Municipal / county (district) government: When a natural disaster occurs, the local disaster early warning and response system is launched based on assessment. For natural disasters that may affect several areas, the provincial disaster reduction office will make an analysis and assessment based on the disaster monitoring and forecast information provided by relevant departments and the natural conditions, population and social and economic conditions of relevant areas, and decide to launch a provincial-level disaster early warning and response. 255. Assessment: For natural disaster management, both provinces have defined departmental responsibilities, and can manage sudden natural disasters effectively, consistent with Element 8 under Core Principle #3. 4.3.5 Ethnic minority affairs management agencies • Provincial ethnic affairs authorities: developing the provincial minority development plan as required by the provincial government, protecting the lawful rights and interests of minority residents, and supervising relevant work of protection of ethnic minorities’ rights and interests. coordinating and promoting relevant departments to perform their duties related to ethnic affairs, promoting the implementation and integration of ethnic policies in the fields related to economic development and social affairs; formulating and supervising the implementation of special plans for ethnic minorities affairs, participating in drafting development plans for ethnic minorities and ethnic minority areas in economic and social fields; promoting the establishment and improvement of a comprehensive evaluation and monitoring system for the development of ethnic minority affairs; studying the problems of economic and social development of ethnic minorities and ethnic minority areas and developing special policy suggestions, participating in the coordination of scientific and technological development, economic and technological cooperation in ethnic minority areas, participating in drawing up plans for the talent training of ethnic minorities, and assisting relevant departments in the training, education and employment of ethnic minority officials. • Municipal / prefecture ethnic affairs authorities: implementing policies, laws and regulations, and provincial and municipal / prefecture decisions on ethnic and religious work; drafting local regulations on ethnic and religious affairs; formulating relevant policies and plans, and supervising their implementation; directing and improving the institutional construction for the implementation of national regional autonomy to protect the lawful rights and interests of minority residents; drafting development plans for minority officials and talents, and studying, managing and directing relevant policy advices. • County ethnic affairs authorities: identifying municipal / county minority population, applying for ethnic minority development projects, cultivating minority officials and developing the annual target indicators for minority officials training. 256. Assessment: Departmental responsibilities for economic and social development, and minority official training in minority areas have been defined at the provincial, municipal / prefecture and county levels, consistent with Core Principle #5. 4.3.6 Vulnerable group protection agencies 257. Poverty reduction offices (renamed as “rural revitalization bureaus� since 2021), women’s federations, and civil affairs bureaus (CABs) have been established, and poverty reduction policies and plans developed at the state, provincial and county levels to plan and manage poverty reduction, 61 Official Use women’s development, the disabled, left-behind old people and minors, etc. in a unified manner. All authorities have appropriate staff and budgets, and evaluation mechanism for their performance. • Civil Affairs Bureau (CAB): managing affairs related to old people and left-behind (distressed) minors needing assistance, including conducting survey, statistics, filing and recording, establishing a local management mechanism for left-behind (distressed) minors and a local old-age care mechanism, and securing funds. • Women’s federation: guiding women to play a unique role in production and life, and protecting the lawful rights and interests of women and children, providing assistance to aggrieved women and children, building family civilization, etc. • Disabled persons’ federation (DPF): protecting the civil rights of the disabled, collecting their opinions and needs, mobilizing the public to understand, respect, care for and support them, and eliminate discrimination and obstacles, assisting the government in developing outlines for disabled persons’ programs, promoting their rehabilitation, education, employment, rights protection, culture, sports, social security, IT application, disability prevention, etc. and improving the environment and conditions for their accessing to social life. • Rural Revitalization Bureau (RRB): strengthening poverty alleviation outcomes, and drafting policies to prevent re-impoverishment or additional impoverishment; • Township government and village / community committee: A supervisor of left-behind (distressed) minors is appointed at the township level and a director for minors affairs is assigned at the village/community committee level , and a regional old age care service center and a women’s federation office established at the township level, and a children’s director appointed, and an old age care service station and women’s federation chairman mechanism established in each village / community. 258. In each county, the social welfare section, social assistance service center or comprehensive section is responsible for work on left-behind old people and minors, with 3-4 staff members. For example, in Luocheng Gelao Autonomous County, Guangxi, a comprehensive section has been established in CAB with responsibilities include: 1) keeping records for left-behind old people and minors: By the end of 2021, there were 5,853 left-behind old people and 5,252 left-behind minors scattered in 11 townships or sub-districts of the county; 2) drafting and implementing the county old age service plan; 3) constructing and managing old age service and welfare houses; 4) taking charge of the old age welfare implementation, providing assistance to distressed old people, coordinating and promoting the care and service for od people in rural areas; 5) drafting and implementing the county child welfare plan; 6) managing county-wide child welfare agencies, minor protection agencies and distressed people assistance and service agencies; and 7) improving the rural care service system for left-behind minors, and security system for distressed minors. In addition, the social welfare section of CAB works together with the township governments and village committees, where each township or village has at least one official responsible for left-behind old people and minors. 259. In each county or city, RRB is usually responsible for poverty alleviation, with about 10 staff members. However, a coordination agency like poverty alleviation promotion headquarters or poverty alleviation leading group is established under each county / municipal government, composed of leaders of relevant authorities, which hold coordination meetings irregularly. For example, in Luocheng Gelao Autonomous County, Guangxi, an organizational system for poverty alleviation involving the county, township and village levels is established based on the original work system of poverty alleviation headquarters to implement the requirements of “five-level secretary� to tackle poverty alleviation, with the head of the Party and county government as the general responsible person, forming a work mechanism of “ county supervising, township and village implementing and related departments supporting�. Each township has a responsible person from the county level government and each poor village has a designated responsible government official and department and each poor household dealt with by a designated official. 11 deputy division chiefs are appointed as secretaries for poverty alleviation of 11 township CPC committees, and 138 section officials appointed as poverty alleviation brigade heads of 138 administrative villages (communities). Each village has two anti-poverty monitors, who are responsible for maintaining the 62 Official Use anti-poverty information system, and support anti-poverty monitoring. As of November 2021, there were 313 anti-poverty monitors in the county, who had conducted county-wide monitoring activities for nine times, covering subjects of 1,802 households with 6,361 persons. 260. Assessment: There are competent authorities to manage different vulnerable groups in China, such as poverty reduction offices or RRBs for poverty issues, DPF for disabled people, civil affairs bureaus for the left-behind old people and minors, and women’s federations for women. These authorities are flexibly staffed and may engage extra staff as necessary in additional to their regular staff and secured with funds. Therefore, the state and local governments have clearly defined responsibilities in the rights protection of vulnerable groups, and their management capacity complies with Core Principle #5. 4.4 Assessment of Social Practice Effects 261. The assessment of social practice effects is based mainly on the information obtained from the demonstration counties sampled, covering different geographic and economic development areas of Guangxi and Guizhou, representative of autonomous counties, such as Luocheng Gelao Autonomous County in Guangxi and Sandu Shui Autonomous County in Guizhou. It also referred the materials and implementation outcomes of local similar projects executed in the past in terms of social risk assessment and management. In the counties covered by the fieldwork, primary stakeholders were interviewed to cross-check their attitudes to relevant activities and satisfaction of implementation. With typical cases, it analyzes the consistency between the implementation of domestic social risk management system and the Bank principles, and assesses if the objectives specified in the core principles and elements are met. Therefore, this section makes an analysis and assessment by reference to the six core principles and the social relevance elements. 4.4.1 Core Principle #1: Program E&S Management Systems Designed for Promoting E&S Sustainability Element 1: The legal framework and management agencies can direct social assessment adequately at the PforR level. 262. Some PforR activities do not involve civil works and LAR, such as 1) pesticide and fertilizer reduction, and green and organic agriculture cultivation; 2) straw collection and integrated utilization; and 3) collection of agricultural waste plastics (agricultural mulch film, pesticide and fertilizer packaging waste, etc.). These activities will not cause direct losses to farmers, but will only improve their environmental awareness, and change their farming patterns and living habits gradually, for which farmers should master certain production and living methods and improve their own skills. For such impacts, a free farmer training system has been established from the Ministry of Agriculture and Rural Affairs (MARA) to the provinces and cities, and the local agriculture and rural affairs authorities are exploring some effective policies and measures to accelerate farmers’ improvement and transformation. For example:  Education and training: In June 2020, the MARA General Office promulgated the Notice on the Training of High-caliber Farmers in 2020, by which all provinces have developed farmer training programs and offered training to farmers for free, such as the Implementation Plan for the Training of High-caliber Farmers in 2020 of Guangxi (PARADO [2020] No.85), and the Implementation Plan for the Training of High-caliber Farmers in 2020 of Guizhou Province (PARADO [2020] No.71). Such training is implemented by the agriculture and rural affair bureaus (ARABs) of related county / district, which usually designates a division responsible. In some counties, a high-caliber farmer training leading group has been established, such as Pinggui District, Hezhou City, Guangxi and Xifeng County, Guizhou. Training courses include either the specialized curriculums on green agriculture and organic agriculture cultivation skills, or chapters/sessions during the specialized curriculums for pesticide application, fertilizer reduction, straw and agricultural waste collection and utilization, etc. Such training is usually conducted at places designated by county ARABs, densely populated areas of townships or villages. Except open training, 63 Official Use ARABs also offer special training to farmers who are interested, such as in Ziyuan County, Guangxi. Such training is conducted by 1-2 technicians assigned by the soil and fertilizer station or plant protection station of each county ARAB, and staff from the agricultural affairs division of each township government. All farmers can receive such training for free. ARABs would notify villagers through township governments and village committees by means of WeChat group and broadcast. Such training is usually conducted at the end of winter, the spring sowing period and filed management period. For example, in 2020, the high-caliber farmer training in Pinggui District, Hezhou City covered 353 persons, including 133 women, accounting for 37.68%. It is learned from the survey in the sample counties that the proportion of women in trainees is mostly over 30%, or even over 50%. For example, the high-caliber farmer training in Luocheng County, Guangxi in 2021, 55.7% of the trainees were women. Except planning, each county/district ARAB would prepare an annual summary report to summarize the training performance of the year and propose improvement measures for the training of the next year. As above, it indicates that an integrated management system has been established from the central level to the local level, including state and provincial policies and guidance, to ensure that farmers can gain knowledge, increase income and enhance environmental awareness through training.  Policy guidance: Except training, county ARABs have designated specialized agencies to develop annual work plans for non-pointed sources (NPS) pollution control and raised funds by various means to solve problems related to agricultural waste, toilet upgrading and organic fertilizer use gradually. For example, most county ARABs have an environmental protection office for publicizing and managing agricultural waste, including explaining the harms of littering agricultural waste during the cultivation skills training, and explored policy incentives for proper disposal. For example, a pilot agricultural packaging waste recovery and disposal project was implemented in Luocheng Gelao Autonomous County, Guangxi in 2021, setting up 80 fertilizer packaging waste recovery sites at six township pesticide, fertilizer and agricultural mulch film sales outlets with convenient traffic, encouraging sales enterprises to collect the agricultural packaging waste at a price of 0.3 yuan/kg, subject to subsequent reward by the ARAB. For toilet upgrading, all counties are upgrading traditional pit toilets into 3-compartment flushing toilets and striving for fiscal support to minimize burden of households. For example, toilet upgrading had been completed for 40,000 rural households in Ziyuan County, Guangxi by the end of 2020, and 3,000 household toilets will be upgraded during the 14th five-year plan period; toilet upgrading had been completed for over 50,000 rural households in Luocheng County, Guangxi by the end of 2020, and over 30,000 household toilets will be upgraded during the 14th five-year plan period; 5,500 household toilets in Sandu County, Guizhou will be upgraded during the 14th five-year plan period. Households will participate voluntarily, and different counties offer different levels of subsidization subject to the availabilities of fiscal capacities. For example, each household participating upgrading is subsidized 1,200 yuan in Ziyuan County, 2,000 yuan in Luocheng County, and 2,000 yuan in Sandu County. In terms of organic fertilizer use, county ARABs conduct formulated fertilization following the result of soil testing for cultivated land within their jurisdiction in rotation every year, and guide farmers to apply fertilizers scientifically through professional training. For example, there is 85,000 mu of cultivated land in Ziyuan County, Guangxi, and formulated fertilization is conducted every year with a cycle of three years to ensure full coverage. In each winter and each spring sowing period, four staff members of the county soil and fertilizer station, and township comprehensive agricultural development service centers, and external experts hired, would direct farmers to apply fertilizers rationally in villages. Before visiting a village, they usually notify the time and place of guidance to villagers through the village committee. With the support of local governments, many enterprises on livestock and poultry manure recycling grant organic fertilizers to farmers for free, especially vulnerable farmers. The ARAB also grants an annual subsidy of 80-120 yuan/mu to farmers buying organic fertilizers. 263. Some PforR activities involve civil works and LAR, including: 1) rural wastewater collection and treatment; 2) rural domestic waste collection, transfer and storage; and 3) livestock and poultry manure disposal facilities. If rural collective land is to be acquired, the relevant county or city will manage social risks through a feasibility study or social stability risk assessment (SSRA) at the early 64 Official Use stage of related projects, especially for projects implemented after January 1, 2020, because the new Land Administration Law requires that an SSRA report must be formulated at the preparation stage for any construction project involving land acquisition. All PforR counties have implemented the new policy, such as the domestic waste collection and transfer station construction project in Sandu Shui Autonomous County, and the rural wastewater treatment project in Shibing County, Guizhou. In 2021, 11 SSRAs were conducted in Sandu County, including two projects related to wastewater collection and treatment; SSRAs were completed for two projects in Luocheng County, Guangxi and three projects of SSRAs in Ziyuan County, Guangxi. The SSRA report normally investigates and analyzes the potential social impacts and risks, and opinions of community residents, such as permanent land acquisition, temporary land occupation, and impacts on young crops and other ground attachments, rates the level of impacts and risks, and proposes risk mitigation and control measures based on the result of site survey and consultation. 264. Some other activities do not involve land acquisition, such as manure disposal facilities, small WWTFs, small rural waste collection and transfer facilities, rural toilet upgrading, irrigation and drainage facilities, and cold chain storage facilities, whose impacts are land use impacts mainly which will be discussed in detail in the sections following. For other impacts, such as community health and health, construction, operation and maintenance (O&M), and community complaints, feasibility studies were conducted at the preparation stage, but there were no social risk or impact assessment and no management and monitoring plans formulated for most facilities. Based on communication with the competent authorities in the six sample counties, such as the political and legal committees (PLACs), ARABs, ecological and environmental bureaus (EEBs) and housing and urban-rural development bureau (HURDBs), all of them agree to take two measures for the PforR activities subsequently: First, for small investment projects, a special chapter will be included in the feasibility study report for detailed social risk identification and assessment according to the SSRA regulations, including the social risk management plan and monitoring plan formulated. Second, for large investment projects, a special SSRA will be conducted according to the SSRA regulations at the feasibility study stage to identify, screen and assess potential social risks, including the social risk management plan and monitoring plan formulated. 265. Assessment: Fieldwork and consultation in the sample counties in Guangxi and Guizhou show that the PforR activities will have slight social impacts in general, and all localities have formulated implementation plans or rules for potential social impacts according to the applicable laws and regulations, including institutionalized training arrangements, SSRAs and land administration systems, to ensure that relevant risks are controlled effectively. No SSRA has been conducted for scattered small facilities in some areas, and improvement measures should be taken. Element 2: Apply good practice to social assessment and management. 266. (i) Early screening: According to the information provided by the natural resources authorities of the two provinces and the sample counties, and those collected during the fieldwork, it confirms that at the early stage of projects, joint visits by various authorities are required to identify impacts. All construction projects involving LA are required to complete the land pre-examination appraisal process. The feasibility study report of the project generally needs to be reviewed by the panels involving all relevant authorities and sectoral experts under the organization of the development and reform commission to confirm that the project site is in line with the relevant land use plan. 267. The Pinggui District NRB in Guangxi introduces, for WWTFs, collection stations, etc. that require LA, the project implementation units (PIUs) is required to provide the natural resources authority with the approval of the development and reform commission on the feasibility study (including the approval of land pre-examination approval and the approval of the site selection opinion), LA boundary map, classification table of the land acquired and SSRA report before the natural resources authority accept the entrustment from the PIUs. Only when the risk level is below intermediate, or the risk level was declined to medium or low after execution of mitigation measures , can the SSRA report be evaluated and approved. 65 Official Use 268. For projects constructed on land through the modality of facility agriculture land use (FALU), such as the six straw collection and transfer stations in Pinggui district of Hezhou City, the project site selection process has been applied according to the Detailed Rules for the Management of FALU of Hezhou City, and the land use agreements have been signed with townships and villages, and the lands by the way of FALUs were registered at Pinggui District NRB and ARAB. According to the NRB consulted, the FALU process usually requires the consent of relevant villages / community committees (to confirm being informed and consent) and township NRB (to confirm being informed and consent, and in compliance with local land use planning), review by the county water resources bureau (WRB) (if it is close to any critical water source), forestry bureau (proposing technical requirements for woodland use), transport bureau (not to build any breeding farm or any associated facility within 2km), scenic area authority (if the site can be within the scenic area), county NRB (if basic farmland or ecological redline is occupied), and cultural heritage authority (if the site is within the range of any protected cultural relic). 269. As above, it indicates that the social risks screening and assessment has been implemented and managed effectively through relevant mechanisms. 270. (ii) Alternatives: The feasibility study process for construction projects requires the comparison of different options. For example, at the preparation stage of the domestic waste collection and transfer station in Sandu County, Guizhou, the feasibility study report compares the proposals on different technologies of waste collection and options for site selection. Based on domestic and overseas experience, the technology of vanning type is selected, which is suited to different landforms, and cost-effective for Sandu County. Five principles for site selection are proposed, including: 1) complying with the master urban development plan, local environmental plan, and urban environmental sanitation plan of Sandu County; 2) meeting the local air protection, land and soil conservation, nature conservation, and ecological balance requirements; 3) convenient traffic and reasonable transport distances; 4) low population density, low land value and low land acquisition costs; and 5) short of groundwater, downstream direction of groundwater flow, and downwind direction of the prevailing wind direction in summer. 271. (iii) Developing measures to avoid, minimize or mitigate social impacts: According to interviews with the competent authorities responsible for SSRA, NRBs, and agriculture and rural affairs bureaus in the sample counties, social impact identification, analysis and management measures are required to be analyzed in feasibility study reports or similar pre-project evaluation documents. For projects that are required by laws to carry out SSRAs, such as those involving LARs, there are special management plans for risk identification, analysis, prevention and mitigation in a special SSRA. For example, when carrying out SSRAs on construction projects such as the WWTFs in Niudachang Town of Shibing County in Guizhou , it was required to correspondingly develop preventive and mitigation measures and provide opinions whether the projects and the related measures are feasible . The registration forms for related SSRAs were submitted to the competent authorities for review and comment, indicating their conclusions if it agrees with the proposed projects and measures. 272. (iv) Defining organizational responsibilities and budget sources for the implementation of mitigation measures: Guangxi and Guizhou have similar divisions of government responsibilities in rural wastewater and waste, and NPS pollution control. In particular, agriculture and rural affairs authorities (HURDBs) are responsible for pesticide reduction, fertilizer reduction, livestock and poultry manure treatment and utilization, straw collection and integrated utilization, agricultural mulch film, and pesticide and fertilizer packaging waste recovery; housing and urban-rural development authorities are responsible for rural domestic waste management, and expenses incurred in associated facility construction, including land acquisition compensation, and labor costs for ensuring safety and environmental sanitation around waste transfer facilities. For example, the Shibing County HURDB in Guizhou requires that at least two administrators should be appointed for each waste transfer station, responsible for community health and safety. Ecology and environment authorities are responsible for rural domestic wastewater management, including land use, WWTF construction, fence setup, security and inspection arrangements, operation and maintenance (O&M) funding, etc. For example, there are 139 scattered powerless rural WWTFs and 66 Official Use two centralized ones in Shibing County, Guizhou, in which county EEB applies for fiscal funding for the two centralized WWTFs to cover electricity costs of 3,000 yuan. In Luocheng County and Pinggui District, Guangxi, most WWTFs constructed are centralized ones, and the county/district EEB applies budget for wastewater facility O&M, safety inspection every year. 273. In addition, project preparation, construction and operational management of each authority are subject to daily guidance and supervision by ecological and environmental protection, natural resources, labor and employment, health and hygiene, finance and auditing authorities to ensure that E&S management measures are implemented. 274. (v) Public participation, information disclosure and grievance redress mechanism: During the survey in the six sample counties, the country natural resources authorities introduced their LAR and FALU management processes in detail, including the information disclosure and public participation mechanisms involved. The LAR process complies strictly with the detailed measurement survey (DMS) and verification process in the Land Administration Law, of which the DMS results and compensation program are disclosed in the affected village for least 30 days; for FALU, the land user should consult with the village committee and township government to reach a preliminary agreement, and pass review by the county WRB, forestry, transport and scenic area (if involved) authorities, NRB, cultural heritage bureau, etc. If the review is passed, the related project information will be disclosed in the affected village for not less than ten days. Only when there is no objection, can the village committee enter into a land use agreement with the user. In addition, for projects requiring an SSRA according to law, public consultation were conducted as required, and the each SSRA has passed expert review and been registered with the government. 275. The survey in the counties sampled confirms that government authorities in each locality is acted in full compliance with the regulations on grievance appealing, in which there is a comprehensive set of mechanisms for grievance redress. For example, in Xifeng County, Guizhou, the community grievance redress mechanism (GRM) consists of four levels: firstly, go to directly file a grievance to the relevant PIUs to seek a solution; second, to file a grievance to the village or community committee for address; thirdly, go to the township government or sub-district office for coordination and address; fourthly, go to file a grievance to the county government's appealing office or the county head's hotline/mailbox, etc., which includes a mechanism of collection, initiation within 7 days, and solving within two months. In addition, residents can resolve more serious disputes through civil actions at court. In general, the GRM is normative and effective. 276. Assessment: The fieldwork in the PforR counties of Guangxi and Guizhou indicates that relevant assessments and approvals are carried out on relevant facilities at the preparation stage as required, such as WWTFs and waste transfer station. The preparation stage basically includes E&S screening and public consultation. For some scattered small facilities, such as manure disposal facilities, small WWTFs, and small rural waste collection and transfer facilities, there is no social risk or impact assessment conducted, and no management and monitoring plans formulated at the preparation stage. Public participation and grievance redress activities at the project implementation stage are lack of records. Further improvement can be made in these aspects. 277. Recommendation: For small investment projects, a special chapter shall be included in the feasibility study report for detailed social risk identification and assessment according to the SSRA regulations, including the social risk management plan and monitoring plan formulated. Second, for those larger investment projects, a special SSRA shall be conducted according to the SSRA regulations at the feasibility study stage to identify, screen and assess potential social risks, including the social risk management plan and monitoring plan formulated. Public participation and grievance redress activities at the facility operation stage shall be documented properly. 4.4.2 Core Principle #2: Program E&S System for Adverse Impacts to Physical Cultural Resources Avoided, Minimized, or Mitigated Element 5: Take into account potential adverse effects on physical cultural property and provide adequate measures to avoid, minimize, or mitigate such effects. 67 Official Use 278. It is learned from consultation with the natural resources and cultural relic protection authorities of the sampled counties in Guangxi and Guizhou that the planning authorities consulted with the cultural relic management authorities during the development of local land use plans. The information on the distribution of cultural relics in the region was obtained, and the results of the cultural relic census were incorporated into land use plans. For example, there are one state-level protected cultural site, seven province-level ones, two prefecture-level ones, and three county-level ones in Sandu Shui Autonomous County, Guizhou, many of which are ancient tombs and buildings reflecting local minority culture. Their sites have been fixed in the local land utilization plan. At the land preliminary approval and site selection stage, the project site should comply with the overall local land use plan, which ensures that no other construction work or blasting, drilling, excavation or other operation is allowed within the range of protected cultural relics as required by the Cultural Relics Protection Law. At the assessment stage, the local development and reform commission will invite experts from the heritage conservation authority to participate. If cultural relics are discovered during the construction of the project, the construction agency will report to the provincial department of cultural relics according to the provisions of the Cultural Relics Protection Law and organize an archeological excavation agency to conduct an archeological investigation and exploration of the buried cultural relics within the project area. 279. Assessment: In the project management process, the potential impacts on cultural relics are managed in accordance with the requirements of the cultural relic protection laws and regulations. For unavoidable impacts, strict protection programs are developed and implemented. 4.4.3 Core Principle #3: Program E&S System for Public and Workers’ Safety Protected Element 6: Promote adequate community, individual, and worker health, safety, and security through the safe design, construction, operation, and maintenance of PforR activities; or, in carrying out activities that may be dependent on existing infrastructure, incorporate safety measures, inspections, or remedial works as appropriate. 280. There is a labor management system established on each administration level, including related laws and regulations as discussed in Section 4.2, and corresponding labor authorities as mentioned in Section 4.3. The survey to the sampled counties indicates that the labor management system is basically in operation effectively. And the result of survey also indicated there were no any child labors (under 16 years) identified in the enterprises or units. 281. Occupational health management: The PforR activities involving construction and operation include livestock and poultry manure recycling facilities, straw recovery, recycling and disposal facilities, rural toilet upgrading, rural waste collection and transfer facilities, and rural wastewater collection and treatment facilities. According to the survey, construction safety and management measures for the construction and operation are set out in a dedicated chapter of the feasibility study report for these facilities; for some large projects, the feasibility study report also analyzes occupational hazards of workers at both stages and proposes management measures. For example, Chapter 11 of the feasibility study report for the domestic waste collection and transfer station construction project in Sandu County is “labor safety, health and fire protection�, which analyzes all potential occupational hazards in detail, and proposes a management plan. The waste transfer stations in Sandu County are operated by a third party, which has established a corporate occupational health management system, such as assigning two operators for each station, and offered relevant training (for vibration and noise mainly, as shown in Figure 1 in Appendix 8). Except those relatively large construction projects, a feasibility study has been conducted for some small WWTFs, and waste collection and transfer facilities. For enterprises with occupational hazards, health authorities would organize a sampling inspection together with the human resourcesand social security authorities every year to check if OHS measures are in place, how simultaneous measures is performed, and the monitoring of occupational hazards. For issues identified during the inspection, enterprises are urged to make improvement. 282. Labor dispute settlement mechanism: Labor dispute settlement mechanisms have been 68 Official Use established at three levels from enterprises to county governments, including the corporate interal settlement mechanism, township labor dispute mediation center, and county labor dispute mediation center. Workers can also resort to judicial means. For example, the Shibing County Labor and Social Security Bureau in Guizhou accepted 38 labor disputes in 2021, in which 31 were settled through mediation (81.5%) and seven through judgment; the Luocheng County Labor and Social Security Bureau in Guangxi accepted 111 labor disputes in 2021, all of which have been closed, in which 65 were settled through mediation (58.5%), mainly involving occupational injuries, labor relationship termination, financial compensation, back salary, etc. The trade union system and human resources departments of the corporate are also effective mechanisms for ensuring the safety of workers at work, and the trade unions can help workers obtain rights and interests in safety training, health inspections, work environment and living needs. As the result of survey, the labor dispute settlement mechanisms are largely consistent from locality to locality, when a labor or personnel dispute arises, worker can seek help from the labor inspection and enforcement authorities of the labor authority, or it can directly submit to labor disputes arbitration. The labor inspection and enforcement authorities investigate and determine whether to file a case within five days after receiving the complaint and requires the case that meet the acceptance principle (e.g., the violation occurred within two years, etc.) to be closed in 60 working days. It can be extended to 30 working days for complicated cases upon approval. If the worker is not satisfied with the result, he/she can resort to labor disputes arbitration within six months. The application for labor arbitration is valid for a period of one year. The labor arbitration consists of two levels, including mediation and arbitration. Usually, labor mediation is recommended as the priority, and the mediation will be completed within 15 days since receiving the application. If the mediation is successful, the labor and management will sign a mediation agreement, and if not, the worker may apply for labor arbitration. The cases subject to arbitration by an arbitral tribunal shall be ended within 45 days after the arbitration committee accepts the application for arbitration. If an extension is required due to the complexity of the case, it may be extended and notified in writing to the parties upon approval of the chairman of the arbitration committee, but the extension period shall not exceed 15 days. If the arbitration decision has not been made within the time limit, the worker may bring a lawsuit to the people's court concerning the labor dispute. The results include pre-case mediation, case acceptance, and no acceptance. If not accepted, a written explanation should be provided to the applicant. 283. Rights and interests of female workers: It is learned from the women's federations of the sample counties that women's federations participate in the annual supervision and inspection of enterprises jointly with the county labor and health authorities to check the protection of women's rights and interests every year. Inspected entities include county WWTFs, livestock and poultry manure recycling facilities, domestic waste collection and treatment enterprises, etc. On the other hand, all enterprises follow the special requirements of laws, regulations and rules for female workers, such as compliance with gender equality, equal pay for equal work, and preferential treatment policies for women. For example, female workers are entitled to cervical and breast cancer screening, and physical review; work arrangements are made after listening to the opinions of female workers; female workers are not assigned to heavy physical work or work in poor working conditions during pregnancy; protection and welfare policies such as maternity leave benefits are provided according to laws. 284. Assessment: A survey on the sample counties shows that the PIUs followed the regulatory requirements during construction or operation. Element 8: Include adequate measures to avoid, minimize, or mitigate community, individual, and worker risks when the PforR activities are located in areas prone to natural hazards such as floods, hurricanes, earthquakes, or other severe weather or affected by climate events. 285. Construction project and enterprise management: The survey on waste collection and transfer, and livestock and poultry manure recycling enterprises in Guangxi and Guizhou show that at the assessment stage, a special chapter is included in the feasibility study report or project design, or a special geological hazard assessment report prepared to identify relevant impacts and risks, including a management plan formulated. At the construction stage, the construction contract specified the contractor’s obligations in community and worker health and safety based on the 69 Official Use feasibility study conclusions, and safety management positions set up and persons responsible appointed based on the safety management plan. At the operation stage, rules and regulations, an employee management handbook, and an epidemic management mechanism are established, and relevant training and registration conducted based on the management plan. Epidemic management requirements are disclosed in all public areas. For example, in the Liuhe ecological pig breeding project in Luocheng County, Hechi City, Guangxi, a water and soil conservation plan is prepared at the feasibility study, sorting out major natural disasters, and concluded that the PforR was not a state- level water and soil reserve, but a provincial one, and proposing specific safety management measures. 286. Administrative management: All municipal and county governments, health commissions, and other competent authorities carried/are carrying outed infectious disease prevention and control strongly, and promulgated and implemented special management regulations. For example, the Ziyuan County Government in Guangxi issued five documents on COVID-19 control through the health commission in 2021, such as the Notice on Strengthening Epidemic Prevention and Control Measures, conducting epidemic management on local enterprises and residents through grassroots organizations, such as township governments and village committees, and proposing such measures as vaccination and floating population registration. 287. Assessment: At the construction and operation stages, community and worker health risks are managed effectively through the government system and enterprise self-management system. 4.4.4 Core Principle #4: Program E&S System of Involuntary Resettlement Established 288. According to the survey, the PforR may involve the following four land use modalities: 1) permanent land acquisition for rural domestic waste collection and transfer facilities, some centralized township WWTFs attaining a certain scale, livestock and poultry manure recycling facilities, and straw treatment facilities; 2) facility agriculture land use (FALU) for some livestock and poultry manure recycling facilities, and straw treatment facilities; 3) occupation of unused collective construction or unused land for most rural wastewater facilities with floor areas of 100-400 m2; and 4) land use right transfer (LURT) for green agriculture and related facilities, e.g. the irrigation facilities. 289. For the above land use modalities, negative impacts are managed through different management systems. LAR effects are analyzed in the six aspects included in Element 9 as follows: (i) Minimizing negative impacts related to land acquisition 290. For projects involving LA, such as the urban and rural waste collection and transport system project in Shibing County, Guizhou, the domestic waste collection and transfer station construction project of Sandu county in Guizhou, and the integrated industry development project with an annual output of 300,000 live pigs in Sandu County, a construction land preliminary approval, and a site selection opinion have been obtained according to the regulatory land acquisition process, which means that competent authorities had organized the land surveys at the preparation stage. Of which, the Shibing County Forestry Bureau has reviewed the woodland occupation and given comments on management measures of forest land occupation (as shown like Figure 2 in Appendix 8 ). 291. For projects subject to FALU, such as the project of Xinhao Agriculture and Stockbreeding Co., Ltd. in Luocheng County, Guangxi, the registration process ran from the village level to the county level, such as review by the county WRB (if it is close to any critical water source), forestry bureau (proposing technical requirements for woodland use), transport bureau (not to build any breeding farm or any associated facility within 2km), scenic area authority (if the site can be within the scenic area), NRB (if basic farmland or ecological redline is occupied), and cultural heritage authority (if the site is within the range of any protected cultural relic). See Figure 3: FALU registration form of Xinhao Agriculture and Stockbreeding Co., Ltd. in Luocheng County, Guangxi. 292. Rural wastewater collection and treatment facilities usually occupy collective unused land. Or, if villager’s land is proposed to occupy, it is normally addressed through land adjustment internal 70 Official Use of the collective economic organization, or through land compensation based on negotiation with the villagers. It is subject to voluntary basis. Where the villagers don’t accept the result of negotiation, other site option is normally selected. 293. LURT is normally executed in projects involving agricultural planting and/or related facilities, can only deal with agricultural activities to ensure that farmland is used for agricultural purposes. All local law enforcement brigades for natural resources have routine supervision mechanism to minimize negative impacts of land occupation. (ii) Identifying and addressing economic and social impacts arising from land acquisition or loss of access to natural resources 294. According to the county natural resources authorities, PIUs and relevant enterprises, either LA or FALU, a DMS should be conducted to define the boundary line before land use review, and the survey results will be registered and confirmed by the affected persons. In case of permanent land acquisition, the DMS results and compensation program will be disclosed to the affected community for at least 30 days. Only if there is no objection can the land acquisition/land use agreement be signed. After that, the approval document will specify that the losses arising from land occupation will be fully compensated, and the land that is no longer used will be reclaimed, and compensation for land fertility loss shall be provided before return. For example, in the land pre- examination approval of the waste compression and transfer station construction project of Sandu County, Guizhou, the local NRB asked the land user to conduct compensation and resettlement properly and take social security measures to ensure that the living standard of the affected persons is not reduced, and that the used land is reclaimed according to law. In the project of Xinhao Agriculture and Stockbreeding Co., Ltd. in Luocheng County, Guangxi, the Xiaochang’an Township Government approved the FALU, and required that the land user should not expand the land area, not change the land use, and reclaim the land after the expiry of the land use period. (iii) Compensation and transition subsidy fully paid at replacement cost before land use 295. Local natural resources authorities confirm that local compensation rates for land acquisition and house demolition on rural collective-owned land are updated every 2-3 years or more frequently (e.g., updated in 2020 and 2021 respectively in Luocheng County, Guangxi) based on local economic development and market conditions. According to the consultation and survey with the PPMO and counties sampled, the PforR is not expected to involve any house demolition. 296. If any small WWTF occupies any land of villagers, the collective economic organization will enter a land occupation agreement with the land villagers and grant full compensation according to the prevailing local policy. The land nature will remain unchanged as village collective owned. For example, the WWTF in Shang’ao Village, Yangliutang Town, Shibing County, Guizhou has a floor area of 326 m2, for which the village committee has entered a land occupation agreement with the persons involved, and grant compensation following the prevailing compensation standard of land acquisition. The project site, floor area, and compensation rate are specified in the agreement, which is signed by the affected persons for confirmation (as Figure 4 in Appendix 8). (iv) Livelihood restoration 297. The county/municipal human resources and social security bureaus (HRSSBs) have also introduced the implementation of endowment insurance, employment training and support for land- expropriated farmers, and confirmed that they will not lose living security after land acquisition. Land- expropriated farmers may select different social security options based on their needs. For example, 1) basic endowment insurance for urban and rural residents: In 2021, the minimum basic pension was 131 yuan per capita per month in Guangxi and 98 yuan per capita per month in Guizhou. Social security subsidies for those under the retiring age are paid by local governments to individual accounts, and pensions for those having attained the retiring age are paid by HRSSBs. The affected persons may choose a higher contribution level voluntarily to receive a higher pension after retirement; 2) endowment insurance for urban employees: Subsidies are granted at the rate of 1:1 71 Official Use for the period of contribution in cash, which means the government grants the same number of subsidies as the number paid by the persons, and pensions increases with the contribution level, being 3,000 yuan per capita per month in both Guangxi and Guizhou. Those under the retiring age may benefit from employment skills training and support, especially in rural areas, where such measures include land lease and nearby employment. For example, the survey on the kiwi and vegetable industry park in Xifeng County, Guizhou shows that the company encourages local villagers to become shareholders with land, and get employed in the park, where those working here are paid not less than 2,000 yuan per month. (v) Policy arrangements for infrastructure restoration 298. According to the consultation with the provincial and county natural resources authorities, the county governments organized land surveys for both LAR and FALU, through which the social impacts and risks would be identified for the project/activities proposed, and the related management plan would be developed accordingly, including the potential impacts and management/restoration plan for the public facilities affected, if identified. In addition, the mechanism of SSRA in place would be executed at the preparation stage to identify all relevant social impacts that might be caused by the project, including the collection of public opinions and suggestions. These measures ensure that public facilities and community services affected by the project are protected, or restored as soon as possible after being affected, or even improved based on public opinions and suggestions. (vi) Information disclosure, public participation and informed decision-making 299. As discussed above, all localities have conducted information disclosure, public hearing and public participation according to laws during land acquisition and FALU, since relevant materials are essential to land use approval. For LURT, the land user would accept qualification review by the related village committee and township government (if over 1,000 mu, review by county ARAB is also required). After review is passed, the both parties can start to negotiate the LURT agreements. In parallel, the land user must make the related project information available without any cost and conditions to the township government, collective economic organizations and the land providers (e.g. the households involved). Once the clauses of agreements formulated, e.g. the land boundary, area, duration of rental and price, the LURT agreement can be entered. Therefore, the LURT is a result of mutual consent. 300. Assessment: In all localities of Guangxi and Guizhou, there are sophisticated mechanisms in place for land acquisition, FALU and LURT to screen and mange related impacts systematically, including impact identification, management planning, compensation for the losses of personnel, , livelihood restoration, and institutional and fiscal supports. These mechanisms and their effective operation ensure that land use impacts are managed properly. 4.4.5 Core Principle #5: Program E&S System on Management of Ethnic Minorities and Vulnerable Groups Element 10: Undertake meaningful consultations if the ethnic minorities are potentially affected (positively or negatively), to determine whether there is broad community support for the PforR activities. 301. It is learned in the interviews with ethnic affairs management authorities in the counties of the two provinces that ethnic minority issues are effectively managed in the management of a project through two levels: On the one hand, respect the Constitution and relevant ethnic affairs management laws and regulations. When dealing with special issues involving the various ethnic groups in the localities, their representatives must be fully consulted and their opinions respected; the self-governing authorities of the ethnic autonomous localities guarantee the citizens of all ethnic groups in the regions to enjoy their constitutional civil rights. On the other hand, corresponding public consultation activities are carried out in accordance with the relevant requirements of assessment and management for general construction projects. Each county has formulated a development plan every five years, aiming at the development characteristics of local minority areas and implemented 72 Official Use projects for the development and cultural preservation of the ethnic areas. Since there are many minority areas in Guangxi and Guizhou, the ESSA team selected one minority autonomous county in each province for the survey, namely Luocheng Gelao Autonomous County in Guangxi and Sandu Shui Autonomous County in Guizhou. The county ethnic and religious affairs bureaus (ERABs) are responsible for managing ethnic affairs. For economic development projects in the minority areas, village committees and township governments file applications with the ERAB or other departments relevant every year based on their own needs, and the ERAB and other related departments will apply for funding with the superior authority based on project necessity and urgency. Therefore, such projects are raised subject to the own development needs of the ethnic minorities area and adequate consultation, hence, it is generally supported by the minority residents extensively. For those specific investment projects, the existing project management mechanism is applied, including feasibility study, SSRA and systematic public consultation, which can ensure that the minority residents are respected. 302. Assessment: The domestic ethnic minority management system can ensure the meaningful consultation and engagement with the ethnic minority people. And, when a project is implemented in a minority area, the rights of notification for the minority residents can be ensured on the legal and implementation levels. The effective operation of the domestic ethnic minority management system can ensure the PforR activities getting broad supports from local ethnic minority communities. Therefore, the practical effects are consistent with the Bank’s policy principles. Element 11: Ensure that ethnic minorities can participate in devising opportunities to benefit from exploitation of customary resources and indigenous knowledge, the latter to include the consent of ethnic minorities. 303. The central and provincial governments have policy and financial support for minority areas when formulating economic development plans. Small projects (e.g., around 500,000 yuan) are usually implemented by ERABs, and large, specialized projects (e.g., water resources) are implemented by competent authorities. It is learned that minority autonomous counties obtain more ethnic minority development funds than other counties from the central, provincial and municipal levels of financial fund supports through ERABs. For example, in 2021, about 20 million yuan was obtained through the Luocheng Gelao Autonomous County ERAB, 14 million yuan through the Ziyuan County ERAB, and 3.87 million yuan through the Pinggui District ERAB in Guangxi; on Guizhou side, 11.65 million yuan was obtained through the Sandu Shui Autonomous County ERAB (ranking second in the province) in 2021, 5.2 million yuan through the Xifeng County ERAB and 6.6 million yuan through the Shibing County ERAB. Such projects mainly include infrastructure construction, agricultural development and traditional culture protection, such as handicrafts, songs and language. For example, Gugui Village (a minority village), Fengyu Sub-district, Sandu County received 396,000 yuan from central finance for its characteristic industry development project, and Wanhushuizhai Community, Fengyu Sub-district, Sandu County received 150,000 yuan from provincial finance for handicrafts training in 2021. These projects enable minority residents to benefit from ethnic resources and tourism development. 304. Assessment: The PforR localities have plans for the preservation of minority cultures and are implementing related projects every year. The implementation of the PforR is one of promotion and support for those programmatic projects, which will bring opportunities to benefit the people of ethnic minority areas. Element 12: Give attention to groups vulnerable to hardship or discrimination, including, as relevant, the poor, the disabled, women and children, the elderly, ethnic minorities, racial groups, or other marginalized groups; and if necessary, take special measures to promote equitable access to PforR benefits. 305. Following the requirements of related regulations, the protection of women’s rights and interests is a responsibility of all authorities and organizations, which is reached through organization 73 Official Use and guidance of women’s federations at each level, and/or internal women’s affairs divisions of enterprises and organizations, including implementation of related activities or projects with budget formulated. For example, in 2021, the Guiping District Women’s Federation in Hezhou City, Guangxi assisted women 16 times in rights and interests protection, of which mostly were afamily legal assistance to women for family violence and disputes, supports to women and children with difficulties. As indicated, assistance were provided to 15,220 women in 2021 for treatments on breast cancer and cervical cancer, involving 771,500 yuan. In total of 500,000 yuan of central and provincial finance received in 2021 for Luocheng Gelao Autonomous County Women’s Federation in Guangxi to support the women in economic development, top-ranking in Guangxi, mainly invested in women’s training on Gelao embroidery, housekeeping and e-commerce, through which 197 women benefited. In the high-caliber farmer training offered by the Xifeng County ARAB in Guizhou in 2020, skills training on chrysanthemum and orange cultivation, and chicken breeding was offered to 89 women. Ziyuan County in Guangxi began to cooperate with the Food and Agriculture Organization of the United Nations (FAO) in 2018 and ensured that not less than 30% of trainees in the high-caliber farmer training of each topic should be women. Except official women’s federations, enterprises must protect female workers’ rights and interests in accordance with the Law on the Protection of Women’s Rights and Interests. For example, the labor contract of Ziyuan County Environmental Sanitation Company signed with each female worker specified that the female worker would receive a health checkup and would not work during pregnancy and lactation. 306. Orphans, left-behind minors, old people, the disabled and the poor are managed by civil affairs departments (CADs) and disabled person’s federation mainly, which prepare statistics and provide assistance accordingly. For these people, the government arranges special funds to protect their rights and interests. For example, in Luocheng County, Guangxi, there were 226 orphans as of December 2021, for which a total of 416,900 yuan of security funds were granted to 428 orphans in person-time. In addition, 1.71.81 million were granted to 2,031 person-times unsupported minors, and 90,000 yuan granted to 36 person-times of school age orphans, 346,300 yuan were paid to 3,983 person-times of disabled minors, and 355,000 yuan paid to 4,130 person-times of severely disabled persons. Relevant local management systems are similar. Taking the Pinggui District in Guangxi, and Xifeng and Sandu Counties in Guizhou as examples, i) the CADs lead the relevant matters within the county/district, each township government has at least one child officer, each village (community) committee has one child director, and each compulsory education school has at least one full-time (or part-time) mental health instructor, responsible for information checking and submission, and care giving; ii) special funds are arranged at the county and township levels every year, ensuring the related management work and supports implemented. 307. The survey shows that rural revitalization bureaus (RRB) at each level are responsible for poverty alleviation. Each county RRB has established a complete database of poor residents and families. Although poverty was eliminated in 2020 in China, local governments still keep complete records of residents and families lifted out of poverty and continue to track and support them. Meanwhile, a four-remaining policy is implemented in each area, including remaining of responsibility, remaining policy, remaining supports and remaining monitoring. For example, in Pinggui District, Guangxi, it manages the poverty alleviation affairs by implementing the four-remaining policy through: i) remain the command system for poverty alleviation in the county, township and village unchanged, ii) remain the central and provincial funds and supporting policies on education and health are implemented, iii) remain a resident official is assigned to each village to direct assistance, and iv) remain the regular monitoring on those likely to be impoverished again. For those poverty people who are likely to return poor, there are detail recording and close monitoring. The overall goal is to strengthen the poverty alleviation achievements in a transition period of five years with a principle of gradually adjustment and smooth transition, so that help the poor families become self-development by the end of transition. 308. Assessment: In terms of women’s development and rights protection, through women’s federations, enterprises’ female affair agencies, and grassroots women’s organizations, women’s development rights and interests are protected appropriately. For left-behind minors and the elderly, 74 Official Use the government has established a relevant database mainly through civil affairs authorities and worked with each township and village/community to offer timely assistance. In terms of poverty alleviation, a complete institutional mechanism has been established from the national to locals, including policies supports, budgets provided, and institutional arrangements, by which it not only protected the legitimate rights and interests of poor families in various projects, but also enabled an effective management on support and development for the poverty families. 75 Official Use 5. Public Participation and Grievance Redress Mechanisms (GRMs) 5.1 Public Participation 309. Stakeholder engagement is an important aspect of this ESSA and a requirement of the Bank policy. During the ESSA, stakeholders have been identified subject to the impacts of activities, interest in the activities and power of influence on decisions, mainly including government authorities at different levels, villages and communities, activity implementation agencies, women’s federations, NGOs, affected persons, etc. (see Appendix 4). During the ESSA preparation, extensive participation and consultation activities were conducted in the relevant counties and districts in both provinces, including the consultation meetings with provincial and county authorities held in Guangxi and Guizhou in January 2022. 5.1.1 Initial Participation Activities 310. At the preparation stage, the Bank team and ESSA consulting team engaged with relevant authorities of the Guangxi and Guizhou Provincial Governments from November 2021 to January 2022 many times, covering the Bank’s PforR provisions, E&S policies, implementation management practices, operating processes, assessment document preparation, etc. 311. From November 2021, extensive public participation has been conducted in Guangxi and Guizhou to prepare and improve this report (see Error! Reference source not found.), including many consultation meetings of provincial authorities, involving provincial DRCs, PFDs, PARADs, RRBs, PHURDDs, PEEDs, PNRDs, women’s federations, ERABs, etc. At the county level, Bobai County in Guangxi, and Xifeng County and Xingren City in Guizhou Province were visited, and online focus group discussions (FGDs) held with government authorities of Xifeng County, Sandu Shui Autonomous County and Shibing County in Guizhou, and Luocheng Gelao Autonomous County, Ziyuan County and Pinggui District in Guangxi. In the above FGDs, exchanges were made with government authorities, relevant enterprises (domestic waste disposal, domestic wastewater treatment, livestock and poultry breeding, agricultural mulch film recycling, etc.), village officials, villager representatives, etc., and rural domestic waste collection and transfer, land filling, waste incineration, wastewater treatment, livestock and poultry breeding, livestock and poultry manure recycling, and agricultural mulch film recycling sites visited. These activities cover the following items: • Responsibilities and organizational setup of each authority • Prevailing main sectoral policies and regulations • Scope of implementation, policy requirements, implementation progress, effects and main issues related to wastewater collection and treatment, agricultural non-point-source pollution control, river management, etc. in work of different authorities • Enterprise scale, recruitment mode, worker benefits, safety and skills training, occupational health hazards and inspection, availability of protective equipment, facility land approval, EIA, SSRA, social impact assessment (SIA), geological disasters, management, etc. • Community domestic waste collection, transfer, separation and disposal (including recycling); • Villager employment, especially participation in waste, wastewater, and river management projects • Wastewater collection and treatment, house connection, charging, issues, and suggestions • Local use of chemical and organic fertilizers, and effects 5.1.2 Public Consultation on the ESSA 312. The first version of the draft ESSA was provided to Guangxi and Guizhou provinces for public consultation and comments in January 2022. The Guizhou and Guangxi PPMOs organized all relevant provincial and county government authorities to have consultation meetings with the 76 Official Use ESSA team on 18 and 20 January 2022, respectively. Due to COVID-19 restriction, the consultation was conducted online, of which the record is listed in Appendix 7. Feedbacks and opinions have been received and incorporated into the revised ESSA. The participants of the consultation meetings include officials from the provincial authorities such as RRAs, ARABs, HURHBs, human resources and social security departments, civil affairs departments etc., and from various county/district authorities in Sandu, Shibing, Xifeng, and Yinjiang of Guizhou and Pinggui, Ziyuan, Luocheng, Tiandeng, Xingbin, Yicheng, Mashan, Zhongshan, Tiandong, and Rong’an of Guangxi. At the meetings, the PforR and the draft report were introduced, including the purpose, scope, methods, conclusions, and recommendations of the ESSA. The main concerns of the meetings are: 1) Whether the laws and regulations quoted in the ESSA are accurate and relevant. 2) Whether the analysis of the laws and regulations is pertinent. 3) Whether the description of the organizational setup in the report is accurate, and whether the assessment of institutional capacity is appropriate. 4) Whether the conclusions of this report are acceptable; in particular, whether the gaps identified between domestic ESMSs and the Bank’s PforR policy are correct, and if the recommendations proposed are feasible and acceptable. 313. At the meetings, the participants gave positive comments on the ESSA report, accepted the recommendations proposed, and gave some valuable revision opinions, such as the validity of some policies, latest organizational settings, and organizational responsibilities. The Bank has listened to, recorded, and studied these opinions carefully, and revised this report accordingly. The feedbacks from the governments and the responses made by the ESSA team were presented in Appendix 7. 5.2 GRMs 314. Existing GRMs usually include community and enterprise GRMs. The community grievance redress mechanism (GRM) consists of four levels: firstly, grievances are reported directly to the relevant PIUs to seek a solution; second, grievances are reported to the village or community committee for address; thirdly, grievances are reported to the township government or sub-district office for coordination and address; fourthly, grievances are reported to the county government’s appealing office or the county head’s hotline/mailbox, etc., which includes a mechanism of collection, initiation within 7 days, and solving within two months. In addition, residents can resolve more serious disputes through civil actions at court. In general, the GRM is normative and effective. An enterprise GRM basically has two aspects: First, workers’ grievances: Workers’ grievances are handled through a three-tier labor dispute resolution mechanism, namely, the enterprise labor disputes and redressing mechanism, the township government’s labor dispute mediation center and the county government’s labor mediation center. On the enterprise level, workers can seek a solution through the enterprise/factory manager mailbox, or the trade union. If any dispute cannot be addressed satisfactory, the worker can go through the government mediation mechanism, or seek solution by labor arbitration (see Principle #3 under Element 8 in Section 4.4). Second, the enterprise sets up an external relations department, and assigns a contact and a telephone number to collect complaints and suggestions from the public. 315. Assessment: Based on interviews with village committees and villager representatives, village-level GRMs are sophisticated in general, and most (as reportedly over 90%) grievances can be solved effectively at the village level, with very few solved through civil litigation. GRMs for labors of enterprises are quite normative and can solve worker grievances. However, some enterprises have not disclosed the grievance contacts and telephone numbers to the public, therefore, it is necessary for enterprises to establish a GRM at the construction and operation stages. 77 Official Use 6. Conclusions, Recommendations and Action Plans 6.1 Conclusions 316. The PforR aims to promote green and sustainable agriculture and rural development of the selected provinces. Based on the ESSA, proper E&S management systems have been established in China, Guangxi and Guizhou to identify, assess, avoid, mitigate, manage and monitor the E&S impacts and risks related to the PforR activities, including: 1) a complete regulatory system, including applicable laws, regulations, policies, standards and technical guidelines at the state and local levels; 2) clear implementation mechanisms, including clear administrative procedures, institutional arrangements and responsibilities for E&S impacts and risks management, and necessary professionals and financial resources; and 3) outcome performance of the E&S systems: The random surveys on the past cases in the sample counties show that E&S impacts and risks management measures have been implemented effectively. Based on the assessment, the E&S systems related to the PforR are generally consistent with the requirements of the Bank’s PforR policy and guidance. 317. Through E&S screening, activities with high E&S risks have been excluded. Provided that the existing E&S systems are implemented effectively, the PforR will not have any major negative E&S impacts, and the PforR’s overall E&S risk rating is Substantial. 318. Following areas have been identified to improve: 1) Some rural domestic solid waste transfer stations lack leachate and odor collection and treatment systems, and some are short of sufficient PPE, sanitation, and resting facilities for workers. 2) Some rural WWTFs don’t have sufficient O&M funds, and their O&M staff don’t have sufficient professional skills. 3) Some farmers lack initiatives in reduction of chemical fertilizers and use of organic fertilizers, because they have weak awareness in environmental protection and would bear increased cost of applying organic fertilizers in new farming patterns. In addition, the system of collecting and sorting agricultural mulch film and pesticide and fertilizer packages is not well established yet since the farmers’ environmental awareness is week, the cost of field collection of mulch film is high, and the incentive mechanism is insufficient. 4) For some of the PforR facilities, especially scattered small facilities, such as manure disposal facilities, small WWTFs, and small rural waste collection and transfer facilities, no social risk or impact assessment has been conducted, and no management and monitoring plans have been formulated at the preparation stage. Public participation and grievance redress activities at the project implementation stage lack records. Further improvement can be made in these aspects. 6.2 Recommendations 319. Against the above-mentioned E&S issues, following recommendations have been proposed: 1) Recommendation 1: Improve rural domestic solid waste transfer stations by building or upgrading the leachate and odor collection and treatment systems and providing necessary PPE, sanitation, and resting facilities for workers. 2) Recommendation 2: Provide sufficient O&M funds to rural WWTFs and professional skills training to the O&M staff. 3) Recommendation 3: Provide farmers with training on reduction of chemical fertilizers, use of organic fertilizers, and management of agricultural plastics . Local ARABs should develop training plans on rational and scientific application of fertilizers and proper management of waste plastics (mulch film, and pesticide and fertilizer packages), conduct publicity and 78 Official Use education to raise farmers’ awareness of environmental protection, and establish subsidization and incentive mechanisms. 4) Recommendation 4: For small investment projects, a special chapter is included in the feasibility study report for detailed social risk identification and assessment according to the SSRA regulations, including the social risk management plan and the monitoring plan formulated. Second, for large investment projects, a special SSRA will be conducted according to the SSRA regulations at the feasibility study stage to identify, screen and assess potential social risks, including the social risk management plan and the monitoring plan formulated. Public participation and grievance redress activities are records. Monitoring reports are submitted to the county PMOs semiannually, which should also be included in the semiannual reports submitted to the provincial PMOs. 6.3 Action Plan 320. To effectively execute the above recommendations, following actions should be included in the Program Action Plan (PAP) and taken during the PforR implementation: Table 0-1: E&S Action Plans No. Actions Responsible by Time Evaluation Indicators 1 Improve leachate and PHURDD, Whole The PPMOs submit progress reports to odor management county implementation the Bank semiannually, including the measures and workers HURDBs, rural stage information on completion and operation PPE, sanitation, and revitalization of relevant facilities. resting facilities for rural departments and domestic solid waste urban transfer stations administration integrated enforcement bureaus 2 Improve funding and PEEDs, county Whole The PPMOs submit progress reports to professional skills for EEBs implementation the Bank semiannually, including the O&M of rural wastewater stage information on O&M budget arranged, treatment facilities O&M staff training conducted, and O&M performance achieved, etc. 3 Provide training to PARADs, county Whole The PPMOs submit progress reports to farmers on reduction of ARABs implementation the Bank semiannually, including the chemical fertilizers, use stage information on training plans developed of organic fertilizers, and and training activities conducted management of together with relevant records. agricultural plastics. 4 Conduct social impact PIUs Whole A special chapter will be included in the and risk assessments implementation feasibility study report, or an SSRA and develop social risk stage report formulated to identify, screen and management plans for assess potential social risks, including small-scale investment the social risk management plan and projects. monitoring plan formulated. Public participation and grievance redress activities during facility construction and operation are recorded. A monitoring report should be submitted to the county PMO semiannually, which should also be included in the semiannual monitoring report submitted to the PPMO. 79 Official Use 7. Management and Monitoring 321. As per the Bank PforR Policy16 and the agreements between the Bank and the Borrower, the two parties will manage and monitor the PforR implementation from different perspectives. 7.1 The Borrower 322. The Borrower is responsible for implementing the PforR, monitoring the implementation progress, evaluating the indicators, and performing relevant commitments as per the legal documents including the PAP. Such responsibilities include that the Borrower should keep the E&S management systems effective, implement monitoring plans, and identify and solve issues in a timely and effective manner. The Borrower should: • Implement the agreed E&S actions as per the PAP and maintain the E&S management systems and the implementation capacity as recommended by the ESSA. • Submit semiannual progress reports on the PAP implementation to prove continuous compliance with the applicable E&S management mechanism. • Monitor, evaluate and audit the system performance regularly as necessary. • Review GRM performance, procedures, and results regularly, and include specific grievance cases in the progress reports. • Consult the Bank for any change made to the E&S systems during implementation. 323. Guangxi and Guizhou provincial PMOs are responsible for overall management of their PforR activities. The RRBs at county level (county PMOs) are responsible for overall implementation of county-level activities. The PIUs may include RRBs, ARABs, EEBs, HURDB, etc., and they are also responsible for implementing the proposed E&S actions. The PIUs should have specific divisions and staff to implement the E&S actions, report to the county PMOs, and provide information to the provincial PMOs and the Bank for supervision and monitoring. 7.2 The Bank 324. The Bank is to provide supports to the implementation of the PforR and oversee the E&S management performance against the ESSA requirements especially the PAP. The Bank will monitor the Borrower’s commitment to compliance with E&S risk management, including actions to strengthen institutional capacity. The Bank will evaluate the PforR performance based on the risk assessment conducted at the preparation stage and hence help the Borrower handle expected and unexpected risks and give recommendations to manage the risks. The Bank will also conduct field visits and provide supports to the PIUs and stakeholders and review audit and progress reports. The Bank team will submit memorandum to the Bank management group to report the PforR implementation performance regularly, by the way of document review, consultation with the PIUs and stakeholders, field visits, etc. The main activities are as follows: • Verify the implementation of agreed actions, including any agreed capacity building activity and any designated E&S mitigation measure; • Conduct regular monitoring to ensure that the Borrower’s ESMS performance at the implementation stage is accepted by the Bank; • Identify any extra management measure that may be taken to underperformance or any unexpected challenge during implementation; • Ensure the effective operation of the GRMs through semiannual reports; • The Bank will conduct field visits regularly as a supplement to the self-supervisions of the PIUs, and provide other support agreed on between both parties. 16 As per the Bank's PforR Policy (paragraph 12), the Borrower is responsible for preparing and implementing the PforR Program. The PforR Program’s scope and objectives and the Borrower’s contractual obligations to the Bank are set out in the legal agreements with the Bank. These obligations include the requirement to carry out the PforR Program with due diligence, and to maintain appropriate monitoring and evaluation arrangements (including credible disbursement-linked indicator verification protocols), fiduciary and environmental and social PforR Program Systems, and governance arrangements. 80 Official Use Appendix 1: Government Programs and the PforR Boundary A-1 Guangxi Government Program and the PforR Boundary Activities to be Reason for inclusion or Results area Type of typical activities Key project activities under provincial plans included in the PforR non-inclusion 1. 1-6 Improving Capacity building Supporting the preparation or revision of standards, Supporting the Strengthening the soft topic: regulations, guidelines, etc. on green agriculture preparation or revision institutional governance developing green development, such as improving the grain safety of standards, capacity for systems and agriculture inspection and quality risk monitoring system, and regulations, guidelines, governance at mechanisms standards and specialized social post-production grain service system etc. on green the provincial for enhancing guidelines agriculture development and county green Grassroots Improving financial and accounting management Not a PforR investment levels development governance capacity systems of village-level organizations, introducing priority of agriculture building talents, strengthening training, etc. Building of Farmer self-management and self-education, rural law- Not a PforR investment democracy and legal based social management priority governance demonstration villages 2-5 Improving Innovation capacity Improving the grassroots agricultural technology Not a PforR investment the innovation improvement action extension system, developing and extending key priority system for for agricultural agricultural technologies, constructing engineering green technology research centers, key laboratories and other platforms, agricultural and building a mechanization technology system technology development 2. Promoting 3-1 Circular agriculture Constructing composite industrial and agricultural Collection of agricultural green Strengthening development action circular economy demonstration zones; implementing mulch film, and agricultural the protection county-wide livestock and poultry manure recycling; pesticide and fertilizer value chains and utilization promoting the integrated utilization of straw, livestock packaging waste; at the of agricultural and poultry manure, and other bulk agricultural waste; treatment and utilization provincial and resources promoting the recycling of waste agricultural mulch film, of livestock and poultry county levels pesticide packages, and irrigation equipment; manure; turning straws establishing a system of evaluation indicators and an into fertilizers, feeds evaluation system for the agricultural circular economy, and raw materials etc. Classifying and recycling rural domestic waste Rural waste collection and transfer 4-2 Cultivated land Extending the application of formulated fertilization, Promoting chemical Strengthening quality protection green manure cultivation, added application of organic fertilizer reduction and 81 Official Use Activities to be Reason for inclusion or Results area Type of typical activities Key project activities under provincial plans included in the PforR non-inclusion the prevention and improvement fertilizers, medium to low yield farmland improvement, efficiency improvement, and control of action acid soil improvement, fertigation, and other and replacement with agricultural technologies, and improving cultivated land quality by organic fertilizers NPS pollution at least 0.5 level on average Pesticide and Promoting chemical fertilizer reduction and efficiency Pesticide and fertilizer fertilizer improvement, replacement with organic fertilizers, reduction, promoting consumption zero precise and scientific application, green pest control, chemical fertilizer growth action etc. reduction and efficiency improvement, replacement with organic fertilizers 5-4. Building Industrial village and Developing a number of strong villages and townships green and low- township with strong industries, high-quality products, carbon revitalization action comprehensive functions and beautiful ecology agricultural Cultivated land Promoting land leveling, soil improvement, efficient Land leveling, soil industry chains protection and high- water-saving irrigation, field road construction, farmland improvement, irrigation, standard farmland and environmental protection, farmland power drainage and field roads construction transmission and distribution, medium and low yield field transformation, integrated rural land management; high-standard farmland construction, etc. Agricultural product Constructing special raw material bases for agricultural Agricultural product cold processing storage product processing, agricultural product processing chain capacity building facility construction industry parks, and an agricultural product cold chain logistics system Grain logistics Constructing the Guangxi (China-ASEAN) Grain Not a PforR investment center construction Logistics Industry Park, Nanning National Grain priority Trading Center, Guangxi National Grain Quality Monitoring Center, Liuzhou Grain and Sugar Wholesale, Storage, Logistics and Trading Center, Guigang Modern Grain Logistics Center, Fangcheng Port (China-ASEAN) Grain and Oil Processing Park, etc. 6-7 Planning Planning Preparing a number of IVDPs Preparing a number of Not a PforR investment and IVDPs priority implementing Development of Developing and introducing state-level agricultural Not a PforR investment green agricultural industrialization leading enterprises, family farms, and priority agricultural demonstration farmers’ specialized cooperatives development entities 82 Official Use Activities to be Reason for inclusion or Results area Type of typical activities Key project activities under provincial plans included in the PforR non-inclusion Farmer production Strengthening the protection of land contracting rights Not a PforR investment supporting action and financial services for production for ordinary priority farmers, and encouraging social service organizations to provide one-stop production and living services to ordinary farmers Integrated Establishing characteristic agricultural product areas, Not a PforR investment agriculture-tourism demonstration zones, leisure agriculture and rural priority development tourism sites, and integrated industry demonstration parks Developing high Constructing high-yield sugarcane bases, and Not a PforR investment quality agriculture standardizing aquaculture ponds and integrated rice- priority fish development 7-3 Blue bay Promoting the integrated management of important High potential E&S risks Strengthening management project estuaries and bays, and strengthening coast protection agricultural and rehabilitation ecological Integrated Conducting integrated environment management for High potential E&S risks protection and environmental key basins such as the Zuojiang and Youjiang Rivers, restoration management project controlling aquaculture, domestic, industrial and for key basins agricultural NPS pollution, clearing rivers, controlling karsts and rocky desertification, and increasing vegetation coverage Soil pollution control Keeping soil environment quality stable in general, High potential E&S risks project ensuring the soil environment safety of farmland and construction land largely, and controlling soil environment risks largely Building of rural Establishing a natural disaster risk database, and a High potential E&S risks natural disaster major natural disaster risk assessment mechanism, monitoring and early and improving monitoring and emergency management warning system systems for marine meteorology, flood inducing rainstorms, forest fires, transportation, earthquakes, agricultural and forestry pests, and an emergency epidemic management system for terrestrial wild animals Rural disaster Building disaster information teams at the province, Not a PforR investment prevention and relief city, county, township and village levels, and priority system building constructing, reconstructing and expanding township and village disaster relief material warehouses and sites 83 Official Use Activities to be Reason for inclusion or Results area Type of typical activities Key project activities under provincial plans included in the PforR non-inclusion Improvement of Installing a two-way Beidou communication system for Not a PforR investment meteorological rural automatic weather stations priority service capacity 3. Increasing 8-8 Building an Village Improving village facilities, trunk roads, and public High potential E&S risks access to rural ecologically management, and service facilities to improve the rural living environment infrastructure livable living environment and public beautiful improvement services at the countryside Rural domestic Constructing over 500 rural collection and transfer Rural waste collection provincial level 9-10 Improving waste management treatment facilities, and establishing two state-level and transfer village rural domestic waste sorting and recycling appearance demonstration counties Toilet upgrading Upgrading over 1.02 million rural household toilets, and Rural toilet upgrading over 2,000 public toilets, and increasing the proportion of harmless rural sanitary toilets to over 90% Improvement of rural Constructing over 150 township WWTFs, and two Constructing rural wastewater facilities state-level demonstration counties of rural domestic WWTFs and associated and networks wastewater treatment, completing 10 village domestic networks wastewater treatment projects and a dredging trial in 10 villages 10-11 Improvement of Managing nine rivers with a catchment area of over High potential E&S risks Improving rural agricultural water 3,000 km2, and small and medium rivers with a water facilities catchment area of over 200-3,000 km2, constructing a infrastructure number of small and medium reservoirs, and small network water diversion projects, and striving to complete eight key water resources projects 12-12 Rural highway Increasing the total length of rural highways to 105,000 High potential E&S risks Strengthening construction km, ensuring that every county is connected by a high- rural transport grade highway, every township is connected by a infrastructure Grade 2 or 3 highway, and every administrative village is connected to a pavement-hardened road Construction and Ensuring that all administrative villages and natural Not a PforR investment improvement of rural villages where conditions permit are covered by priority traffic and logistics logistics distribution outlets, supporting the construction facilities and reconstruction of county and township coach stations, applying innovative rural passenger transport and logistics patterns, and establishing and improving fresh food facilities Digital countryside Establishing the Guangxi agricultural information Not a PforR investment building website, establishing farmer information operation priority 84 Official Use Activities to be Reason for inclusion or Results area Type of typical activities Key project activities under provincial plans included in the PforR non-inclusion centers at the city and county levels, developing and applying smart agriculture technologies and equipment, and establishing demonstration counties and bases of agricultural IoT application 13-13 Building Rural power supply Implementing the rural power grid upgrading project in Not a PforR investment a modern the demonstration counties priority energy system Straw recycling Implementing five distributed energy system straw recycling in rural areas demonstration projects, increasing the energy recovery rate of crop straws to 15%, and conducting trials on rural natural gas supply 11-9. Agricultural Improving animal and plant protection capacity, Not a PforR investment Improving rural epidemic prevention establishing a monitoring and early warning system priority habitat capacity building with a rational layout and provincial coverage, an environment epidemic and disaster emergency response system with timely response and effective control, a pesticide risk monitoring system, and a joint prevention and control system with comprehensive functions Ecological forestry Establishing modern forestry demonstration zones, High potential E&S risks construction promoting the production of forest ecology mark products and the building of online forest ecology information platform, establishing a smart forestry system, and realizing the full coverage of forest networks and information infrastructure Wetland Increasing wetland area, and constructing a number of High potential E&S risks conservation state, provincial and county level wetland parks Biodiversity Conducting biodiversity investigation and assessment, High potential E&S risks conservation and the urgent protection of endangered wildlife, promotion protecting and improving habitats of endangered wildlife, rehabilitating the ecological environment, and preventing and controlling pine nematode disease 15. Rural Rural education Promoting the compulsory education infrastructure Not a PforR investment public services quality improvement project; constructing 280 county-level general high priority promotion action schools, and constructing, reconstructing or expanding 600 kindergartens, increasing living subsidies for rural teachers gradually, and training headmasters and teachers of rural schools; constructing dormitories for rural teachers Healthy countryside Ensuring that infrastructure of township health centers Not a PforR investment action meets the national standard; implementing the capacity priority 85 Official Use Activities to be Reason for inclusion or Results area Type of typical activities Key project activities under provincial plans included in the PforR non-inclusion building action for grassroots medical institutions, and ensuring that all residents are insured; implementing order-based rural doctor training; strengthening on-the- job training, and ensuring that community home-based elderly care service facilities cover 2/3 of rural communities; constructing 2-3 rural local elderly care service centers in each county (city, district) Talent support Strengthening the standardization of vocational farmer Conducting green schools; introducing and training talents; conducting agriculture and talent high caliber farmer and migrant worker training; training strengthening the establishment of public employment service agencies, facilities and platforms Providing free employment, legal assistance and other Not a PforR investment services to migrant workers priority Strengthening rural Establishing a sound fiscal investment supporting Not a PforR investment financial support mechanism for implementing the rural revitalization priority strategy Setting up rural banks and financial terminals Not a PforR investment priority Offering innovative small amount loan services Not a PforR investment priority A-2 Guizhou Government Program and the PforR Boundary Activities to be Reason for inclusion or Results area Type of typical activities Key project activities under provincial plans included in the PforR non-inclusion 1. 1. Improving Capacity building Supporting the preparation or revision of standards, Supporting the Strengthening the soft topic: regulations, guidelines, etc. on green agriculture preparation or revision of institutional governance developing green development, preparing and revising a number of standards, regulations, capacity for systems and agriculture production, processing, circulation, and quality and guidelines, etc. on green governance at mechanisms standards and safety standards, and organizing agricultural agriculture development the provincial for enhancing guidelines production and processing according to standards and county green Establishing an integrated financial budget and Establishing an levels development expenditure reporting system based on green integrated financial of agriculture agriculture planning budget and expenditure reporting system Talent training for Training and introducing rural revitalization leading Training and introducing basic management talents, and innovation and startup talents talents 86 Official Use Activities to be Reason for inclusion or Results area Type of typical activities Key project activities under provincial plans included in the PforR non-inclusion 2. Improving Building of modern Improving the grassroots agricultural technology Not a PforR investment the innovation agricultural extension system priority system for technology system green Innovation capacity Strengthening the introduction, R&D and extended Not a PforR investment agricultural improvement action application of new products, technologies, processes priority technology for agricultural and equipment development technology Development of Strengthening agricultural applications of the IoT, big Not a PforR investment smart agriculture data, block chain, AI, etc., establishing agricultural big priority data platforms and application systems, and constructing a number of agricultural technology innovation platforms and demonstration parks Improving the agricultural weather monitoring network Not a PforR investment to improve agricultural weather disaster prevention priority capacity 2. Promoting 3. Rural domestic Promoting source sorting, reduction and recycling; in Rural domestic waste green Strengthening waste collection, areas where conditions permit, extending third party collection and transfer agricultural the protection transfer and urban and rural environmental sanitation value chains and utilization disposal at the of agricultural Agricultural waste Implementing livestock and poultry manure recycling, Collection of agricultural provincial and resources recycling integrated straw utilization, and agricultural mulch film mulch film, and pesticide county levels and pesticide package recovery, and developing and and fertilizer packaging extending degradable agricultural mulch film waste; treatment and utilization of livestock and poultry manure; turning straws into fertilizers, feeds and raw materials 4. Pesticide and Extending biological pesticides, natural enemies, and Pesticide and fertilizer Strengthening fertilizer reduction other green prevention and control products and reduction, and the prevention technologies; promoting chemical fertilizer reduction replacement with organic and control of and efficiency improvement; replacing chemical fertilizers agricultural fertilizers with organic fertilizers, etc. NPS pollution Agricultural NPS Extending the application of formulated fertilization, Pesticide and fertilizer pollution control green manure cultivation, added application of organic reduction, and fertilizers, medium to low yield farmland improvement, replacement with organic acid soil improvement, fertigation, and other fertilizers technologies, and improving cultivated land quality by at least 0.5 level on average 87 Official Use Activities to be Reason for inclusion or Results area Type of typical activities Key project activities under provincial plans included in the PforR non-inclusion 5. Building Cultivated land Managing land uses; defining and constructing grain Rural land consolidation, High potential E&S risks green and low- protection and production functional zones, and protected areas of field road connection carbon construction important agricultural products; promoting rural land agricultural consolidation and field road construction; constructing industry chains 2.5 million mu of high-standard farmland; improving the cultivated land quantity and quality monitoring mechanism, etc. Adjustment and Promoting the cultivation of efficient commercial corps High potential E&S risks optimization of on basic farmland, and constructing a number of agricultural industry modern stockbreeding demonstration counties and structure townships Strengthening of Offering insurance support for paddy rice, wheat and Not a PforR investment agricultural risk corn in major grain producing counties priority management 6. Building a Full agricultural Constructing modern agricultural industry parks, Not a PforR investment rural industrial industry chains strong agricultural industry towns, and advantaged priority system and characteristic industries Agricultural product Supporting farmer cooperatives, family farms, and Not a PforR investment processing medium, small and micro enterprises to develop early priority processing 6. Planning Planning Promoting the preparation of IVDPs Promoting the and preparation of IVDPs implementing Development of Developing agricultural leading enterprises at or Not a PforR investment green agricultural above the county level, province-level demonstration priority agricultural demonstration family farms and farmer cooperatives, etc. development entities Extending sales Promoting the market matching of agricultural Supporting the Not a PforR investment channels of production, developing order-based agriculture, construction of cold chain priority agricultural establishing a public service platform for agricultural logistics facilities products product marketing, and other market information systems, a cold chain logistics network, etc. Integrated Constructing leisure sightseeing parks, recuperation High potential E&S risks agriculture-tourism bases, ecological farms, rural home-stays, etc. development Developing high Constructing a number of centralized and extensive Not a PforR investment quality agriculture production bases for characteristic industries, building priority a number of agricultural product brands, and promoting standard and scientific stockbreeding 88 Official Use Activities to be Reason for inclusion or Results area Type of typical activities Key project activities under provincial plans included in the PforR non-inclusion 7. Agricultural disaster Strengthening capacity building in rural disaster Not a PforR investment Strengthening prevention and prevention and relief, and conducting integrated priority agricultural relief disaster relief demonstration ecological Mountain, water, Promoting the crop rotation of cultivated land orderly, High potential E&S risks protection and forest, farmland, converting farmland into woodland and grassland, restoration lake and grass converting pasture land into grassland, controlling system rocky desertification, water loss and erosion, and management controlling geological disasters Controlling water resource consumption and intensity, High potential E&S risks promoting river and lake water system connection, and rural pond dredging, and implementing the river/lake chief system comprehensively Implementing the Yangtze River Economic Belt High potential E&S risks ecological rehabilitation, natural forest protection, shelter forest system building, and other key ecological projects Stopping the commercial felling of natural forests High potential E&S risks comprehensively, and implementing a trial on artificial commercial forest redemption reform in key areas 3. Increasing 8. Building an Beautiful village Conducting pavement hardening, village cleaning, High potential E&S risks access to rural ecologically construction landscaping, lighting and beautification, and beautiful infrastructure livable and livable countryside and courtyard demonstration and public beautiful Comfortable house Highlighting characteristics of natural ecology, and High potential E&S risks services at the countryside construction historical and cultural resources in village appearance provincial level Toilet upgrading Reconstructing rural household toilets, and Rural household toilet 9. Improving implementing manure control upgrading village Rural sewage Rural domestic wastewater control Constructing rural appearance WWTFs and associated networks Rural solid waste Constructing rural collection, transfer and disposal Rural domestic waste facilities collection and transfer 10. Improving Rural water facility Promoting urban-rural water integration, and rural High potential E&S risks rural water construction water supply safeguard, and improving agricultural infrastructure irrigation capacity and the rural water environment network Constructing water infrastructure, such as the risk High potential E&S risks elimination and reinforcement of existing dangerous reservoirs, backbone water source projects, water lifting and diversion projects, irrigation area facility 89 Official Use Activities to be Reason for inclusion or Results area Type of typical activities Key project activities under provincial plans included in the PforR non-inclusion construction and water conservation, and river management 11. Rural road Optimizing and increasing the density of the rural Farmland road Strengthening construction highway network, and strengthening rural highway networking rural transport safety facility construction and operation management infrastructure Rural Promoting optic fiber construction in administrative Not a PforR investment communication villages priority construction 12. Building a Rural energy Promoting the extension of natural gas and gas Not a PforR investment modern energy facilities to rural areas priority system in rural Upgrading the rural power grid with supply Not a PforR investment areas dependability of 99.8%, and ensuring that average priority distribution transformer capacity per household is not less than 2,000 VA 13. Improving Biodiversity Conserving biodiversity, preventing the invasion of High potential E&S risks rural habitat alien species effectively, protecting famous ancient environment trees, etc. 14. Rural Rural education Constructing and improving some public Not a PforR investment public services development kindergartens, implementing the county-wide job- priority promotion rotation of headmasters and teachers, developing rural online education, and establishing agricultural universities, vocational and technical schools and disciplines Rural health Upgrading rural health centers, strengthening medical Not a PforR investment building staff training, standardizing village clinics, improving priority service level, and unifying the basic medical insurance system for urban and rural residents improvement of Almost realizing the full coverage of basic endowment Not a PforR investment rural social security insurance for urban and rural residents priority system Rural elderly care Constructing county, township and village level elderly Not a PforR investment care service networks and facilities priority Building of rural Improving rural mailing logistics infrastructure, and Supporting cold chain logistics system supporting cold chain logistics construction logistics construction Rural talent support Conducting new type vocational diploma education for farmers at agricultural universities, strengthening the grassroots service system for the extension of 90 Official Use Activities to be Reason for inclusion or Results area Type of typical activities Key project activities under provincial plans included in the PforR non-inclusion agricultural technology, and promoting the building of rural professional teams Attracting migrant workers to return home for startup Not a PforR investment and flexible employment priority Vocational skills training for high caliber farmers and high caliber farmer rural laborers training Rural financial Establishing a sound fiscal investment supporting Not a PforR investment support mechanism for implementing the rural revitalization priority strategy Establishing a provincial agricultural industry Not a PforR investment development company, extending such cooperation priority patterns as PPP, and encouraging farmers to input labor in rural infrastructure from which they benefit directly Encouraging banking financial institutions to establish Not a PforR investment internal organizations serving rural revitalization, priority promoting the transformation of rural credit cooperatives into rural commercial banks, establishing a new type credit system for agricultural operators, supporting agricultural leading enterprises to get listed and issue bonds for financing, etc. 91 Official Use Appendix 2: E&S Risks/Impacts Assessment Results areas Typical Likely E&S effects E&S contextual risks Institutional capacity Political and Overall activities and complexity risks reputational risks risk ranking RA1 – Developing • Implementation of research • There is no physical • Involving • Complying with state Moderate Strengthening regulations, activities does not have direct construction and no development and and local laws, institutional standards, and negative E&S risks and only environmentally or socially reform, finance, regulations, policies capacity for guidelines for involve OHS risks of PMO and sensitive area is involved. agriculture and rural and procedures, no governance green research staff. • The implementation of affairs, rural political risk agricultural • The implementation of proposed research findings may vitalization, housing • Such activities are development, as regulations, standards and involve minority villages. and urban-rural designed to promote well as rural guidelines may trigger downstream • Subsequent agricultural and development, natural green agriculture infrastructure activities that produce indirect E&S rural development activities resources, ecology development and development impacts, such as NPS pollution will be conducted on and environment, rural vitalization to risks of pesticides, fertilizers, existing rural farmland or and water resources benefit local agricultural mulch film and straws construction land, and authorities, requiring residents, and are in cultivation, and livestock and China has a strict nature inter-sectoral supported poultry manure management risks conservation site and coordination during extensively by the in stockbreeding, and land ecological redline system, implementation public, so there is no occupation, wastewater, and waste so no natural habitat or any • The general reputational risk. management risks in rural other environmentally institutional capacity • The general political infrastructure construction. sensitive area will be and complexity risk and reputational risk • The general risk of likely E&S involved. is Moderate. is Low. effects is Moderate. • The general E&S contextual risk is Moderate. Establishing • Research activities do not have • There is no physical • Involving • Complying with state Moderate mechanisms for direct negative M&E risks construction, and no development and and local laws, program- themselves and involve OHS risks environmentally or socially reform, finance, regulations, policies budgeting, of PMO and research staff only. sensitive area is involved. agriculture and rural and procedures, no expenditure • These activities are software • The general E&S contextual affairs, and rural political risk tracking and development or staff training risk is Low. vitalization • Such activities are reporting activities that will not trigger authorities, requiring designed to improve Establishing downstream construction and have inter-sectoral green agriculture mechanisms for no significant indirect negative coordination during management, and M&E of rural M&E impacts but will promote implementation train agricultural infrastructure subsequent environmental • The general talents to benefit and public management and capacity institutional capacity local residents, and services building. and complexity risk are supported Developing • The general risk of likely E&S is Moderate. extensively by the effects is Low. 92 Official Use Results areas Typical Likely E&S effects E&S contextual risks Institutional capacity Political and Overall activities and complexity risks reputational risks risk ranking frameworks/actio public, so there is no n plans for reputational risk. nurturing green • The general political skills and talents and reputational risk in rural areas is Low. RA2 – Strengthening • Improving water use efficiency and • Activities are in rural areas • Involving • Complying with Moderate Greening the protection seeds, etc. rarely involves land mainly, and do not involve development and state and local laws, selected and utilization of use and construction. undisturbed critical natural reform, finance, regulations, policies agricultural agricultural • Improving water use efficiency will habitats, and other agriculture and rural and procedures, no value chains resources (e.g., reduce water consumption and environmentally sensitive affairs, rural political risk rehabilitating NPS pollution. areas; vitalization, and • Such activities are irrigation • The general risk of likely E&S • There are few minority water resources designed to improve systems and effects is Low. villages in the affected authorities, requiring agricultural irrigation promoting drip areas in Guangxi and inter-sectoral and production irrigation, Guizhou; coordination during conditions to benefit improved climate • The general E&S implementation local residents, and resilient seeds contextual risk is Moderate. • The general are supported and breeds) institutional capacity extensively by the and complexity risk public, so there is no is Moderate. reputational risk. • The general political and reputational risk is Low. Preventing and • Pesticide reduction will ensure soil • NPS pollution caused by • Involving • Complying with state Substantial controlling quality and food safety, reduce pesticides, fertilizers, development and and local laws, agricultural NPS NPS pollution, and produce great agricultural mulch film, and reform, finance, regulations, policies water pollution, E&S benefits. Pesticides are livestock and poultry agriculture and rural and procedures, no (e.g., reduction hazardous chemicals that should manure, and air pollution affairs, rural political risk in fertilizer use, be managed properly, and caused by straws is vitalization, and • Such activities are recycling of pesticide packaging waste prevalent in agricultural ecology and designed to control livestock and collected properly to prevent areas; control measures are environment NPS pollution, and poultry manure environmental and health risks. being taken; authorities, requiring promote green and crop straws) • Fertilizer reduction will improve soil • Activities are in rural areas inter-sectoral agriculture quality, reduce NPS pollution, and mainly, and do not involve coordination during development to produce great environmental undisturbed critical natural implementation. Any benefit local benefits. However, overuse will habitats, but breeding farms of the authorities residents, and are lead to NPS pollution; if it involves may be close to water failing in supported additional costs and reduced source conserves, nature simultaneous extensively by the 93 Official Use Results areas Typical Likely E&S effects E&S contextual risks Institutional capacity Political and Overall activities and complexity risks reputational risks risk ranking income, proper measures should conserves, and other coordination in any public, so there is no be taken to reduce farmers’ losses, environmentally sensitive part of collection, reputational risk. especially for vulnerable groups, areas. transportation, • The general political but may involve worker and • There are few minority transfer, treatment, and reputational risk community health and safety, villages in the affected and disposal of is Low. small-scale employment, etc. areas in Guangxi and agricultural waste • Agricultural mulch film and fertilizer Guizhou. would make the packaging waste recovery has low • If any proposed activity has whole system unable E&S risks and involve moderate any substantial outstanding to operation OHS risks. It is advised to increase E&S issue, it will be effectively. the income of collectors. excluded from the PforR. • The general • Livestock and poultry manure • The general E&S contextual institutional capacity disposal and recycling may risk is Moderate. and complexity risk produce wastewater that affects is Substantial. the environment, odor that affects worker and resident health; poor quality or overuse of fertilizers may pollute soil. • Straw recovery will reduce air pollution, and straws may be used as feeds, raw materials, involving low E&S risks. • The general risk of likely E&S effects is Substantial. Building green • Green agriculture development • NPS pollution caused by • Involving • Complying with state Moderate and low-carbon may involve land transfer, pesticides, fertilizers, development and and local laws, agricultural moderate or low worker and agricultural mulch film, and reform, finance, regulations, policies industry chains community health and safety, livestock and poultry agriculture and rural and procedures, no (green small-scale employment, and other manure, and air pollution affairs, rural political risk agricultural value social issues. caused by straws is vitalization, ecology • Such activities are chains, industrial • In green agriculture, physical and prevalent in agricultural and environment designed to promote agglomeration, biological pest control, fertilizer areas; control measures are authorities, requiring green agriculture and circular replacement, and straw reuse will being taken. inter-sectoral development, and economy; and reduce environment impacts, but • Activities are in rural areas coordination during protect the pollution-free, these activities may involve mainly, and do not involve implementation environment to green, organic extensive agricultural production undisturbed critical natural • The general benefit local and GI and processing, thereby resulting habitats, and other institutional capacity residents, and are agricultural supported 94 Official Use Results areas Typical Likely E&S effects E&S contextual risks Institutional capacity Political and Overall activities and complexity risks reputational risks risk ranking products) in extensive indirect environmental environmentally sensitive and complexity risk extensively by the impacts. areas. is Moderate. public, so there is no • The general risk of likely E&S • There are few minority reputational risk. effects is Moderate. villages in the affected • The general political areas in Guangxi and and reputational risk Guizhou. is Low. • The general E&S contextual risk is Moderate. Providing • The construction of rural roads, • Activities are in rural areas • Involving • Complying with state Moderate infrastructure markets, warehouses, etc. involves mainly, and do not involve development and and local laws, needed for the large-scale land acquisition and undisturbed critical natural reform, finance, regulations, policies development of house demolition, leading to habitats, and other agriculture and rural and procedures, no green resettlement and approval environmentally sensitive affairs, rural political risk agricultural value problems, as well as construction areas. vitalization, natural • Such activities are chains (e.g., site management, traffic • There are few minority resources, transport, designed to improve constructing / disturbance, and worker and villages in the affected water resources, rural infrastructure rehabilitating community safety. areas in Guangxi and housing and urban- and production climate resilient • Construction will produce short- Guizhou. rural development, conditions to benefit production/ term, limited environmental • Improving existing irrigation ecology and local residents, and access roads, impacts, such as dust, noise, solid facilities to save water will environment are supported rehabilitation of waste and wastewater, as well as not add to water authorities, requiring extensively by the irrigation and habitat disturbance, water loss and consumption, and not cause inter-sectoral public, so there is no drainage soil erosion risks; facility operation any international river coordination during reputational risk. systems, will produce such impacts as problem. implementation • The general political construction/reh noise, solid waste and wastewater. • If any proposed activity has • The general and reputational risk abilitation of cold • The general risk of likely E&S any outstanding E&S issue, institutional capacity is Low. storage facilities) effects is Moderate. it will be excluded from the and complexity risk PforR. is Moderate. • The general E&S contextual risk is Moderate. Nurturing green • Such activities have almost no • There is no physical • Involving finance, • Complying with state Moderate skills and talents negative E&S impacts, and only construction, and no education, and local laws, in rural areas activities such as training involve environmentally or socially agriculture and rural regulations, policies (e.g., training OHS risks of PMO and training sensitive area is involved. affairs, and rural and procedures, no and capacity staff. • The general E&S contextual vitalization political risk building of FCs, • The general risk of likely E&S risk is Low. authorities, requiring • Such activities are FAs, WUAs, effects is Low. inter-sectoral designed to improve input stockists, farmers’ knowledge, 95 Official Use Results areas Typical Likely E&S effects E&S contextual risks Institutional capacity Political and Overall activities and complexity risks reputational risks risk ranking and agro- coordination during and production entrepreneurs) implementation capacity, and are • The general supported institutional capacity extensively by the and complexity risk public, so there is no is Moderate. reputational risk. • The general political and reputational risk is Low. Enforcing green • The implementation of green • The implementation of • Involving • Complying with state Moderate agricultural agriculture standards may trigger standards may involve development and and local laws, development downstream activities that produce minority villages. reform, finance, regulations, policies regulations and indirect E&S impacts, thereby • Subsequent agricultural and agriculture and rural and procedures, no standards (e.g., reducing NPS pollution in general, rural development activities affairs, rural political risk toxic pesticides but still involves pollution risks from will be conducted on vitalization, housing • Such activities are use, effluent pesticides, fertilizers, agricultural existing rural farmland or and urban-rural designed to promote standards and mulch film, and livestock and construction land, and development, natural green agriculture burning of poultry manure. China has a strict nature resources, ecology development and straws). • The general risk of likely E&S conservation site and and environment, rural vitalization to effects is Moderate. ecological redline system, and water resources benefit local so no natural habitat or any authorities, requiring residents, and are other environmentally inter-sectoral supported sensitive area will be coordination during extensively by the involved. implementation public, so there is no • The general E&S contextual • The general reputational risk. risk is Moderate. institutional capacity • The general political and complexity risk and reputational risk is Moderate. is Low. RA3 – Preparing spatial • Planning activities do not have • There is no physical • Involving • Complying with state Moderate Increasing Integrated direct negative M&E risks construction, and no development and and local laws, access to rural Village themselves and involve OHS risks environmentally or socially reform, finance, regulations, policies solid waste and Development of PMO and research staff only. sensitive area is involved. agriculture and rural and procedures, no wastewater Plans (IVDPs) • The implementation of plans may • The implementation of plans affairs, rural political risk services that will guide trigger extensive rural may involve minority vitalization, housing • Such activities are future rural infrastructure construction that villages. and urban-rural designed to improve investments produces indirect E&S impacts. As • Subsequent agricultural and development, natural rural living per the domestic requirements, rural development activities resources, ecology conditions to benefit since village plans are small in will be conducted on and environment, local residents, and 96 Official Use Results areas Typical Likely E&S effects E&S contextual risks Institutional capacity Political and Overall activities and complexity risks reputational risks risk ranking range, no EIA is required, and existing rural farmland or transport, power, and are supported downstream activities are relatively construction land, and water resources extensively by the simple in type, scope and scale, China has a strict nature authorities, requiring public, so there is no overall risks are minor. conservation site and inter-sectoral reputational risk. • The general risk of likely E&S ecological redline system, coordination during • The general political effects is Moderate. so no natural habitat or any implementation and reputational risk other environmentally • The general is Low. sensitive area will be institutional capacity involved. and complexity risk • The general E&S contextual is Moderate. risk is Moderate. Improving rural • WWTFs may involve temporary, • Activities are in rural areas • Involving • Complying with state Substantial habitat small-scale land use and mainly, and do not involve development and and local laws, environment reclamation, house connection undisturbed critical natural reform, finance, regulations, policies including, costs, small- to medium-scale habitats; but WWTFs and ecology and and procedures, no constructing employment, vulnerable group waste transfer stations may environment, political risk rural climate interests, and community health be close to water source housing and urban- • Such activities are resilient solid and safety risks. conserves, nature rural development, designed to improve waste and • Waste transfer stations involve conserves, and other comprehensive law rural infrastructure, wastewater small-scale land acquisition, and environmentally sensitive enforcement, control rural treatment worker and health and safety risks areas. agriculture and rural environmental systems, at the construction and operation • There are few minority affairs, natural pollution, and improving rural stages. villages in the affected resources, labor, and improve the rural domestic waste • Construction will produce short- areas in Guangxi and water resources living environment to collection and term, limited environmental Guizhou. authorities, requiring benefit local disposal impacts, such as dust, noise, solid • If any proposed activity has inter-sectoral residents, and are systems, waste and wastewater, as well as any substantial outstanding coordination during supported promoting habitat disturbance, water loss and E&S issue, it will be implementation. Any extensively by the classification and soil erosion risks; facility operation excluded from the PforR. of the authorities public, so there is no recycling of will produce odor, sludge, leachate, • The general E&S contextual failing in reputational risk. waste, and noise, solid waste, etc., and may risk is Moderate. simultaneous • The general political promoting the affect the life and health of workers coordination in any and reputational risk “toilet revolution� and nearby residents. part of toilet is Low. • The general risk of likely E&S upgrading, and effects is Substantial. wastewater collection and treatment would make the whole 97 Official Use Results areas Typical Likely E&S effects E&S contextual risks Institutional capacity Political and Overall activities and complexity risks reputational risks risk ranking system unable to operation effectively. • The general institutional capacity and complexity risk is Substantial. Providing • Such activities have almost no • There is no physical • Involving ecology • Complying with state Moderate training and negative E&S impacts, and only construction, and no and environment, and local laws, capacity building activities such as training involve environmentally or socially housing and urban- regulations, policies in the O&M of OHS risks of PMO and training sensitive area is involved. rural development, and procedures, no wastewater and staff. • The general E&S contextual comprehensive law political risk solid waste • The general risk of likely E&S risk is Low. enforcement, • Such activities are facilities effects is Low. agriculture and rural designed to improve affairs, and rural facility O&M level, vitalization and prevent authorities, requiring environmental inter-sectoral pollution, and are coordination during supported implementation. extensively by the • The general public, so there is no institutional capacity reputational risk. and complexity risk • The general political is Moderate. and reputational risk is Low. 98 Official Use Appendix 3: Comparison with the Bank Policy PforR core principles Consistency and China’s E&S management requirements and practices / elements recommendations Principle #1: Program E&S management systems are designed to promote E&S sustainability in the Program design; avoid, minimize, or mitigate adverse impacts; and promote informed decision-making relating to a Program’s E&S effects. Element 1: Operate China has established a complete legal framework on ESIA, consisting of laws, regulations, technical Largely consistent within an adequate guidelines, standards, mechanisms and management procedures, especially in the field of EIA, in which a For some small scattered legal and regulatory complete management system has been formed on the basis of the Environmental Protection Law, and facilities, no social risk or framework to guide Environmental Impact Assessment Law. For SIA: i) Notice of the National Development and Reform impact assessment is E&S impact Commission on Issuing the Interim Measures for the Social Stability Risk Assessment of Major Fixed Asset conducted, and no assessments, Investment Projects (NDRCI 2012): For any fixed asset investment project in China, the owner should perform management and mitigation, an SSRA at the preparation stage to identify risks and degree of impact, and propose measures to prevent and monitoring plans have been management and mitigate risks; ii) Guidelines on Establishing a Social Stability Risk Assessment Mechanism for Major Decisions formulated at the monitoring at the (Interim)(CPCCCO [2012] No.2): An SSRA shall be conducted for any major project or matter that concerns the preparation stage. PforR Program level. immediate interests of the public, and is likely to cause social stability risks, suc h as LA and HD, farmers’ Recommendation: Conduct a social impact and burden, state-owned enterprise restructuring, environmental impacts, social security, and public welfare. risk assessment, and The ESIA system applicable to the Program is adequate. Specific laws and regulations are sorted out formulate a management by the following principles and elements. plan for these facilities. Element 2: Incorporate The Environmental Impact Assessment Law establishes an early screening system to classify EIA, and Largely consistent recognized elements take appropriate management measures. The Catalogue for the Classified Management of the Provisions on of good practice in Environmental Impact Assessment of Construction Projects (updated in 2021) provides an EIA recordkeeping for public E&S assessment and classification guide for 55 sectors (173 types of projects), and proposes criteria for major, intermediate and participation, information management, minor impacts based on project type, scale and environmental sensitivity. disclosure, grievance including: i) early The Technical Guidelines for Environmental Impact Assessment—General Program propose overall redress, etc. are not specific screening of potential requirements for EIA documents, including early intervention in early-stage site (route) selection, option enough in social laws and impacts; ii) selection, extensive public participation, rational utilization of resources, an analysis of positive vs. negative, regulations. consideration of long-term vs. short-term, direct vs. indirect, cumulative impacts, etc., an environmental economic benefit and Recommendation: Define strategic, technical, loss analysis, development of environmental management measures, monitoring indicators, and an investment document management and site alternatives budget, preparation of management and monitoring plans, etc. requirements in project (including the “no The Program for Environmental Impact Assessment Information Disclosure Mechanism for management documents action� alternative); iii) Construction Projects requires that the construction agency shall disclose project EIA information throughout (e.g., agreements), explicit assessment of the process and with full coverage, including information disclosure before the preparation of EIA documents, including without limitation potential induced, full disclosure of the completed report (and report form), and information disclosure before, during and after recordkeeping for public cumulative, and trans- construction. The environmental protection authority shall also fully disclose the EIA report and report form, participation, information boundary impacts.; iv) and disclose the approval information afterwards. disclosure and grievance identification of The Measures for Public Participation in Environmental Impact Assessment (2018 Amendment) propose redress. measures to mitigate three-round disclosure requirements for construction agencies, namely information disclosure at the beginning adverse E&S risks and of the EIA, disclosure of the draft report, and disclosure of the final report (along with a description of public impacts that cannot be participation). In addition, these measures also specify requirements for in-depth public participation for 99 Official Use PforR core principles Consistency and China’s E&S management requirements and practices / elements recommendations otherwise avoided or projects with many doubts and/or professional issues, including two-round disclosure, discussion meeting / minimized; v) clear public hearing preparation, etc., as well as disclosure requirements for the review and approval of the EIA articulation of documents by government authorities. institutional responsibilities and In general, China’s EIA system includes early-stage impact screening requirements, and classification is based resources to support on the degree of impact. The Technical Guidelines for Environmental Impact Assessment specifies implementation of requirements for impact screening, option selection, and impact analysis (positive vs. negative, long-term vs. plans; vi) short-term, direct vs. indirect, cumulative impacts, etc.), management responsibilities, budgeting, public responsiveness and participation, and information disclosure. The Measures for Public Participation in Environmental Impact accountability through Assessment specific methods, channels and feedback requirements for public participation. stakeholder consultation, timely In practice, relevant work has been conducted for projects requiring an EIA (e.g., rural WWTF, livestock and dissemination of the poultry manure disposal and utilization facilities, etc.) in accordance with the EIA system, including public PforR information, and participation and information disclosure, and the whole implementation process is regulated by sectoral responsive GRMs. authorities effectively. All construction activities have been included in the environmental protection chapter, and supervised by an independent supervision agency. Most projects have been inspected as required, and inspection reports disclosed and submitted to EEBs for registration. Enterprises that need to apply for a pollutant discharge permit has obtained a permit as required, and environmental monitoring has been conducted for rural WWTFs with a daily treatment capacity of 20t or more, and breeding farms above designated scale and their manure disposal facilities as required, with reports submitted to local EEBs. The state laws and regulations on project screening in social terms include the Measures for the Administration of the Pre-review on the Use of Land for Construction Projects (2017), Cultural Relics Protection Law (2017 Amendment), Land Administration Law (2020.1.1), Regulations on the Prevention and Control of Geologic Disasters (2004.3.1), and Notice of the National Development and Reform Commission on Issuing the Interim Measures for the Social Stability Risk Assessment of Major Fixed Asset Investment Projects (NDRCI 2012). i) Measures for the Administration of the Pre-review on the Use of Land for Construction Projects : The area and type of the land used for the project shall be identified before the feasibility study report or project proposal is reviewed to avoid the acquisition of basic farmland, nature reserves, etc. ii) Cultural Relics Protection Law: Article 20: Unmovable cultural relics shall be avoided in the choosing of construction sites by whatever possible means; if a protected historical and cultural site can't be avoided for special circumstances, the original site shall be protected by whatever possible means. Article 29 Before launching a large-scale capital construction project, the construction unit shall first request in a report the administrative department for cultural relics under the peoples government of the relevant province, autonomous region, or municipality directly under the Central Government to make arrangements for institutions engaged in archaeological excavations to conduct archaeological investigation and prospecting at places where cultural relics may be buried underground within the area designated for the project. 100 Official Use PforR core principles Consistency and China’s E&S management requirements and practices / elements recommendations iii) Regulations on the Prevention and Control of Geologic Disasters: Article 13: To work out and carry out an overall planning on land utilization, a planning on mineral resources or a planning on any other major construction project in respect of water conservancy, railways, traffic, energy sources, etc., the requirements on prevention and control of geologic disasters shall be taken into full consideration, so as to avoid and mitigate the losses caused from geologic disasters. To work out an overall urban planning, or a village or town planning, the planning on prevention and control of geologic disasters shall be deemed as a component part. iv) Land Administration Law: Article 47: For acquisition of land by the state, the local people's governments at and above the county level shall make an announcement and organize implementation after approval according to the legal procedures. If a people’s government at or above the county level is to apply for land acquisition, it shall conduct a current status survey and a social stability risk assessment, and disclose the range and purpose of acquisition, current status, compensation rate, resettlement mode, social security, etc. in the township (town), village and village group for at least 30 days to collect comments from the affected rural collective economic organization and its members, village committee and other stakeholders. v) Regulations on the Implementation of the Land Administration Law of the PRC: Article 25: Municipal, county government of the locality whose land has been acquired shall, upon approval of the LA plan according to law, organize its implementation, and make an announcement in the village(township), hamlet whose land has been acquired on the approval organ of the LA, number of the approval document, use, scope and area of the acquired land as well as the rates for compensation of LA, measures for the resettlement of agricultural personnel and duration for processing LA compensation. Payment of various expenses for LA should be effected in full within 3 months starting from the date of approval of the LA and resettlement plan. vi) Notice of the National Development and Reform Commission on Issuing the Interim Measures for the Social Stability Risk Assessment of Major Fixed Asset Investment Projects: Article 3 : At the feasibility study stage, the implementing agency (or an appointed specialized agency) shall conduct an SIA, impact assessment and public consultation, propose mitigation measures, and prepare an SSRA report. vii) Guidelines on Establishing a Social Stability Risk Assessment Mechanism for Major Decisions (Interim): An SSRA shall be conducted for any major project or matter that concerns the immediate interests of the public, and is likely to cause social stability risks, such as LA and HD, farmers’ burden, state -owned enterprise restructuring, environmental impacts, social security, and public welfare. The decision to be assessed shall be fixed by the competent authority based on the above provisions and practical situation. If an SSRA is to be conducted for a major project, the SSRA shall be regarded as an important part of the feasibility study. During the SSRA, the assessor may organize an assessment group composed of officials from the political and legislative affairs, integrated control, stability maintenance, and complaint handling authorities, NGOs, specialized agencies, experts, and resident representatives. The assessment report shall include the assessment process, opinions, decisions, potential social stability risks, conclusions, mitigation measures, contingency plan, etc. If the assessment report thinks that the matter has risk risks, a non-implementation decision shall be made, or the decision-making plan adjusted to reduce risks; if there are intermediate risks, effective prevention and mitigation measures shall be taken before decision-making; if there are low risks, an implementation decision may be made, but explanation shall be made to handle reasonable requests of stakeholders, the assessment report shall be submitted to the decision-making authority for approval, with 101 Official Use PforR core principles Consistency and China’s E&S management requirements and practices / elements recommendations copies sent to competent authorities. Principle #2: Program E&S management systems are designed to avoid, minimize, or mitigate adverse impacts on natural habitats and physical cultural resources resulting from the Program. Element 3: Take into Forest Law (2019 Amendment): The state shall establish a system of protected areas with national parks as Consistent account potential its mainstay in typical forest ecological areas in different natural areas, forest areas where precious animals adverse effects on and plants grow and reproduce, natural tropical rain forest areas, and other natural forest areas of special physical cultural protection value. The state shall implement a comprehensive protection system for natural forests, strictly limit property and provide the logging of natural forests, strengthen capacity building to manage and protect natural forests, protect and adequate measures to restore natural forest resources, and gradually improve the ecological functions of natural forests. The avoid, minimize, or protection and restoration of forest resources in ecologically vulnerable areas shall be supported. mitigate such effects. Wild Animal Conservation Law and Regulations on Wild Plants Protection: They specify conservation Element 4: Support requirements for wild animals and their natural habitats, and wild plants and their growth environments. and promote the Impacts of construction projects on wildlife and habitats, and mitigation measures are a key aspect of the EIA protection, documents. The Technical Guidelines for Environmental Impact Assessment—Ecological Impacts require that conservation, the EIA documents shall pay attention to positive vs. negative, direct vs. indirect, and cumulative impacts, and maintenance, and mitigation measures shall be developed in order of avoidance, mitigation, compensation and reconstruction. rehabilitation of natural Regulations on Nature Reserves: A nature reserve shall be set up for an important habitat. Activities like habitats. Avoid timber felling, herding, fishing, picking, reclamation, burning, mining, quarrying and sand digging shall be not significant conversion conducted in nature reserves. No one shall enter core zones of nature reserves (except approved scientific or degradation of research activities). critical natural habitats. The Regulations on the Administration of Wetland Protection aim to strengthen wetland protection If avoiding the management, and perform the Convention on Wetlands of International Importance Especially as Waterfowl significant conversion Habitat. Wetlands can be protected by wetland nature reserves, wetland parks and wetland protection zones. of natural habitats is Wetlands are divided into nationally important, locally important and ordinary wetlands by geological location, not technically ecosystem function and biodiversity, for which relevant catalogues are issued. feasible, include Guiding Opinions on Establishing a Nature Conservation Site System with Focus on National Parks: measures to mitigate The overall goal is to build a nature conservation site system composed of national parks mainly with Chinese or offset the adverse characteristics. Based on the originality, integrity and systematicity of natural ecosystems, nature conservation impacts of the PforR sites are divided into national parks, nature reserves and nature parks in descending order of ecological value Program activities. and protection intensity. Guiding Opinions on Strengthening the Control over Resource and ecological Redlines: Ecological redlines are defined and strictly abided by based on the requirements of water source conservation, wind breaking, sand fixing, flood regulation, biodiversity conservation, and ecosystem integrity and stability. By the end of 2020, ecological redlines had been defined in all provinces of China. In practice, EIA will identify the relationship between project sites and ecological redlines through the local "Three Lines and One List" program, and be subject to approval by natural resources, ecology and environment, and other sectoral authorities. Therefore, natural habits that may be involved in construction projects will be identified and evaded as early as possible at the preparation stage. The Program is located in 102 Official Use PforR core principles Consistency and China’s E&S management requirements and practices / elements recommendations rural areas, and involves agricultural production using existing farmland, or small infrastructure construction using construction land without occupying critical natural habits. In addition, the environmental exclusion principles of the Program will also exclude activities that may affect critical natural habits from the PforR scope. Element 5: Take into Applicable regulations: Cultural Relics Protection Law (2017 Amendment), Regulations on the account potential Implementation of the Cultural Relics Protection Law (2017 Amendment) adverse effects on i)Cultural Relics Protection Law: Article 17: No construction of additional projects or such operations as physical cultural blasting, drilling and digging may be conducted within the area of protection for a historical and cultural site. property and provide However, where under special circumstances it is necessary to conduct construction of additional projects or adequate measures to such operations as blasting, drilling and digging within the area of protection for such a site, its safety shall be avoid, minimize, or guaranteed, and the matter shall be subject to approval by the peoples government which originally verified mitigate such effects. and announced the site. Article 20: While choosing a place for a construction project, the construction unit shall try its best to get around the site of immovable cultural relics; where it is impossible to do so under special circumstances, it shall do everything it can to protect the original site protected for its historical and cultural value. Article 29: Before launching a large-scale capital construction project, the construction unit shall first request in a report the administrative department for cultural relics under the peoples government of the relevant province, autonomous region, or municipality directly under the Central Government to make arrangements for institutions engaged in archaeological excavations to conduct archaeological investigation and prospecting at places where cultural relics may be buried underground within the area designated for the project. Article 31: The expenses needed for archaeological investigation, prospecting, or excavation, which have to be carried out because of capital construction or construction for productive purposes, shall be included in the budget of the construction unit for the construction project. ii) Regulations on the Implementation of the Cultural Relics Protection Law: Article 25: The scope and rates of funds for archeological investigation, exploration and unearthing shall be based on the applicable state provisions. Principle #3: Program E&S management systems are designed to protect public and worker safety against the potential risks associated with (a) the construction and/or operation of facilities or other operational practices under the Program; (b) exposure to toxic chemicals, hazardous wastes, and otherwise dangerous materials under the Program; and (c) reconstruction or rehabilitation of infrastructure located in areas prone to natural hazards. Element 6: Promote Applicable laws and regulations: Labor Law (2018 Amendment), Work Safety Law (2020.11.25 Consistent adequate community, Amendment),Law on the Prevention and Control of Occupational Diseases (2018 Amendment) individual, and worker (2018.12.29), Occupational Health and Safety Management Systems—Requirements with Guidance for health, safety, and Use (2020.3.6) security through the i) Labor Law: Article 53: Labor health and safety facilities shall comply with the national standards. Newly safe design, constructed, reconstructed or expanded labor health and safety facilities must be designed, constructed and construction, put into operation together with main parts of projects. Article 54: The employer must provide labor health and operation, and safety conditions, and necessary labor protection articles complying with the state provisions to laborers, and maintenance of laborers dealing with operations with occupational hazards shall receive health checkup regularly. Article 57: Program activities; or, The state shall establish a statistical reporting and handling system of accidents and occupational diseases. in carrying out Article 61: Female workers shall not be arranged to deal with physical labor of intensity level III stipulated by 103 Official Use PforR core principles Consistency and China’s E&S management requirements and practices / elements recommendations activities that may be the state, and prohibited labor during pregnancy; female workers pregnant for seven months or more shall not dependent on existing work overtime or at night. infrastructure, ii) Work Safety Law: Article 21: The primary person in charge of a business entity shall have the following incorporate safety duties: establishing and improving the work safety responsibility system of the business entity, organizing the measures, inspections, development of policies, rules, and operating procedures for work safety of the business entity, organizing the or remedial works as development and implementation of the work safety education and training plans of the business entity, appropriate. ensuring the effective utilization of the work safety input of the business entity, supervising and inspecting the work safety of the business entity to eliminate hidden risks of work safety accidents in a timely manner, organizing the preparation and implementation of the business entity's emergency rescue plans for work safety accidents, and reporting work safety accidents in a timely and honest manner. Article 73: Authorities for work safety supervision and management shall establish a reporting system, and disclose a reporting hotline, mailbox or e-mail address to receive reports on work safety. Article 74: Any organization or individual shall have the right to report any concealed accident or work safety violation to authorities for work safety supervision and management. Article 72: When any community or village committee discovers any concealed accident or work safety violation by any production or operation agency within its jurisdiction to the local government or competent authority. iii)Law on the Prevention and Control of Occupational Diseases (2018 Amendment): Article 4 : Employees shall be entitled to occupational health protection according to law. Employers shall create work environment and conditions meeting the national occupational health standards and health requirements and take measures to ensure that employees receive occupational health protection. Trade unions shall oversee the prevention and control of occupational diseases and protect the lawful rights and interests of employees according to law. When formulating or amending rules and regulations on the prevention and control of occupational diseases, employers shall solicit the opinions of trade unions. Article 5: Employers shall establish and improve a responsibility system for the prevention and control of occupational diseases, strengthen the management of prevention and control of occupational diseases, improve their capabilities of prevention and control of occupational diseases, and assume responsibilities for their own occupational disease hazards. Article 6: The primary person in charge of an employer shall assume the overall responsibility for the employer's prevention and control of occupational diseases. Article 7: Employers must participate in work-related injury insurance according to law. Article 9: The state shall apply an occupational health supervision system. Article 10: The State Council and the local people's governments at and above the county level shall prepare plans on the prevention and control of occupational diseases, which shall be included in the national economic and social development plan, and organize the implementation of such plans. China has established a comprehensive work safety management system, and sophisticated work safety measures have been developed for the project design, construction and operation stages. In practice, safety management is the top priority, and its implementation is regulated by all sectoral authorities and emergency management (work safety) authorities comprehensively. Except that construction and operation agencies must have a safety management organization, and relevant staff and measures, all sectoral authorities have 104 Official Use PforR core principles Consistency and China’s E&S management requirements and practices / elements recommendations established a work safety management mechanism to supervise sectoral work safety performance. Emergency management bureaus (work safety authorities) supervise and regulate all sectors and key fields. This system ensures the safety regulation of all Program activities. Element 7: i) Promote Applicable laws and regulations: Work Safety Law, Guangxi 2021 Working Plan for Occupational the use of recognized Disease Prevention and Control Projects of Guangxi(GHC [2021] No.3), Guiding Opinions of the good practice in the Guizhou Provincial Health Commission on Strengthening the Technical Support System for production, Occupational Disease Prevention and Control(2020.12) management, storage, i) Work Safety Law: Article 21: An entity engaged in mining, metal smelting, building construction, or road transport, and disposal transportation or an entity manufacturing, marketing, or storing hazardous substances shall establish a work of hazardous materials safety management body or have full-time work safety management personnel. Article 22: The work safety generated under the management body and work safety management personnel of a business entity shall perform the following PforR. duties: (1) Organizing or participating in the development of the work safety policies, rules and operating procedures and the emergency rescue plans for work safety accidents of the business entity. (2) Organizing or participating in and honestly recording the work safety education and training of the business entity. (3) Supervising the implementation of safety control measures for the major hazard installations of the business entity. (4) Organizing or participating in the emergency rescue rehearsals of the business entity. (5) Inspecting the work safety condition of the business entity, conducting screening for any hidden risks of work safety accidents in a timely manner, and offering recommendations for improving work safety management. (6) Prohibiting and redressing any command against rules, forced operation at risk, or violation of the operating procedures. (7) Supervising the work safety corrective actions taken by the business entity. ii) Regulations on the Safety Management of Hazardous Chemicals: Article 4: A hazardous chemical entity shall provide safety education, legal education and on-the-job technical training to employees. Employees shall accept education and training, and may not hold office until they have passed the relevant review iii) Occupational Health and Safety Management Systems —Requirements with Guidance for Use: This is a regional standard on OHS management systems, designed to identify and control safety issues that may arise in organizational activities, products and services, prevent safety accidents, and protect workers’ health and safety. Enterprises may apply for OHS management system certification, establish a normative management system for the source identification and whole-process control of hazards, and realize continual improvement and compliance. An assessment includes: 1) OHS pre-assessment; 2) inspection reports on OHS and fire protection; 3) test reports on OHS and fire protection; 4) chemical safety reports for hazardous chemicals; 5) copy of manufacturing license (when required); and 6) copy of business license. The following shall be reviewed comprehensively: 1) the organization’s work safety permit; 2) production or service flowchart; 3) organizational chart; 4) list of applicable laws and regulations; 5) location map; 6) factory layout; 7) workshop layout; 8) list of major hazards; 9) OHS targets, indicators and management plan; and 10) certificate of compliance, etc. iv) Guidelines for Occupational Disease Prevention and Control for Employers : The general requirements for occupational disease prevention and treatment, classified management, occupational health file management, and OHS assessment, etc. are stipulated, including: A corporate occupational health policy 105 Official Use PforR core principles Consistency and China’s E&S management requirements and practices / elements recommendations shall be developed, an occupational disease prevention and treatment agency, and an occupational health management agency established, relevant functions defined, and full/part-time occupational health officers appointed; occupational disease prevention and treatment shall be included on management by objective responsibility system; an occupational disease prevention and treatment plan, and an implementation plan shall be developed; a sound occupational health management system and job SOPs shall be established; sound occupational health files shall be established; a sound workplace occupational disease hazard monitoring and evaluation system shall be established, necessary financial support for occupational disease prevention and treatment secured, a sound emergency rescue plan for occupational diseases developed, and work-related injury insurance covered. v) 2021 Working Plan for Occupational Disease Prevention and Control Projects of Guangxi (GHC [2021] No.3): Active pneumoconiosis monitoring shall be conducted in all counties (cities / districts) in the province, and free occupational health checkup provided to workers exposed to dust of some small and medium enterprises, not less than 200 per county (city / district), and not less than 3,400 in the province. vi) Guiding Opinions of the Guizhou Provincial Health Commission on Strengthening the Technical Support System for Occupational Disease Prevention and Control (2020.12): Accelerate the building of the technical supporting system for occupational disease prevention and treatment, and complete the system at the provincial, municipal and county levels by 2025, including a technical support network for occupational disease prevention, a technical support network for occupational disease diagnosis and treatment, and publicity on occupational health, technical support agencies for occupational disease prevention and treatment, and involvement of universities, research institutes, industry associations, and other NGOs. ii) Promote the use of Pesticide Management Regulations: Pesticide manufacturers and operators shall be responsible for the Consistent integrated pest safety and effectiveness of pesticides, accept government and public supervision self-consciously, and extend management practices biological, physical and technical control measures to reduce pesticide consumption gradually. Pesticide to manage or reduce production and development is subject to the pesticide registration and permit systems, pesticide users use the adverse impacts of pesticides as required, and agriculture and rural affairs authorities investigate pesticide production, sale and pests or disease use regularly. vectors Regulations on Crop Pest Control: Extend the application of IT and biological technologies to promote intelligent, professional and green pest control. Encourage the use of green prevention and control techniques, advanced pesticide application machinery, and safe, efficient and economical pesticides. China has established a mature pesticide management system, and uses physical, biological and other pest control means to reduce pesticide consumption. Pesticide producers and sellers should obtain a permit; pesticide users should accept training and guidance, and keep pesticides properly. The Action Plan for Zero Growth in Pesticide Consumption by 2020 was promulgated in 2015. As of 2020, both provinces had realized zero growth in chemical fertilizer consumption for five consecutive years. iii) Provide training for Regulations on the Safety Management of Hazardous Chemicals (2013 Amendment), Occupational workers involved in the Health and Safety Management Systems—Requirements with Guidance for Use (2020.3.6), and production, Guidelines for Occupational Disease Prevention and Control for Employers (2010.8.1) procurement, storage, i) Regulations on the Safety Management of Hazardous Chemicals: Article 4: A hazardous chemical 106 Official Use PforR core principles Consistency and China’s E&S management requirements and practices / elements recommendations transport, use, and entity shall provide safety education, legal education and on-the-job technical training to employees. disposal of hazardous Employees shall accept education and training, and may not hold office until they have passed the relevant chemicals in review. accordance with the ii) Occupational Health and Safety Management Systems—Requirements with Guidance for Use: This is relevant international a regional standard on OHS management systems, designed to identify and control safety issues that may guidelines and arise in organizational activities, products and services, prevent safety accidents, and protect workers’ health conventions. and safety. Enterprises may apply for OHS management system certification, establish a normative management system for the source identification and whole-process control of hazards, and realize continual improvement and compliance. An assessment includes: 1) OHS pre-assessment; 2) inspection reports on OHS and fire protection; 3) test reports on OHS and fire protection; 4) chemical safety reports for hazardous chemicals; 5) copy of manufacturing license (when required); and 6) copy of business license. The following shall be reviewed comprehensively: 1) the organization’s work safety permit; 2) production or service flowchart; 3) organizational chart; 4) list of applicable laws and regulations; 5) location map; 6) factory layout; 7) workshop layout; 8) list of major hazards; 9) OHS targets, indicators and management plan; and 10) certificate of compliance, etc. iii) Guidelines for Occupational Disease Prevention and Control for Employers: The general requirements for occupational disease prevention and treatment, classified management, occupational health file management, and OHS assessment, etc. are stipulated, including: A corporate occupational health policy shall be developed, an occupational disease prevention and treatment agency, and an occupational health management agency established, relevant functions defined, and full/part-time occupational health officers appointed; occupational disease prevention and treatment shall be included on management by objective responsibility system; an occupational disease prevention and treatment plan, and an implementation plan shall be developed; a sound occupational health management system and job SOPs shall be established; sound occupational health files shall be established; a sound workplace occupational disease hazard monitoring and evaluation system shall be established, necessary financial support for occupational disease prevention and treatment secured, a sound emergency rescue plan for occupational diseases developed, and work-related injury insurance covered. Element 8: Include Applicable laws and regulations: Regulations on the Defense against Meteorological Disasters Consistent adequate measures to (2010.4.1), Flood Control Regulations of the People’s Republic of China (2005.7.15), Regulations on the avoid, minimize, or Prevention and Control of Geologic Disasters (2004.3.1), Law on Protecting Against and Mitigating mitigate community, Earthquake Disasters (2009.5.1), and Notice on Realizing Precise Health Management and Orderly Flow individual, and worker of People (JPCMZF [2020] No.203) risks when the PforR i) Regulations on the Defense against Meteorological Disasters: Article 27 : When implementing major Program activities are national construction projects, and major regional economic development projects, and preparing urban and located in areas prone rural development plans, governments at or above the county level shall consider climate feasibility, and risks to natural hazards of meteorological disasters to avoid or mitigate such impacts. Article 23: Lightning protection devices of such as floods, buildings, places and facilities shall comply with the national lightning protection standards. Lightning hurricanes, protection devices of newly constructed, reconstructed or expanded buildings, places and facilities must be earthquakes, or other designed, constructed and put into operation together with main parts of projects. 107 Official Use PforR core principles Consistency and China’s E&S management requirements and practices / elements recommendations severe weather or ii) Flood Control Regulations of the People’s Republic of China (2005.7.15) : consisting of 8 chapters and affected by climate 49 articles, making systematic arrangements for flood control in terms of organization, preparation, events. implementation, emergency rescue, recovery, funding, reward and punishment, etc. iii) Regulations on the Prevention and Control of Geologic Disasters: Article 10 : A geologic disaster investigation system is practiced at the state, provincial and county levels. According to the result from investigation of geologic disasters within its own jurisdiction as well as the planning of the next higher level on prevention and control of geologic disasters, an administrative organ of land resources shall work out the planning for its own jurisdiction on prevention and control of geologic disasters, which shall be submitted to the people's government at the same level for approval and promulgation after demonstration by experts . iv) Law on Protecting Against and Mitigating Earthquake Disasters: Article 35: The construction projects newly built, expanded or rebuilt shall meet the seismic fortification requirements. The major construction projects and the construction projects which may induce serious secondary disasters shall be subject to the seismic safety evaluation in accordance with the provisions of relevant administrative regulations of the State Council, and the seismic fortification shall be conducted in accordance with the seismic fortification requirements determined by the approved seismic safety evaluation reports. The seismic safety evaluation entities of construction projects shall, in accordance with the relevant standards of the State, carry out seismic safety evaluation, and be responsible for the quality of the seismic safety evaluation reports. The construction projects other than those prescribed in the preceding paragraph shall be fortified against earthquakes according to the seismic fortification requirements determined by the seismic intensity zoning map or the ground motion parameter zoning map; the construction projects in densely populated places such as schools and hospitals shall be designed and constructed in compliance with the seismic fortification requirements higher than those for other buildings in the locale, and effective measures shall be taken to increase the capability of seismic fortification. v) Notice on Realizing Precise Health Management and Orderly Flow of People (JPCMZF [2020] No.203): Pandemic control areas shall be defined accurately based on pandemic risk level, and such prevention and control measures as people flow restriction, nucleic acid testing and health monitoring taken timely. For medium and high risk areas, avoid entry into project areas and people gathering where possible, and allow people entering project areas to flow freely and orderly on the premise of properly temperature measurement and personal protection. Avoid going to medium and high risk areas if not necessary. Principle #4: Program E&S systems manage land acquisition and loss of access to natural resources in a way that avoids or minimizes displacement and assists affected people in improving, or at the minimum restoring, their livelihoods and living standards. Element 9: In six Applicable laws and regulations: Measures for the Administration of the Pre-review on the Use of Land Consistent aspects: for Construction Projects (2017), Land Administration Law (2020.1.1 Amendment), Regulations for the i) Avoid or minimize Implementation of the Land Administration Law (2014 Amendment), Notice of the Guangxi PNRD and land acquisition and PARAD on Further Strengthening and Regulating Facility Farmland Management (GPNRD [2020] No.3), related adverse and Notice of the Guizhou PNRD and PARAD on Issues Related to Facility Farmland Management impacts. (GPARAD [2020] No.1) 108 Official Use PforR core principles Consistency and China’s E&S management requirements and practices / elements recommendations i) Measures for the Administration of the Pre-review on the Use of Land for Construction Projects : The area and type of the land used for the project shall be identified before the feasibility study report or project proposal is reviewed to avoid the acquisition of basic farmland, nature reserves, etc. ii) Guidelines on Establishing a Social Stability Risk Assessment Mechanism for Major Decisions (Interim) (CPCCCO [2012] No.2): An SSRA shall be conducted for any project involving LA and HD, farmers’ burden or social security. iii) Guidelines on Establishing a Social Stability Risk Assessment Mechanism for Major Decisions (Interim):If the assessment report thinks that the matter has risk risks, a non-implementation decision shall be made, or the decision-making plan adjusted to reduce risks; if there are intermediate risks, effective prevention and mitigation measures shall be taken before decision-making; if there are low risks, an implementation decision may be made, but explanation shall be made to handle reasonable requests of stakeholders. For impact and risk management, the legitimacy, rationality, feasibility and controllability of measures shall be assessed. iv) Notice of the Guangxi PNRD and PARAD on Further Strengthening and Regulating Facility Farmland Management (GPNRD [2020] No.3): All localities shall comply strictly with land space, and agricultural and industrial development plans strictly, and guide the rational site selection of facility farmland, utilize waste hills and slopes, tidal flat, ponds, and unused construction land where possible, and avoid the use of cultivated land, especially high-quality cultivated land permanent basic farmland. If unused land or water surface can be used for land livestock and poultry breeding or aquaculture, farmland occupation shall be avoided, and the damage to the arable layer shall be minimized through technical measures. v) Notice of the Guizhou PNRD and PARAD on Issues Related to Facility Farmland Management (GPARAD [2020] No.1): County governments should coordinate site selection for facility farmland. Township governments shall organize village collective economic organizations and operators, and utilize policies on natural resources, agriculture, forestry, etc., and fix sites and ranges of construction land rationally in compliance with the master land utilization plan, agricultural development plan, and village plans on the basis of protecting cultivated land and utilizing land rationally. Facilities shall be constructed on unused land and collective construction land where possible, and the occupation of dam areas and cultivated area avoided. ii) Identify and address i) Land Administration Law: Article 26: Owners or users of the land to be acquired shall, within the time limit Consistent economic or social specified in the announcement, go through compensation registration on the strength of the real estate impacts caused by ownership certificate. For acquisition of land by the state, the local people's governments at and above the land acquisition or loss county level shall make an announcement and organize implementation after approval according to the legal of access to natural procedures. resources. ii) Regulations on the Implementation of the Land Administration Law of the PRC: Article 25: Municipal, county government of the locality whose land has been acquired shall, upon approval of the LA plan according to law, organize its implementation, and make an announcement in the village(township), hamlet whose land has been acquired on the approval organ of the LA, number of the approval document, use, scope and area of the acquired land as well as the rates for compensation of LA, measures for the resettlement of agricultural personnel and duration for processing LA compensation. Article 26: Land compensation fee goes to the rural 109 Official Use PforR core principles Consistency and China’s E&S management requirements and practices / elements recommendations collective economic organization; compensation for ground attachments and young crops shall be for the owner(s) of ground attachments and young crops. iii) Provide Applicable laws and regulations: Real Right Law (2007.3), Land Administration Law, Regulations on the compensation Expropriation of Houses on State-owned Land and Compensation (Decree [2011] No.590 of the State Council) sufficient to purchase (2011.1.21), Notice on Issuing the Measures for the Expropriation and Evaluation of Houses on State-owned replacement assets of Land (JF [2011] No.77) (2011-6-3), Notice of the General Office of the Guangxi Provincial Government on equivalent value and Applying Block Comprehensive Land Prices (GRGO [2020] No.5), Notice of the General Office of the Guizhou to meet any necessary Provincial Government on Applying Block Comprehensive Land Prices (GPGO [2020] No.68), Regulations of transitional expenses, Guangxi on Implementing the Regulations on the Expropriation of Houses on State-owned Land and paid before taking land Compensation (GRG [2011] No.36), Notice of the General Office of the Guizhou Provincial Government on or restricting access. Implementing the Regulations on the Expropriation of Houses on State-owned Land and Compensation (GPGO [2011] No.53), Notice of the General Office of the Guizhou Provincial Government on Issuing the Measures of Guizhou Province for Housing Security for House Expropriation on State-owned Land (Interim), Measures of Guizhou Province for the Selection of Appraisal Agencies for House Expropriation on State- owned Land (Interim), and Guiding Opinions of Guizhou Province on Compensation for Production or Business Suspension for House Expropriation on State-owned Land, Agricultural Product Quality Safety Law (2018.10.26), Regulations on Pesticide Administration (2017.2.8), Measures for the Administration of the Soil Environment of Agricultural Land (Interim) (2017.9.25), Guidelines of the General Office of the Ministry of Agriculture and Rural Affairs on Fertilizer Package Waste Recovery and Disposal (2020.1.16), and Measures for the Administration of Agricultural Mulch Films (2020.4.24) i) Real Right Law: Article 42: For collective land acquired, land compensation, resettlement subsidy, compensation for ground attachments and young crops, etc. shall be fully paid according to law, and social security funds for land-expropriated farmers appropriated to secure their livelihoods, and protect their lawful rights and interests. Where any house or other immovable property of any organization or individual are expropriated, compensation shall be granted according to law to protect the lawful rights and interests of the affected organization or individual; where any personal residence is expropriated, the affected person’s housing conditions shall be secured. ii) Land Administration Law: Article 48: Fair and reasonable compensation shall be granted for land acquisition. In case of land acquisition, the land compensation fees, resettlement subsidy, and compensation fees for rural residential houses, other ground attachments, young crops, etc. shall be paid timely and fully according to law, and social security costs for the affected farmers disbursed. iii) Regulations on the Expropriation of Buildings on State-owned Land and Compensation (Decree[2011] No.590 of the State Council) (2011.1.21): Article 19: The compensation for the value of houses to be expropriated shall not be less than the market price of the real estate comparable to the houses to be expropriated on the date of the public notice of the house expropriation decisions. The value of the houses to be expropriated shall be assessed and determined by real estate appraisal agencies with appropriate qualifications in accordance with the procedures for evaluating houses to be expropriated. Anyone who has objection to the value of the houses to be expropriated that has been assessed and determined may 110 Official Use PforR core principles Consistency and China’s E&S management requirements and practices / elements recommendations apply to the real estate appraisal agency for reassessment. Anyone who disagrees with the results of the review may apply to the real estate appraisal expert committee for appraisal. iv) Measures for the Expropriation and Appraisal of Housing on State-owned Land (JF [2011] No.77) (2011-6-3): Article 16: The real estate appraisal agency shall provide preliminary household-by-household appraisal results according to the entrustment contract, and the house expropriation authority shall disclose such results to the affected persons. During disclosure, the real estate appraisal agency shall appoint a registered appraiser to explain such results on site, and correct any error. v) Notice of the General Office of the Guangxi Provincial Government on Applying Block Comprehensive Land Prices (GRGO [2020] No.5): A block comprehensive land price consists of land compensation and a resettlement subsidy at 1:1, excluding any subsidy for endowment insurance for land- expropriated farmers, or compensation for ground attachments and young crops. Notice of the General Office of the Guizhou Provincial Government on Applying Block Comprehensive Land Prices (GPGO [2020] No.68): 60% of the block comprehensive land price is the resettlement subsidy and 40% is the land compensation; for unused land acquired, 100% of the block comprehensive land price is the land compensation; if there are young crops on the acquired land, the county government shall compensate them based on the actual output; attachments on the acquired land shall be compensated for according to the applicable provisions or the rate agreed on between both parties; if there is no such provision or no agreement is reached, the county government shall base the compensation on the actual loss value. vi) Regulations of Guangxi on Implementing the Regulations on the Expropriation of Houses on State- owned Land and Compensation (GRG [2011] No.36): In case of property swap, the size of the replacement house shall not be less than that of the original house; if the affected household is entitled to housing security, the municipal or county government making the house expropriation decision shall include it in housing security. The value of an expropriated house is appraised by a qualified real estate appraisal agency in accordance with the applicable national and local standards. No one shall prevent any real estate appraisal agency without any bad record from participating in house appraisal. Notice of the General Office of the Guizhou Provincial Government on Implementing the Regulations on the Expropriation of Houses on State-owned Land and Compensation (GPGO [2011] No.53) : Any affected household shall not be forced to move without receiving reasonable compensation. All county (city / district) governments must ensure that compensation is made available timely and fully, and used for the designated purpose. House expropriation authorities shall respect choices of affected households, such as property swap and monetary compensation, and provide acceptable replacement houses to affected households to protect their rights and interests. In addition, the Notice of the General Office of the Guizhou Provincial Government on Issuing the Measures of Guizhou Province for Housing Security for House Expropriation on State-owned Land (Interim), Measures of Guizhou Province for the Selection of Appraisal Agencies for House Expropriation on State-owned Land (Interim), and Guiding Opinions of Guizhou Province on Compensation for Production or Business Suspension for House Expropriation on State-owned Land make provisions on housing security, appraisal agency selection, and compensation for production or business suspension for house demolition on state-owned land. 111 Official Use PforR core principles Consistency and China’s E&S management requirements and practices / elements recommendations vii) The Agricultural Product Quality Safety Law of the PRC raises requirements for the whole production process of farm products, including the selection of the cultivation place, and the control over the use of pesticides and chemical fertilizer during cultivation. The Regulations on Pesticide Administration raises specific requirements for the production, registration, marketing and use of pesticides. The Measures for the Administration of the Soil Environment of Agricultural Land (Interim) are promulgated by the Ministry of Ecology and Environment, and Ministry of Agriculture and Rural Affairs jointly in accordance with the applicable laws and regulations, and the Action Plan for Soil Pollution Prevention and Control to strengthen the supervision of farmland soil environment protection. The Measures stipulate that local agriculture authorities at or above the county level shall strengthen publicity on farmland soil pollution control, improve the farmland soil environment protection awareness of agricultural producers, and guide them to use fertilizers, pesticides, films and other agricultural inputs rationally. The Guidelines of the General Office of the Ministry of Agriculture and Rural Affairs on Fertilizer Package Waste Recovery and Disposal stipulate that fertilizer package waste shall be recovered by producers, dealers and users. Measures for the Administration of Agricultural Mulch Films: Article 14: Agricultural mulch film recovery shall be conducted with government support and multi-party participation. All localities shall take measures to support and encourage organizations and individuals to recover agricultural mulch films. iv) Provide Applicable laws and regulations: Land Administration Law, Guidelines on Improving Compensation Consistent supplemental and Resettlement Systems for Land Acquisition (MLR [2004] No.238), Notice on Doing a Good Job in livelihood improvement Employment Training and Social Security for Land-expropriated Farmers (SC [2006] No.29), Notice of or restoration the Ministry of Labor and Social Security, and the Ministry of Land and Resources on Doing a measures if taking of Substantially Good Job in Social Security for Land-expropriated Farmers (MLSS [2007] No.14), Notice land causes loss of of the General Office of the Guangxi Provincial Government on Applying Block Comprehensive Land income-generating Prices (GRGO [2020] No.5), and Opinions of the Guizhou Provincial Government on Doing a Better Job opportunity (e.g., loss in the Employment and Social Security of Land-expropriated Farmers (GPG [2011] No.26) of crop production or i) Land Administration Law: Article 48: Fair and reasonable compensation shall be granted for land employment). acquisition to ensure that the living standard of the affected farmers is not reduced, and their long-term livelihoods are secured. ii) Guidelines on Improving Compensation and Resettlement Systems for Land Acquisition (MLR [2004] No.238), 1) Agricultural resettlement. When rural collective land out of urban planning areas is acquired, land-expropriated farmers shall be first provided with necessary arable land using mobile collective land, contracted land turned over by contractors and arable land arising from land development so that they continue to pursue agricultural production. 2) Reemployment resettlement. Conditions shall be created actively to provide free labor skills training to land-expropriated farmers and place them to corresponding jobs. Under equal conditions, land users shall first employ land-expropriated farmers. When rural collective land within urban planning areas is acquired, land-expropriated farmers shall be included in the urban employment system and a social security system established for them. 3) Dividend distribution resettlement. When any land with long-term stable income is to be used for a project, the affected rural collective economic organization may become a project shareholder with compensation fees for LA or rights to use construction land in consultation with the land user. The rural collective economic organization and rural households will 112 Official Use PforR core principles Consistency and China’s E&S management requirements and practices / elements recommendations receive dividends as agreed. 4) Non-local resettlement. If basic production and living conditions are not available locally to land-expropriated farmers, non-local resettlement may be practiced under the leadership of the government in consultation with the rural collective economic organization and rural households. iii) Notice on Doing a Good Job in Employment Training and Social Security for Land-expropriated Farmers (SC [2006] No.29): Employment training and social security for land-expropriated farmers shall be taken as an important aspect of land acquisition system reform. Local governments shall establish a social security system suited to the characteristics and needs of land-expropriated farmers, secure employment training and social security funds, promote land-expropriated farmers to get employed and be incorporated into urban society, and ensure that the living standard of land-expropriated farmers is not reduced due to land acquisition, and their long-term livelihoods are secured. iv) Notice of the Ministry of Labor and Social Security, and the Ministry of Land and Resources on Doing a Substantially Good Job in Social Security for Land-expropriated Farmers (MLSS [2007] No.14): All localities shall establish a social security system for land-expropriated farmers as soon as possible. Funds required for social security for land-expropriated farmers shall be fully transferred to the special account, and credited to the individual or pooling account within 3 months after the approval of the land acquisition compensation and resettlement program. v) Notice of the General Office of the Guangxi Provincial Government on Applying Block Comprehensive Land Prices (GRGO [2020] No.5): All cities and counties shall further extend resettlement channels for land-expropriated farmers, such as one-time monetary compensation, agricultural development, resettlement on retained land, housing, and employment. In case of resettlement on retained land, not less than 5% of the acquired land area shall be reserved (not more than 10 mu in principle) for collective economic development to ensure that the living standard of land-expropriated farmers is not reduced. vi) Opinions of the Guizhou Provincial Government on Doing a Better Job in the Employment and Social Security of Land-expropriated Farmers (GPG [2011] No.26): After land-expropriated farmers are converted into urban status, if they are unemployed but able to work, they may go through unemployment registration at the public employment service agency, and enjoy employment support, such as placement to public welfare jobs. The owner of the land using project shall ensure that eligible land-expropriated farmers are employed with priority, who shall be entitled to basic endowment insurance, medical insurance, and skills training. Those starting up businesses independently shall be entitled to small amount secured loans. A dynamic employment assistance and management system shall be established to provide guidance and employment services to land-expropriated farmers. Eligible land-expropriated farmers shall be included in new-type rural social endowment insurance or social endowment insurance for urban and rural residents. Those aged 16-60 years shall be subsidized for 15 years if they covering insurance. Those eligible for minimum living security shall be included in the minimum living security system. v) Restore or replace Applicable laws and regulations: Land Administration Law, and Regulations on the Implementation of Consistent public infrastructure the Land Administration Law of the PRC, Real Right Law: and community i) Land Administration Law: Article 47: For acquisition of land by the state, the local people's governments at services that may be and above the county level shall make an announcement and organize implementation after approval adversely affected by according to the legal procedures. If a people’s government at or above the county level is to apply for land 113 Official Use PforR core principles Consistency and China’s E&S management requirements and practices / elements recommendations the Program. acquisition, it shall conduct a current status survey and a social stability risk assessment, and disclose the range and purpose of acquisition, current status, compensation rate, resettlement mode, social security, etc. in the township (town), village and village group for at least 30 days to collect comments from the affected rural collective economic organization and its members, village committee and other stakeholders. ii) Regulations on the Implementation of the Land Administration Law of the PRC: Article 25 : Municipal, county government of the locality whose land has been acquired shall, upon approval of the LA plan according to law, organize its implementation, and make an announcement in the village(township), hamlet whose land has been acquired on the approval organ of the LA, number of the approval document, use, scope and area of the acquired land as well as the rates for compensation of LA, measures for the resettlement of agricultural personnel and duration for processing LA compensation. iii) Real Right Law: Article 36: If any immovable or movable property is damaged, the right holder may request repair, rework, replacement or restoration. vi) Include measures i) Land Administration Law: Article 26: Owners or users of the land to be acquired shall, within the time limit in order for land specified in the announcement, go through compensation registration on the strength of the real estate acquisition and related ownership certificate. For acquisition of land by the state, the local people's governments at and above the activities to be planned county level shall make an announcement and organize implementation after approval according to the legal and implemented with procedures. Article 47: If a people’s government at or above the county level is to apply for land acquisition, it appropriate disclosure shall conduct a current status survey and a social stability risk assessment, and disclose the range and of information, purpose of acquisition, current status, compensation rate, resettlement mode, social security, etc. in the consultation, and township (town), village and village group for at least 30 days to collect comments from the affected rural informed participation collective economic organization and its members, village committee and other stakeholders. of those affected. ii) Regulations on Complaint Letters and Visits: Article 6: A working organ of the people's government at or above the county level for the handling of complaint letters and visits shall be the administrative organ in charge of handling complaint letters and visits of its corresponding people's government and shall perform the following duties: (1) Accepting, assigning and transferring the matters as described in the complaint letters and visits; (2) Handling the matters as described in the complaint letters and visits as assigned by the people's governments at and above the same level; (3) Coordinating the handling of the important complaint letters and visits; (4) Supervising and checking the handling of matters as described in complaint letters and visits; (5) Studying and analyzing the matters relating to complaint letters and visits, making investigation and research and timely putting forward suggestions for perfecting relevant policies and improving the work of the people's government at the same level; and (6) Giving instructions to the handling of complaint letters and visits by other working departments of the people's government at the same level and the complaint letter and visit handling organs of the subordinate people's governments. iii) Document No.1 of the Central Government (2020): Leaders, especially municipal and county leaders, shall receive complaints and visits at lower levels to solve outstanding cases actively. Diversified legal services like one legal adviser per village shall be offered, and people mediation strengthened to ensure that disputes and conflicts are handled at the village level where possible. Complaint channels for farmers shall be kept smooth to handle their reasonable complaints timely and properly. 114 Official Use PforR core principles Consistency and China’s E&S management requirements and practices / elements recommendations iv) Standard Guide to Grass-root Government Affairs Disclosure on Collective Land Acquisition (June 2019, MNR):Matters to be disclosed shall be defined, disclosure procedures normalized, and disclosure modes improved to protect the people’s rights of information, participation, expression and supervision practically. Public participation during land acquisition and resettlement mainly includes: • During project preparation and option selection, the project owner and design agency shall conduct meaningful consultation with the affected persons and other stakeholders, and improve engineering measures and define the range of land use based on the feedback to avoid sensitive objects and minimize impacts. • Participation during the DMS includes LA announcement, DMS publicity, DMS participation, and result disclosure and confirmation. • During the SSRA, meaningful consultation shall be conducted with stakeholders to assess potential major social risks of LA and HD, including other risks that are not directly related to the project but may affect the project materially. • The compensation program shall be disclosed during drafting, and a public hearing held when necessary. • Public participation during implementation mainly includes production resettlement, livelihood restoration, information disclosure in compensation distribution and information, negotiation, and agreement signing. v) Notice of the Guangxi PNRD and PARAD on Further Strengthening and Regulating Facility Farmland Management (GPNRD [2020] No.3): The construction plan and land use conditions shall be disclosed by the township government and rural collective economic organization to the public for not less than ten days. If there is no objection during this period, the rural collective economic organization shall enter into a land use agreement with the operator. vi) Notice of the Guizhou PNRD and PARAD on Issues Related to Facility Farmland Management (GPARAD [2020] No.1): Before the operator enters into a land use agreement with the rural collective economic organization, the rural collective economic organization shall disclose the agreement in the bulletin board for not less than ten days, including the project name, site, facility type and purpose, used land area, land use period, land use, reclamation requirements and deadline, land return, liability for breach, etc. Principle #5: Program E&S systems give due consideration to the cultural appropriateness of, and equitable access to, Program benefits, giving special attention to the rights and interests of ethnic minorities and vulnerable groups. Element 10: Applicable laws and regulations: Constitution (2018 Amendment), Social Stability Risk Assessment of Undertake meaningful Major Fixed Asset Investment Projects (2012.8.16), Land Administration Law (2020), and Law of the consultations if the People’s Republic of China on Regional National Autonomy(2001 Amendment) ethnic minorities are i) Constitution: Article 4: All ethnic groups in the People's Republic of China are equal. potentially affected ii) Law of the People’s Republic of China on Regional National Autonomy: Article 51 : In dealing with (positively or special issues concerning the various nationalities within its area, the organ of self-government of a national negatively), to autonomous area must conduct full consultation with their representatives and respect their opinions. determine whether iii) Social Stability Risk Assessment of Major Fixed Asset Investment Projects: Article 3: At the there is broad feasibility study stage, the implementing agency (or an appointed specialized agency) shall conduct an SIA, community support for impact assessment and public consultation, propose mitigation measures, and prepare an SSRA report. On the PforR Program the other hand, if a local government at or above the county level applies for LA, a current status survey and activities. 115 Official Use PforR core principles Consistency and China’s E&S management requirements and practices / elements recommendations an SSRA shall be conducted. The SSRA report shall be reviewed by experts organized by the designated authority of the county government, and then approved. On this basis, appropriate local implementation opinions / notices have been issued, such as the Notice of the Guangxi Development and Reform Commission on Issuing the Interim Measures for the Social Stability Risk Assessment of Fixed Asset Investment Projects (GDRCI [2013] No.833), and Notice of the General Offices of the Guizhou Provincial CPC Committee and Government on Issuing the Measures of Guizhou Province for the Implementation of the Social Stability Risk Assessment of Major Decisions (Interim)(QWTZ [2012] No.49). iv) Land Administration Law (2020): Article 47 : For acquisition of land by the state, the local people's governments at and above the county level shall make an announcement and organize implementation after approval according to the legal procedures. If a people’s government at or above the county level is to apply for land acquisition, it shall conduct a current status survey and a social stability risk assessment, and disclose the range and purpose of acquisition, current status, compensation rate, resettlement mode, social security, etc. in the township (town), village and village group for at least 30 days to collect comments from the affected rural collective economic organization and its members, village committee and other stakeholders. Element 11: Ensure Applicable laws, regulations and plans: Law of the People’s Republic of China on Regional National Autonomy that ethnic minorities (2001 Amendment), Some Provisions of the State Council on the Implementation of the Regional National can participate in Autonomy Law (2005.5), Opinions of the Guangxi Provincial Government on Carrying through the National devising opportunities 13th Five-year Plan for Promoting the Development of Minority Areas and Smaller Ethnic Minorities (GRG to benefit from [2017] No.58), Outline of the 14th Five-year National Economic and Social Development Plan, and 2035 Long- exploitation of term Objectives of Guangxi (GRG [2021] No.11), 14th Five-year Plan for Ethnic Unity and Progress of Guizhou customary resources Province (GERAB [2021] No.14) and indigenous i) Law of the People’s Republic of China on Regional National Autonomy: Article 65 : While exploiting knowledge, the latter resources and undertaking construction in national autonomous areas, the State shall give consideration to the to include the consent interests of these areas, make arrangements favorable to the economic development there and pay proper of ethnic minorities. attention to the productive pursuits and the life of the minority nationalities there. The State shall take measures to give due benefit compensation to the national autonomous areas from which the natural resources are transported out. ii) Interim Regulations on Major Administrative Decision-making Procedures (2019.9.1): Prior public consultation shall be conducted for major administrative decision-making matters, including developing important plans for economic and social development and other aspects , developing major public policies and measures to develop, utilize and protect important natural and cultural resources, deciding on major public construction projects to be implemented in the administrative region, and deciding on other major matters that have a significant impact on economic and social development, involve material public interests, or the vital interests of the public. Article 14: The decision-making entity shall fully solicit opinions in the form widely available for public participation. Opinions may be solicited in such forms as symposiums, hearings, field visits, written solicitation of opinions from the public, questionnaires, and opinion polls . Article 15: If public opinions are solicited for a matter for decision-making, the decision-making entity shall disclose the draft decision and its explanation, and the mode and period of solicitation by publicly available means, such as government website, new media and TV. The opinion solicitation period is usually not less than 30 days. For matters of 116 Official Use PforR core principles Consistency and China’s E&S management requirements and practices / elements recommendations extensive public concern, or highly technical matters, the decision-making entity may make explanation by means of expert interview, etc. Article 16: If any matter for decision-making concerns immediate interests of citizens, legal persons or other organizations, or involves a major dispute, a public hearing may be held. The decision-making entity shall disclose the draft decision and its explanation, and make clear the time and venue of the public hearing. Article 29: If the public participation procedure is performed, the decision-making entity shall submit the draft decision together with adopted public opinions . Article 30: When the draft decision is discussed, the meeting attendees shall give opinions adequately, and chief administrative officer shall give an opinion finally. If such opinion differs from the majority opinion, the reason shall be given at the meeting. iii) The Opinions of the Guangxi Provincial Government on Carrying through the National 13 th Five- year Plan for Promoting the Development of Minority Areas and Smaller Ethnic Minorities (GRG [2017] No.58) propose the priorities of minority work during the 13th five-year plan period, including poverty alleviation, leapfrog economic development, livelihood improvement, ecological civilization, all-round opening and cooperation, accelerated development of ethnic minorities with a small population, protection of minority villages, ethnic unity, innovative minority affairs governance system, and rapid development of minority economy, education, science and technology, culture, health, and politics . iv) Outline of the 14th Five-year National Economic and Social Development Plan, and 2035 Long-term Objectives of Guangxi (GRG [2021] No.11): It describes the overall development goals of minority residents and areas. The integrated development of traditional consumer goods and cultural creativity products shall be supported; urban and rural public cultural facilities shall be improved, public cultural services in minority areas developed, and the access of special groups to public cultural services ensured; ethnic cultural heritage conservation shall be strengthened, and minority villages protected and utilized effectively; intangible cultural heritage shall be protected systematically, and traditional ethnic handicrafts protected and developed; the transformation and upgrading of the ethnic culture industry shall be promoted, and a number of tourism shows with ethnic and local characteristics developed to improve the influence of ethnic festivals; education in minority areas shall be supported, and pilot areas of vocational education established; the regional ethnic autonomy system shall be improved, and a sound collaboration mechanism between sources and destinations of minority floating population established. v) 14th Five-year Plan for Ethnic Unity and Progress of Guizhou Province (GERAB [2021] No.14): It proposes development indicators, including promoting the economic growth of ethnic minorities, creating a beautiful life together, strengthening the Chinese community awareness and ethnic unity, protecting and developing ethnic cultures, promoting ethnic exchanges, and improving ethnic affairs governance performance. Element 12: Give Notice of the State Council on Issuing the 13th Five-year Plan for Promoting the Development of Minority Areas attention to groups and Smaller Ethnic Minorities (SC [2016] No.79), Opinions of the Guangxi Provincial Government on Carrying vulnerable to hardship through the National 13th Five-year Plan for Promoting the Development of Minority Areas and Smaller Ethnic or discrimination, Minorities (GRG [2017] No.58), iii) Outline of the 14th Five-year National Economic and Social Development including, as relevant, Plan, and 2035 Long-term Objectives of Guangxi (GRG [2021] No.11), 14th Five-year Plan for Ethnic Unity and the poor, the disabled, Progress of Guizhou Province (GERAB [2021] No.14) women and children, 117 Official Use PforR core principles Consistency and China’s E&S management requirements and practices / elements recommendations the elderly, ethnic i) Notice of the State Council on Issuing the 13th Five-year Plan for Promoting the Development of minorities, racial Minority Areas and Smaller Ethnic Minorities (SC [2016] No.79): The development of advantaged and groups, or other characteristic industries of poor minority areas shall be supported, especially stockbreeding and minority marginalized groups; handicrafts. “One product per village� industry revitalization and “Internet+� industry poverty alleviation and if necessary, take measures shall be taken for poor villages. Poverty alleviation by e-commerce, photovoltaic, rural tourism, etc. special measures to shall be implemented to increase local residents’ income; major infrastructure projects shall be constructed in promote equitable minority areas to improve livelihoods. Basic social service mechanisms in minority areas shall be improved to access to PforR provide support in old-age services, social assistance, social welfare, special care and resettlement. The Program benefits. disaster assistance system for natural disasters shall be improved in minority areas. Urban and rural minimum living security standards for minority areas shall be fixed rationally. The healthy development of public welfare and charity programs shall be supported. ii) Opinions of the Guangxi Provincial Government on Carrying through the National 13 th Five-year Plan for Promoting the Development of Minority Areas and Smaller Ethnic Minorities (GRG [2017] No.58): By 2020, our province’s GDP and per capita income shall double from 2010, practical effects shall be made in poverty alleviation, infrastructure shall be better, the industry structure shall be further optimized, urbanization level and opening up level shall be much higher, and overall economic strength and ecological protection shall be enhanced. A green development path shall be followed. Basic public services shall be available equally, and resource allocation more rational. Urban and rural residents shall be further employed, laborers much more educated, full coverage of social security realized, and basic medical services available to everyone. Traditional minority cultures shall be developed, minority cultural activities conducted extensively, and ethnic unity further strengthened. All ethnic groups shall live and develop in harmony. iii) Outline of the 14th Five-year National Economic and Social Development Plan, and 2035 Long-term Objectives of Guangxi (GRG [2021] No.11): The integrated development of traditional consumer goods and cultural creativity products shall be supported; urban and rural public cultural facilities shall be improved, public cultural services in minority areas developed, and the access of special groups to public cultural services ensured; ethnic cultural heritage conservation shall be strengthened, and minority villages protected and utilized effectively; intangible cultural heritage shall be protected systematically, and traditional ethnic handicrafts protected and developed; the transformation and upgrading of the ethnic culture industry shall be promoted, and a number of tourism shows with ethnic and local characteristics developed to improve the influence of ethnic festivals; education in minority areas shall be supported, and pilot areas of vocational education established; the regional ethnic autonomy system shall be improved, and a sound collaboration mechanism between sources and destinations of minority floating population established. iv) 14th Five-year Plan for Ethnic Unity and Progress of Guizhou Province (GERAB [2021] No.14): Industrialization, agricultural modernization and tourism development shall be further promoted, high-quality economic development realized, and a modern industry system established in minority areas. Poverty alleviation achievements shall be strengthened, and linked effectively to rural revitalization, a long-term support mechanism for low-income rural population established, and demonstration counties, townships and villages in countryside building and rural revitalization developed. New type urbanization shall be accelerated, balanced urban and rural development realized, and modern infrastructure constructed. The income of urban 118 Official Use PforR core principles Consistency and China’s E&S management requirements and practices / elements recommendations and rural residents in minority areas shall be further increased, and the growth of per capita disposable income shall not be less than the provincial average. The system of regulations on ethnic work shall be further improved. iv) Other poverty alleviation policies: In China, poor households refer mainly to those below the minimum living security (MLS) standard, and are classified into: a) MLS households, whose per capita annual income is below the poverty line. All provinces shall disclose MLS standards and policies every year. For example, urban and rural MLS standards of Guangxi are fixed by local governments at or above the county level, and vary from place to place. In 2020, the average urban MLS standard was 761 yuan per month per capita, and the average rural MLS standard 5,400 yuan per annum per capita; in Guizhou Province, urban and rural MLS is divided into three levels, where the urban MLS standards are 695, 675 and 625 yuan per month per capita, and the rural MLS standards are 4,380, 4,332 and 4,308 yuan per annum per capita ; b) extremely poor persons, old and disabled persons with no ability to work, no income source, or statutory supporter, or whose statutory supporter is incapable to support, and persons under 16 years, who receive full national security in income, food, clothing, medical care, housing and education; c) persons who just have been out of poverty and prevented from falling back into poverty v) Law of the People’s Republic of China on the Protection of Women’s Rights and Interests (2018 Amendment): Article 22: Women shall enjoy the same labor and social security rights as men. Article 24: Men and women shall receive equal pay for equal work, and women shall enjoy the same remuneration rights as men. Article 26: Any employer shall protect women’s health and safety at work, and shall not assign women to unsuitable jobs. Women shall receive special protection during menstruation, pregnancy, lying-in and breastfeeding. Article 27: No employer shall reduce female workers’ salaries, or dismiss female workers on the basis of marriage, pregnancy lying-in and breastfeeding. Article 28: The state shall ensure that women are entitled to social insurance, social assistance, social welfare and healthcare rights, and encourage public welfare activities for women. Article 29: The state shall offer maternity security. vi) Program for Women’s Development of China (2011-2020): The overall objective is to include gender awareness in the legal system and public policies to promote women’s all-round development, protect their access to basic medical, educational and legal services, economic resources, public affairs management, social security, and environmental management. Principle #6: Program E&S systems avoid exacerbating social conflict, especially in fragile states, post-conflict areas, or areas subject to territorial disputes Element 13: Consider conflict risks, including distributional equity and cultural sensitivities. 119 Official Use Appendix 4: Stakeholder Analysis The E&S management systems of the PforR will involve different stakeholders, including individuals, government authorities and other agencies. Stakeholders are either affected by any activity or affect the construction and operation of any activity. Therefore, for each activity under the PforR, stakeholders involved will be identified through a mechanism. Stakeholders under each type of outcomes under the E&S systems of the PforR are consistent, including affected entities, interested entities and management agencies. Therefore, stakeholders can be summarized as follows: A. Affected entities i) Persons affected by land acquisition (PLA): farmers or residents affected by land acquisition or occupation; ii) Paying residents (HOP): residents paying for wastewater treatment and operation, or for domestic waste collection and disposal, and facility operation and maintenance; iii) Persons separating waste (PSW): rural residents involved in domestic waste separation and recycling; iv) Planters: planters involved in pesticide packaging waste, and straw recycling, and fertilizer reduction; v) Livestock farmers: livestock farmers involved in livestock and poultry manure recycling. B. Interested entities i) Operation entities: operation entities of WWTFs, domestic waste collection, transfer and disposal entities, and manure recycling enterprises; ii) Suppliers: suppliers of services and substances, such as equipment and fertilizers; iii) Agencies: women’s federation, poverty alleviation office, or rural revitalization office etc.; iv) NGOs: NGOs concerned about environmental quality; v) Research staff: staff of research institutions or universities. C. Management agencies i) NCG: national central government ii) PGDs: provincial government departments iii) CGs: county governments iv) DIC: local county authorities, such as water resources bureaus, HURDBs, agriculture and rural affairs bureaus, and EEBs v) TGs: local township governments, including land acquisition/occupation, wastewater treatment, domestic waste collection, separation and recycling, etc. vi) VCs: local village committees Attached Table 4-1 shows detailed stakeholder identification and analysis. Stakeholder matrix Affected entities include directly, indirectly, temporarily and permanently affected entities. Interested entities include entities with influence on the PforR or its outcomes. The following stakeholder matrix shows different stakeholders with the degree of E&S impact being the horizontal axis and the influence on the PforR decision-making being the vertical axis. 120 Official Use 121 Official Use Attached Table 4-1: Stakeholder Identification and Analysis Results area Activity Affected Interested entities Management agencies entities RA1.  Establishing an None  Individuals or NGOs  Central and provincial Strengthening integrated financial concerned about authorities, and agriculture institutional budget and expense environmental quality and rural affairs authorities, capacity for reporting system ecology and environment governance based on green authorities, natural agriculture planning; resources authorities, etc.at  Developing all levels regulations, standards, and guidelines for green agricultural development, etc. RA2. Green cultivation  Planters Individuals or NGOs  Competent authorities, Promoting development: concerned about e.g., provincial and county green  Pesticide and environmental quality MARA agricultural fertilizer reduction  Service providers  County governments value chains  Entities concerned about  Township governments development poverty  Village committee Green stockbreeding  Livestock  Individuals or NGOs  Competent authorities, development: farmers concerned about e.g., provincial and county  Livestock and  PLAs environmental quality agriculture and rural affairs poultry manure  Service providers authorities, ecology and treatment and environment authorities utilization  County governments  Township governments  Village committee Agricultural waste  Planters  Agricultural mulch film  Competent authorities, plastic management recycling / treatment service e.g., provincial and county  Collection of providers MARA agricultural mulch  Individuals or NGOs  County governments film, pesticide and concerned about  Township governments fertilizer packaging environmental quality  Village committee waste Integrated straw  Planters  straw recycling /  Competent authorities, utilization: treatment service providers e.g., provincial and county  Using straws to  Individuals or NGOs MARA make fertilizers, concerned about  County governments feeds, base environmental quality  Township governments materials, raw  Entities concerned about  Village committee materials, etc. poverty RA3. Soft tasks of  Planters,  Individuals or NGOs  Central and provincial Increasing countryside building: livestock concerned about authorities, and agriculture access to  Preparing IVDPs; farmers environmental quality and rural affairs authorities, rural  Conducting green  Service providers ecology and environment infrastructure agriculture and talent  Entities concerned about authorities, natural and public training poverty and women’s resources authorities, etc. services development all all levels  County governments  Township governments  Village committee Rural domestic  PLAs  Wastewater facility  Competent authorities, wastewater  HOPs operators e.g., provincial and county management:  Service and equipment ARABs, EEBs or HURDBs  Rural wastewater providers  County governments collection and  Individuals and entities  Township governments treatment, and rural concerned about  Village committee WWTF and sewer environmental management network construction; 122 Official Use Results area Activity Affected Interested entities Management agencies entities  Rural toilet and  Entities concerned about sanitation facility poverty and women’s upgrading development Rural domestic waste  PLAs  Waste collection and  Competent authorities, management:  HOPs transfer facility operators e.g., provincial and county  Rural domestic  Service and equipment ARABs or HURDBs waste collection, providers  County governments transfer and disposal,  Individuals and entities  Township governments waste transfer station concerned about  Village committee construction, etc. environmental management  Entities concerned about poverty and women’s development 123 Official Use Appendix 5: Data Collection Activities Province Time Authorities Consulting mode  Provincial authorities: PDRD, PFD, ARAD, PRRD, Field visit and November HURDB, PEED, PNRD consultation 2021  Sample counties: Bobai in Guangxi  Provincial authorities: PDRD, ERAB, women’s federation, Online consultation Guangxi PCAD, PLAC, PEED, PNRD, PHUDD, PARAD, Office for December letters and Visits, PHRSSD 2021  Sample counties: Ziyuan County, Luocheng County, Pinggui District  Provincial authorities: PDRD, PFD, PRRD, ARAD, Field visit and November HURDB, PEED, PNRD consultation 2021  Sample counties: Xifeng County, Xingren City in Guizhou  Provincial authorities: PDRD, ERAB, women’s federation, Online consultation Guizhou PCAD, PLAC, PEED, PNRD, PHUDD, PARAD, Office for December letters and Visits, PHRSSD 2021  Sample counties: Xifeng County, Sandu County, Shibing County PCAD = Provincial Civil Affairs Department; PHRSSD = Provincial Human Resources and Social Security Department 124 Official Use Appendix 6: Stakeholder Engagement Stakeholder Engagement Activities Conducted in Guangxi No. Time Venue Authorities involved E&S topics 1 2021.11. PARAD IPRCC, PPMO, provincial RRB, Kick-off meeting of the Guangxi PARAD: 18, PARAD, PFD, etc. • Program objectives, scope, fields, DLIs, morning etc. • ESSA arrangements 2 2021.11. RRB IPRCC, PPMO, provincial RRB, Kick-off meeting of Guangxi RRB: 18, PARAD, etc. • Program objectives, scope, fields, DLIs, afternoon etc. • ESSA arrangements 3 2021.11. Bobai IPRCC, PPMO, deputy county head, Kick-off meeting of Bobai County: 20, County county finance bureau, county • Green agriculture and rural revitalization morning development and reform bureau, • ESSA arrangements county ARAB, county RRB, county • Agricultural waste plastic collection and NRB, county HURDB utilization • Pesticide and fertilizer reduction • Livestock and poultry manure management • Landfill O&M • Toilet upgrading • Rural domestic wastewater collection and treatment 4 2021.11. PEED IPRCC; PPMO; PEED (Soil Environmental seminar of Guangxi Province: 25, Division, EIA Division and • Fertilizer and pesticide reduction morning Atmosphere Soil Division), • Livestock and poultry manure disposal environmental science institute • Agricultural mulch film, and packaging waste pollution prevention and control • Farm product processing • Rural waste management • Rural wastewater management • Rural water supply management • EIA requirements for village planning • 14th five-year rural environmental protection plan • Ecological redlines and EIA positive list 5 2021.11. PARAD IPRCC, PPMO, PFD, PDRD, Summary meeting of Guangxi Province: 26, PARAD, RRB, Poverty Alleviation • Further discussion of Program objectives, morning Center scope, fields, DLIs, etc. • Key findings of the environmental survey, and subsequent ESSA arrangements 6 2021.12. Luocheng PPMO, county ARAB, county • Agricultural waste plastic and straw 15, County, HURDB, county WRB, county NRB, collection and utilization morning Pinggui county EEBs, county planning • Pesticide and fertilizer reduction District commission office, county women’s • Livestock and poultry manure (online) federation, county health management 7 2021.12. Ziyuan commission, county CAB, county • Rural domestic waste collection and 15, County ERAB, county culture and tourism treatment afternoon (online) bureau, county LSSB, county RRB, • Toilet upgrading county bureau for letters and visits, • Rural domestic wastewater collection and county PLAC treatment • High-caliber farmer training • LAR, land transfer, facility farmland management and implementation • SSRA and implementation • Occupational health supervision and management • GRM operation • Ethnic minority development • Support for vulnerable groups, and 125 Official Use No. Time Venue Authorities involved E&S topics management and monitoring of population lifted out of poverty • Protection of women’s rights and interests • Cultural relic protection Stakeholder Engagement Activities Conducted in Guizhou No. Time Venue Authorities involved E&S topics 1 2021.11. Guizhou IPRCC, provincial RRB, PPMO, Kick-off meeting of Guizhou Province: 25, Provincial PFD, PEED, PHUDD, provincial • Program objectives, scope, fields, DLIs, morning Government emergency management etc. department, provincial health • ESSA arrangements commission, etc. 2 2021.11. Guizhou IPRCC, provincial RRB, PPMO, FGD of departments of Guizhou Province: 25, Provincial PEED, PHUDD, PNRD, etc. • Rural revitalization action plan afternoon Government • Village planning • Agricultural waste plastic collection and utilization • Rural domestic wastewater management • Rural domestic waste management • Pesticide and fertilizer reduction • Livestock and poultry manure management 3 2021.11. Guizhou IPRCC, provincial RRB, PPMO, Green agriculture discussion of Guizhou 26, PARAD PARAD (Technology and Education Province: morning Division, Livestock Development • Agricultural waste plastic collection and Division, Planning Division, General utilization Soil and Fertilizer Station, Plant • Pesticide and fertilizer reduction Protection and Inspection Station), • Livestock and poultry manure etc. management • Integrated straw utilization 4 2021.11. Xifeng IPRCC, PPMO, deputy county head, Kick-off meeting of Xifeng County: 27, County county finance bureau, county • Green agriculture and rural revitalization morning Government development and reform bureau, • ESSA arrangements county ARAB, county HURDB, county WRB, county NRB, county comprehensive administrative law enforcement bureau, county EEB, etc. 5 2021.11. Xifeng IPRCC, PPMO, municipal ARAB, Field discussion in Xifeng County: 27, County municipal rural revitalization service • Agricultural waste plastic collection and afternoon Government center, county ARAB, county utilization HURDB, county WRB, county • Pesticide and fertilizer reduction comprehensive administrative law • Livestock and poultry manure enforcement bureau, county EEBs, management Yanglongsi, Liuchang and Luwo • Landfill O&M Town Governments, Zhongkang • Toilet upgrading Agricultural Technology Co., Ltd., • Rural domestic wastewater collection and Baorunyuan Ecological Agricultural treatment Technology Co., Ltd., Jiangshengyuan Agriculture Co., Ltd., Zheqian Yuhan Agricultural Development Co., Ltd. 6 2021.11. Xifeng IPRCC, PPMO, county HURDB, Environmental FGD of Xifeng County: 28, County county WRB, county NRB, county • Land and village planning morning Government comprehensive administrative law • EIA requirements for village planning enforcement bureau, county EEBs, • Rural wastewater management county planning commission office, • Rural domestic waste management county ARAB 7 2021.11. Xifeng IPRCC, PPMO, county HURDB, Summary meeting of Xifeng County: 28, County county WRB, county NRB, county • Key findings of the environmental survey, morning Government comprehensive administrative law • Information requirements for 126 Official Use No. Time Venue Authorities involved E&S topics enforcement bureau, county EEBs, environmental system assessment county planning commission office, county ARAB 8 2021.11. Xingren IPRCC, municipal ARAB, municipal Kick-off meeting and environmental seminar 30, Municipal EEBs, municipal LSSB, market of Xingren City: morning Government regulation bureau • Green agriculture and rural revitalization • Pesticide and fertilizer reduction and pollution prevention and control • Agricultural mulch film and pesticide and fertilizer packaging waste management • Livestock and poultry manure recycling, etc. 9 2021.11. Xingren IPRCC, PPMO, municipal HURDB, Summary meeting of Xingren City: 30, Municipal municipal NRB, municipal EEBs, • Key findings of the environmental survey, morning Government municipal ARAB, market regulation • Information requirements for bureau, municipal transport bureau, environmental system assessment municipal emergency management bureau, municipal LSSB 10 2021.12. Guizhou IPRCC, provincial RRB, PPMO, Communication meeting of Guizhou 01, Provincial PFD Province: morning Government • Preliminary findings of the environmental survey • Group discussion 11 2021.12. Guizhou IPRCC, PPMO, PEED (EIA and FGD of the Guizhou PEED: 01, PEED Emission Management Division, Soil • Three Lines and One List, classified EIA afternoon Ecology and Environment Division, management and hierarchical approval, Atmosphere Division, etc.) rural domestic wastewater, manure pollution, agricultural mulch film and pesticide packaging waste, fertilizers pesticides NPS pollution, straw burning, etc. 12 2021.12. Guizhou IPRCC, PPMO, PARAD, cultivation FGD of agricultural experts: 02, Provincial and stockbreeding experts • Pesticide and fertilizer reduction and morning RRB pollution prevention and control, agricultural mulch film and pesticide and fertilizer packaging waste management, livestock and poultry manure recycling, toilet upgrading, etc. 13 2021.12. Guizhou IPRCC, PPMO, PHUDD FGD of the Guizhou PHUDD: 02, PHUDD • rural domestic waste collection and afternoon treatment, construction waste, fire management, etc. 14 2021.12. Guizhou IPRCC, PPMO, PARAD (Cultivation FGD of the Guizhou PARAD: 02, Provincial Division, Stockbreeding • Pesticide and fertilizer reduction and afternoon RRB Development Division, Social pollution prevention and control, Promotion Division, ecological agricultural mulch film and pesticide and station) fertilizer packaging waste management, livestock and poultry manure recycling, toilet upgrading, etc. 15 2021.12. Guizhou IPRCC, provincial RRB, PPMO, Summary meeting of Guizhou Province: 03, Provincial PDRD, PFD, PARAD, etc. • Further discussion of Program objectives, morning Government scope, fields, DLIs, etc. • Key findings of the environmental survey, and subsequent ESSA arrangements 16 2021.12. Xifeng PPMO, county ARAB, county • Agricultural waste plastic and straw 13 County HURDB, county WRB, county NRB, collection and utilization afternoon (online) county EEBs, county planning • Pesticide and fertilizer reduction 17 2021.12. Shibing commission office, county women’s • Livestock and poultry manure 14, County federation, county health management morning (online) commission, county CAB, county • Rural domestic waste collection and 18 2021.12. Sandu ERAB, county culture and tourism treatment 127 Official Use No. Time Venue Authorities involved E&S topics 14, County bureau, county LSSB, county RRB, • Toilet upgrading afternoon (online) county bureau for letters and visits, • Rural domestic wastewater collection and county PLAC treatment • High-caliber farmer training • LAR, land transfer, facility farmland management and implementation • SSRA and implementation • Occupational health supervision and management • GRM operation • Ethnic minority development • Support for vulnerable groups, and management and monitoring of population lifted out of poverty • Protection of women’s rights and interests • Cultural relic protection 128 Official Use Appendix 7: Public Consultation on the ESSA 1. Governments’ feedbacks and the ESSA teams’ responses No. Issue Opinion Advised by Report revision Validity of policies 1 The SSRA documents in Table 4-1 It is suggested to Guizhou The latest published have expired or been updated. consider the up-to- Provincial and documents are listed date policies for Xifeng County and assessed in the assessing the SSRA Political and ESSA. If there will be system. Legislative Affairs any updated Committees documents published, then they will be applied to the PforR. 2 The Measures for the Administration It is suggested to Sandu County Table 4-1 and related of the Pre-examination on the Use update the document Nature contents in para 201, of Land for Construction Projects as Measures for the Resources 217 and Appendix 3 (2008.11) in Table 4-1 has expired Administration of the Bureau Updated and been updated in 2016 and Pre-examination on implemented since 1st January the Use of Land for 2017 Construction Projects (2017) 3 The Law of the People’s Republic of It is suggested to Guangxi Health Table 4-1 updated China on the Prevention and updated to Law of the Commission Control of Occupational Diseases People’s Republic of (2017.1) has been updated and China on the Classification and Catalogue of Prevention and Occupational Diseases (2021) Control of should be 2013 Occupational Diseases (2018.12) and Classification and Catalogue of Occupational Diseases (2013) Policy analysis and understanding 4 The environment and social risk It is suggested to Xifeng County The WB ESSA team ranking of RA3- Integrated Village adjust the risk Nature explained that the Development Plans (IVDPs) ranking from Resources downstream activities, moderate to low Bureau impacts and involved departments in IVDPs are complex and various, it is reasonable that the overall risk is moderate. 5 Page 67, the social stability and It is suggested to Shibing County The WB ESSA team safety risk of typical project develop detail Political and explained the activities is moderate mitigation measures Legislative Affairs difference between the to manage the risks; Committee ESSA risk ranking and the activities can be national SSRA risk implemented only ranking system and when the risks are the Shibing County controlled and Political and adjusted to be low; Legislative Affairs for any high-risk Committee accepted. activities, a decision of not to be 129 Official Use No. Issue Opinion Advised by Report revision implemented should be made or be implemented only when the risk been managed. 6 In terms of core principle #5: It is suggested to Guizhou The description and Program E&S System on separate the Provincial Ethnic assessment of ethnic Management of Ethnic Minorities description of ethnic and Religious minorities and and Vulnerable Groups, Guizhou minorities from Affairs vulnerable groups are Province is a multi-ethnic co- vulnerable groups Commission under separate inhabited province with many ethnic and updated based elements. minorities. All ethnic minorities on the feedback The description of participate into the country some EM related items development and enjoy the benefits has been revised equally. Ethnic minority is not equal For the description of to vulnerable groups. Bank principle and The description of some ethnic elements is remained. minority items is not standard 7 In Table 3-2, for human and animal Relevant government Guangxi The detailed type of manure treatment, an EIA form is authorities should be provincial ARAB EIA instruments should needed for the facilities of which the sought for comments be determined by local capacity is 50 ton/day and above; on the EIA EEBs during the and no EIA is required for the classification. preparation of a facilities of which the capacity is project. The ESSA has below 50 ton/day. been revised accordingly by adding the clarifications. 8 Page 60, the indicators of toilet Figures should be Guangxi The figures have been revolution is not correct adjusted based on Provincial deleted. the opinion given. Agricultural and Rural Affairs Department 9 Page 70, in RA-3 of Appendix 2, Rural revitalization Zhongshan Added rural revitalization department department should be County People’s should be added in the Institutional added Government capacity and complexity risks 10 Table 3-2, the desperation of EIA It’s suggested to Zhongshan EEB The column has been requirement for “water-saving adjust based on the deleted. Detailed type facilities, no EIA required� is not opinion given of projects’ appropriate environment instruments will be determined by local EEB during project preparation. 11 Dam Safety Management should be It’s suggested to Zhongshan Considering the adjusted change “existing County People’s general situation of all reservoirs� to Government counties, the report “existing large, keeps the original middle, small I and statement small II reservoirs� 12 Add a policy related to facility It’s suggested to add Guizhou Added agriculture land use the Notice of MNR, Provincial Natural MARA and NFGA on Resources Issues concerning Department Strict Control of Cultivated Land Usage (MNRP[2021] 130 Official Use No. Issue Opinion Advised by Report revision No.16) and relevant terms into the ESSA Investigation and analysis of system operation 13 Page 40, the description of land use It’s suggested to Shibing County Revised. approval authorities, facility adjusted based on Natural agriculture land use and the the opinions given Resources procedures of facility agriculture Bureau land use in Shibing County should be updated. 14 Page 37, para 228, “special It’s suggested to Guizhou Updated. occupational training�, update based on the Provincial Human Page 50, para 288, the standard of opinions given Resources and minimum pension, and Page 64, Social Security “vocational schools� Department Analysis of organizational setup and responsibilities 15 Page 24 para 171, “… local NRB It is suggested to Sandu County It has been revised to would be asked to carry out update as “… local Natural “… local relevant immediate correction and may NRB, forestry Resources authorities would be receive punishment.� bureaus, EEBs and Bureau asked to carry out other relevant immediate correction authorities would be and may receive asked to carry out punishment.� immediate correction and may receive punishment.� 16 Page 3, responsibility of housing The activity of toilet Guangxi Added. and urban-rural development revolution and waste Provincial bureau disposal and Agriculture and utilization should be Rural Affairs added Department 17 Page 3, para 12, the responsibility It’s suggested to Xiuwen County It’s the aligned with the of Housing and Urban-rural update based on the Housing and ESSA report Development Department should be opinions given Urban-rural adjusted as “are responsible for Development rural domestic solid waste Bureau dispatching management.� 18 Page 3, para 12, “Natural resources It is suggested to Sandu County Updated bureaus (NRBs) are responsible for adjusted as “Natural Natural village planning and land use.� resources bureaus Resources (NRBs) are Bureau responsible for village planning and land use.� 19 Page 3, para 12, “Ecology and It’s suggested to Shibing County Updated environment bureaus (EEBs) are delete “traw burning Ecology and responsible for rural domestic pollution, livestock Environment wastewater management, straw and poultry manure Bureau burning, livestock and poultry farming pollution� manure pollution, water and soil environment monitoring, etc.� 20 Page 3, para 12, the activity of It’s suggested to Xifeng County Updated straw burning, livestock and poultry update based on the Ecology and manure pollution is taken charged opinions given Environment by agriculture and rural affairs Bureau departments 131 Official Use No. Issue Opinion Advised by Report revision 21 Page 22, para 151, county HURDBs It’s suggested to Zhongshan Since the situation is and/or other related authorities are change to “county, County People’s varying from county to responsible for rural domestic solid ARABs, HURDBs, Government county, and in the two waste collection and transfer. RRAs and/or other provinces it’s common related authorities are that HURDBs take responsible for rural lead in management of domestic solid waste rural domestic solid collection and waste collection and transfer� transfer, so the original statement is remained. 22 Page 24, para 141, county EEBs It is suggested to Xifeng County Revised as advised. are responsible for overall adjusted as “county Ecology and management of rural WWTFs EEBs are responsible Environment construction and operation.� for overall Bureau supervision and management of rural WWTFs construction and operation.� 23 Para 169, County forestry bureaus It’s suggested to Shibing County It’s a rare case in have forest resource management change county Forestry Bureau Shibing. In the two sections (4-5 staff members), forestry bureaus to provinces it’s common responsible for scoping and county natural that county forest planning of nature conservation heritage and scenic bureaus take lead in sites and put significant nature spot administrations management of nature conservation sites in ecological conservation sites, so redlines a note “a few counties might have different government agencies to take this work� is added. 24 Appendix 2, the responsibility of It should be adjusted Xingren City Integrated rural waste management is under Housing and Enforcement Bureau the municipal integrated Urban-rural has been added, see enforcement bureau Development RA-3 Department 25 Para 272, the description of labor It’s suggested to Yinjiang County Revised. disputes redress mechanism is not update based on the Human accurate opinions given Resources and Social Security Bureau 26 Page 43, the description of “Left- It is suggested to Yinjiang County Updated behind (distressed) children� and adjust as left-behind Civil Affairs Page 38 and Page 86, the content minors Bureau of poverty and poverty reduction Xifeng County system should be adjusted Civil Affairs Bureau Guangxi Provincial Civil Affairs Department 27 Page 43, section 4.3.4, the The occupational Guangxi Updated description of occupational health Health Hazards and Provincial Health examination agency should be occupational health Commission adjusted; hazards pre-appraisal in the ESSA should be adjusted as 132 Official Use No. Issue Opinion Advised by Report revision “occupational diseases hazards…� 28 Page 16 para 93, agricultural It’s suggested to Sinan County Since the situation is technology popularization change to “plant Agriculture and varying from county to stations, or plant protection protection stations, Rural Affairs county, it’s revised to stations, and agricultural training or agricultural Bureau “agricultural agencies stations provide technical technology such as agricultural services, advice, and training to popularization technology pesticide users stations, and popularization agricultural training stations, or plant stations provide protection stations, technical services, and agricultural advice, and training training stations to pesticide users� provide technical services, advice, and training to pesticide users�. 29 Page 20 para 127, County ARABs It’s suggested to Taixiang County In the two provinces are in charge of guiding, serving delete “overseeing� Agriculture and it’s common that and overseeing livestock and Rural Affairs ARABs are poultry manure treatment and Bureau responsible for overseeing livestock recycling and poultry manure management, so the original statement is remained. 30 Section 4.3.1, it’s suggested to It should be updated. Xiuwen County Updated adjust the “women’s director Women’s mechanism� to “women’s federation Federation chairman mechanism� 31 Page 53 para 295, disabled persons It should be updated. Xiuwen County Updated, see page 53 are under the management of Civil Affairs para 300 Disabled persons' federation Bureau department 32 Appendix 1, “rural drinking water It’s suggested to Guangxi Revised safety� should be updated as “rural update based on the Provincial Water water supply� opinions given Resources Department 33 The numbers of village WWTFs in It’s suggested to Guizhou The numbers have Guizhou is not correct in the context adjusted based on Provincial EEB been removed since of institutional organization and the opinions given they keep changing performance (para 142) and not directly relevant to the institutional performance. 34 Violations to nature conservation It’s suggested to Guizhou Revised sites regulations are managed by change it to Provincial EEB environmental law enforcement “Violations to nature teams (about 10 staff members) conservation sites under EEBs. protection by illegally constructing mines, roads or dams are subject to administrative 133 Official Use No. Issue Opinion Advised by Report revision punishment from EEBs.� 35 Some description of human It’s suggested to Guangxi Human Updated. resources and social security is not adjusted based on Resources and For those with slightly standard the opinions given Social Security difference in different Department regions, it has been unified according to higher department, such as "Human resources and Social Security Bureau" 36 The expressions of "children under It is suggested to Guizhou Revised the age of 16", "assistance updated as minors Provincial Civil agencies" and "persons with under 18, assistance Affairs disabilities" are not standardized and service agencies, Department disabled persons 37 The description of health It’s suggested to Guizhou Revised. commission’s responsibilities is not adjusted based on Provincial Health accurate. the opinions given Commission 38 Page 39, the description of natural It’s suggested to Guizhou Revised. resources departments’ adjusted based on Provincial Natural responsibilities are not accurate. the opinions given Resources Department Opinions on action plan 39 Page 50 para 275 OHS It is suggested to add Guangxi Added. management "the occupational- Provincial Health disease-prevention Commission facilities of the construction project should be designed, constructed, operated simultaneously with the main project, and the responsible party should be defined and the occupational diseases hazard factors testing should be conducted" into the recommendation 40 Page 56, Table 6-1 the responsible It is suggested to add Zhongshan Revised. party for action 1 is not accurate. rural revitalization County People’s departments and Government urban administration integrated enforcement bureaus into the county-level responsible party 134 Official Use 2. Registration forms, photos and opinion records (part) Meeting registration form Meeting registration Meeting registration form Meeting registration in Sandu County, Guizhou form in Xifeng County, in Ziyuan County, form in Pinggui Guizhou Guangxi District, Guangxi Venue in Pinggui, Guangxi Venue in Sandu, Venue in Ziyuan, Venue in Xifeng, Guizhou Guangxi Guizhou Online meeting of Online meetings of Online meetings of Written opinions of counties in Guizhou counties in Guangxi Guangxi provincial Xifeng County, governments Guizhou 135 Official Use Appendix 8: Field Visit Records Manure composting at a cattle farm in Guizhou Manure fermentation at a pig farm in Guangxi A township waste transfer A township waste transfer station in Guizhou station in Guangxi (Pavilion, odor sprinkling, leachate collection and transfer, worker resting place) A waste-to-energy plant in Guangxi (workshop, A landfill in Guizhou (filling area, leachate treatment control room) facility) A rural pit toilet in A rural WWTF in Guizhou (buried facility, effluent A rural tail water wetland Guizhou (to be upgraded) monitoring equipment) in Guizhou Use of agricultural mulch film in Guizhou Pesticide packaging waste collection and storage at a cultivation enterprise in Guizhou 136 Official Use Figure 1: OHS training Figure 2: Approval of Figure 3: FALU registration Figure 4: a land record of the solid waste woodland occupation form of Xinhao Agriculture occupation operation enterprises in issued by the Forestry and Stockbreeding Co., Ltd. agreement for the Sandu county, Guizhou Bureau, Shibing County, in Luocheng County, WWTF in Shang’ao Guizhou Guangxi Village, Yangliutang Town, Shibing County, Guizhou between the village committee and household involved. 137 Official Use