for Selecting Performance Indicators for ADB-funded Projects ......System (PPMS) at project level....

for Selecting Performance Indicators for ADB-funded Projects in the PRC

The views expressed in this book are those of the authors and do not necessarily reflect the views and policies of the Asian Development Bank or its Board of Governors or the governments they represent.

The Asian Development Bank does not guarantee the accuracy of the data included in this publication and accepts no responsibility for any consequence of their use.

Use of the term “country” does not imply any judgment by the authors or the Asian Development Bank as to the legal or other status of any territorial entity.

Table of Contents

Foreword ............................................................................................................1

Acknowledgements ...........................................................................................3

1 Project Performance Management System (PPMS) ...................................51.1 Result-based management ...............................................................................................51.2 ADB′s PPMS .......................................................................................................................71.3 Design and monitoring framework (DMF)...........................................................................91.4 Borrowers’ performance monitoring and evaluations .......................................................111.5 Establishing performance monitoring and evaluation system ..........................................13

2 Performance Indicator ................................................................................172.1 Target-to-performance indicator .......................................................................................172.2 Classification of performance indicator.............................................................................192.3 Frequent problems in designing and selecting indicator ..................................................212.4 Building indicator database ..............................................................................................252.5 Application of indicator database ......................................................................................29

3 Indicator Database ......................................................................................313.1 Transport sector................................................................................................................313.2 Water supply and other municipal infrastructure and services sector ..............................633.3 Agriculture and natural resources sector ..........................................................................983.4 Energy sector .................................................................................................................143

References .....................................................................................................181

Table of Contents

Foreword

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Foreword

To improve development effectiveness through investment projects, ADB actively promotes the move towards results-focused project management by advocating Project Management Performance System (PPMS) at project level. The PPMS is a coherent and results-based approach to project planning, performance monitoring, and evaluation of results and encompasses a participatory approach at all stages of project cycle, and includes: (i) design and monitoring framework (DMF); (ii) Project Performance Report (PPR); (iii) borrower′s result-based monitoring and evaluation; (iv) Project Completion Report (PCR); and (v) Project Performance Evaluation Report (PPER). The DMF introduces a participatory project design approach and serves as a cornerstone for Project Performance Monitoring and Evaluation (PPME) that aims to ensure achievement of project objectives. Development of performance indicators is critical to effective DMF and the performance indicators subsequently guide project performance monitoring through data collection and analysis, and PPME reporting. Enhancing measurability of indicators and reliability of data sources are therefore, no doubt, step in the direction for improving the quality of DMF and PPME.

In the People′s Republic of China (PRC), the Government, institutions, and agencies periodically collect and publish data for indicators to measure social, economic, environmental, and other aspects for various purposes. Some of these indicators can be used to measure project objectives at impact level and even outcome level. This handbook aims to provide the practitioners in PPME in the PRC, including Executing Agencies, Implementing Agencies, Consultants, and ADB project officers, single source reference to select indicators for DMF and project performance monitoring.

This handbook mainly comprises indicator database for four sectors, including Agriculture and Natural Resources, Energy, Transport, and Water Supply and other Municipal Infrastructure and Services. To make the handbook concise and PRC-targeted, the database focuses on subsectors that are most relevant to ADB′s operation in the PRC. The database lists possible objectives for the focused subsetors at both impact level and outcome level, and recommends indicators for measuring

Handbook for Selecting Performance Indicators for ADB-funded Projects in the PRC

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each objective, which are virtually selected from public statistic data published by the Government, institutions, and agencies, such as China Statistics Yearbook. As an example, a project in each sector showing the application of the database is included in the handbook.

Meanwhile, the handbook elaborates ADB′s PPMS and knowledge on performance indicator, providing practitioners a picture of PPMS, practical steps to establish PPMS and to conduct PPME, and comprehensive knowledge on establishing performance indicators.

The handbook is expected to provide quick reference for practitioners in PPMS in the PRC to help develop indicators for project performance monitoring, and then lead to improved project performance monitoring in the PRC.

Acknowledgments

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Acknowledgments

This handbook was prepared by Asian Development Bank Resident Mission in the People′s Republic of China (PRCM), with contributions and inputs from Zhihui Zhang and Xiaodong Li (Tsinghua University), Wanlong Lin (China Agricultural University), and Jimin Peng (Academy of Macroeconomic Research of National Development and Reform Commission) under the overall supervision of Chenglong Chu, Project Management Officer, PRCM. The handbook was originally written in Chinese and translated by Beijing LingoBridge Translation Service and edited by Francisco Little.

The authors are grateful to Robert Whitol, former Country Director of PRCM (2008-2010), and Sangpa Tamang, Head of Portfolio Management Unit, PRCM, for their insightful guidance provided for developing the handbook. Special thanks go to Huiping Huang, Director, IFI Division II, International Department, Ministry of Finance, PRC, for his support to the initiative and valuable suggestions and comments on the contents of the handbook. The authors also thank the following bank staff for their support and contributions in initiating, preparing, translating, editing, and printing the handbook: Junmei Yang, Senior Programs Officer and the Project Officer of TA 4790-PRC, Lei Kan, Senior External Relations Officer, Mei Gan (Mary), Assistant Project Analyst, Yurong Tao (Helen), External Relations Assistant, Yan Dong (Maggie), Administration Assistant.

The handbook may need further refinement. Your comments and suggestions for further improving the handbook would be valuable. Kindly send your comments, suggestions, and/or corrections to Chenglong Chu, Project Management Officer, PRCM (email: [email protected]).

1 Project Performance Management System (PPMS)

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1.1 Result-based management

Result-based management is a management strategy focusing on performance conducted at the output level to discern whether outputs meet expected results. It derives from the study and application of corporate management, applied sociology, planning and assessments, and cost and expense management. During the 1980′s, result-based management was gradually applied to the public sector management in the course of public sector reform. Over the past decade, development institutions and multilateral agencies, such as, Asian Development Bank (ADB), have gradually adopted this management strategy.

Result-based management differs greatly from the traditional management strategy. In the traditional management modality, public sector management would focus on rules and regulations, and procedures, emphasizing the observance of pre-set guidelines and work procedures in public services. As a result, insufficient attention is given to the needs of service targets and it is difficult to provide customized services based on specific needs of customers. Under this management mode, people would aim at “doing things right”, by which they mean to comply with rules and regulations and procedural requirements in what they do. On the other hand, result-based management focuses on service targets and outcomes; it requires not only “doing things right”, but also “doing the right things”. Doing the right things is meeting the needs of customers to arrive at expected results. For this reason, result-based management will definitely promote the enhancement of effectiveness in public services.

To understand and meet the needs and interests of service targets, result-based management must be oriented toward these targets in the process of management; to ensure the actualization of expected results; result-based management must possess a strong capability in coping with changes.


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For this reason, result-based management needs a series of tools to carry out strategic planning, performance monitoring and assessments, and reporting, as well as institutions to constantly update and improve themselves. These tools may include the participatory method, and the cause-effect relationship analysis in the form of result chains.

For an organization or institution, three prerequisites would be needed to practice result-based management – support from the leadership, result-based organizational culture and improved support systems. Without the strong support and across-the-board participation of the leadership, it would be impossible to develop the crystal-clear targets and commitments to realizing these targets. It is far from enough to rely only on commitments to realize the results; it would also need efforts of the whole organization or institution to bring the results into reality through inputs and actions. Additionally, realizing result-based management would also need reliable support systems to gather and analyze data and information, and report analytical results in order to provide the basis for decision-making.

The process of result-based management can be simply illustrated through Figure 1 below.

Figure 1. Result-based Management Process

4. Gauging results & performance

3. Defining functions & responsibilities

5. Analyzing monitoring info & making relevant decisions

2. Defining targets & selecting indicators

6. Results of stakeholders’ report monitoring

1. Strategic planning & resource allocations

7. Feedback from stakeholders & next round of planning


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1.2 ADB′s PPMS

Asian Development Bank (ADB) has been dedicated to enhancing the effectiveness of its assistance to recipient countries, and developing result-based management is one of the cornerstones of this process. ADB has not only applied this management philosophy to its own business operations, but has also actively disseminated it among its developing member countries (DMC). At the country level, developing result-based management has been implemented through introducing the result-based Country Partnership Strategy (CPS); at the project level, and such management has been realized through project performance management. For this reason, the essence of ADB′s project performance management is the application of result-based management to the development-goal-based project management.

ADB′s PPMS is a result-based project management approach organically combining project planning, performance monitoring and result evaluations. It consists of five parts covering the entire project cycle.

• Project Design and Monitoring Framework (DMF); • Project Performance Report (PPR); • Borrowers’ performance monitoring and assessments; • Project completion report; and, • Post-project evaluation report.

Project Design and Monitoring Framework (DMF) DMF is the core and foundation of PPMS. It is a framework documentation containing project design and performance monitoring contents formed via a series of work during the project planning and design phase, such as, establishing the cause-effect relationship between inputs, activity, outputs, outcome and impacts, determining the targets at the result level and selecting the indicators for gauging the targets, through the participation by all stakeholders to discuss problems, analyze the targets, select solutions, and make assumptions and risk analysis.

Project Performance Report (PPR) At the project implementation stage, ADB will engage through PPR in the monitoring and analysis of project inputs, activities, outputs, assumptions and risks, evaluate the possibilities of realizing project outputs and impacts, and timely discover the potential and existing problems during the project implementation. For any problem discovered, ADB will during its project inspection analyze the problem and propose the action plan to redress it along


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with the borrower. In PPR, ADB will make the rating in terms of eleven aspects including delays in implementation, abiding by the agreement, project institutions, consulting experts, counterpart funds, costs, accounting books and audit of the project and implementing agency, environment and society, payment, risks, as well as project inspections.

Borrowers’ performance monitoring and evaluation ADB will require the borrower to carry out self-monitoring-and-evaluation of execution and performance of the project, which is an inseparable part of PPMS. The borrower′s self-monitoring-and-evaluation will provide information and data for ADB′s PPR, while offering suggestions and bases for the borrower to make decisions in the course of project implementation. During the project implementation, the borrower will base the support system for project performance monitoring and evaluation on the DMF, conduct the monitoring of project progress and performance on a regular basis and submit to ADB the Project Progress Report and the Project Performance Monitoring and Evaluation Report. After the project is completed, ADB will require the borrower to prepare and submit an overall summary and evaluation of the project and a Project Completion Report.

Figure 2. PPMS and Project Cycle

Project Identification

Loan Negotiation & Approval

Project Preparation

Project Appraisal

Project Implementation

Project Evaluation

DMF

Project Performance Report

Project Completion Report

Project Performance Evaluation Report

Borrower′s Performance Monitoring & Evaluation

Project Cycle PPMS

ADB Borrower


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Project Completion Report (PCR) Within one to two years after the project is completed, ADB′s execution department will make the overall evaluation of its design, implementation and performance, the main purpose of which is to summarize experience and draw lessons from it and provide suggestions and reference for on-going and future project designs and implementations and also make the evaluation of the effectiveness in ADB′s assistance development.

Project Performance Evaluation Report (PPER) Within three to five years after the project is completed; its impact will be felt significantly. ADB′s Independent Evaluation Department will on a selective basis make the independent evaluation of a number of projects, and make more detailed evaluation of project performance and impacts. Additionally, it will also summarize experiences and lessons and provide suggestions for new project planning and designs, and country strategies and planning.

1.3 Design and monitoring framework (DMF)

The DMF is a simple but powerful design and management tool, which can be presented in a matrix format with 4 major headings/columns, as shown in Figure 3. The design summary outlines the main elements of the project, including input, activity, output, outcome and impact, i.e. project scope and expected results. The performance indicators/targets, data sources/reporting mechanism and assumptions/risks provide a framework for project performance monitoring and evaluation.

There are two layers of logic relationship contained in the DMF, one being the vertical logic of the DMF (as shown by the arrow), from input to activity, output, outcome and to impact, explaining the means-ends relationship also referred to as the results chain. Through the vertical logic of the DMF, it is possible to check whether the input is large enough to conduct activities and whether the activity is adequate enough to realize the output; it is also possible to check whether project output can realize the expected outcome upon completion of the project and whether this outcome is conducive to realizing project impacts.

The other is the horizontal logical of the DMF (as shown by the dotted arrow), which is actually the improvement of vertical cause-effect relationship. Whether the project can realize the expected outcome will not only depend upon the realization of its various outputs, but will also be influenced by its external factors. These factors include social, economic, environmental and climatic factors


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as well as other relevant activities and projects undertaken to realize the common targets. And of these external factors, some are necessary for the realization of expected outcomes of the project, referred to as assumptions; some others may play a negative role in realizing expected outcomes, referred to as risks. For this reason, whether project outputs can realize the expected outcomes of the project and whether these outcomes are conducive to realizing the project impact will be based on corresponding assumptions and risks.

Figure 3. DMF

Design Summary Performance Target/Indicator Data Sources/Reporting Assumptions/Risks

Impact As/Rs

Outcome As/Rs

Outputs

Activities with Milestones Inputs

The design summary outlines the project scope and its expected targets, including the following:

• Impact also referred to as goals or longer-term targets, refer to the sectoral, subsectoral, or in some cases national targets, or the social, economic, environmental and policy changes brought about by the project within the medium-and-short run after the project is completed. For this reason, the impact statement provides the link between the project and the CSP.

• Outcome state the expected targets for realization upon project completion and they should explicitly describe the specific development issues to be addressed by the project. Outcomes also determine the nature and scope of project outputs and are the key factors for project designs. For this reason, we should normally start with outcomes when developing the DMF.

• Outputs are the physical assets, tangible goods and or services delivered from the project, as well as the descriptions of the project scope. Outputs are necessary for the realization of project outcomes.


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• Activities are a series of tasks conducted for the realization of outputs from production.

• Inputs refer to the main resources necessary for engaging in activities and generating outputs, including staff, equipment, materials, consulting services and operating funds.

Performance indicators and targets, the tools for gauging performance, are the quantitative and qualitative measurement basis for output, outcome and impact. Performance indicators refer to what to use for measurement while its targets clarify the relevant time and quantity, i.e. in what time and up to how many and how much.

Data sources and reporting mechanism are also termed as the monitoring mechanism. Data sources explain where the data and information on each indicator have been obtained, who provides and how to collect them. The reporting mechanism stipulates how to consolidate and file data and information.

1.4 Borrowers’ performance monitoring and evaluation

In order to ensure that the project will realize its designed outputs and expected outcomes, both the executing and implementing agencies will have to continuously monitor the development of its various activities while monitoring and evaluating the possibilities of reaching its expected outcomes. The monitoring in these two aspects is necessary and plays a role of complementing each other.

Generally speaking, the smooth development of various project activities is the prerequisite for the project to reach its expected outcomes. However, it is not the case that expected outcomes would be brought into reality following the completion of all activities and realization of all outputs. This is because the environment which the project is in is changing, and these changes such as those in society, the economy, natural and geographic environment, policy and laws may in turn result in the changes in expected outcomes. In other words, under the changing environment, it may be necessary to make relevant adjustments of inputs, activities and outputs in order to guarantee the realization of expected outcomes of the project. In this sense, monitoring the results will provide reference for making decisions in the course of project implementation.

In light of this, the borrowers’ performance monitoring and evaluation comprise the monitoring and


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evaluation of project progress and the monitoring and evaluation of project expected outcomes; the former conducts the monitoring and evaluation of inputs, activities and outputs of the project, which take the form of the Project Process Report during the project implementation and the Project Completion Report following the completion of the project; the latter conducts the monitoring and evaluation of project outcome and impacts, through the Project Performance Monitoring and Evaluation Report.

The DMF is the basis for the Borrower to conduct the performance monitoring and evaluation.

The Project Progress Report is a tool used by the borrower, the implementing agency and ADB to monitor the progress of project implementation, understand the problems existed in the course of project implementation and evaluate the possibilities of realizing project outcomes, including the following major information:

• The project summary and main data; • The organizational structures of executing and implementing agencies; • Project scope and changes; • Information on project implementation (activity scheduling) ;• The use and payment of project funds; • Project procurement schemes and implementation; • Environmental protection measures and problems; • Progress of and problems in land requisition, relocation and resettlement; • Information on capacity building and training; • Information on the execution of other loan and project agreements; and, • Issues and suggestions

The Project Completion Report is the self-summary and evaluation conducted by the executing agency after the project is completed, the main contents including:

• Project targets; • Project composition; • Project implementation and arrangements; • Changes in project scope and implementation and relevant descriptions; • Comparisons of the project implementation progress with the original plan, reasons for delay and

remedies taken;


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• Comparisons of the actual use of funds with the budget, with the descriptions of material discrepancies;

• Problems in employing consulting experts and the evaluation of their work; • Problems in the bid for procurement and the evaluation of contractors and suppliers; • Problems in executing the loan and project agreements and remedies taken; • The use and payment of loans; • Difficulties in sub-projects; • Information on the project operations at the initial stage; • Measures taken to ensure the smooth operations of the project; • Analysis of targets and income realization; • Evaluations of ADB′s project implementation and management; and,• Issues in and suggestions for the execution of ADB′s procedures

The Project Performance Monitoring and Evaluation Report is the monitoring and evaluation conducted by the borrower and the implementing agency on whether the project can reach its expected targets, which lay particular emphasis on the aspects of output, outcome and impact. This report together with the Project Progress Report should cover all the data and information needed for the ADB′s project performance report. It should include at least the following contents:

• The targets for the outputs, outcome and impacts of the project; • Data sources and reporting mechanism (monitoring mechanism);• The monitoring and targets evaluation of performance indicators for impacts; • The monitoring and targets evaluation of performance indicators for outcome; • The impacts of project outputs/sub-project changes on the project; • Project outputs/the implementation progress of sub-projects;• Budgets and costs of the project; • Analysis of assumptions and risks and risk management; • Suggestions on the project scope, implementation and arrangements;

1.5 Establishing the performance monitoring and evaluation system

Establishing an effective performance monitoring and evaluation system is the prerequisite for the borrower and the executing agency to conduct the performance monitoring and evaluation of the


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project. Such endeavor, as the application of result-based management to the project, must also meet the following essential requirements:

• Participation and support of the leadership; • Result-based organizational culture; and, • Improved information support systems.

Albeit the emphasis in the project planning, design and implementation on the participation by all stakeholders, the participation of and support from the leaders at all levels are vitally important. First, the establishment and operations of the system would need inputs in manpower and materials; second, developing targets and making commitments to realizing the targets would need the participation of and support from the leaders; and finally, decision makers must take advantage of the results from and suggestions on performance monitoring.

Under the traditional mode of project management, people would be used to taking the activities and outputs accomplished within the budget and the prescribed period as their work targets, while neglecting the targets at the outcome level. This may generate at least two problems: first, people tend ignore the importance of performance monitoring and evaluation, although themselves are the monitors and evaluators in this process; second, people would become the resistance to change, when it comes to making the adjustment to inputs, activities or outputs. For this reason, creating a result-based culture in an entire organization will be very important for conducting effective performance monitoring and evaluation.

The collection and updating of information and data are the important contents of project performance monitoring and evaluation. Without information and data, there would be no performance monitoring and evaluation to speak of. Additionally, the results of data and information analyses must also be conveyed to the stakeholders and decision makers in a timely manner through specific channels. For this reason, improving the information support system is also the prerequisite for making project performance monitoring and evaluation.

The project performance monitoring and evaluation system must not exist independently; it should be integrated into the modern project management system. At the operation level, Figure 4 describes the procedure and process for project performance monitoring and evaluation. It takes the DMF as the foundation in the first place while conducting the monitoring and evaluation of the implementation level (input, activity and output) and the outcome level (outcome and impact). Then, the borrower,


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the executing and implementing agencies are to take necessary actions and measures based on the results and analysis of monitoring in the course of project implementation, in order to ensure the smooth implementation and the realization of expected targets of the project.

Figure 4. Procedure and Process for Project Performance Monitoring and Evaluation

Monitoring of project output, outcome and impact

Supplementing performance

indicators & determining targets for

the indicators

Confirming data sources &

determining reporting mechanisms

and person responsible

Risk management & monitoring

Information collection & monitoring

of indicators

Possibility analysis & evaluation of

expected results to be realized

Suggestions & action plans

Monitoring of project input, activity & output

Fund usage plans

Activity scheduling plans

Procurement plans, etc.

Project implementation &

monitoring

Analysis of project monitoring

results

Report & suggestions on

analyzing results

Remedies & action plans

DMF

Project completed and expected results achieved

Adjusting activities&

outputs

2 Performance Indicators

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2.1 Targets-to-performance indicators

How do we monitor and evaluate the targets at the levels of project outputs, outcome and impacts? The performance indicators provide effective tools for gauging performance. The approach is to firstly convert the targets at various levels into quantitative or qualitative indicators for monitoring purposes, and then analyze the information and data from performance indicators monitoring to evaluate whether the targets can be realized or the possibilities of their realization.

So, how do we realize the conversion from targets to performance indicators?

Step 1: Dissecting the target This proposes to break down the targets at various levels into separate crystal-clear and independent target units. The reason for this is that the target at each level of the project is usually comprehensive and multi-faceted, and to gauge this target in an all-round and complete fashion, it is necessary to clarify all contents it contains. The target at the outcome level of the transportation development project of a certain city, for instance, is “building an effective, economical, convenient and safe transportation system”. In order to gauge this target in an all-round manner, it is necessary to dissect it. First, the “transportation system” may, according to the specific scope of the project, include the “systems of public transport, cargo transportation, non-motorized transportation and pedestrians”. Second, as for what kind of transportation system, it is necessary to dissect its “effectiveness, economical, convenience and safety” so as to accurately understand and grasp this target.

Step 2: Indicator design and selection Designing and selecting the measuring indicators for dissected target units. Gauging the target can be done through either the direct or indirect approach. Through the direct gauging, the designed indicator can directly reflect the information on the target. The “time of traffic jam” for instance, is an indicator reflecting directly the “effectiveness of passenger


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transport system”. The indirect gauging, on the other hand, is the approach of measuring relevant targets under the circumstances where it is difficult, or inconvenient or too costly to conduct the direct gauging, for instance, when the number of brick and concrete housing is used to gauge the “increase in rural income”. Gauging the target can be both quantitative and qualitative, and in most cases, it is relatively easy to quantify the indicators for gauging the target, and thus how much or how many is gauged through quantities. At times, however, it is impossible to find appropriate quantifiable indicators, in which case, some qualitative indicators can be selected, instead. And of course, the qualitative indicators will have to be converted to quantifiable data indicators with some methods to realize their gauging functionalities.

Figure 5. Key Features of Performance Indicators—CREAM

Clear: precise and unambiguous;Relevant: appropriate and timely; Economical: available at reasonable costs;Adequate: sufficient to access performance; and, Monitorable: can be independently verified

Performance indicators can be, on the one hand, created up to par based on key features they must possess (Figure 5), and on the other hand, they can be selected from among the existing indicator sources that can be used to gauge the project. These indicator sources include, national and local governments’ statistic data on social and economic development, statistic data of industries and sectors, and administrative authorities (such as, the environmental and energy sectors), statistics data of research institutes or other statistic institutions, as well as those of non-government agencies.

Step 3: Considering data sources to determine performance indicators Indicators without data and information sources would be meaningless to performance monitoring. Data sources can be second-hand data collected and released on a regular basis by the governments, industries and sectors and relevant organizations; they can also be first-hand data collected by the project performance-monitoring department. For second-hand data, it is necessary to verify the accuracy and availability; for first-hand data, it is necessary to verify the sources of costs and expenses for data collection and consolidation. Only when the data and information for one indicator are verified and confirmed, can this indicator be adopted.


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Step 4: Determining baseline data and target values for performance indicators For gauging the target, it is not enough just to have the indicators, and for each indicator, it is necessary to have baseline data as the basis for measurement and the target to be delivered as the basis for evaluation. For this reason, when the indicators are determined, it is also necessary to take the data of the base year to determine the expected target to be delivered for each indicator upon and after the completion of the project.

2.2 Classification of performance indicators

According to different purposes of performance measurement, monitoring and evaluation, people have categorized performance indicators in a different way. Understanding indicator classification will be conducive to designing and selecting indicators. Below are several types of major classification in ADB′s PPMS:

Classification by the level of gauged target: input-level indicator, outcome-level indicator and impact-level indicator

• Impact-level indicator Performance indicators at the impact level specify the expected medium to long-term impact at the national or regional, sector or subsector level to which the current project or imminent project, and initiatives described in the CSP will contribute. Hence, the impact-level indicator includes targets beyond the scope of the project.

• Outcome-level indicator The outcome-level indicator defines the project′s immediate effect on or the behavioral change of beneficiaries, and improvements to systems and institutions. They are the performance targets that the project takes full responsibilities to deliver and they are the basis by which the project will be judged a success or failure.

• Output-level indicator Output indicators are the easiest to define. They specify the key tangible goods and services the project will deliver. They define the project management′s terms of accountability that have to be achieved by the end of project implementation.

Classification by the contents of performance evaluation: relevance indicator, efficiency indicator, effectiveness indicator and sustainability indicator.


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• Relevancy indicator The relevance indicator refers to the project′s impact and outcome consistent with ADB′s loan strategy and program for a particular country and with various government development goals, as well as its design appropriateness. Relevancy indicators are designed to gauge the connections between the project′s targets and the entire development of the state.

• Efficiency indicator The efficiency indicator is used to measure the efficiency during the project implementation and its economic benefits, which are typically expressed with the project′s time efficiency, internal rate of return, investment return or cost benefit.

• Effectiveness indicator The effectiveness indicator is used to gauge the contribution of the project′s outputs to its outcomes and impacts as well as how target groups are benefited or how the environment is improved. Effectiveness indicators usually represent the results and degree of impacts from the project′s outputs.

• Sustainability indicator The sustainability indicator is used to measure the possibilities of sustainable operations and effectiveness following the completion of the project, including the sustainability of project management or the project operator, maintenance and utilization of the project′s outputs, system guarantee, and financial resources.

Classification by the method of gauging targets: direct indicator, proxy indicator and process indicator

• Direct indicator refers to the type of indicator that can be used to directly measure the target and can directly reflect the information indicated through the target.

• Proxy indicator Proxy indicators are selected to indirectly measure a certain target, when it is difficult or not feasible to directly measure it. They can be used to indicate the trend and potential problem of the gauged target.

• Process indicator Process indicators for performance evaluation are used to measure the mid-term development of the project and monitor whether the project progress is consistent with its long-term targets.


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Classification based on whether the indicator can be quantified: quantitative indicator and qualitative indicator

• Quantitative indicator Quantitative indicators are the indicators that can be gauged through quantities.

• Qualitative indicator Qualitative indicators are used to gauge the target through the qualitative descriptions. They are conducive to interpreting and helping gauge the targets, such as, quality and the degree of satisfaction.

2.3 Common problems in indicator design and selection

Many practical problems will occur in the selection and application of indicators during the project performance monitoring. Here, we shall discuss some of the key problems and provide relevant answers.

Problem 1: Do the selected indicators belong to those at the outcome or the impact level?

Indicators are used to measure targets. To tell whether the selected indicators belong to those at the outcome or the impact level, it is necessary in the first place to distinguish the impact from the outcome of the project. Impact defines the social, economic, environmental and policy changes brought by the project within the medium to long-term period following the completion of the project. Outcomes refers to the targets expected to be realized upon the completion of the project. In terms of timing, outcomes are the targets realized upon the completion of the project while impacts are those targets realized within the medium and long-term period after the completion of the project. In terms of scope, outcomes are the descriptions of specific development issues addressed by the project, which is the project scope. Additionally, impacts mainly define the social, economic, environmental and policy changes brought by the project at the subsector, sector or national level, and they include a number of targets beyond the project scope.

Based on the differentiation of impacts from outcomes, it would be easier to tell among most indicators which are suited to gauge project outcomes and which are suited to gauge its impacts. However, in actual selections, the circumstances do occur where a handful of indicators are suited to measure the


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targets at both the outcome and the impact levels. This is because it is impossible, to a certain extent, to differentiate the impact from the outcome through a fifty-fifty split in terms of either timing or scope. Also because both the impact and the outcome are at the result level, it does not make any difference as to tell some individual indicators gauging the impact from those gauging the outcome, in terms of result-based project performance management, because they are, after all, used to measure the results of the project.

Problem 2: Impact-level indicators selected for the project (such as, poverty rate and employment rate) are small in contribution and hence difficult to quantify

We can understand this problem in two aspects. First, impact-level indicators of the project will be extended to some degrees on the basis of the project, in terms of either time or space. In other words, the scope covered by project impacts is indeed wider than the project itself. Second, the realization of targets at the project′s impact level is the result of interactions between the project itself (i.e. outcome) the assumptions at its impact level (i.e. external environment). The realization of project impacts is not isolated from the environment it is in, and impact-level targets can only be realized after the project has interacted with its environment for a long time. For this reason, the realization of impact-level targets will be attributed to both the contribution of the project and that of the environment it is in.

During the project performance monitoring and evaluation, we may address this problem in the following ways:

• First, when determining the impacts of the project, it is necessary to determine its reasonable performance targets, based on its size and scope. And the impacts could be only some aspects on any of the following areas, society, economy, environment or policy and could be only at the subsector or sector level, but not at the national level. It is also necessary to determine the project impacts based on its size and scope, in a specific, rational and substantiated manner.

• Second, when quantifying the targets for impact-level indicators, we may separate the project from the assumptions it is based on for consideration. This can be done at the design stage when we conduct the problem and target analysis of development status quo for the project. Then, we may separate the monitoring from evaluation of the project targets and assumptions it is based on during the project performance monitoring and evaluation. And,


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• Third, we may also use multiple means of monitoring and evaluation to analyze and evaluate the project impacts from multiple angles, for instance, the monitoring and evaluation of the performance at the industry level in a county or region. If ADB has multiple loan projects in the same industry in a region, the impacts from the monitoring and evaluation of this multiple loan projects would be relatively significant, and the targets for impact-level indicators would also be easier to quantify.

Problem 3: How do we design and select indicators? Can the indicators selected at the project design stage be adjusted?

The following procedure can be followed for designing and selecting the indicators, when a target is gauged:

• Step 1: Understanding the current information and data system to list the usable indicators and data sources. These data sources include the social and economic statistic data and materials of the national and local governments, those of industries, sectors and administrative authorities (such as, environmental and energy sectors), those of research institutes or other statistic institutions, and those of non-governmental sources.

• Step 2: For each target unit, selecting the indicators that can measure relevant targets from the current data. Relevancy is the prerequisite for selecting indicators.

• Step 3: Supplementing the design of indicators for each target unit. It includes supplementing the indicators for the target unit with insufficient numbers of indicators as well as the indicators for those with not enough numbers to gauge a certain target. When designing the indicators, it is necessary to fully consider the five key features that the indicators listed in Figure 5 must possess. And,

• Step 4: Adjusting and implementing indicators in the course of project implementation and project performance monitoring and evaluation. The reason for so doing may be due to the change of project scope, the adjustment of targets, the change in the availability of data for the indicators, or the access to better indicators.


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Problem 4: What makes an appropriate indicator? And how many indicators are appropriate for one target?

A good indicator should, first of all, possess the five key features (CREAM) listed in Figure 5, which are, precise and unambiguous, appropriate and timely, available at reasonable costs, sufficient to access performance, and can be independently verified. Additionally, judging the appropriateness of indicators would not only require the indicator to be able to gauge its relevant target, but also depend on whether it can reflect the uniqueness of the project to which it belongs. Even though the same industry has a group of similar projects, such as, highway projects, it is not viable simply to use a set of indicators of one project to measure the targets of another project, because project geologic positions are different, external environments are different and stakeholders are different. Particularly at the impact level, the indicator to reflect the uniqueness of the project is a must.

A rule of thumb is that the number of indicators to gauge a target unit is usually between two to six, depending on circumstances. If the indicators are few, it is impossible to fully measure a target; if they are too many, it is not cost efficient to collect data.

Problem 5: How should we set the target for the indicator?

The target for the indicator would typically include quantity, nature and time frame. Quantity is used to quantify the indicator and expressed through the increase or decrease in number; nature describes what type of change will occur to the indicator; and time frame is the time limit set for the change.

The procedure for setting the target for the indicator is usually started with the indicator′s baseline data. The expected target to be delivered can be developed for the indicator through the contribution/impacts of the project′s expected inputs to/on the indicator with consideration given to the change and impacts of the environment the project is in within the set period of time. When setting the target for the indictor, we need to consider the following factors. First, it is necessary to have a clear understanding of the baseline data for the indicator, including the historical change and trend of baseline data and causes for the change. This forms the basis for developing the expected target. Second, the time frame of the target should not be set for too long, because the longer the time frame of projection, the poorer its accuracy. If, however, it is necessary to set the long-term target, it is preferable to have a near-and-medium-term target as the phase target for monitoring. In addition, we must be practical in developing the target, because if the target is set too high to be realized, the implementing agency will be less enthusiastic in its work and if the target is set too low, the role of


25

project performance monitoring will be weakened. And it would be more practical to develop a target that falls within a certain scope’, when it comes to a new target or a target on which there many impacts.

In actual operations, determining the input and output indicators is somewhat easier and clearer. This can normally be done based on the project implementation and progress plans. However, at the result level, which includes the outcome and impact level, it is more difficult to determine the target for the indicator, in which case, comprehensive consideration must be given to a series of factors such as, inputs and outputs, the social and economic conditions of the region where the project is located, its near-term development plan, and project stakeholders.

2.4 Establishing indicator database

◆ Purpose of establishing indicator database

Designing and selecting indicators is one of the important steps in the project performance monitoring and evaluation process. It concerns not only the quality of performance monitoring and evaluation, but also the inputs and costs involved. In fact, it is impossible to garner the data for the indicator, if the selected indicator cannot be used to gauge its corresponding target. It is a common occurrence that indicators are not available to gauge some target units. Additionally, the project unit spends tremendous time and money on data collection for the design of indicators for the project only to find that they are of no use for the performance monitoring. If using the existing indicators, the project unit will have to input lots of manpower and time to search for them. Also, many difficulties just lie ahead before we can put data and information to actual use, because project performance involves the social, economic, environment, climate change, and policy areas and relevant indicators are scattered in the governments, industries and sectors, administrative authorities, governmental or non-governmental organizations.

To solve the problem of selecting the existing indicators and raise the quality of project performance monitoring, it is necessary to select the indicators found in statistic data, materials and reports and usable for ADB′s loan project performance evaluation and compile them into booklets. This indicator database contains the classified indicators for project performance monitoring, selected based on the characteristics ADB′s PRC loan projects from the statistic data periodically released by the PRC's


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National Bureau of Statistics (NBS) and various provincial (city, regional) statistic bureaus and those professional statistic data of relevant departments of government agencies. In the process of selecting the indicators, the borrower, the executing agency, the implementing agency and the consulting experts may find directly from the indicator database the indicators useful for project performance evaluation. Hence, it will save lots of time and energy and also guarantee the data sources for the indicators.

◆ Method of building the indicator database and indicator sources

This indicator database is established through the following five steps (as shown in Figure 6):

Figure 6. Steps for establishing the indicator database

Select sector. Seclect subsectors

List main performance

targets

Screen statistic data

& report

Select indicators

• Step 1: To raise the relevancy of the indicator database, four major sectors are selected, including agriculture and natural resources, energy, water supply and other urban infrastructure and services, and transport and communications, based on the situation of ADB′s previous loans in the PRC and the strategic program in its Strategy 2020;

• Step 2: To enhance the applicability and simplicity of the indicator database, the subsector of each sector is further filtered and specified, based on ADB's sectoral and subsectoral classification in 2009, its Country Partnership Strategy, 2008 – 2010 with the PRC, as well as recent achievements from the CPS;

• Step 3: For each subsector, list the performance targets expected to be possibly delivered at the impact level, based on ADB′s Country Partnership Strategy, 2008 – 2010 with the PRC, and its recent CPS achievements, and list the performance targets possibly delivered at the outcome level, based on the subsectoral project scope;

• Step 4: Select the data applicable to the performance evaluation of the subsector at the impact and outcome levels, from the PRC's existing statistic data and periodic sectoral reports;


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• Step 5: For each target at the impact and outcome levels, select relevant indicators usable to gauge this target from the selected data and note the sources of these indicators.

The main sources of indicators in this indicator database are, national statistic yearbooks, specialized yearbooks of relevant sectors and periodic statistic reports of relevant departments (see the below table).

Types Names of Organizations Names of Statistic Data

ComprehensiveStatistics

National Bureau Statistics (NBS) China Statistics YearbookNBS′s Department of Population and Employment Statistics

China Population Statistics YearbookChina Labor Statistics Yearbook

NBS′s Department of Industrial Statistics

China Industry Economy Statistical Yearbook

NBS′s Department of Fixed Asset Investment Statistics

China Fixed Asset Investment Yearbook

NBS′s Department of Urban Socio-economic Survey

China Urban Statistics YearbookChina Urban Living and Price Yearbook

NBS′s Department of Rural Socio-economic Survey

China County (city) Social and Economic Statistics YearbookChina Agricultural Produce Price Investigation YearbookChina Rural Poverty Monitoring Report

NBSChina Tertiary Industry Statistics Yearbook

NBSChina High-Tech Industry Statistics Yearbook

NBSChina Science and Technology Statistics Yearbook

NBS and Ministry of Environmental Protection (formerly, the State Environmental Protection Administration)

China Environmental Protection Statistics Yearbook

NBS′s Department of Energy StatisticsNDRC

China Energy Statistics Yearbook


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Types Names of Organizations Names of Statistic Data

Specialized Statistics

Ministry of Land and Resources

China Land Resources Statistics YearbookGeological Environment Monitoring Yearbook

Ministry of Water ResourcesChina Water Conservancy Yearbook, China Water Resources Bulletin

Ministry of TransportChina Transportation YearbookChina Ports Yearbook

Ministry of Railways China Railway Yearbook

Ministry of Agriculture

China Agricultural Statistics YearbookChina Rural Statistics YearbookChina Forestry YearbookChina Animal husbandry Industry Yearbook

Ministry of Public SecurityChina County- (City-) based Demographic Data and Materials

Ministry of Housing and Urban-Rural Construction

China Urban Construction Statistics Annual ReportChina Urban Construction Statistics Yearbook

Ministry of Health China Health Statistics Yearbook

Ministry of Environmental Protection (formerly, State Environmental Protection Administration)

China Environmental Protection Statistics YearbookChina Environment Yearbook

State Oceanic Administration China Marine Statistics Yearbook

National Tourism Administration China Tourism Statistics Yearbook

In addition, the sources also include the yearbooks of the provinces (autonomous regions, Urbanities) where the projects are located, public statistic data of the regions where the projects are located and those of relevant departments and sectors. Also, there are also indicators and data garnered from the Internet or from statistic organizations where the projects are located and other relevant departments.


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◆ Contents of the indicator database

This indicator database covers four major sectors, including agriculture and natural resources, energy, water supply and other urban infrastructure and services, and transport and communications. Transport and communications is further divided into four subsectors – road, railway, urban transport and water transport; water supply and other urban infrastructure and services includes six areas – Urban water supply and sanitation, sewage treatment, waste management, heat supply, water environment control, and revamping and protecting cultural and heritage sites; agricultural and natural resources includes eight sebsectors - agricultural production and markets, irrigation, drainage and flood prevention, fishery, forestry, livestock, land resources management, water resources management, agricultural and rural sector development; energy includes seven subsectors – conventional energy, big hydropower generation, renewable energy generation, transmission and distribution, pipelines, energy public utilities service, and energy efficiency and protection.

The expected targets at the impact and outcome levels for each subsector are listed in the indicator database. And for each target, the relevant gauging indicator is selected from the PRC′s existing statistic data and industry reports for periodic release, with the source of each indicator given.

Additionally, an example is provided at the end of each sector for readers’ reference.

2.5 Application of the indicator database

The following issues should be noticed when this indicator database is used in actual work:

• The indicator given to each target is only for reference when selecting the indicators. On the one hand, all indicators are not required to be selected for a specific project, and the given indicators do not necessarily all meet the needs for gauging their targets, on the other. In other words, we need to select indicators reasonably, based on the needs of the project and specific targets, when selecting indicators. And as needed, sometimes we may have additional indicators to meet the needs of gauging the sufficiency of a certain target;


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• For a specific project, the given indicators do not necessarily meet the requirement for measuring all the targets. It is inevitable to add and design new indicators for every project, and the budget and arrangements of data collection must be prepared for designing new indicators;

• Most targets listed in the indicator database are target units. It is required in ADB′s Guidelines for Preparing a Design and Monitoring Framework that the statement of impacts and outcome should be simple and concise. For this reason, this statement would include multiple target units in most cases. When selecting the indicators, we must first of all break down the statement of impacts and outcome, and then select and design the indicators for the dissected target units;

• Because most ADB′s loan projects in the PRC are comprehensive ones that cover multiple subsectors and are even overlapped between sectors, we would often need to find data in the indicator database of multiple subsectors or multiple sectors;

• In addition, this manual provides the project impacts and outcomes, i.e. the targets and indicators at the result level. In the course of project performance monitoring and evaluation, we need to design the specific gauging indicators for output-level targets, based on the project scope (i.e. real objects or services to be delivered).

3 Indicator database

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3.1 Transport Sector

The transport sector covers four subsectors as classified in ADB′s categorization of sectors and subsectors in 2009, which are, road transport, rail transport, urban transport, and water transport.

• Road transport: Includes the construction of expressways, state highways, provincial highways, village roads, traffic safety and service facilities and road maintenance;

• Rail transport: Includes locomotives, wagons and couches, rail infrastructure, railway station construction, railway safety facilities;

• Urban transport: Includes public transport, traffic management and urban traffic control, car parks construction, traffic safety facilities and management; non-motor vehicles management, and transportation planning and reform;

• Water transport: Includes ports and hub facilities, inland ports, ships and vessels, navigation channels construction, sea shipment and inland river transportation safety management, and water transport policy and reform.

The yearbooks and statistic reports on the transport sector include:

• China Transportation Yearbook• China Railway Yearbook• China Urban Statistics Yearbook• China Fixed Asset Investment Yearbook• China Population Statistics Yearbook


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• China Village and Township Enterprise Yearbook• China Environment Statistics Yearbook• China Tourism Statistics Yearbook• China Agricultural Statistics Yearbook• China Rural Poverty Monitoring Report, etc.

1. Road transport

Targets Indicators Data Sources

Impact level

1. Reducing poverty and promoting sustainable social and economic development

1.1 Industrial value-added (measured @ RMB10,000) and growth rate (%)

China Statistics Yearbook

1.2 Per capita GDP (RMB Yuan) & growth rate)


1.3 State sum of investment in highway construction (measured @ RMB10,000) and growth (%), of which the sum is for rural highway investment


1.4 Sum of local government investment in highway construction (measured @ RMB10,000) & growth (%)


1.5 Sum of fixed asset investment in urban highways and highway transportation industry (measured @ RMB10,000)


1.6 Urban resident per capita disposable income (RMB/Year) & farmers’ per capita net income (RMB/Year)


1.7 Relative poverty rateChina Rural Poverty Monitoring Report

1.8 CPI China Statistics Yearbook

1.9 Quantity of ownership of agricultural machinery (unit)



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Impact level

1.10 Primary, middle school enrollment rate (%)


1.11 The mortality rate of new borns China Health Statistics Yearbook

2. Improving rural residents’ living standards to narrow the disparities between urban and rural areas

2.1 Rural poverty rate China Statistics Yearbook

2.1 No. of increased TVEsChina Village and Township Enterprises Yearbook

2.2 Total industrial output value China Statistics Yearbook

2.3 Economic output value of non-public ownership sectors


2.4 Planting areas of economic crops China Statistics Yearbook

2.5 Quantity of medical equipment China Health Statistics Yearbook

2.6 Proportion of population with sanitation equipment and service

China Health Statistics Yearbook

2.7 Level of convenience of nearest market

Local investigation

2.8 Level of convenience of near medical facilities

Local investigation

2.9 Level of convenience of nearest secondary school

Local investigation

2.10 Quantity of ownership of civilian motor vehicle


2.11 Area of rural newly built housing China Statistics Yearbook

3. Reducing traffic accidents to improve highway safety.

3.1 No. of traffic accidentsTraffic Management Bureau (Department)

3.2 Economic losses in traffic accidentsTraffic Management Bureau (Department)

3.3 Rate of traffic transport accidentsTraffic Management Bureau (Department)

3.4 Rate of traffic accident per 100 vehicles

Traffic Management Bureau (Department)


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Impact level

3.5 Mortality rate per 100 vehiclesTraffic Management Bureau (Department)

3.6 Injury rate per 100 vehiclesTraffic Management Bureau (Department)

3.7 Rate of economic loss per 100 vehicles

Traffic Management Bureau (Department)

4. Strengthening liaisons and ommunications in traffic management to promote regional economic cooperation

4.1 Newly increased no. of passenger transportation routes and mileage (km)

China Transportation Yearbook

4.2 Highway commercial volume of passenger transportation (10,000 persons)


4.3 Highway commercial volume of cargo transportation (10,000 tons)


4.4 Quantity of ownership (unit) of newly increased highway commercial passenger vehicles

China Transportation Yearbook\On-site investigation

4.5 Sum of foreign currency fixed asset investment (measured @ RMB10,000) & growth (%)


4.6 Total value of foreign trade import & export (measured @ RMB10,000)


4.7 No. of border exit-entry persons & growth (%)

China Statistics Yearbook\China Tourism Statistics Yearbook

4.8 No. of border exit-entry tourists (person)

China Tourism Statistics Yearbook

4.9 Tourism comprehensive revenue (measured @ RMB10,000)


4.10 Total income from labor economy (measured @ RMB10,000)



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Impact level

5. Lowering motor vehicle exhaust emission to reduce environmental pollution

5.1 Water PH levelBureau (Department) of Environmental Protection

5.2 Vol. of water floating substancesBureau (Department) of Environmental Protection

5.3 Vol. of CODBureau (Department) of Environmental Protection

5.4 Daily average of the amount of suspended micro-particles in environmental air

Bureau (Department) of Environmental Protection

5.5 Traffic noise in decibelsTraffic Management Bureau (Department)

5.6 Number & frequency of geographic disasters

China Land Resources Statistics Yearbook

Outcome level

1. Establishing an effective highway transportation system

1.1 Travel time Railway Passenger Train Time Table

1.2 Time of road congestionTraffic Management Bureau (Department)

1.3 Travel length Project Progress Report1.4 Passenger transportation volume China Statistics Yearbook1.5 Cargo transportation volume China Statistics Yearbook1.6 Vehicle fuel consumption per 100 km China Transportation Yearbook

2. Establishing a safe highway transportation system

2.1 No. of traffic accidents of the project Project Progress Report

2.2 Death toll from traffic accidents of the project

Project Progress Report

2.3 No. of the injured in traffic accidents of the project


2.4 Time of response to handling accidents


2.5 Average time of traffic jam from accidents



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Outcome level

2.6 Economic loss from traffic accidents Project Progress Report

2.7 No. of bus breakdown Project Progress Report

3. Establishing an economical highway transportation system

3.1 Fare of passenger vehicle (measured @ RMB10,000)

Public Transport Management Bureau (Department)

3.2 Transportation charge of cargo vehicle (measured @ RMB10,000)


3.3 Vehicle operating charge (measured @ RMB10,000)


3.4 Rural residents’ per capita transport expense (RMB Yuan)


3.5 Transportation CPI China Statistics Yearbook

3.6 Financial internal rate of return (%) Project Progress Report

4. Establishing a sustainable highway transportation system

4.1 Income from passenger transportation (measured @ RMB10,000)


4.2 Income form cargo transportation (measured @ RMB10,000)


4.3 Road maintenance & operating expense


4.4 No. of days of opening of road on 24 hours


4.5 Traffic noise in decibel Project Progress Report

4.6 Vol. Of CO1 discharge Project Progress Report

4.7 Vol. Of hydrocarbon dischargeBureau (Department) of Environmental Protection

4.8 Vol. of oxynitride chargeBureau (Department) of Environmental Protection


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Outcome level

4.9 Vol. Of SO2 dischargeBureau (Department) of Environmental Protection

4.10 Vol. of solid particlesBureau (Department) of Environmental Protection

5. Improving the transportation conditions for poverty-stricken areas to narrow the disparities between urban and rural development and reduce poverty

5.1 Highway intensity (km/square km) China Statistics Yearbook

5.2 Newly increased mileage of rural highway (km)

China Rural Statistics Yearbook

5.3 Accessibility rate and patency rate of rural highway (%), notes


5.4 No. of rural passenger transportation routes

Local investigation

5.5 Quantity of ownership (unit) of civilian motor vehicles, of which the ownership (unit) of cargo vehicle.


5.6 Average time of arrival at secondary school

Local investigation

5.7 Average time of arrival at medical institution with medical facilities

Local investigation

5.8 Average time of arrival at urban sites Local investigation

5.9 Rural poverty population (10,000 persons) & rate of relative poverty (%)

China Poverty Monitoring Report

5.10 Urban residents’ per capita disposable income (RMB/Year) & rural residents’ per capita net income (RMB/Year) and growth (%)

XXProvincial Statistics Yearbook

5.11 Rural newly built housing within the year (square meters/person)



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Outcome level

6. Strengthening the capacity of government agencies and project units in project management,implementation, operation and maintenance.

6.1 Time of delay in project construction period


6.2 No. of disputes over project contract Project Progress Report

6.3 Project cost Project Progress Report

6.4 Annual operation cost Project Progress Report

6.5 Average time of handling accidents Project Progress Report

6.6 Annual maintenance cost Project Progress Report

6.7 Time of road congestion due to maintenance


7. Strengthening the level of corporate governance of project units

7.1 Time of preparation of annual financial report


7.2 Corporate management cost Project Progress Report

7.3 Debt ratio (%) Project Progress Report

7.4 Ratio of managers to staffs (%) Project Progress Report

7.5 Proportion of non-public capital (%) Project Progress Report

8. Increasing rural population employment in project areas to improve the average income of rural population.

8.1 Rural population (person/month) employed for the project


8.2 Proportion of employed women (%) Project Progress Report

8.3 Proportion of employed ethnic minority people (%)


8.4 No. of family businesses in project areas


8.5 Average annual income (RMB) of project employed people



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2. Rail transport

Targets Indicators Sources

Impact level

1. Reducing poverty to promote the sustainable social and economic development.

1.1 Per capita GDP (RMB) & growth rate (%)


1.2 Poverty population (person) & relative poverty rate (%)

China Poverty Population Monitoring Report

1.3 Urban residents’ per capita disposable income (RMB/Year) & rural residents’ per capita net income (RMB/Year)


1.4 CPI China Statistics Yearbook

1.5 Primary and middle school enrollment rates


1.6 Total industrial output value (measured @ RMB10,000) & growth (%)


1.7 No. of newly increased TVEsChina Village and Township Enterprises Yearbook

1.8 Economic output value of non-public ownership sectors (measured @ RMB10,000) & growth (%)


2. Diverting highway transportation to reduce environmental pollution

2.1 Water PH levelChina Environment Statistics Yearbook

2.2 Vol. of water floating substancesChina Environment Statistics Yearbook


China Environment Statistics Yearbook

2.4 Vol. of CO1 in environmental airChina Environment Statistics Yearbook

2.5 Vol. of hydrocarbon in environmental air



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Impact level

2.6 Vol. of oxides of nitrogen in environmental air


2.7 Vol. of SO2 in environmental air China Environment Statistics Yearbook

3. Strengthening liaisons and communications in traffic and transportation to promote regional economic development

3.1 No. of newly increased passenger transportation routes


3.2 Vol. of railway passenger transportation) 10,000 persons)


3.3 Vol. of railway cargo transportation (10,000 tons)


3.4 Comprehensive tourism income (measured @ RMB10,000)


3.5 No. of family businesses serving railway transportation


Outcome level

1. Establishing an effective railway transportation system

1.1 Mileage time Railway train time table

1.2 Vol. of railway transportation (10,000 person-km)


1.3 Vol. of railway cargo transportation (10,000 ton-km)


1.4 Passenger train technical speed (km/hour) & traveling speed (km/hour)


1.5 Density of passenger transportation (10,000 km/hour)

China Railway Yearbook

1.6 Cargo train technical speed (km/hour) & traveling speed (km/hour)


1.7 Cargo density (10,000 ton-km/hour) China Railway Yearbook

1.8 Wagon turnaround time (day) China Railway Yearbook


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Outcome level

1.9 Usage rate of passing capacity of railway passenger station (%)


1.10 Usage rate of intersectional passing capacity (%)


1.11 Usage rate of passenger seats (%) China Railway Yearbook

1.12 Labor productivity of all transportation staffs (ton-km/person)


2 Establishing a safe and reliable railway transportation system

2.1 No. of days with no major accidentsChina Railway Yearbook\XXProvincial Railway Bureau

2.2 The locomotive′s rate of accident per 1 million km travel (No./1 million km of travel)

China Railway Yearbook\XXProvincial Railway Bureau

2.3 No. of casualties among passengers (person)


2.4 No. of cargo transportation accidents out of negligence


2.5 No. of luggage accidents out of negligence


2.6 Rate of punctuality of passenger train (%) and rate of running on schedule (%)


2.7 Rate of punctuality of cargo train (5) and rate of running on schedule (%)


3.1 Train fare Local investigation

3.2 Resident per capita transportation expense


3.3 Transportation CPI China Statistics Yearbook


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Outcome level

3. Establishing an economical railway transportation system

3.4 Unit price of cargo transportation Local investigation

3.5 Luggage and parcel freight rate Local investigation

3.6 Fuel consumption per 10,000 ton-km of diesel locomotive (kg)


3.7 Power consumption per 10,000 ton-km of electric locomotive (KWH)


3.8 Cargo transportation cost ton-km (RMB)


3.9 Passenger transportation cost of person-km (RMB)


4. Establishing a sustainable railway transportation system

4.1 Cargo transportation income (measured @ RMB10,000)

XXProvincial Railway Bureau

4.2 Income rate of cargo delivery (%) XXProvincial Railway Bureau

4.3 Income from passenger transportation (RM10,000)


4.4 Income rate of passenger delivery (%) XXProvincial Railway Bureau

4.5 Cost of passenger train kilometer (measured @ RMB10,000)


4.6 Cost of cargo train kilometer (measured @ RMB10,000)


4.7 Total capital yield of transportation enterprise (%)


5.1 Mileage of railway extension (km) Project Progress Report

5.2 Mileage of operational railways (km) Project Progress Report

5.3 Average distance of residents’ arrival at train stations (km)

Local investigation


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Outcome level

5. Improving the transportation conditions in poverty-stricken areas.

5.4 Average annual transportation expense of enterprises (measured @ RMB10,000)


5.5 Weight of cargo delivery (ton) Project Progress Report

5.6 No. of delivered passengers Project Progress Report

6. Strengthening the level of corporate governance of the project unit.

6.1 Time of preparation of annual financial report


6.2 Corporate management cost (measured @ RMB10,000)


6.3 Debt ratio (%) Project Progress Report

6.4 Ratio of managers to staffs (%) Project Progress Report

6.5 Proportion of non-public capital (%) Project Progress Report

7. Increasing the employment of rural population in project areas to improve the average income of rural population

7.1 The project′s employed number of rural population (person/month)


7.2 Proportion of employed women (%) Project Progress Report

7.3 Proportion of employed ethnic minority people (%)




7.5 Average monthly income of employed labors of the project (RMB)



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3. Urban transport


Impact level

1. Meeting the needs for urban development to promote urban economic development and improvement of people′s lives.

1.1 Per capital GDP (RMB) & growth (%) China Statistics Yearbook

1.2 Ratio of tertiary industry value added to GDP (%)


1.3 Urban transportation fixed asset investment (RMB) & growth (%)

China Urban Statistics Yearbook

1.4 Per capita disposable income of urban households (RMB/Year)


1.5 Per capita transportation expense of urban households (RMB/Year)


1.6 Quantity of ownership of civil motor vehicle (10,000 units)


1.7 No. of public transport operations Field investigation

1.8 Newly increase urban population (person)

China Population Statistics Yearbook

1.9 Ratio of population in constructed areas to the total population (%)


1.10 Urban population density (person/square km), of which population density of constructed areas (person/square km)


1.11 Newly increased public transport vehicle (unit) & public transport passengers (person)

Local investigation\XXProvincial Bureau (Department) of Transport

1.12 Ratio of passenger flows carried by public transport to total passenger flows (%)

Local investigation\XXProvincial Bureau (Department) of Transport

1.13 Newly increased taxi vehicles (units) Local investigation\XXProvincial Bureau (Department) of Transport


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Impact level

2. Promoting energy saving to reduce environmental pollution

2.1 Energy consumption per measured @ RMB10,000 (ton/RMB10,000)


2.2 Retained quantity of gas vehicles (unit)


2.3 Vol. of DOD discharge China Environment Statistics Yearbook

2.4 Vol. of SO2 discharge China Environment Statistics Yearbook

2.5 Vol. of CO1 dischargeChina Environment Statistics Yearbook



2.7 No. of days with up-to-par air quality China Environment Statistics Yearbook

2.8 Vol. of HC hydrocarbon discharge of motor vehicles & its ratio to total vol. of urban discharge (%)


2.9 Vol. of discharge of compounds of nitrogen and oxygen & its ratio to total vol. of urban discharge (%)


2.10 Vol. of CO1 discharge & its ratio to total vol. of urban discharge (%)


3.1 No. of motor vehicles in breach of rules

Local investigation\Traffic Management Bureau (Department)

3.2 No. of pedestrians in breach of rulesLocal investigation\Traffic Management Bureau (Department)


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Impact level

3. Improving traffic management to reduce traffic accidents

3.3 No. of traffic accidentsLocal investigation\Traffic Management Bureau (Department)

3.4 No. of death toll from traffic accidents (person)


3.5 Direct economic loss from traffic accidents (measured @ RMB10,000)


3.6 No. of extraordinarily serious accidents


4. Promoting the participation of private sector in urban transportation construction and management

4.1 No. of private transportation companies


4.2 No. of public transport vehicles owned by private transportation companies


4.3 No. of taxi vehicles owned by private transportation companies


4.4 Scale of issuance of Urban bonds Project Progress Report

4.5 Scale of issuance of stocks by public transport companies


Outcome level

1. Establishing a fast and smooth urban transportation system

1.1 Average time of vehicles traveling through urban areas


1.2 Average time of congestion of vehicles traveling through urban areas


1.3 Average time of waiting at crossroadsPublic Transport Management Bureau (Department)

1.4 Average of time of going to/from workPublic Transport Management Bureau (Department)


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Outcome level

1.5 Average time of ride of public transports


1.6 Average speed of main roads in urban areas


1.7 Average speed during peak hoursPublic Transport Management Bureau (Department)

1.8 Average speed during non-peak hours


1.9 Average running speed of public transports


2. Establishing an improved and convenient urban transportation system

2.1 Per capita ownership of area of urban roads (square meter)

China Urban Construction Statistics Annual Report

2.2 Length of urban operational routing network (km)


2.3 Newly increased mileage of public transport routes and special lanes for public transport (km)


2.4 Total vol. of passenger transportation by public transport (10,000 person-times)


2.5 No. of public transport vehicles owned per 10,000 persons(standard unit)


2.6 Average interval at public transport stations/stops


2.7 Coverage rate of public transport stations/stops within 300 meters


2.8 No. of rail transportPublic Transport Management Bureau (Department)


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Outcome level

2.9 Length of non-motor vehiclesPublic Transport Management Bureau (Department)

2.10 No. of public parking lotsPublic Transport Management Bureau (Department)

2.11 Average intervals between footbridges and underground passageways on main roads.


3. Establishing an economical and reliable urban transportation system

3.1 Public transport farePublic Transport Management Bureau (Department)

3.2 Per capita urban residents transportation expense


3.3 Transportation CPI & urban public transport CPI


3.4 Rate of public transport punctuality Public Transport Management Bureau (Department)

3.5 Monthly average no. of breakdowns of public transport


3.6 Average time of dispatch intervals of public transport


4. Establishing a sustainable urban transportation system

4.1 Income from passenger transportation operations (measured @ RMB10,000)


4.2 No. of persons riding on public transport (person)


4.3 Operational cost per 1,000km (measured @ RMB10,000)


4.4 Sum of investment in urban transportation infrastructure (measured @ RMB10,000)



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Outcome level

4.5 Profits of public transport operations (measured @ RMB10,000)


4.6 Sum of government subsidies for operations (MEASURED @ RMB10,000)


5. Promoting the enhancement of traffic management in urban areas

5.1 No. of traffic lights controlled intersections on main roads

Public Traffic Management Bureau (Department)

5.2 No. of pieces of monitoring equipment on main roads


5.3 No. of penalties issued due to violation of traffic rules according to law, based on monitoring


5.4 No. of cases of handling motor vehicles in violation of traffic rules in a given year


5.5 Coverage rate of monitoring road and traffic conditions


5.6 Channels for releasing timely traffic information


5.7 Average time of response to handling accidents


5.8 Average time of handling accidentsPublic Traffic Management Bureau (Department)

5.9 Rate of solved hit-and-run casesPublic Traffic Management Bureau (Department)

5.10 No. of documents delivered to the claims department for traffic accidents


5.11 Rate of regular checks of motor vehicles



50

4. Water transport


Impact level

1. Promoting social economic development to improve people′s living conditions along the project lines.

1.1 Industrial value added (measured @ RMB10,000) & growth rate (%)


1.2 Fixed asset investment (measured @ RMB10,000) & growth (%) in infrastructure of water transports (control/improvement of navigation course/river ports/harbor)


1.3 Sum of investment (measured @ RMB10,000) and growth (%) used by the state for water transportation industry


1.4 Passenger carrying capacity of civil motor transportation ships and vessels (passenger seats)


1.5 Passenger carrying capacity of private motor transportation ships and vessels (passenger seats)


1.6 Primary & middle school enrolment rate


2.1 Quantity of ownership (unit)/net carrying weight (ton)/towboat power (KW) of civil transportation ships and vessels


2.2 Quantity of ownership (unit)/net carrying weight (ton)/towboat power (KW) of private transportation ships and vessels



51


Impact level

2. Strengthening the connection between project areas and the market to promote regional economic development

2.3 Water transport vol. of passenger transportation (10,000persons) & passenger turnaround (10,000 persons/km), of which those for inland rivers and along the coast


2.4 Water transport vol. of cargo transportation (10,000 tons) and cargo turnaround (10,000 ton-km), of which those for inland rivers/along the coast


2.5 Passenger throughput (10,000 persons)


2.6 Cargo throughput (10,000 tons) China Transportation Yearbook

2.7 Foreign trade cargo throughput (10,000 tons)


2.8 Container throughput (10,000 standard containers)


2.9 Total value of foreign trade import & export


2.10 No. of people traffic at exit-and-entry borders & growth (%)






3.1 Rate of water resources development & utilization

China Water Resources Bulletin


52


Impact level

3. Promoting the rational development of water resources to enhance the level of comprehensive utilization of water resources

3.2 Rate of surface water resource utilization


3.3 Area of effective irrigation China Statistics Yearbook

3.4 Total value of livestock raising industrial output

China Agricultural Statistics Yearbook

3.5 Casualties caused from floodsChina Environment Statistics Yearbook

3.6 Economic loss from floodsChina Environment Statistics Yearbook

4. Promoting the private sector′s participation in the construction and operation of water transportation

4.1 No. of entrepreneurs of non-state water transportation


4.2 No. of entrepreneurs of non-state ports


4.3 Operating income of non-state enterprises (measured @ RMB10,000)


4.4 No. of people employed by non-state enterprises


5.1 Rural poverty population (10,000 persons) & relative poverty rate (%)

China Poverty Population Monitoring Report

5.2 No. of TVEsChina Village and Township Enterprises Yearbook

5.3 Total industrial output (measure @ RMB10,000) of water transportation industry



53


Impact level

5. Improving the living standards of rural areas to reduce poverty and narrow the disparities between urban and rural development

5.4 Economic output value of non-public ownership sectors (measured @ RMB10,000)


5.5 Shortest distance to the market (km) Household-to-household investigation\Project Progress Report

5.6 Shortest distance to hospital with medical facilities and services (km)

Household-to-household investigation\Project Progress Report

5.7 Shortest distance to middle school (km)

Household-to-household investigation\Project Progress Report

5.8 Per capita urban resident disposal income & per capita farmers net income (RMB/Year)


Outcome level

1. Improving the capacity in shipping and port throughput to increase the mileage open to traffic

1.1 Mileage open to traffic, of which the newly increased mileage is that at Grade IV or above and its proportion (%)


1.2 Rate of guarantee of navigable water (%)

Local investigation

1.3 No. and grade of ship locks Local investigation

1.4 No. of berths in ports and harbors & no. of berths above 10,000 ton-class, for inland rivers

China Transportation Yearbook\China Ports Yearbook

1.5 Passenger throughput (10,000 persons), for inland rivers



54


Outcome level

1.6 Cargo throughput (10,000 tons) and foreign trade cargo throughput (10,000 tons), of which those for inland rivers


1.7 Containers throughput, of which that for inland rivers (10,000 standard containers)


1.8 Newly increased capacity in annual harbor throughput (10,000 tons)

XXProvincial Statistics Yearbook\China Ports Yearbook

2. Reducing polluting discharge to improve river environment and water quality

2.1 Vol. of five-day CODChina Environment Statistics Yearbook

2.2 CODChina Environment Statistics Yearbook

2.3 Solid floating substances China Environment Statistics Yearbook

2.4 Types and no. of fish China Environment Statistics Yearbook

2.5 Water PH level China Environment Statistics Yearbook

3. Improving the level of water transportation management and the efficiency in harbor operations

3.1 Time of cargo delayLocal investigation\Project Progress Report

3.2 Vessel/ship waiting rateLocal investigation\Project Progress Report

3.3 Vol. of loaded and unloaded cargo by workers at unit time

Local investigation\Project Progress Report

3.4 Vol. of loaded and unloaded cargo by the crane at unit time


3.5 Rate of equipment availability (%) Local investigation\Project Progress Report

3.6 Cost of loading & unloading container cargos



55


Outcome level

3.7 Cost of loading and unloading cargo in bulk


3.8 Sales and asset yields Project Progress Report

3.9 Sum of claim for damaged cargos Project Progress Report

4. Strengthening the traffic safety in water transportation

4.1 Grades and no. of traffic accidents in water transportation


4.2 Death toll from accidents China Transportation Yearbook

4.3 No. of sunken ships and vessels China Transportation Yearbook

4.4 Direct economic loss from traffic accidents


4.5 No. of saved people from accidents China Transportation Yearbook

4.6 No. of saved ships and vessels China Transportation Yearbook

4.7 Success rate of assistance China Transportation Yearbook

5. Improving the capability in the management of waterway maintenance

5.1 Cost of waterway maintenance China Transportation Yearbook\Project Progress Report

5.2 Cost of using the shorelines of inland waterways

China Transportation Yearbook\Project Progress Report

5.3 Cost dredging and placing navigation marks

China Transportation Yearbook\Project Progress Report

5.4 Average time of clearing sunken ships & vessels & other obstacles


5.5 Ratio of good conditions in aiding navigation


5.6 No. of professional and technological personnel for maintenance


5.7Average no. of waterway managers per 100 km



56

Case Study of Transport Project— Western Yunnan Roads Development Project

The Western Yunnan Roads Development Project includes the construction of a new expressway of 76.27 kilometers from Baoshan to Longling; rehabilitating a local road of 294 kilometers; and providing consulting services and training. The expressway construction will improve the high-grade highway transportation network within Yunnan Province and play an important role in shortening highway transportation time and accelerating the economic development along the route. Additionally, this expressway is also one of the important passageways connecting the PRC-Burma-Thailand ASEAN Free Trade Area. And the local road construction plays a proactive role in improving rural transportation conditions and promoting the enhancement of farmers’ living standards.

The investment of the project totals US$582 million, of which US$250 million is from ADB loans.


Impact

1. Reducing poverty to promote the economic development along the project lines.

1.1 Per capita GDP growth rateYunnan Provincial Statistics Yearbook

1.2 Increased no. of TVEsYunnan Provincial Statistics Yearbook

1.3 Industrial value added (measured @ RMB10,000) and growth rate (%)

Yunnan Provincial Statistics Yearbook

1.4 Rural poverty population reduced from XX 10,000 persons in 2000 to 0010,000 person in 2009, with the relative poverty rate being XX%


1.5 The driven fixed asset investment in highway transportation industry (measured @ RMB10,000)


2.1 Per capita rural resident net income (RMB/Year) & growth (%)


2.2 No. of medical facilities Yunnan Provincial Statistics Yearbook


57


Impact

2. Improving the living standards in rural areas to narrow the disparities between urban and rural development

2.3 Ratio of population with the access to healthcare facilities and services


2.4 Shortest & shortened distance from the market (km)

Local investigation

2.5 Shortest distance from the hospital with health & medical facilities and services (km)

Local investigation

2.6 Shortest distance from middle school (km)

Local investigation

2.7 Quantity of ownership of civilian motor vehicles (unit), of which that of cargo vehicles is (unit)


2.8 Change in the ratio of urban to rural per capital income

2.9 Area of newly built housing in rural areas within the year (square meter/person)


3. Strengthening the liaisons and communications through transportation to promote regional economic cooperation

3.1 Newly increased passenger transportation routes and mileage (km)


3.2 Vol. of highway operational passenger transportation (10,000 persons)


3.3 Vol. of highway operational cargo transportation (10,000 tons)


3.4 Newly increased quantity of ownership of highway operational passenger vehicles (unit)


3.5 Attracted sum of foreign fixed asset investment (measured @ RMB10,000) and growth (%)



58


Impact

3.6 Total value of XX US$10,000 in foreign trade import & export, with yoy increase of XXXX%, of which US$XX10,000 was export, an increase of XX%, and US$XX10,000 was import, an increase of XX%.


3.7 No. of border exit-and-entry persons (person) and growth (%)


3.8 No. of border exit-and entry tourists (person)






3.11 No. of people engaging in tourism (person)


Outcome

1. Establishing an effective, safe, economical and sustainable highway transportation system

1.1 Newly increased mileage of highways open to traffic (km)

Local investigation\Yunnan Provincial Bureau of Public Traffic Management

1.2 Running timeLocal investigation\Yunnan Provincial Bureau of Public Traffic Management

1.3 Time of road congestion Local investigation

1.4Vol. of passenger turnaround (10,000 person-km), of which that of highway operational passengers (10,000 person-km)

China Transportation Yearbook\Yunnan Provincial Statistics Yearbook


59


Outcome

1.5 Vol. of cargo turnaround (10,000 ton-km), of which, highway operational turnaround (10,000 ton-km)


1.6Gas/diesel oil consumption of passenger vehicles per 100 ton-km (liter)


1.7Gas/diesel oil consumption of commercial vehicles per 100 ton-km (liter)


1.8 No. of traffic accidents of the project Project Progress Report

1.9 Death tolls from traffic accidents of the project (person)


1.10 Economic loss from traffic accidents (measured @ RMB10,000)

Local investigation\Yunnan Provincial Bureau of Public Traffic Management

1.11 Fare of passenger vehicles Local investigation\Yunnan Provincial Bureau of Public Traffic Management

1.12 Cost of commercial transportationLocal investigation\Yunnan Provincial Bureau of Public Traffic Management

1.13 Vehicle operational costsLocal investigation\Yunnan Provincial Bureau of Public Traffic Management

1.14 Per capita transportation expense of rural residents


1.15 Financial internal rate of return Project Progress Report


60


Outcome

1.16 Income from passenger transportation


1.17Income from commercial transportation


1.18 Costs of road maintenance & operation


1.19 Vol. of CO1 discharge Yunnan Provincial Statistics Yearbook

1.20 Vol. of hydrocarbon discharge Yunnan Provincial Statistics Yearbook

1.21 Vol. of ox nitride dischargeYunnan Provincial Statistics Yearbook

1.22 Vol. of SO2 discharge Yunnan Provincial Statistics Yearbook

1.23 Vol. of discharge of solid particles Yunnan Provincial Statistics Yearbook

2. Improving the transportation conditions and living standards in poverty-stricken areas

2.1 Road density Yunnan Provincial Statistics Yearbook

2.2 Paved road rate Yunnan Provincial Statistics Yearbook

2.3 No. of rural passenger transportation routes


2.4 Quantity of ownership of rural motor vehicles


2.5 Average time to get to middle school Local investigation

2.6 Average time to get to medical facilities

Local investigation


61


Outcome

2.7 No. of person-months of rural population employed under the project


2.8 Ratio of employed women Project Progress Report



2.9 Annual average income of labors employed under the project


Output

1. Building a new expressway from Baoshan to Longling

1.1 A new expressway of 76.27 km was built, accounting for % of the total roads


1.2 Mileage of XX km of highways connecting expressways


1.3 No. and mileage of tunnels Project Progress Report1.4 No. and mileage of bridges Project Progress Report1.5 No. of overpasses Project Progress Report

1.6 No. of service areas Project Progress Report

2. Rebuilding 294km of local roads

2.1 No. and grade of rebuilt local roads Project Progress Report

2.2 Total km of rebuilt local roads Project Progress Report2.3 No. of villages connecting to rebuilt local roads


2.4 No. of people benefited from rebuilt local roads


3. Road maintenance equipment used, purchase & installation charge, communication and monitoring equipment

3.1 Types & quantity of maintenance equipment


3.2 No. of toll gates Project Progress Report

3.3 No. of vehicle weighing facilities Project Progress Report

3.4 Covered mileage of communication and monitoring systems



62


Output

4. Providing consulting services,such as, road construction, safety management, and monitoring and evaluation, to strengthen the capacity building of the project unit

4.1 No. of person-months of consulting experts


4.2 Contents of consulting service Project Progress Report

4.3 No. of person-months of overseas training


4.4 Contents of overseas training Project Progress Report

4.5 No. of person-months of domestic training


4.6 Contents of domestic training Project Progress Report


63

3.2 Water Supply and other Municipal Infrastructure and Services

Water supply and other municipal infrastructure and services sector covering the five subsectors as classified in ADB′s categorization of sectors and subsectors in 2009, includes water supply and sanitation, waste management, slum upgrading and housing, other municipal services, and urban sector development. In order to enhance the relevancy and viability of the indicator database, this manual screens and re-classifies the five subsectors as follows:

• Urban water supply (drinking water system, water price reform, etc.);• Urban sewage treatment (including industrial sewage, sewage management, and water price

reform);• Solid waste management (including garbage collection, waste transportation and health system); • Urban heat supply; • Urban water-environment management (including river basin development, wetland improvement,

drainage and flood prevention); and, • Rehabilitation and protection of cultural heritage

Of which, the contents of urban transports are included the indicator database for the transport sector.

Yearbooks and statistics reports on water supply and other municipal infrastructure and services sector include:

• China Urban Construction Statistics Annual Report;• China Health Statistics Yearbook; • China Tourism Statistics Yearbook;• China Environment Statistics Annual Report; and, • China Water Resources Bulletin; etc.


64

1. Urban water supply

Target Performance Indicators Data Sources

Impact Level

1. Meeting the needs for urban development to ensure water supply for living, production and other construction in urban areas

1.1 Newly increased no. of household water users (household) and people (10,000 persons)


1.2 Total vol. of water supply (10,000 cubic meters)


1.3 Vol. of water usage by households (10,000 cubic meters)


1.4 Total vol. of water for production and operational use (10,000 cubic meters)


1.5 Total vol. of water usage by public services (10,000 cubic meters)


1.6 Total vol. of water usage for daily living (10,000 cubic meters)


1.7 Total vol. of water for other purposes (10,000 cubic meters)


1.8 Per capita ownership of urban maintenance and construction fund (RMB)


2. Improving the life quality of residents to reduce the occurrence of water-born diseases

2.1 No. of annual water outage for residents

Statistics from urban tap water company

2.2 Time of annual water outage (minutes)


2.3 Person-times of residents sustaining water outage (person)


2.4 Person-times of visit to the outpatient department of the hospital for intestinal infectious disease (person)

Urban disease prevention and control center


65


Impact Level

2.5 No. of sudden events and persons involving drinking water born diseases


2.6 Economic loss from sudden events of drinking water born diseases (measured @ RMB10,000)


2.7 Per capita vol. of water for daily living (liter)


OutcomeLevel

1. Improving water supply capacity through developing and improving water sources and building and rebuilding water plants and water supply pipeline networks

1.1 Average water demand (10,000 cubic meters/day) and highest water demand (10,000 cubic meters/day)

Urban tap water company

1.2 Comprehensive production capacity (10,000 cubic meters/day)


1.3 Length of newly built and rebuilt water supply pipelines (km)


1.4 Coverage rate of water supply pipelines (%)


1.5 Proportion of water for household use in the total volume of water use (%)

Calculated from impact 1.2 and 1.3

1.6 Proportion of water for production and operational purposes in the total volume of water use (%)


1.7 Proportion of water use for public service in the total volume of water use (%)


1.8 Proportion of water use for other purposes in the total volume of water use (%)



66


OutcomeLevel

1.9 Per capita water for daily living use (liter)


2.Improving the quality of drinking water through improving and protecting water source, building new water treatment facilities and updating pipelines.

2.1 BOD in the water of water sourceUrban Bureau (Department) of Environmental Protection

2.2 COD in the water of water sourceUrban Bureau (Department) of Environmental Protection

2.3 Quantity of E. coli in the water of its source

Urban Bureau (Department) of Environmental Protection

2.4 Content of heavy metal in the water of its source


2.5 BOD in the water of pipeline networks


2.6 BOD in the water of pipeline networks


2.7 Quantity of E. coli in the water of pipeline networks


2.8 Content of free chlorine residuals in the water of pipeline networks


3.Improving the efficiency in water supply through building and rebuilding water plants and water supply pipelines

3.1 Water consumption rate (%)China Urban Construction Statistics Annual Report

3.2 Utilization rate of recyclable water resources (%)


3.3 Vol. of sold water (10,000 cubic meters)


3.4 Vol. of leaked and damaged water (10,000 tons) and loss rate (%)



67


OutcomeLevel

3.5 Power consumption by water plant due to water supply (KWH)


3.6 Comprehensive quality rate of water quality in plant water (%)


3.7 Comprehensive quality rate of water quality in pipeline network water (%)


4.Improving the efficiency in management and operation of the water supplying organization

4.1 Total industrial output value (measured@ RMB10,000) and growth (%)


4.2 Total profit (measured @ RMB10,000) and growth rate (%)


4.3 Fiscal subsidies (measured @ RMB10,000) and growth rate (%)


4.4 Employed people in organizations (10,000 persons)


4.5 Attainment rate of living drinking water (%)


4.6 Construction & operation of the water supply dispatch and monitoring system


4.7 Construction and operation of early warning, emergency response and handling information systems


5.1 No. of water householder users with the lowest income (households)


5.2 Average drinking water vol. of households with the lowest income (ton)



68


OutcomeLevel

5.Improving the water supplying conditions for poverty-stricken population in urban areas

5.3 Average drinking water expense of households with the lowest income (RMB)


5.4 Preferential policy on water charge subsidies for poverty-stricken households


6.Promoting the private sector′s participation in the construction and operation of urban water supply.

6.1 Water pricing mechanismUrban development and reform commission

6.2 Water price structure Urban development and reform commission

6.3 Total annual water supply of non-state tap water companies (10,000 tons)

Tap water company\Local investigation

6.4 Length of water supplying pipelines of non-state tap water companies (km)

Tap water company \Local investigation

6.5 Non-state investment (measured @ RMB10,000) and its proportion (%)

Tap water company \Local investigation


69

2. Urban sewage management

Targets Performance Indicators Data Sources

ImpactLevel

1.Improving urban environment to promote sustainable development

1.1 Vol. of industrial waste water discharge (10,000 tons) and standard vol. of industrial waste water discharge (10,000 tons)

China Environment Statistics Annual Report\XXProvincial Statistics Yearbook

1.2 Vol. of waster water discharge of key industrial enterprises (10,000 tons)

China Environment Statistics Annual Report

1.3 Vol. of industrial COD discharge (10,000) and vol. of removal (10,000 tons)


1.4 Total vol. of sewage discharge (10,000 cubic meters)


1.5 Attainment rate (%) of water quality in the function areas of surface water environment

Project Progress Report\report

1.6 Vol. of centralized treatment of Urban sewage (10,000 cubic meters)


1.7 Vol. of recycled utilization of Urban sewage (10,000 cubic meters)


1.8 Density of waste water discharge per RMB10,000 GDP (ton/RMB10,000 GDP)

Calculated from 1.4 and GDP

2.1 Per capita public green area (square meter)


2.2 Water quality standards for urban rivers


2.3 Hospital reported cases of choleraUrban disease prevention and control center


70


ImpactLevel

2. Improving the living conditions of urban residents and reducing the occurrence of water-born diseases

2.4 Hospital reported cases of typhoid fever


2.5 Hospital reported cases of snail fever Urban disease prevention and control center

2.6 Hospital reported cases of Hepatitis A


2.7 No. of water pollution accidentsChina Environment Statistics Annual Report

2.8 Direct economic loss from water pollution accidents (measured @ RMB10,000)


OutcomeLevel

1. Enhancingthe capacity in Urban sewage treatment

1.1 No. of urban sewage treatment plants and their capacity in sewage treatment (10,000 cubic meters/day)


1.2 Urban capacity in other sewage treatment and facilities (10,000 cubic meters/day) and vol. (10,000 cubic meters/day)


1.3 Rate (%) of application of full load of sewage collection equipment (%)


1.4 No. of residents benefited from sewage treatment service (person-times/Year)


1.5 Rate of centralized Urban sewage treatment (%)


1.6 Rate of recycled utilization of Urban sewage (%)



71


OutcomeLevel

2. Enhancing the efficiency and effectiveness in sewage treatment

2.1 Attainment rate of water discharge of sewage treatment plants (%)


2.2 Frequency of sewage overflows Project Progress Report

2.3 Recalling rate of solid sewage sludge (%)


2.4 Degradation rate of sewage sludge organics (%)


2.5 Biogas desulphurization rate (%) Project Progress Report

2.6 Sewage recalling rate Project Progress Report

2.7 Average concentration of in-coming and out-going water COD vol.


2.8 Average concentration of in-coming and out-going water ammonia nitrogen


2.9 Average concentration of in-coming and out-going water total phosphorus


2.10 Sewage treatment rate of urban living (%)


3. Enhancing the level of operation and management of sewage treatment organizations

3. Income from sewage treatment fees (measured @ RMB10,000)


3.2 Direct cost (measured @ RMB10,000)


3.3 Administrative overheads (measured @ RMB10,000)


3.4 Product sales cost (measured @ RMB10,000)



72


OutcomeLevel

3.5 Expense (measured @ RMB10,000) Project Progress Report

3.6 Total profit (RMB/ton) Project Progress Report

3.7 Unit cost of sewage treatment (RMB/ton)


3.8 Sum of government subsidy (measured @ RMB10,000)


3.9 Price of sewage treatment (RMB/ton) Project Progress Report

4. Promoting the private sector′s participation in the construction and management of Urban sewage treatment

4.1 Sum of investment of non-state and foreign funded enterprises in the construction of sewage treatment facilities (MEASURED @ RMB10,000)

Bureau\Department of Housing and Urban-rural Construction

4.2 Sewage treatment capacity of sewage treatment plants of non-state and foreign funded enterprises (ton/day)

Bureau\Department of Housing and Urban-rural Construction

4.3 Minimum standards for sewage treatment charge

Urban development and reform commission

4.4 Adjustment of the standards for sewage treatment charge



73

3. Urban waste management


ImpactLevel

1. Improving urban environment to promote urban sustainable development

1.1 Vol. of industrial solid waste generation (10,000 tons), proportion of hazardous waste (10,000 tons)


1.2 Vol. of comprehensive utilization of industrial solid waste (10,000 tons), proportion of hazardous waste (10,000 tons)


1.3 Inventory of industrial solid waste (10,000 tons), proportion of hazardous wastes (10,000 tons)


1.4 Vol. of disposal of industrial solid waste (10,000 tons), proportion of hazardous waste (10,000 tons)


1.5 Vol. of discharge of industrial solid wastes (10,000 tons), proportion of hazardous waste (10,000 tons)


1.6 Vol. of medical waste (10,000 tons) Urban Bureau (Department) of Environmental Protection

1.7 Vol. of centralized disposal of medical waste (10,000 tons)


1.8 Vol. domestic garbage generation (10,000 tons)


1.9 Vol. of domestic garbage clean-up (10,000 tons)


1.10 Actual investment in solid waste treatment (measured @ RMB10,000)



74


ImpactLevel

2. Improving the living and sanitary environment of urban residents

2.1 No. of collection spots of domestic garbage and vol. of simple treatment (10,000 tons)


2.2 No. of plants of hazardless domestic garbage treatment, such as, sanitary landfill, composting and burning


2.3 Vol. of manure clean-up (10,000 tons) and vol. of manure treatment (10,000 tons)


2.4 No. of city environment special vehicles (unit)


2.5 No. of public toilets & proportion of public flush toilets (%)


2.6 Area of road cleaning, proportion of mechanized cleaning (10,000 square km)


3. Improving urban environment to reduce diseases

3.1 Rate of incidence of pestis per 10,000 persons (person-times/10,000 persons)


3.2 Rate of incidence of cholera per 10,000 persons (person-times/10,000 persons)


3.3 No. of accidents of solid waste pollution (time)

XXProvincial Statistics Yearbook\Urban Bureau (Department) of Environmental Protection

3.4 Direct economic loss from the accidents of solid waste pollution (measured @ RMB10,000)

XXProvincial Statistics Yearbook\Urban Bureau (Department) of Environmental Protection


75


Outcome Level

1. Enhancing the capacity in Urban solid waste treatment

1.1 Rate of disposal of industrial solid waste

XXProvincial Statistics Yearbook\ XXProvindal Bureau (Department) of Environmental Protection

1.2 Capacity in hazardless treatment of domestic garbage (ton/day)


1.3 Vol. of hazardless treatment of domestic garbage, proportion of burning and landfill (ton/day)


1.4 Vol. of centralized treatment of domestic garbage (10,000 tons)


1.5 No. of domestic garbage transfer stations


1.6 No. of public toilets per 10,000 persons

XXProvincial Statistics Yearbook\China Environment Statistics Annual Report

2. Enhancing the utilization rate and hazardless treatment of solid waste

2.1 Rate of hazardless treatment of domestic garbage (%)


2.2 Proportion of sanitary landfill/composting/burning in the hazardless treatment of domestic garbage (%)


2.3 Quantity and capacity of composting grounds


2.4 Mortality rate of roundworms (%) and coliform bacteria value in composting


2.5 Vol. of smoke/ dust/CO1/nitrogen/SO2/ dioxins discharge



76


Outcome Level

2.6 Vol. of COD/BOD/total coliform bacteria value in the vol. of disposal of leachate in landfill grounds (10,000 tons)


2.7 Rate of manure treatment (%)China Urban Construction Statistics Annual Report

2.8 Rate of centralized treatment of medical waste (%)


3. Enhancing the level of operation and management of Urban solid waste treatment organizations

3.1 Operational expense (measured @ RMB10,000), proportion for medical treatment facilities (measured @ RMB10,000)


3.2 Total annual charge (measured @ RMB10,000)


3.3 Total annual power consumption (10,000 KWH)


3.4 Unit operational cost (measured @ RMB10,000)


3.5 Asset-liability ratio (%) Project Progress Report

3.6 Sum of government subsidies (measured @ RMB10,000)



77

4. Urban heat supply


Impact Level

1. Improving urban environment to reduce air pollution.

1.1 Air pollution indexes of the year Urban Bureau (Department) of Environmental Protection

1.2 No. of days with air quality reaching Grade II and better


1.3 Concentration of inhalable particles Urban Bureau (Department) of Environmental Protection

1.4 SO2 concentrationUrban Bureau (Department) of Environmental Protection

1.5 NO2 concentrationUrban Bureau (Department) of Environmental Protection

1.6 No. of atmospheric pollution accidents (time)


1.7 Direct economic loss from atmospheric pollution accidents (measured @ RMB10,000)


2. Improving the living conditions of the residents to enhance the level of their health.

2.1 Actual area of centralized heat supply, proportion of housing heat supply (10,000 square km)


2.2 Person-time of visit to the hospital′s out-patient department for respiratory infection


2.3 Hospital reported cases of lung cancer


2.4 Hospital reported cases of gas poisoning



78


OutcomeLevel

1. Enhancing the capacity in centralized supplying heat

1.1 Capacity of centralized steam heat supply, of which that of thermal power plants/boilers (ton/hour)


1.2 Capacity of centralized hot water heat supply, proportion of thermal power plants/boilers (ton/hour)


1.3 Length of pipelines for heat supply (km), proportion of pipelines for steam/hot water (km)


1.4 Total vol. of centralized steam heat supply, proportion of thermal power plants/boilers (10,000 gigajoules)


1.5 Total vol. of centralized hot water heat supply, proportion of thermal power plants/boilers (10,000 gigajoules)


1.6 Penetration rate of centralized heat supply (%)


2. Reducing waste gas discharge and strengthening environmental control

2.1 Total vol. of waste gas discharge by heat production and supplying industries


2.2 Vol. of SO2 discharge by heat production and supplying industries


2.3 Vol. of smoke dust discharge by heat production and supplying industries


2.4 No. of small boilers in outage XXProvincial Statistics Yearbook


79


OutcomeLevel

2.5 Operational expense for waste gas control facilities, of which that for desulphurization facilities (measured@ RMB10,000)


2.6 No. of sets of in-field monitoring instruments of waste gas pollutants (set)


3. Enhancing energy efficiency

3.1 The replacement ratio of centralized heat supply to coal heat supply

Local investigation

3.2 Coal consumption per square meter during heating period

Local investigation

3.3 Vol. coal consumption by heat production and supplying industries (10,000 tons)


3.4 Per capita consumption of domestic coal (ton/person)


4. Enhancing the level of management and operation of heat supplying organizations

4.1 Coal consumption for heat supply (10,000 tons)


4.2 Rate of energy conversion (%) Project Progress Report

4.3 Cost of heat supply per square meter (RMB/square meter)


4.4 Unit cost of operation (measured @ RMB10,000)


4.5 Frequency of pipeline damages (time/Year)


4.6 Average time of repair for pipeline damage (minute)


4.7 No. of staff (10,000 persons) Project Progress Report


80


OutcomeLevel

5. Improving the heat supplying conditions of poverty population

5.1 No. of households with the lowest income covered by centralized heat supply


5.2 Population with the lowest income covered by centralized heat supply (person)


5.3 Subsidy policy on heat supply for households with the lowest income



81

5. Urban water-environment management


ImpactLevel

1. Improving urban ecological environment to promote the coordinated and sustainable development between resources and economy

1.1 Attainment rate of water quality function areas of urban water environment (%)


1.2 No. of water bodies below category V


1.3 No. of nature reserves and area of nature reserves (10,000 has)


1.4 Ratio of area of reserves to the administrative region (%)


1.5 Type and quantity of fish and birdsUrban Bureau (Department) of Environmental Protection

1.6 Ratio of tertiary industry to GDP (%) China Urban Statistics Yearbook

1.7 No. of received tourists (10,000 persons)


1.8 Total operating income from tourism (measured @ RMB10,000)


2. Improving the health and living environment of urban residents

2.1 Area of urban greening, of which that of constructed area (ha) and greening coverage rate (%)


2.2 Area of urban greening in gardens and forest (ha), of which the constructed area (ha)


2.3 Area of public greening (ha) and area of per capita public greening (square meter), and the rate of greening in constructed areas (%)



82


ImpactLevel

2.4 No. and area of parks, and quantity of annual tourists (10,000 person-times)


2.5 No. of water environmental pollution incidents


2.6 No. of people affected by water environmental pollution incidents (person)


2.7 Direct economic loss from water environmental pollution incidents (measured @ RMB10,000)


Outcome Level

1. Improving the water quality in rivers and river basins

1.1 Vol. of removal of COD pollutants in industrial waste water (ton)


1.2 Vol. of removal of pollutants in industrial waste water, by newly increased facilities (ton)


1.3 Quantity of E. coliUrban Bureau (Department) of Environmental Protection

1.4 Content of heavy metalUrban Bureau (Department) of Environmental Protection

1.5 Average concentration of total nitrogen


1.6 Average concentration of total phosphorus


1.7 No. and area of occurrence of cyonophyta



83


Outcome Level

2. Improving the urban water environment system to enhance water usage efficiency

2.1 Vol. of planned water consumption, proportion of industrial planned water consumption (cubic meter)


2.2 Vol. of repeated water utilization, proportion of industrial repeated water utilization (cubic meter)


2.3 Actual vol. of water consumption, proportion of industrial water consumption (10,000 cubic meters)


2.4 Vol. of saved water, of which that of industrial saved water (10,000 cubic meters)


2.5 Area of artificial wetland (ha) XXProvincial Statistics Yearbook

2.6 Area of nature reserves 1,000 has XXProvincial Statistics Yearbook

2.7 Newly increased rainwater storage equipment (unit)


3. Enhancing the urban capacity in drainage and flood control

3.1 Length of urban pipelines (km) China Urban Construction Statistics Yearbook

3.2 Density of drainage pipelines (km/square km)

China Urban Construction Statistics Yearbook

3.3 Frequency in storm disasters (time/Year)



84


Outcome Level

3.4 Direct economic loss from storm disasters (measured @ RMB10,000)


3.5 No. of landslides Urban Bureau (Department) of Environmental Protection

3.6 No. of mud-rock flowsUrban Bureau (Department) of Environmental Protection

3.7 Area of landside and mud-rock controls (square meter)


3.8 Urban flood prevention standards Urban Bureau (Department) of Environmental Protection

4. Promoting the scientific management and rational allocation of water resources

4.1 Construction and operation of water resources management information systems

Bureau (Department) of Housing and Urban-Rural Construction

4.2 Construction and operation of flood control early warning systems


4.3 State investment in water environment control (measured@ RMB10,000) and growth (%)


4.4 Investment by non-state enterprises in water environment control (measured @ RMB10,000) and growth (%)


4.5 Water pricing mechanism and classified water price policy



85

6. Restoration and protection of cultural heritage


Impact Level

1. Promoting urban economic development to enhance the level of material and cultural life of the residents

1.1 Per capita GDP (RMB/Year) and growth rate (%)


1.2 Ratio of tertiary industry to GDP (%) XXProvincial Statistics Yearbook

1.3 Per capita urban residents’ disposal income (RMB/Year)


1.4 Per capital urban residents’ consumption expenditure (RMB/Year)


1.5 Per capita urban residents’ consumption expenditure for culture and recreation (RMB/Year)


1.6 Area of newly built housing (square meter)


1.7 Urban employment rate XXProvincial Statistics Yearbook

2. Promoting the sustainable development of tourism

2.1 No. of travel services companies China Tourism Statistics Yearbook\ XXProvincial Statistics Yearbook

2.2 No. of people employed in travel services companies (person)

China Tourism Statistics Yearbook\ XXProvincial Statistics Yearbook

2.3 No. of received border entry tourists (10,000 person-times), proportion of foreign tourists (10,000 person-times)


2.4 Tourism income (measured @ RMB10,000), proportion of overseas travel (forex) (US$)/domestic travel (measured @ RMB10,000)


2.5 No. of family businesses engaging in travel service

Local investigation


86


Outcome Level

1. Protection of cultural heritage

1.1 No. of cultural relics protection zones China Cultural Relics Statistics Yearbook

1.2 Area of cultural relics protection zones (square meter)

China Cultural Relics Statistics Yearbook

1.3 No. of cultural relics warehousesChina Cultural Relics Statistics Yearbook

1.4 Area of cultural relics warehouses (square meter)


1.5 No. of cultural relics collections (piece/volume)


1.6 Actual investment in cultural heritage restoration each year (measured @ RMB10,000) and growth (%), proportion of non-governmental sources (measured @ RMB10,000) and growth (%)


1.7 Actual investment in protecting cultural heritage each year (such as, equipment) (measured @ RMB10,000) and growth (%), proportion of non-governmental sources (measured @ RMB10,000) and growth (%)


2. Protection of nature heritage

2.1 No. of nature heritage sites China Cultural Relics Statistics Yearbook

2.2 Area of nature heritage sites (square meter)


2.3 No. of nature heritage protection management organizations



87


Outcome Level

2.4 No. of people employed by nature heritage protection management organizations (person)


2.5 Daily average of floating particles in environmental air of protection zones


2.6 PH level of protection zones Urban Bureau (Department) of Environmental Protection

2.7 Content of floating substances in protection zones


2.8 Average level of environmental noise in protection zones


3. Urban reconstruction and infrastructure improvement

3.1 Density of road networks, proportion of road networks in constructed areas (km/square meter)


3.2 Per capita area of paved roads (square meter)


3.3 Total population (10,000 persons) and population density (person/square km)


3.4 Water consumption population (10,000 persons) and water consumption penetration rate (%)


3.5 Area of centralized heat supply (10,000 square meters)


3.6 Gas consumption population (10,000 persons) and gas penetration rate (%)



88


Outcome Level

3.7 Per capita area of public greening (square meter)


3.8 Density of urban pipelines (km/square meter)


3.9 Frequency in storm disasters (time/year) and economic losses caused (measured @ RMB10,000)


3.10 Newly increased daily capacity in Urban sewage treatment (ton/day)


3.11 Newly increased area of flood control prevention zones (km)


4. Enhancement of the

4.1 No. of people for training in comprehensive planning (person)


4.2 No. of people for training in economic analysis (person)


4.3 No. of people for training in state-privately run company management (person)


4.4 Measures for cultural relics protection Project Progress Report

4.5 Measures for nature heritage protection


4.6 Requirements for repairing the plan for cultural relics protection


4.7 Sum of investment by private enterprises in participating the protection and development of cultural heritage (measured @ RMB10,000)



89


Outcome Level

4.8 Sum of investment by private enterprises in participating the protection and development of nature heritage (measured @ RMB10,000)


4.9 No. of open protection zones Project Progress Report

4.10 No. of full-time care staff (persons) Project Progress Report

4.11 Upgrading of flood control equipment


5. Enhancement of the capacity in managing sustainable tourism

5.1 No. of people for training in tourism development and management (persons)


5.2 Construction and operation of tourism management systems


5.3 Construction and operation of tourism information service systems


5.4 No. of events where tourists are in breach of regulations in protection zones (person-time)


5.5 No. of tourist accidents (person-time) Project Progress Report

5.6 Economic loss from tourist (measured @RMB10,000)



90

Case Study of Urban Development Project— Xinjiang Urban infrastructure and Environment Improvement Project

The Xinjiang Urban infrastructure and Environment Improvement Project benefiting three border cities and areas – Yining City, Ala Mountain Openings’ port city and the Kanas Resort area, includes Urban roads, water supply, heating supply, sewage treatment, waste management, ecological rehabilitation and protection, and organizational capacity building. Infrastructure construction such as, Urban roads, water supply and heating supply is the needs not only for urban development, but also for improving the living conditions of urban residents; the sub-project construction for sewage treatment, waste management and ecological rehabilitation and protection will play a proactive and boosting role in improving the urban environment; and the project constructions will also promote the growth of cross-border trade of the Ala Mountain Openings’ port city and the tourism development of the Kanas resort area.

The investment of the project totals US$191 million, of which US$100 million is ADB loans.


Impact

1. Accelerating the social and economic development through foreign trade and tourism

1.1 Per capita GDP (RMB/Year) and growth rate (%)


1.2 Total industrial output value (measured @ RMB10,000)


1.3 Ratio of tertiary industry to GDP (%) China Urban Statistics Yearbook

1.4 Sum of attracted investment (measured @ RMB10,000), proportion of foreign investment (measured @ RMB10,000)

Xinjiang Autonomous Region Statistics Yearbook

1.5 Total value of foreign trade import and export, proportion of import and export (US$1,000)


1.6 No. of border-exit-entry tourists (10,000 person-times), proportion of foreign tourists (10,000 person-times)



91


Impact

1.7 Tourism income (measured @ RMB10,000), proportion of overseas tours (forex) (US$)/proportion of domestic tours (measured @ RMB10,000)


2. Accelerating urban infrastructure construction to improve the living conditions of urban residents

2.1 Road lengthening (km)

China Urban Construction Statistics Annual Report\Xinjiang Autonomous Region Statistics Yearbook

2.2 Water supply capacity (ton/day) China Urban Construction Statistics Annual Report

2.3 Capacity in centralized heat supply, steam (ton/hour)/hot water (MW) supply.


2.4 Capacity in Urban centralized sewage treatment (ton/day and treatment rate (%)


2.5 Capacity in the hazardless treatment of domestic garbage (ton/day) and treatment rate (%)


2.6 Area of greening and area of per capita public greening (square meter)


2.7 Per capita urban construction fund (RMB)


3. Improvement of urban environment

3.1 Air pollution indexes of the yearXinjiang Urban Bureau (Department) of Environmental Protection

3.2 No. of days with air quality reaching to Category II and better (rate of attainment in atmospheric air quality)

Xinajiang Urban Bureau (Department) of Environmental Protection

3.3 Concentration of inhalable particles Urban Bureau (Department) of Environmental Protection


92


Impact

3.4 SO2 concentration Urban Bureau (Department) of Environmental Protection

3.5 NO2 concentration Urban Bureau (Department) of Environmental Protection

Outcome

1. Improvement of urban traffic

1.1 Average time of vehicles passing through urban areas (minute)

Urban Public Transport Management Bureau (Department)

1.2 Average time of congestion of vehicles running through urban areas (minutes)


1.3 Average vehicle speed on main roads/sub-main roads of urban areas (km/hour)


1.4 Average time of going to/from work (minute)


1.5 Newly increased no. of public transports (unit)


1.6 No. of public transport vehicles per 10,000 people (standard unit)


1.7 Per capita area of urban roads (square meter)


1.8 No. of newly built urban bridges (unit)China Urban Construction Statistics Annual Report

1.9 No. of newly built urban street lamps China Urban Construction Statistics Annual Report

2.1 Water use penetration rate (%)China Urban Construction Statistics Annual Report


93


Outcome

2. Enhancement of urban infrastructure

2.2 Per capita vol. of daily water consumption (liter)


2.3 Length of water supplying pipelines (km)


2.4 Gas penetration rate (%) China Urban Construction Statistics Annual Report

2.5 Actual area of centralized heat supply (10,000 square km)


2.6 Capacity in centralized heat supply, proportion of steam (ton/hour)/hot water (MW) supply


2.7 Length of heat supplying pipelines (km), proportion of steam/hot water(km)


2.8 Total vol. of centralized heat supply, proportion of steam/hot water (10,000 gigajoules)


2.9 Capacity in Urban centralized sewage treatment (ton/day)


2.10 Treatment rate of Urban centralized sewage treatment (%)


2.11 Attainment rate in water discharge of sewage treatment plants (%)


2.12 Capacity in hazardless treatment of domestic garbage (ton/day)





94


Outcome

2.14 Ratio of public flush toilets (%)China Urban Construction Statistics Annual Report

3. Constant rehabilitation and protection of eco-environment

3.1 Per capita housing gross area (square meter/person)


3.2 Per capita area of paved road (square meter/person)


3.3 Per capita area of public greening (square meter/person)


3.4 Greening rate of constructed areas (%)


3.5 Covered area of greening (ha) China Urban Construction Statistics Annual Report

3.7 Covered area of greening in constructed areas (%)


Outputs

1. Changes in roads, water supply, heat supply, sewage treatment, health and other Urban facilities in Yining′s urban areas

1.1 Mileage of main roads (km) Project Progress Report

1.2 Mileage of sub-main roads (km) Project Progress Report

1.3 Length of water supply pipelines (km) and capacity in water supply production (ton/day)


1.4 Length of heat supply pipelines (km) and heat supply capacity in steam (ton/hour)/hot water (MW)


1.5 Length of drainage pipelines (km) Project Progress Report

1.6 Length of sewage pipelines (km) and sewage treatment rate (%)


1.7 Vol. of recycled utilization of sewage (10,000 cubic meter)



95


Outputs

1.8 Area of road cleaning (10,000 square meters)




1.10 No. of public toilets, of proportion of public flush toilets (unit)


2. Alashankou Port′s Urban roads, water supply, sewage treatment, heat supply, health and ecological rehabilitation and protection facilities

2.1 Length of main roads (km) Project Progress Report

2.2 Length of sub-main roads (km) Project Progress Report

2.3 Length of water supply pipelines (km) and capacity in water supply production (ton/day)


2.4 Length of heat supply pipelines (km) and heat supply capacity in team (ton/hour)/hot water (MW)




2.6 Vol. of recycled utilization of sewage (10,000 cubic meters)


2.7 Area of road cleaning (10,000 square meters)




2.9 Rate of manure treatment (%) Project Progress Report

2.10 No. of public toilets, of which that of public flush toilets (unit)


2.11 Area of public parks (has) Project Progress Report


96


Outputs

2.12 Area of greening in urban gardens and forests (has)


2.13 Covered area of greening in constructed areas (has)


3. Kanas scenic spot′s roads, parking lots, water supply, sewage treatment, solid waste collection and treatment faculties, and vegetation rehabilitation

3.1 Mileage of newly built roads (km) Project Progress Report

3.2 No. and size of newly built parking lots


3.3 Length of water supply pipelines (km) and water supply capacity (ton/day)


3.4 Length of heat supply pipelines (km) and heat supply capacity in steam (ton/hour)/hot water (MW)




3.6 Area of road cleaning (10.000 square meters)




3.8 Rate of manure treatment (%) Project Progress Report

3.9 No. of public toilets, proportion of public flush toilets (unit)


3.10 Area of gardens and forests in constructed areas (ha)


3.11 Covered area of greening in constructed areas (ha)


4.1 Person-months of services of consulting experts



97


Outputs

4. Enhancing the capacity in organizational project management, financial management, and institutional building

4.2 Contents of consulting services Project Progress Report

4.3 Person-months of overseas training Project Progress Report

4.4 Contents of overseas training Project Progress Report

4.5 Person-months of domestic training Project Progress Report

4.6 Contents of domestic training Project Progress Report

4.7 Construction and operation of urban management system


4.8 No. of people for training in tourism development and management (person)



98

3.3 Agriculture and natural resources sector

The agriculture and natural resources sector covers the eight subsectors as classified in ADB′s categorization of sectors and subsectors in 2009, including agricultural production and market, irrigation, drainage and flood prevention, fisheries, livestock, land-based natural resources management, water-based natural resources management, and agricultural and rural sector development. The agricultural production and market is further divided into high-value agricultural crop production, agricultural crop diversification, agricultural crop market infrastructure, agricultural produce processing and agriculturally integrated enterprises; the land-based and water-based natural resources management subsectors are divided into water system development and protection, wetland bio-diversity, sustainable land use, bio-diversity and integrated ecological management, and dry land pasture development; the irrigation, drainage and flood prevention subsectors are divided into surface and underground water irrigation, irrigation system management, land improvement, and flood prevention and riverbank protection; the agricultural and rural sector development subsectors are divided into rural infrastructure, agricultural enterprises development, expanding farmers’ employment opportunities, and rural sector development.

The yearbooks and statistic reports on the agriculture and natural resources sector include:

• China Agricultural Statistics Yearbook• China Labor Statistics Yearbook• China Agricultural Produce Processing Industry Yearbook• China Agricultural Produce Price Investigation Yearbook• China Village and Township Enterprise and Agricultural Produce Processing Industry Yearbook• China Rural Poverty Monitoring Report etc.


99

1. Agricultural production and markets


ImpactLevel

1. Promoting agricultural sustainable development

1.1 Total agricultural output value (measured @ RMB10,000) and growth (%)

XXProvincial Statistics Yearbook\China Agricultural Statistics Yearbook

1.2 Agricultural value added (measured @ RMB10,000) and growth (%), and per capita agricultural value added (RMB)


1.3 Rural fixed asset investment (measured @ RMB10,000) and growth (%)


1.4 Ratio of rural fixed asset investment to total investment (%)


1.5 Investment in rural water irrigation construction projects (measured @ RMB10,000) and growth (%)


1.6 Ratio of Investment in rural water irrigation construction projects (measured @ RMB10,000) to rural fixed asset investment (%)


2. Improving the liaisons between production operators and the market

2.1 Vol. of major agricultural produce (10,000 tons) and growth (%)

China Agricultural Statistics Yearbook\Local investigation

2.2 Sales vol. of major agricultural produce (10,000 tons) and growth (%)


2.3 Ratio of Sales vol. of major agricultural produce to total production (%)



100


ImpactLevel

2.4 Total sales of major agricultural produce (10,000 tons) and growth (%)


2.5 Sales ratio of major agricultural produce (%)


3. Improving investment in science and technology and increasing agriculture-related employment opportunities

3.1 No. of employed in agricultural fieldXXProvincial Labor Statistics Yearbook\China Labor Statistics Yearbook

3.2 Training of farmers in science and technology (time/year)

XXProvincial Labor Statistics Yearbook\China Labor Statistics Yearbook

3.3 No. of farmers undergoing training in science and technology (person-time/year)


3.4 No. of farmers employed after training in science and technology (person/year)


3.5 No. of females among farmers employed after training in science and technology (person/year)


4. Improvement of rural living standards, reduction of poverty-stricken population, and slowdown in the expansion of urban and rural disparities

4.1 Per capita net income of rural households (RMB/Year) and growth (%)


4.2 Rural Engel coefficient (%)XXProvincial Statistics Yearbook\China Agricultural Statistics Yearbook

4.3 Rural poverty head-count rate (%) China Rural Poverty Monitoring Report

4.4 Per capita disposable income of urban households (RMB/Year) and growth (%)



101


ImpactLevel

4.5 Income ratio of urban to rural residents (%)

Ratio of 4.4 to 4.1

Outcome Level

1. Proactive progress in improving agricultural production conditions, enhancing the quality of agricultural produces, increasing the efficiency in agricultural production and adjusting agricultural economic structure

1.1 Area of improved fields of medium-and-low production (ha)


1.2 Unit area of agriculturalXXProvincial Statistics Yearbook\China Agricultural Statistics Yearbook

produces production of (kg/ha) and growth (%)

1.3 Quantity of seeds and seedlings (kg, plant) and growth (%)


1.4 Coverage rate of quality seeds (%) Project Progress Report

1.5 Total power of agricultural machinery (KW) and growth (%) / increased ratio of agricultural machinery operating area to the total area (%)


1.6 Vol. of chemical fertilizer used per ha of cultivated land (kg) and growth (%)


1.7 Decreased vol. of chemical fertilizer used per ha of cultivated land (kg) and growth (%)


1.8 Ratios of agricultural and non-agricultural income to total rural economic income, respectively (%)



102


Outcome Level

2. Improving market information and circulation systems to enhance agricultural additional values

2.1 No. of rural households using regional agricultural information networks for market liaisons (person)

Statistics on the traffic of visit to agricultural information network\Local investigation

2.2 Reduced time of transporting rural household produced agricultural produces to nearby trade fairs (hour)

Local investigation

2.3 Per capital sales of major agricultural produces (kg)

China Agricultural Statistics Yearbook

2.4 Increase (ton) in processing agricultural produces production and growth (%)

China Agricultural Produce Processing Industry Yearbook

2.5 Market share (%) of agricultural produces of the project

Statistic data on investigation of agricultural produce trade fairs

2.6 Magnitude of fluctuations in market prices of agricultural produces (%)

China Agricultural Produce Price Investigation Yearbook

2.7 Per capital ownership of grain, cotton, oil crops and sugar crops (kg)


3. Realizing diverse planting of agricultural crops and adjusting agricultural structure

3.1 Planting area (ha) of grain crops such as, rice, corn and wheat, and economic crops such as, oil crops, vegetables and fruits and growth (%)


3.2 Production (ton) of crops such as, rice, corn and wheat, and economic crops such as, oil crops, vegetables and fruits and growth (%)



103


Outcome Level

3.3 Comparison in unit area yields between planting high-value crops and planting general crops

Local investigation

3.4 Planting area (ha) of greenhouses and growth (%)


3.5 Planting area (ha) of fine breeds of grain crops such as, fine rice, corn and wheat and growth (%)


3.6 Ratio of planting area (ha) of fine breeds of grain crops such as, fine rice, corn and wheat (%)


4. Boosting industrialized operation to promote comprehensive agricultural development

4.1 No. of employees in similar leading enterprises (such as, breeding industry, market and processing) (person) and growth (%)

China Agriculture Yearbook\China Village and Township Enterprise and Agricultural Produce Processing Industry Yearbook

4.2 No. of rural households driven by leading enterprises (household)


4.3 Area of production bases owned or signed up by leading enterprises (ha)


5. Conducting the construction of social service systems and cooperative organizations

5.1 No. of social service organizations such as, agricultural produce quality inspection centers and county-level agricultural technology dissemination centers and no. of staff


5.2 Increase in the no. of guidance given by agricultural technology staff in rural areas (time, %)

Local investigation


104


Outcome Level

5.3 Increase in the ratio of rural households receiving social services such as agricultural technology dissemination (%)

Local investigation

5.4 No. of economic cooperative organizations, and increase (%) in the degree of even distribution


5.5 Increase (%) in the ratio of rural households joining economic cooperative organizations such as, professional associations and co-ops

Local investigation\Monitoring and evaluation report

6. Promoting agricultural development to increase formers’ income

6.1 No. of employment opportunities in agricultural planting, processing and circulation of the project


6.2 No. of rural households participating in the project, proportion in demonstration spots


6.3 Per capita net income of rural households (RMB/Year) and growth (%)


6.4 Ratio of rural household income from agriculture (%) and the ratio of transfer income (%)



105

2. Irrigation, drainage and flood prevention


Impact Leve

1. Guaranteeing the stable growth of national economy to promote sustainable social development

1.1 Regional GDP (measured @ RMB10,000) and growth (%)

China Statistics Yearbook\XXProvincial Statistics Yearbook

1.2 Per capita agricultural value added (measured @ RMB10,000) and growth (%)

China Agricultural Statistics Yearbook\XXProvincial Statistics Yearbook

1.3 Investment (measured @ RMB10,000) in water conservancy construction such as, flood control, irrigation, waterlogging, water supply and ecology and growth (%)

China Water Conservancy Yearbook\XXProvincial Statistics Yearbook

1.4 Investment (measured @ RMB10,000) in newly built, expanded or rebuilt water conservancy infrastructure and growth (%)

China Water Conservancy Yearbook\XXProvincial Statistics Yearbook

1.5 Investment (measured @ RMB10,000) in water conservancy construction by government, enterprises, individuals and through foreign capital utilization and growth (%)


1.6 Investment (measured @ RMB10,000) in rural water conservancy construction projects and growth (%)


2. Improving the management of flooded areas to reduce the impact of natural disasters

2.1 Casualties (person) from flood disasters and year-on-year increase or decrease (%)

China Civil Affair Statistics Yearbook\XXProvincial Statistics Yearbook

2.2 Economic loss from flood disasters (RMB, %)

Local government disaster reports\China Civil Affair Statistics Yearbook


106


Impact Leve

3.Reducing disaster-induced poverty

3.1 Per capita net income of rural residents (RMB/Year) and growth (%)


3.2 Per capita disposal income of urban residents (RMG/Year) and growth (%)


3.3 Ratio of income of urban to that of rural residents (%)

Ratio of 3.1 to 3.2

3.4 Rural poverty head-count rate (%)China Rural Poverty Monitoring Report

3.4 Rural Engel coefficient (%) XXProvincial Statistics Yearbook

Outcome Level

1. Improvement in the irrigation system and water resources utilization

1.1 Capacity of reservoir (10,000 cubic meters) and growth (%)

China Water Conservancy Yearbook

1.2 Efffective irrigated area, effective actual irrigated area of farmland, irrigated area of farmland ensuring stable yields despite drought or excessive rain (ha) and growth (%)


1.3 Area of electromechanical and pumping irrigation (ha) and growth (%)


1.4 Water saving irrigated area (ha), such as, sprinkling and drip irrigation micro irrigation, low pressure pipe irrigation, canal seepage control, and growth (%)


1.5 Length (km) of newly increased drainage facilities such as, ditches and canals (km)



107


Outcome Level

1.6 Installed capacity of power supply (KW) and installed capacity of drainage and irrigation (KW)


1.7 Area of electromechanical drainage and irrigation (ha) and growth (%)


2. Land improvement and increase in agricultural production

2.1 Area (ha) of alkali harnessing China Rural Statistics Yearbook

2.2 Area (ha) of waterlogging control and improved waterlogging control and growth (%)


2.3 Area (ha) of water and soil loss control and growth (%)


2.4 Controlled area of water and soil losses, newly increased horizontal terraced fields/ditch dam/silt land/annual planting of forest for soil and water conservation/grass planting (ha)


2.5 Production (ton) of and increase (%) in various agricultural produces


3. Construction of flood control facilities and reduced occurrence of flood disasters

3.1 Settlement of immigrants (person) and their satisfaction (%) with income and living


3.2 Length of embankment (km) and newly increased length of standard embankment (km)

XXProvincial Statistics Yearbook\China Water Conservancy Yearbook

3.3 Area of cultivated land protected by embankment (ha) and protected population (10,000 persons)



108


Outcome Level

3.4 Frequency in the occurrence of drought/flood (time/year)


3.5 Flood affected area (ha) and flood affecting rate (%)


3.6 Flood inundated area (ha) and inundation rate (%)


3.7 Ratio of flood affected area to flood inundated area (%)


4. Promoting the sustainable utilization of water resources in relevant regions

4.1 Determined water rate standards (RMB/cubic meter) and water charge collection rate (%)


4.2 Ratio of water charge income to the project′s operational outlays (%)


4.3 No. of water users associations Project Progress Report

4.4 Ratio of rural households participating in the association to total water rural household users (%)


4.5 Ratio of water conservancy facilities brought into the conventional management and maintenance of the water users association to total water conservancy facilities (%)



109

3. Fisheries


Impact Level

1. Sustainable development of fishery resources and natural environment

1.1 Total fishery output value (measured @ RMB10,000) and growth (%)


1.2 Fishery value added (measured@ RMB10,000) and growth (%)


1.3 Original value of fishery fixed assets/fishery machinery fixed assets owned by rural residents (RMB/Household)


1.4 Water quality standards for rivers, lakes and sea.

Local Bureau (Department) of Environmental Protection \environmental monitoring center

2. Improvement in local economic and social conditions

2.1 Per capita net income (RMB/Year) and growth (%) of rural households and growth (%)


2.2 Per capita disposable income of urban households (RMB/Year) and growth (%)


2.3 Ratio of income of urban to rural residents (%)

Ratio of 2.2 to 2.1


Outcome Level

1.1 Total area of aquiculture (ha) and total production of aquiculture (ton)



110


Outcome Level

1. Forming the sustainable capacity in fishery production and aquatic product processing

1.2 Area of inland breeding, such as, lakes, reservoirs, ponds, rivers and paddy fields (ha) and area of enclosure and fish farms (square meter), and fish farming (cubic water body)


1.3 Inland breeding vol. of fish, crustaceans, shellfish and algae (ton)


1.4 Area of mariculture of fish, crustaceans, shellfish and algae (ha)


1.5 Production (ton) of shallow sea, tidal-flat and ground-based mariculture, proportion of deep sea cage, common cage and fish farming (ton)


1.6 No. of aquatic breeds and growth (%)XXProvincial Statistics Yearbook\China Agricultural Statistics Yearbook

2. Constantly meeting the market needs

2.1 Quantity of ownership (unit) of fishing boats (excluding those for ocean-going fishing) and growth (%)

China Agricultural Statistics Yearbook\China Fisheries Yearbook

2.2 Total vol. (ton) of aquatic products processing that meet food safety standards

China Fisheries Yearbook

2.3 Total vol. (ton/day) refrigeration of aquatic products

China Fisheries Yearbook

2.4 Shortened time (hour) of transportation of fished aquatic products (including processed ones) to the market



111


Outcome Level

2.5 Per capita ownership (kg) of aquatic products and growth (%)


3. ProtectingFishery resources and strengthening environmental management

3.1 Water area (ha) with cluster operations


3.2 Breeding quantity of fishery categories under key protection


3.3 Closed fishing season of the year (day)


3.4 Closed fishing area for the year (ha) Project Progress Report

3.5 Vol. and content of discharge of COD, NH4, etc. (ton, %)


4. Actively developing fisheries to promote the enhancement of fishermen′s income

4.1 No. of employment opportunities generated from the project′s mariculture, fishing and processing


4.2 No. of fishermen participating in the project, proportion in demonstration spots


4.3 Per capita net income (RMB/Year) of fishermen and growth (%)


4.4 Ratio (%) of fishermen′s income to household business income


4.5 Ratio (%) of fishermen′s income to per capita net income



112

4. Forestry


Impact Level

1. Sustainable development of forest resources and natural environment

1.1 Total forestry output value (measured @ RMB10,000) and growth (%)


1.2 Forestry value added (measured @ RMB10,000) and growth (%)


1.3 Area (ha) of forest and forest coverage (%)

XXProvincial Statistics Yearbook\China Forestry Yearbook

1.4 Original value (measured @ RMB10,000) of forestry fixed assets/forestry machinery fixed assets owned by rural residents


1.5 Decrease (%) in the composite air pollution index


1.6 Total investment (measured @ RMB10,000) in forestry construction and growth (%), proportion from the state (measured @ RMB10,000)

XXProvincial Statistics Yearbook\China Forestry Yearbook

1.7 Total investment (measured @ RMB10,000) in the conversion of farmland to forest and growth (%) , proportion from the state (measured @ RMB10,000)


2.1 Per capita net income (RMB/year) of rural resident and growth (%)



113


Impact Level

2. Improvement in local economic and social conditions

2.2 Per capita disposable income (RMB/Year) of urban residents and growth (%)



Ratio of 2.1 to 2.2


Outcome Level

1. Forming the sustainable capacity in forestry production and product processing

1.1 Area (ha) of forest land for converting farmland to forest and reforming low-production-and-efficiency forest


1.2 Total area (ha) of forestation, proportion of timber forest (including fast-growing high-yield forest), proportion of economic forest, proportion of shelter forest and proportion of special purpose forest)


1.3 Seeding area (ha, %) China Agriculture Yearbook\China Forestry Yearbook

1.4 Area (ha) of young forest and area (ha) of grown-up forest

China Agriculture Yearbook\China Forestry Yearbook

1.5 Production (ton) of nursery stock (10,000 young trees) and growth (%)


1.6 Production (ton) of major forest products and growth (%)



114


Outcome Level

1.7 Production (10,000 cubic meters, 10,000 pieces, ton) of major forest industrial products reaching environmental quality standards and growth (%)


2. Protecting forest resources and strengthening environmental management

2.1 Area (ha) of forest zones implementing felling plans


2.2 No. and area (ha) of nature reserves for things like wild animals and plants


2.3 No. and area (ha) of zones where hunting and felling are banned


2.4 Rate of soil and water conservation in forest zones (%)


2.5 Vol. of discharge/content (ton) of total floating substances, SO2 and NO2


3. Promoting the income improvement for forestry households through forestry development

3.1 No. of employment opportunities in forestation and processing generated from the project


3.2 No. of forestry households participating in the project, proportion of those in demonstration spots


3.3 Per capita net income (RMB) of forestry households and growth (%)


3.4 Ratio (%) of forestry income (RMB) to household business income



115


Outcome Level

3.5 Ratio (%) of forestry income to per capita net income


4. Constantly meeting the market needs

4.1 Production (ton) of major forest products and growth (%)

XXProvincial Statistics Yearbook\China Forestry Statistics Yearbook

4.2 Production (10,000 cubic meters, 10,000 pieces, ton) of major forest industrial products reaching environmental quality standards and growth (%)

XXProvincial Statistics Yearbook\China Forestry Statistics Yearbook

4.3 Vol. of nursery stock and forest product reserve (ton) and growth (%)

Project Progress Report\Local investigation

4.4 Shortened time (hour) of transportation of forest products to the market



116

5. Livestock husbandry


Impact Level

1. Promoting the sustainable livestock husbandry development

1.1 Total livestock husbandry output value (measured @ RMB10,000) and growth (%)


1.2 Livestock husbandry value added (measured@ RMB10,000) and growth (%)


1.3 Original value (RMB/household) of livestock husbandry fixed assets/ livestock husbandry housing and buildings fixed assets/ livestock husbandry products fixed assets owned by rural residents


1.4 Investment (MEASURED @ RMB10,000) in livestock husbandry construction fixed assets and growth (%)


2. Improving the connections of small farmers with the market and enhancing the safety in livestock products

2.1 Content (%) of residues of Clenbuterol, sulfa drug and diethylstilbestrol

Ministry of Agriculture′s results of routine monitoring of quality and safety in agricultural produces

2.2 Commodity rate (%) of major livestock products


2.3 Trade fair market price index (%) of major livestock products


3.1 Rural Engel′s coefficient (%) XXProvincial Statistics Yearbook\China Agricultural Statistics Yearbook


117


3. Improving rural living standards to reduce poverty among herdsmen

3.2 Per capita net income (RMB/Year) of rural residents and growth (%)


3.3 Per capita disposable income (RMB/of urban residents and growth (%)


3.4 Ratio (%) of income of urban to rural residents

Ratio of 3.3 to 3.2

3.5 Rural poverty head-count rate (%)China Rural Poverty Monitoring Report

Outcome Level

1. Enhancing feedstuff usage efficiency and improving the pasture′s production conditions

1.1 Improved area (ha) of natural grassland and improved area of (ha of artificial grassland


1.2 Planting area (ha) of green fodder and growth (%)

China Animal husbandry Industry Yearbook

1.3 Total production (ton) of fodder and growth (%)


1.4 Self-supply ratio of silage (especially for winter)


1.5 No. of days with air quality reaching Category II and above (days)

XX Provincial Bureau (Department) of Environmental Protection

1.6 Concentration (mg/m3) of inhalable particles

XX Provincial Bureau (Department) of Environmental Protection

2.1 No. of introduced populations of fine livestock and coverage (%) of fine


2.2 No. of livestock, proportion of productive female pigs and cows

China Agricultural Statistics Yearbook\China Animal husbandry Industry Yearbook


118


Outcome Level

2. Improving livestock varieties to enhance the level of livestock husbandry production

2.3 Birth rate (%) of livestock babies and pre-ablactation weight (kg)


2.4 Mortality rate and elimination rate (%) of livestock grown-ups, and carcass weight (kg)


2.5 Fodder conversion rate (%) Project Progress Report

2.6 No. of fattening livestock China Agricultural Statistics Yearbook\China Animal husbandry Industry Yearbook

2.7 Production (kg) of meat, egg or dairy products and growth (%)

China Agricultural Statistics Yearbook\China Animal husbandry Industry Yearbook

3. Establishing the improved technology service system to raise the level of food safety

3.1 No. of quality inspection centers for fodder and livestock products and no. of their staff


3.2 No. of fodder and livestock products (including live livestock) trade fairs/milk collection and fleece-shearing stations

Project Operation Report

3.3 No. of guidance sessions given by hybridization technicians and veterinarians (time)

Local investigation

3.4 Ratio of herdsmen (%) able to improve livestock varieties through receiving services in fertilization and fostering

Local investigation


119


Outcome Level

3.5 Increase in the ratio (%) of livestock receiving compulsory vaccinations


3.6 Quantity (g) of use on livestock of chemical drugs, antibiotics, TCM, hormone and fodder pharmaceutical additives


3.7 Vol. (ton) of animal manure treatment Project Operation Report

4. Establishing the improved market circulation system to enhance additional values of livestock products

4.1 No. (person) of herdsmen using regional agricultural information networks to liaise with the market

Statistics on the traffic of visit to the agricultural information network

4.2 Time (hour) of transportation of herdsmen household produced livestock products to nearby trade fairs

Local investigation

4.3 Per capita sales vol. (kg) of major livestock products

Local investigation

4.4 Production (10,000 tons) of fodders, such as, assorted feed, condensed feed and additive premixed feed


4.5 Vol. (ton) of butchering and processing of livestock

China Agricultural Produce Processing Industry Yearbook

4.6 Sales income (measured @ RMB10,000) of wholesale markets and trade fairs for meat, egg or dairy products, and growth (%)


4.7 Market share (%) of livestock products of the project

Investigation on local agricultural produce trade fairs


120


Outcome Level

5. Promoting the development of livestock husbandry to increase herdsmen′s income

5.1 No. of employment opportunities generated from the project in livestock raising, processing and circulation


5.2 No. of herdsmen participating in the project, proportion of those in demonstration spots


5.3 No. of economic cooperative organizations and the level (%) of balance in regional distribution


5.4 Ratio (%) of herdsmen joining economic cooperative organizations such as, professional associations and co-ops

Local investigation\monitoring and evaluation report

5.5 Per capita net income (RMB) of herdsmen and growth (%)


5.6 Ratio (%) of herdsmen′s income to household business income


5.7 Ratio (%) of herdsmen′s income to per capita net income



121

6. Land-based natural resources management


Impact Level

1. Improvement in land resources management

1.1 Newly increased area (ha) of land, newly increased area (ha) of cultivated land and land for construction, due to land arrangement, and growth (%)

China Land Resources Statistics Yearbook\XXProvincial Statistics Yearbook

1.2 Newly increased area (ha) of land, newly increased area (ha) of cultivated land and land for construction, due to land reclamation, and growth (%)


1.3 Newly increased area (ha) of land, newly increased area (ha) of cultivated land and land for construction, due to land development, and growth (%)


1.4 Area (ha) of decreased cultivated land, due to land acquisition, disaster-induced damages and ecological farmland conversion, and growth (%)


1.5 Ratio of land for agricultural use to that for construction purposes


1.6 Increased and decreased area (ha) of cultivated land, due to agricultural structural adjustments

China Land Resources Statistics Yearbook

2. Enhancing the local environment quality and level of public health

2.1 Area of forest (ha) and forest coverage (%)


2.2 Person-time of main respiratory diseases (person-time/year)

XXProvincial Statistics Yearbook\China Health Statistics Yearbook


122


Impact Level

2.3 Increase (year, %) in life expectancy of the residents


2.4 Info on land pollutionMinistry of Agriculture′s Monitoring Center

3. Promoting the improvement in eco-environment and harmony between man and nature

3.1 Area of water and soil control (ha) and growth (%)


3.2 Land deterioration index (%) Provincial Bureau (Department) of Environmental Protection

4.Promoting the sustainable economic and social development

4.1 Per capita GDP (measured @ RMB10,000) and growth (%)


4.2 Per capita agricultural value added (RMB10,00) and growth (%)


4.3 Per capita net income of farmers (RMB/Year) and growth (%)


4.4 Price index (%) of land transaction for industrial and commercial purposes


Outcome Level

1. Adopting multiple control and improvement technologies to strengthen the management of agricultural land use and effectively prevent land deteriorations

1.1 Newly increased solodization area (ha) and growth (%)


1.2 Area (ha) of desertificated land and growth (%)


1.3 Planting area (ha) of anti-draught crops and growth (%)


1.4 Area (ha, %) of land with the use of technologies such as protective cultivation and restricted irrigation



123


Outcome Level

1.5 Increase (mg/g, %) in the content of land organic matter


1.6 Unit area output (land productivity) of major agricultural produces (kg/ha, %)


2. Strengthening natural environment and garbage treatment to improve surrounding eco-environment

2.1 No. of settled immigrants (person) and the degree of satisfaction of immigrants with their income and living (%)


2.2 Area of nature reserves such as, wetland and mountainous land (ha, %)

China Rural Statistics Yearbook\China Environment Statistics Yearbook

2.3 Rate of occurrence of major events of vicious nature if solid waste pollution (%) and direct economic costs caused (measured @ RMB10,000)


2.4 Vol. of collection and hazardless treatment of rural domestic garbage (%)


2.5 Rate of rural manure hazardless treatment (%)


2.6 Recalling rate for plastic film for farming (%)


2.7 Rate of public participation and rate of environment satisfaction (%)

Local investigation

3. Improving land use regulations to promote the sustainable development of agriculture and rural areas

3.1 Ratio of land with defined ownership and transfer on a scale (%)


3.2 No. of rural households participating in the demonstration spots of intensive and effective use of land


3.3 Leveled area (ha, %) of rural construction site



124

7. Water-based natural resources management


Impact Level

1. Improving water resources management

1.1 Agricultural water consumption (cubic meter) and growth (%)


1.2 Ecological and environmental water consumption (cubic meter) and growth (%)


1.3 Per capita vol. of water resources (cubic meter)


1.4 Per capital vol. of water use (cubic meter) and growth (%)


1.5 Per capita vol. of water use for living in rural areas (cubic meter) and growth (%)


1.6 Average water use for actual irrigated farmland (cubic meter) and growth (%)


2. Improving the local environment quality and level of public health

2.1 Upgrading of standards of river, lake and sea water quality


2.2 Residents live expectancy (year) and growth (%)


3. Improving the comprehensive eco-system to promote the harmony between man and nature


China Rural Statistics Yearbook\China Environment Statistics Yearbook

3.2 Water network density (%) XXProvincial Bureau (Department) of Environmental Protection

3.3 Pollution load index (%) XXProvincial Bureau (Department) of Environmental Protection

3.4 Bio-abundance index (%) XXProvincial Bureau (Department) of Environmental Protection


125


Impact Level

4. Promoting the social and economic sustainable development

4.1 Per capita GDE (measured @ RMB10,000) and growth (%)


4.2 Per capita agricultural value added (measured @ RMB10,000) and growth (%)


4.3 Per capita net income (RMB/Year) of farmers and growth (%)


4.4 Changes (%) in the transaction index of land for industrial and commercial purposes


4.5 Total no. of rural households with access to hydropower (household) and access rate of such (%)


4.6 No, of administrative regions of the villages with the access to power and power access rate (%)


4.7 No. of administrative regions of townships with the access to power and power access rate (%)


Outcome Level

1. Strengthen water source management and raising drinking water quality

1.1 Usable water sources such as, reservoirs, rivers and lakes (cubic meter, %)

China Rural Statistics Yearbook\China Water Conservancy Yearbook

1.2 Population (10,000 persons) benefiting from water renovation such as, tap water plants, stations, manually pumped wells and rainwater collection, and growth (%)

China Environment Statistics Yearbook\China Health Statistics Yearbook


126


Outcome Level

1.3 Ratio of population drinking tap water to total rural population (%)


1.4 Ratio of water supply from surface and underground water sources to the total water supply, respectively (%)


1.5 Attainment rate (%) of water quality of water sources under special climate conditions such as, drought

XXProvincial Bureau (Department) of Environmental Protection

1.6 Newly increased population (10,000 persons) with access to safe water


1.7 Population with safe drinking water (10,000 persons)


2. Strengthening water discharge management and improving the water quality of the river basin

2.1 Re-settled immigrants (person), and the degree of their satisfaction with income and living (%)


2.2 Area (ha) of nature reserves, such as, rivers, lakes and tidal flats

China Rural Statistics Yearbook\China Environment Yearbook

2.3 Vol. of discharge of agricultural production pollutants, such as, pesticide and chemical fertilizer (ton)


2.4 Rate of domestic sewage treatment, attainment rate of production waste water discharge (%)


2.5 Rate of occurrence of major extremely serious events, such as, silation, water body pollution (%) and direct economic loss caused (measured @ RMB10,000)



127


Outcome Level

2.6 Vol. of discharge of COD and NH4 in water basin (10,000 tons)


2.7 Disease rate and mortality rate of population in the river basin (%)


3. Improving the water use regulations to enhance water use efficiency

3.1 Ratio (%) of land with the practice of water-fetching permit and water right transaction systems (%)


3.2 No. of regions with the practice of water right transaction and increased transaction value (measured @ RMB10,000)


3.3 No. of members of water use associations and area (ha) of managed irrigated land


3.4 No. of rural households participating in the demonstration spots of water saving irrigation and measured water use

Local investigation

4. Improving irrigation systems to increase saved water for irrigation

4.1 Area of effective irrigation, area of effective actual irrigation, and area of ensuring stable yields despite draught or excessive rains (%)


4.2　Area of electromechanical discharge and irrigation and pumping irrigation and growth (%)



128


Outcome Level

4.3 Water saving irrigated area (ha) , such as, sprinkling and drip irrigation、micro irrigation、low pressure pipe irrigation, canal seepage control, and growth (%)


4.4　Newly increased length of ditch and canal discharge facilities (km)


4.5 Ratio of water for agricultural use to total volume of water use (%)


5. Improving the eco-system and strengthening the protection of bio-diversity

5.1 Types and quantities of migratory birds and endangered species

China Environment Statistics Yearbook\China Rural Statistics Yearbook

5.2 Rate of occurrence of events such as, invasion of foreign species and flood (%), and direct economic loss caused (measured @ RMB10,000)


5.3 Area (ha) of wetlands, such as, rivers, lakes and natural and artificial wetland, and growth (%)


5.4 Area (ha) of shelters for protected wild animals and plants and total quantities, and growth (%)


5.5 Rate of public participation and degree of satisfaction with the environment (%)

Local investigation

6.1 Newly increased area of eco-tourism zones such as, wetland, and growth (%)

XXProvincial Bureau of Tourism\Project Progress Report


129


Outcome Level

6. Strengthening ecological protection and improving the tourism environment

6.2 No. of tourists in eco-tourism zones each year, and growth (%)

China Tourism Yearbook

6.3 Attainment rate of tourism environment (including the index of resources environment safety, the index of psychological environment health and the index of environment quality attainment)

China Tourism Yearbook\XXProvincial Bureau of Tourism

6.4 Possible newly increased employment opportunities of tourism each year


6.5 Farmers’ income from tourism each year (RMB) and growth (%)

Local investigation


130

8. Agriculture and rural sector development


Impact Level

1. Promoting sustainable rural development

1.1 Regional GDP (measured @ RMB10,000) and growth (%)


1.2 Regional per capita agricultural value added (measured @ RMB10,000) and growth (%)


1.3 No. of industrial and commercial enterprises, employed people and growth (%)


1.4 Changes (%) in the transaction price index of land for industrial and commercial purposes (%)


1.5 Rural fixed asset investment (measured @ RMB10,000) and growth (%)

China Rural Statistics Yearbook\XXProvincial Statistics Yearbook

1.6 Rural fixed asset investment used for agriculture (measured RMB10,000) and growth (%)


1.7 Ratio of agricultural fixed asset investment to the rural fixed asset investment (%)


2. Improving farmers’ production and living conditions in rural areas and promoting the uniformly planned development of urban and rural areas and the construction of a harmonious society

2.1 Per capita annual net income of rural residents (RMB) and growth (%)


2.2 Per capital disposable income of urban residents (RMB/Year) and growth (%)


2.3 Rural Engel′s coefficient China Statistics Yearbook\XXProvincial Statistics Yearbook


131


Impact Level


Ratio of 2.2 to 2.1


Outcome Level

1. Proactive progress made in promoting the development of agricultural and rural enterprises, and adjusting the rural economic structure

1.1 Unit area production of various products such as those in agriculture, forestry, animal husbandry and fishery (kg/ha) and growth (%)

XXProvincial Statistics Yearbook\China Agriculture Yearbook

1.2 Total agricultural output value (measured @ RMB10,000) and growth (%)


1.3 Total production value of TVEs (rural enterprises) and growth (%)

China Village and Township Enterprise and Agricultural Produce Processing Industry Yearbook

1.4 Ratio of agricultural and non-agricultural income to the total rural economic income, respectively (%)

China Agriculture Yearbook

1.5 Ratio of farmers’ income to the agricultural and non-agricultural income (%)

China Agriculture Yearbook

2. Boosting farmers’ income increase through industrialized business operations

2.1 No. of rural households driven by leading enterprises and growth (%)


2.2 No. of employed people in various types of leading enterprises (breeding, market and processing) and growth (%)


2.3 No. of administrative villages participating in the project and no. of participating rural households



132


Outcome Level

2.4 Rural households’ income (RMB) from participating industrialized business operations and growth (%)


2.5 Area (ha) of production bases owned or signed up by leading enterprises and growth (%)


3. Mechanisms for science and technology achievement, application and increasingly improved social service systems

3.1 No. of welfare agricultural research institutes and no. of staffs


3.2 No. of agricultural social service institutions providing technology and market services and no. of staff


3.3 Ratio of new science and technology achievements applied in rural areas (%)


3.4 Degree of farmers’ satisfaction with social service (%)

Project local investigation\monitoring and evaluation report

4. Constant improvement in rural infrastructure and living conditions

4.1 Per capita housing area (square meter) of farmers and growth (%)

China Agriculture Yearbook\China Rural Statistics Yearbook

4.2 No. of major large consumer items owned per 100 rural households (TV, refrigerators, motorcycles), and growth (%)


4.3 No. of production fixed assets (motor vehicles, tractors, and draft animals) owned per 100 rural households and growth (%)



133


Outcome Level

4.4 Rural population (10,000 persons) with safe drinking water and growth (%)


4.5 Investment measured @ RMB10,000) in rural power station and power grid construction, and growth (%)


4.6 Consumption of electric power (KW) of rural hydropower networks used for agricultural production and residents living and growth (%)


4.7 No. of newly increased power generation equipment and capacity of such (KW)

China Electric Power Yearbook\China Water Conservancy Yearbook

4.8 Newly increased mileage (km) of country and village roads and rate of roads opening to traffic of village, township and administrative village (%)


5. Constant enhancement of the level of public services such as, education and health

5.1 Rural mortality rate of female babies (%)


5.2 Disease incidents and mortality rate of infectious diseases (%)


5.3 Dropout rate of school-age childrenXXProvincial Statistics Yearbook\China Education Statistics Yearbook

5.4 Popularization rate of nine-year compulsory education

XXProvincial Statistics Yearbook\China Education Statistics Yearbook


134


Outcome Level

6. Constant improvement in the quality of rural eco-environment

6.1 No. of ecological demonstration zones and area (ha) of nature reserves


6.2 Degree (%) of rural residents’ satisfaction with the environmental improvement/degree (%) of tolerance to environmental deterioration

Local investigation



6.4 Rural population (10,000) benefiting from water renovation and beneficial rate (%)


6.5 No. of rural households with sanitary toilets (%)

China Environment Yearbook\China Health Statistics Yearbook

6.6 Rate of rural hazardless treatment of domestic garbage and manure (%)


6.7 Increase in the vol. of biogas, and the quantity of solar energy heaters and solar cookers (100 million cubic meters, 10,000 square meters, %)


6.8 Comprehensive utilization rate of rural crop stalks (%)

XX Provincial Environmental Protection Monitoring Report

6.9 Total vol. of renewable energy such as, crop stalks, biogas and fuel wood used in rural areas (10,000 tons standard coal, %)



135


Outcome Level

7. Protecting disadvantaged groups to promote the harmony in rural society

7.1 Vol. of women′s household chores (hour)

Local investigation

7.2 Ratio of jobs provided for women and ethnic minority people to the total employment opportunities (%)


7.3 Ratio of women and ethnic minority people participating in skills training to the total no. of staff (%)


7.4 Skills training (person-time) provided for poverty-stricken rural households by the project and loan support (person-time, measured @ RMB10,000)


7.5 Ratio of magnitude of increase in per capita annual net income of poverty-stricken rural households to that of non-poverty-stricken rural households

China Rural Poverty Monitoring Report


136

Case Study of Agriculture and Natural Resources Project— Henan Sustainable Agricultural and Productivity Improvement Project

Involving 249,660 farmers of 66,200 households in 30 townships’ 215 villages in Sanmenxia City, Henan Province, the Henan Sustainable Agricultural and Productivity Improvement Project was designed to create values for local agricultural produce processing enterprises and consumers, using the rural-households-to-market mode of value chain. It mainly engaged in the production technology innovation and experience application for 24,400 mu of fruit trees and high value vegetables (of which 20,500 mu was improved from the crop farmland of low efficiency). In addition, the fruit processing capacity would be improved to 221,000 tons (of which 100,000 tons were condensed apple juice) under the project, and a demonstration biogas project of organic fertilizer covering 2,000 households would be built.

The project started in 2007, and the date of completion is scheduled for the end of 2012. The total investment was US$135.6 million, of which US$66.7 million was ADB loans and US$68.9 million was from domestic investment (US$24 million was local counterpart funding, US$31.5 million was from agricultural processing enterprises, and US$13.4 million was from rural households).


Impact

1. Promoting the agricultural and rural sustainable development

1.1 Increase of xx % in Sanmenxia, Henan planting value added during 2006-2012 (RMB2.841 billion in 2006)

Henan Provincial Statistics Yearbook

1.2 By 2010, the total area of melon and fruit planting in Sanmenxia, Henan will have increased by 13,000 has (54,040 has in 2006)

Henan Provincial Statistics Yearbook\Sanmenxia City Statistics Yearbook

1.3 By 2010, the total production of melon and fruit planting in Sanmenxia, Henan will have increased by xx tons (1,199,652 tons in 2006)



137


Impact

2. Improving the connections of small-farm operators with the market

2.1 During 2006-2012, the commodity rate of melon and fruit of Sanmenxia, Henan will have risen from ××% to ××%.


2.2 During 2006-2012, the CPI for melon and fruit of Samenxia, Henan will have changed from 115.6 to ××


3. Improving rural living standards to reduce poverty population

3.1 During 2006-2012, the ratio of income of urban to rural residents in Henan will drop from 3.0 to ××.


3.2 During 2006-2012, the poverty head-count rate in Henan will drop from 7.9% to ××%.

Sanmenxia City Statistics Yearbook\China Rural Poverty Monitoring Report

Outcome

1. Improving agricultural production systems to raise the efficiency in agricultural production and effectiveness in agricultural enterprises

1.1 By 2010, the coverage of fruit trees in Sanmenxia, Henan will rise by 3%.

Monitoring report of Sanmenxia City environmental protection authority

1.2 By 2012, the production of melon and fruits of Sanmenxia, Henan will have increased to ××kg/ha (27,757kg/ha in 2006)


1.3 By 2012, the vol. of water use for the irrigation of the production of vegetable, melons and fruits will have decreased by 55%.

Henan Provincial Statistics Yearbook

1.4 By 2012, the use of organic fertilizers of Sanmenixia, Henan will have increased by 30%.

Monitoring report of Sanmenxia City agricultural authority


138


Outcome

1.5 By 2012, the vol. (converted to ton). of chemical products such as, agricultural chemical fertilizers and pesticides will have decreased by 40% (86314 tons and 1965 tons, respectively in 2006)


2. Improving agricultural produces markets and processing systems to raise agricultural value added

2.1 By 2012, the number of rural households accessing agricultural information through visiting the village-based agricultural information center will have increased by ××%.

Statistics on the traffic of visit to the agricultural information network

2.2 By 2012, the time of transportation of melons and fruits of rural households to nearby trade fairs will have been shortened from ×× hours to ×× hours.

Local investigation

2.3 By 2012, per capita sales of melons and fruits will have increased from ××kg to ××kg.


2.4 By 2012, the average selling price of melons and fruits will have increased from RMB××/kg to RMB××/kg.

Investigative materials on agricultural produce trade fairs

2.5 By 2012, the production of melon and fruit processing enterprises will have increased from ×× tons to ×× tons.


2.6 By 2012, the profit of melon and fruit processing enterprises will have increased from RMB××10,000 to RMB××10,000.

Annual financial reports of processing enterprises


139


Outcome

2.7 By 2012, the market share of melons and fruits of Sanmenxia, Henan will have been increased by ××%.

Investigative materials on agricultural produce trade fairs

3. Promoting the agricultural sustainable development and boosting the increase in farmers income through social services and organizational innovation

3.1 By 2012, efforts will have been taken to convince 66,200 households (including 1600 women-led households) to adopt the advanced farmland management for fruit trees planning.


3.2 By 2012, the no. of rural household cooperative organizations will have reached ××, with the no. of rural households joining the cooperative organizations amounting to ×× people.

Annual statistic data of rural household cooperative organization

3.3 By 2010, the no. of melon and fruit processing enterprises will have increased by 2,230, with 1,000 jobs arranged for women

Annual statistic data of processing enterprises

3.4 By 2012, per capita annual net income of non-poverty rural households in Sanmenxia, Henan will have doubled, while that of poverty rural households will have been tripled (Per capital annual net income of rural households was RMB3,435 in 2006)


4.1 By 2012, the no. of rural households with biogas installed in Sanmenxia, Henan will have reached 2000.

Sanmenxia City rural energy sectoral monitoring report


140


4. Promoting the utilization and development of renewable energy in rural areas

4.2 By 2012, per capita technical guidance and training (including those on biogas) for rural households will have reached ×× times.

Project local investigation\monitoring and evaluation report

Outputs

1. Agricultural production

1.1 Newly developed or recovered area of planting: 150,000 mu of apples, 20,00 mu of peaches, 15,000 mu of apricots, 50,000 mu of dates, and 10,000 mu of vegetables.


1.2 Magnitude of increase in thee production of major fruit trees: 25% for apples, 20% for peaches and 15% for apricots.


1.3 Around 12,550,000 cubic meters of irrigation water will be saved each year, through using water saving technology.


1.4 Reducing xx tons of chemical products, such as, agricultural chemical fertilizers and pesticides, to produce safer foods.


1.5 Increasing the use of xx tons of organic fertilizers, to produce safer foods


2.1 Newly increased melon and fruit processing capacity:



141


Outputs

2. Agricultural produce processing

100,000 tons of condensed apples, 81,000 tons of pulp, sugar and colloid, and 40,000 tons of animal fodders


2.2 Processed products entering the new markets with the existing market share increased by ××%.


3. Agricultural social services

3.1 Effective use of the principles and users’ bulletins on fruit tree planting technology


3.2 Conducting technological training for 720 people taking the lead in project areas, 40% of whom are women, in order to realize technology dissemination


3.3 Reform of Sanmenxia City′s agricultural information networks (Updating computer and media equipment)


3.4 Establishing 200village information centers in agricultural production materials stores, accessing the agricultural information network.


3.5 Strengthening the construction of rural household cooperative organizations in 30 villages and townships, and conducting training for 86 managerial staff, 30% of whom are women.



142


Outputs

3.6 Conducting skills training for melon and fruit production to 66,200 project-participating rural households and 80,000 non-project participating rural households, 40% of whom are women.


4. Renewable energy utilization in rural areas

4.1 Making installations and operations of biogas engineering projects for 2,000 household users


4.2 Establishing 6 village-level biogas service centers and conducting technological training for 40 technicians


4.3 Conducting biogas operation and maintenance training for 2,000 people, of whom 50% are women.


5. Management capacity building

5.1 Arranging additional 8 technicians in the project management office, at least 20% of who are women.


5.2 Conducting training on project financial management, ADB procedures, project monitoring reports and gender focus for 20 people from the project management office, the implementing agency and agricultural enterprises.


5.3 Ensuring that there will be representatives from ACWF among members of the project-leading group.



143


Outputs

5.4 Making international inspections of 20 staff from the project management office and the executing agency


5.5 Maintaining the operation of the project implementation monitoring system to effectively transmit monitoring information


3.4 Energy sector

The energy sector covers the seven subsectors as classified in ADB′s categorization of sectors and subsectors in 2009, including conventional energy, large hydropower generation, renewable energy, power transmission and distribution, pipelines, energy utility services, and energy efficiency and protection.

• Conventional energy: Refers to the construction of expanded power generation of power plants with the use of more clean technology and reduction of waste gas discharge, and natural gas power generation;

• Large hydropower generation: Refers to the construction of hydropower plants; • Renewable energy: Refers to the power generation through solar energy, wind energy,

geothermal energy and wastes; • Power transmission and distribution: Refers to the installation and upgrading of power

transmission and distribution systems, and rural electrification; • Pipelines: Refers to the transportation of oil and liquidized gas, and the liquidation and storage of

natural gas; • Energy utility services: Refers to centralized heat supply, pipeline natural gas and household

energy;


144

• Energy efficiency and protection: Refers to carbon exchange and clean energy mechanisms, the development and utilization of coal mine gas and CBM, coal gasification, coal dressing equipment, and waste coal utilization.

The yearbooks and statistic reports on the energy sector include:

• China Energy Statistics Yearbook• China Statistic Yearbook• China Environment Statistics Yearbook• China Electric Power Yearbook• China Rural Energy Yearbook, etc.


145

1. Conventional energy


Impact Level

1. Enhancement of the efficiency in energy use

1.1 Average energy consumption per measured @ RMB10,000 GDP (ton standard coal/measured @ RMB10,000)

China Statistics Yearbook\XXProvincial \City Statistics Yearbook

1.2 Average energy consumption per measured @ RMB10,000 industrial value added (ton standard coal/measured @ RMB10,000)


1.3 Total vol. of primary energy consumption (10,000 tons standard coal)

XXProvincial Statistics Yearbook\China Energy Statistics Yearbook

1.4 Per capita energy consumption (ton) and growth (%)

China Energy Statistics Yearbook\XXProvincial Statistics Yearbook

1.5 Total vol. of coal consumption (10,000 tons)


1.6 Per capital coal consumption (kg/person)


2. Strengthened environmental sustainability

2.1 Ratio of coal-fired power plants to the total power generation (%)


2.2 Vol. of nitrogen oxides discharge (10,000 tons)

China Environment Statistics Yearbook\China Statistics Yearbook

2.3 Vol. of CO2 discharge (10,000 tons) China Environment Statistics Annual Report\XXProvincial Bulletin on Environmental Situation

2.4 Vol. of SO2 discharge (10,000 tons) China Environment Statistics Annual Report \XXProvincial Bulletin on Environmental Situation

2.5 Frequency of acid rain (time/year) XXProvincial Bulletin on Environmental Situation


146


Impact Level

3. Improved environmental quality in project areas

3.1 No. of days with air quality reaching above Category II (day)


3.2 Concentration of inhalable particles (mg/m3)


3.3 Concentration of CO2 (mg/m3) China Environment Statistics Yearbook

3.4 Concentration of SO2 (mg/m3) China Environment Statistics Yearbook

Outcome Level

1. Enhancement of power generation capacity

1.1 Total annual vol. of power generation (GWH)


1.2 Time of annual power outage (h)Data and records of power supply departments

1.3 Coverage (person) of power supply Project Progress Report

1.4 Per capita power consumption (person)


2. Reduction of waste gas discharge in project areas

2.1 Vol. of industrial waster gas discharge (100 million standard m3)


2.2 Vol. of SIO2 discharge (10,000 tons) China Environment Statistics Yearbook\China Statistics Yearbook

2.3 Vol. of smoke dust discharge (10,000 tons)


2.4 Vol. of industrial dust discharge (10,000 tons)


2.5 Vol. of COD discharge (10,000 tons) China Environment Statistics Yearbook

2.6 Vol. of ammonia nitrogen discharge (10,000 tons)



147


Outcome Level

3. Energy saving

3.1 Vol. of yearly saved power (GWh) equivalent to saved standard coal (10,000 tons)


3.2 Yearly saved power charge (measured @ RMB10,000)


3.3 Yearly saved power (GWh) from public buildings, equivalent to standard coal (10,000 tons)


4. Economizing coal and water resources through building effective coal-fired power plants

4.1 Coal consumption (ton/year) China Energy Statistics Yearbook

4.2 Thermal power generation and coal for heat supply (ton/year)


4.3 Saved coal from power generation (10,000 tons/year)


4.4 Saved water from power generation (ton/year)


4.5 No. of desulphurization equipment (sets)


4.6 Desulphurization efficiency (%) Project Progress Report

5. Expanding the scope of dissemination for “energy efficiency power plants”

5.1 No. of built “energy efficient power plants”


5.2 No. of enterprises, institutions and households participating in the “energy efficient power plant” construction project


5.3 No. of buildings participating in the “energy efficient power plant” construction project



148

2. Large hydropower


Impact Level

1. Enhancing the sustainability in the economic development of project areas

1.1GDP (measured @ RMB10,000) and growth rate (%)


1.2 Newly increased fixed asset investment (measured @ RMB10,000) and growth rate (%)


1.3 Ratio of total fixed asset investment to GDP (%)


1.4 Ratio of hydropower investment by the central government to the total fixed asset investment (%)


1.5 Ratio of hydropower investment by local counterpart funds (measured @ RMB10,000) to the total fixed asset investment (%)


1.6 Newly increased installed capacity of large hydropower stations (kw)


1.7 Vol. of yearly hydropower generation (KWH)


2. Reducing the coal dependence in the energy structure

2.1 Coal consumption (10,000 tons) China Energy Statistics Yearbook

2.2 Consumption of coal for daily living (10,000 tons)


2.3 Yearly consumption of coal for daily living of urban residents (10,000 tons)


2.4 Yearly consumption of coal for daily living of rural residents (10,000 tons)



149


Impact Level

2.5 Consumption of coal for thermal power generation and heat supply (10,000 tons)


2.6 Vol. of coal transportation (10,000 tons)


3. Reducing environmental pollution in project areas

3.1 No. of days with air quality reaching above Category II (day)




3.3 Concentration of CO2 (mg/m3) China Environment Statistics Yearbook

3.4 Concentration of SO2 (mg/m3) China Environment Statistics Yearbook

4. Improving people′s living conditions in project areas

4.1 Residents’ electricity rates (RMB/KWH)

Relevant documents released by power department\electricity rates of project areas

4.2 Urban and rural residents’ electricity rates

Relevant documents released by power department\electricity rates of project areas

4.3 Total vol. of power consumption for daily living (KWH)


4.4 Per capita consumption expenditure of urban residents (RMB/person)


4.5 Portion of per capita yearly consumption expenditure used for water, power and others (RMB/person)



150


Impact Level

5. Enhancing the level of power supply and use in project areas

5.1 Power generation (KWH)China Energy Statistics Yearbook\China Electric Power Yearbook

5.2 Hydropower generation (KWH)China Energy Statistics Yearbook\China Electric Power Yearbook

5.3 Ratio of hydropower generation to the total power generation (%)

China Energy Statistics Yearbook\China Electric Power Yearbook

5.4 Industrial power consumption (KWH) and agricultural power consumption (KWH)


5.5 Per capita power for daily living (KWH)


6. Enhancing the electric power coverage of project areas

6.1 Power access rate of villages in surrounding counties (with rural hydropower generation) (%)

Project Progress Report\China Water Conservancy Yearbook

6.2 Power access rate of households in surrounding counties (with rural hydropower generation) (%)


6.3 Newly increased no. of household users of electricity


6.4 Newly increased area (ha) of effective irrigation


Outcome Level

1. Improving the energy structure to raise the proportion of clean energy

1.1 Ratio of hydropower to total power generation (%)

China Electric Power Yearbook\China Energy Statistics Yearbook

1.2 Ratio of electric power to total energy production (%)


1.3 Ratio of hydropower to total energy consumption (%)



151


Outcome Level

1.4 Ratio of electric power to total energy consumption (%)


1.5 Ratio of coal to total energy consumption (%)


1.6 Yearly vol. of power generation equivalent to saving standard coal (10,000 tons)


1.7 Net increase in hydropower generation capacity (GW) and growth (%)

China Electric Power Yearbook

2. Raising social and economic efficiency

2.1 Income from power generation main business (RM10,000)

XXProvincial Statistics Yearbook\Project Progress Report

2.2 Production value created from power generation (measured @ RMB10,000)


2.3 Profit realized from power generation (measured @ RMB10,000)


2.4 Tax income realized from power generation (measured @ RMB10,000)


2.5 Vol. of and income from air transportation (measured @ RMB10,000)


2.6 Tourism income (measured @ RMB10,000)


2.7 Income from breeding industry (measured @ RMB10,000)

China agricultural and statistics yearbooks

3.1 Vol. of industrial waste gas discharge (100 million standard m3)


3.2 Vol. of SO2 discharge (10,000 tons) China Environment Statistics Yearbook\China Statistics Yearbook


152


Outcome Level

3. Reducing waste gas discharge in project areas

3.3 Vol. of smoke dust discharge (10,000) China Environment Statistics Yearbook\China Statistics Yearbook

3.4 Vol. of industrial dust discharge (10,000)


3.5 Vol. of COD discharge (10,000 tons)China Environment Statistics Yearbook

3.6 Yearly vol. of ammonia nitrogen discharge (10,000 tons)


4. Enhancing the stability in residents’ power consumption in project areas

4.1 Water & electricity rates mechanisms and policy for seasonally floated prices

Relevant documents released by power authorities\electricity rate table of project areas

4.2 Time of power restrictions and outage of residents (hour/year)

Notices on power restrictions and outage released by power authorities

4.3 Time of power restrictions and outage (time/year)

Notices on power restrictions and outage released by power authorities

5. Improving the eco-environment

5.1 Newly increased area of greening and wetland (1,000 ha)


5.2 Newly increased area of water surface (1,000 ha)

China Environment Statistics Yearbook\field investigations

5.3 Ratio of sediment delivery (%)XXProvincial Bureau (Department) of Environmental Protection \field investigations

5.4 Changes in water quality of mainstreams and branches (focusing several varieties)

Ministry of Water Resources\field investigations


153

3. Renewable energy


Impact Level

1. Promoting the sustainable economic development of project areas

1.1 GDP (measured @ RMB10,000) and growth rate (%)


1.2 Total investment in new energy fixed asset investment (measured @ RMB10,000) and growth rate (%)


1.3 Ratio of new energy investment to total fixed asset investment (%)


1.4 Completed investment in pollution control projects (measured @ RMB10,000) and growth rate (%)


1.5 Ratio of pollution control investment (RM10,000) to total fixed asset investment (%)


1.6 Ratio of solar energy/wind energy/geothermal energy/small hydropower and waste generation to total power generation, respectively (%)

China Rural Energy Statistics Yearbook

2. Reducing coal dependency in the energy structure

2.1 Coal consumption (10,000 tons) China Energy Statistics Yearbook\China Electric Power Yearbook

2.2 Coal consumption for daily living (10,000 tons)


2.3 Living coal consumption of urban residents (10,000 tons)


2.4 Living coal consumption of rural residents (10,000 tons)


2.5 Consumption of coal for thermal power generation (10,000 tons)


2.6 Coal transportation (10,000 tons) China Transportation Yearbook


154


Impact Level

3. Improving the environmental quality of project areas

3.1 No. of days with air quality reaching above Category II level (day)




3.3 Concentration of CO2 (mg/m3) China Environment Statistics Yearbook\China Statistics Yearbook

3.4 Concentration of SO2 (mg/m3) China Environment Statistics Yearbook\China Statistics Yearbook

4. Creating an ideal environment for private sectoral development

4.1 Increase (RMB) in domestic commercial bank loans for renewable energy projects


4.2 Increased no. of domestic commercial banks issuing loans to renewable energy projects


4.3 Increased investment by private sector in renewable energy projects (RMB)


4.4 Increased no. of private sectors investing in renewable energy projects


4.5 Verifications of reasonable renewable energy power generation price

Project area network power price schedule

Outcome Level

1.1 Vol. and increased vol. of renewable energy power generation (KW/hour)


1.2 Ratio of vol. of renewable energy power generation to total vol. of power generation (%)



155


Outcome Level

1. Raising the supply and proportion of renewable energy in project areas

1.3 On-grid vol. of power generated from renewable energy such as, solar energy and wind energy (KW) and growth rate (%)


1.4 Yearly vol. of geothermal heat supply (K-Joule)


1.5 Yearly consumption of biogas in rural areas (10,000 square meters or 10,000 tons standard coal)


1.6 Consumption of crop stalks in rural areas (ton or standard coal)


1.7 Consumption of fuel wood in rural areas (ton or standard coal)



2.1 Vol. of industrial waste gas discharge (100 million standards m3)


2.2 Vol. of SO2 discharge (10,000 tons) China Environment Statistics Yearbook

2.3 Vol. of smoke dust (10,000 tons) China Environment Statistics Yearbook

2.4 Vol. of industrial dust (10,000 tons) China Environment Statistics Yearbook

2.5 Vo. of COD discharge (10,000) China Environment Statistics Yearbook




156


Outcome Level

3. Encouraging investment (financing) of non-governmental sources to participate in renewable energy project construction

3.1 Investment by private sectors in renewable energy projects construction through stock capital participation (measured @ RMB10,000)


3.2 Investment by private sectors in renewable energy projects construction in the form of creditors’ rights (measured @ RMB10,000)


3.3 Loans issued by domestic commercial banks to renewable energy projects (measured @ RMB10,000)


4. Raising the level of renewable energy utilization in urban areas

4.1 Newly increased solar energy greenhouses (m2)\solar energy heaters (m2)\solar houses (m2)\solar cookers (set)\solar battery pools.

China Rural Energy Yearbook\China Environment Statistics Yearbook\

4.2 Newly increased windmill generators (set)\no. of windmill generator users\no. of wind water pumps (set)\area of irrigation by wind water pumps (ha)


4.3 Newly increased no. of geothermal utilization spots\planting area for geothermal utilization (ha)\ aquaculture area of geothermal utilization (ha)


4.4 Newly increased no. of small hydropower generation (set)\installed capacity of power stations (KW)\vol. of power generation (KWH)\no. of supplied households



157


Outcome Level

4.5 No. of biogas pools of biogas power stations\biogas capacity(m2)\no. of biogas power stations\yearly biogas production (m3)


4.6 No. of biogas pools of centralized biogas supply stations\biogas capacity(m2)\no. of biogas centralized biogas supply stations\no. of biogas supplied households\vol of biogas supply (m3)


4.7 No. of purification pools\capacity of purification pools (m2)


4.8 Biogas pool comprehensive utilization (grain storage\seed soaking\biogas slurry based pig raising\fodder saving for raising pigs\fish raising\biogas residue based mushroom planting)


4.9 Newly increased capacity of installed solar power stations (KW)


5. State subsidy policy for renewable energy power price

5.1 Policy for network combined renewable energy power generation

NDRC website:\www.ndrc.gov.cn\

5.2 Policy for renewable energy power generation price

China Electricity Council′s website: \tj.cec.orj.cn


158

4. Electricity transmission and distribution


Impact Level

1. Promoting the economic sustainable development in project areas

1.1 Total industrial output value (measured @ RMB10,000) and year-on-year growth (%)


1.2 Total agricultural output value (measured @ RMB10,000) and year-on-year growth (%)


1.3 Newly increased power grid (transmission & distribution) and fixed asset investment (measured @ RMB10,000)


1.4 Vol. ownership of power grid fixed asset investment (measured @ RMB10,000)


1.5 State fixed asset investment for realizing rural electrification (measured @ RMB10,000) and growth (%)


1.6 Rural power consumption (10,000KWH) and growth (%)


1.7 Industrial power consumption (10,000 kwh) and growth (%)


1.8 Vol. ownership of power transmission/distribution equipment: capacity of over 110kv (KVA)\transformer capacity (KVA)\high voltage lines (KM)\low voltage lines (KM)

China Electric Power Yearbook\China Water Conservancy Yearbook


159


Impact Level

2. Raising the living standards of project areas

2.1 Year-on-year power consumption of residents (RMB/KWh)

Relevant document released by the power authorities\project area electricity rate schedule

2.2 Electricity rates of urban and rural residents


2.3 Newly increased power consumption for daily living (KWH)


2.4 Per capita disposable income of urban residents (RMB/Year)


2.5 Per capita net income of rural residents (RMB/Year)


2.6 Per capita living consumption expenditure of rural residents (RMB/year)

　China Statistics Yearbook\XXProvincial Statistics Yearbook








4.1 Loss rate of power transmission/distribution/transformation lines (%)

China Electric Power Yearbook\XXProvincial Statistics Yearbook


160


Impact Level

4. Enhancing the energy usage efficiency of project areas

4.2 Yearly average time of utilization of power generation equipment (hour)


4.3 Yearly average time of utilization of thermal/hydropower generation equipment (hour)


4.4 Standard coal consumption of power generation (g/kwh)


4.5 Standard coal consumption of power supply (g/kwh)


4.6 Power consumption rate of power generation plants (%)/of hydropower plants (%)


Outcome Level

1. Enhancing the power (grid) supply capacity of project areas

1.1 Newly increased vol. of power transmission (g/kwh) and ratio (%)


1.2 Newly increased vol. of power catering to the local region (g/kwh)


1.3 Newly increased capacity of power transmission/distribution/transformation: capacity (KVA) of over 110kv\transformer capacity (KVA)\high–low voltage lines (km)


1.4 Newly increased power transmission lines (km) of over 220 KV


1.5 Newly increased power transformation capacity (KVA)


2.1 Vol. of power consumption (GWh) and year-on-year growth (%)



161


Outcome Level

2. Enhancing the level of power consumption of project areas

2.2 Vol. of power consumption for daily living (GWh) and growth (%)


2.3 Newly increased average quantity of ownership (unit) of major durable consumer goods per 100 rural households (washing machines, refrigerators and A/Cs)


2.4 Ratio of power consumption for daily living of rural residents to per capita living consumption expenditure (%)


3. Enhancing the stability in power consumption of residents in project areas

3.1 Yearly time of power restrictions and outage of residents (hour)

Notice publicly released by the power authorities on power brownouts and power cuts

3.2 Yearly decreased time of power restrictions and outage of residents (time/year)


4. Increasing the coverage scope of power grids in project areas

4.1 Newly increased no. of households with access to electricity


4.2 Newly increased no. of villages with access to electricity


4.3 Newly increased no. of townships with access to electricity


4.4 Newly increased no. of installed ammeters of residents


5.1 Rural rate of power access (%), village rate of power access (%), household rate of power access (%)



162


Outcome Level

5. Enhancement of the level of rural electrification

5.2 Vol. of per capita power consumption for daily living of rural residents (KWh)


5.3 Rate of power supply guarantee for rural residents’ daily living (%)


5.4 Rate of power supply guarantee for discharge and irrigation (%)


5.5 Rate of qualified voltage (%) Project Progress Report

5.6 Rate of qualified frequency of independent power grids (%)


5.7 Availability factor of main equipment of power station (%), availability factor of power transmission/distribution equipment; availability factor of low-voltage power distribution devices (%)



163

5. Pipelines


Impact Level

1. Reducing the volume of coal consumption

1.1 Vol. of coal consumption (ton) China Energy Statistics Yearbook

1.2 Vol. of coal consumption for daily living (ton)


1.3 Yearly no. of urban households using coal for daily living


1.4 Yearly vol. of consumption for daily living of urban residents (ton)









Outcome Level

1. Enhancing the transportation capacity of gas pipelines in project areas

1.1 Length of pipelines (oil)\refined oil product \natural gas)(km)


1.2 Length of constructed indoor pipelines for gas distribution (km)


1.3 Area of pipeline network coverage (m3)


1.4 Ratio of vol. of pipeline transportation (m3) to total vol. of transportation (%)


1.5 Vol. of transportation to outer-regional pipelines (m3)


2.1 No. of constructed natural gas storage stations



164


Outcome Level

2. Enhancing the storage capacity of project areas

2.2 No. of constructed natural gas distribution stations


2.3 No. and capacity (m3) of constructed gas containers


3. Expanding the usage scope of pipeline gas in project areas

3.1 Newly increased no. of users of pipeline liquidized petroleum gas


3.2 Newly increased no. of users of pipeline natural gas


3.3 Penetration rate of urban gas (%) China Statistics Yearbook\Project Progress Report

3.4 Population using liquidized petroleum gas (10,000 persons)

China Statistics Yearbook\Project Progress Report

3.5 Population using natural gas (10,000 persons)

China Statistics Yearbook\Project Progress Report







4.4 Vol. of industrial dust discharge (10,000 tons)


4.5 Vol. of COD discharge (10,000 tons) China Environment Statistics Yearbook\China Statistics Yearbook




165

6. Energy utility services


Impact Level

1. Promoting the sustainable economic development of project areas

1.1 Total industrial output value (measured @ RMB10,000) and year-on-year growth (%)


1.2 Total agricultural output value (measured @ RMB10,000) and year-one-year growth (%)


1.3 Total fixed asset investment in energy, of which that used for centralized heat supply/pipeline natural gas/household energy (measured @ RMB10,000)

China Fixed Asset Investment Yearbook\China Energy Statistics Yearbook

1.4 Ratio of energy fixed asset investment to total fixed asset investment (%)

China Fixed Asset Investment Yearbook\China Energy Statistics Yearbook

1.5 Energy fixed asset investment made by non-state owned enterprises (measured @ RMB10,000)


1.6 Ratio of energy fixed asset investment by non-state enterprises to total fixed asset investment (%)


1.7 Per capita disposable income of urban residents (RMB/year)


1.8 Per capita net income of rural residents (RMB/year)



166


Impact Level

2. Enhancing the level of health of project areas

2.1 No. of people with respiratory diseases and mortality rate (%)


2.2 No. of people with lung cancer and mortality rate (%)


2.3 No. of current patients of regional fluorine and arsenic poisoning (coal polluting type) and ratio to total population (%)


2.4 Time of occurrence of gas poisoning (time/year)


2.5 Death tolls from gas poisoning (person-time)


3. Improving the living standards of people in project areas

3.1 Year-on-year comparison of residents’ electricity rates (RMB/KWH)


3.2 Electricity rates of urban and rural residents


3.3 Total newly increased vol. of power for daily living (KWH)









167


Impact Level


Outcome Level

1. Expanding the energy supply capacity of project areas

1.1 Newly increased vol. of natural gas supply (cubic meter)


1.2 Newly increased vol. of consumption of natural gas for daily living (cubic meter)


1.3 No. of increased population using natural gas (10,000 persons)


1.4 Urban gas penetration rate (%) China Energy Statistics Yearbook\XXProvincial Statistics Yearbook

1.5 Urban steam supply capacity for centralized heat supply (ton/hour) or hot water (w) supply capacity


2. Enhancing the efficiency in heating supply to save energy

2.1 Newly increased no. of households using centralized heating


2.2 Newly increased no. of people using centralized heating


2.3 Coverage scope of centralized heating (10,000 square meters)


2.4 Coal consumption (10,000 tons) China Energy Statistics Yearbook\XXProvincial Statistics Yearbook

3. Reducing waste gas discharge of project areas to protect the environment

3.1 Vol. of industrial waste gas discharge (100 million standard cubic meters)



3.3 Vol of smoke dust (10,000 tons) China Environment Statistics Yearbook\China Statistics Yearbook


168


Outcome Level

3.4 Vol. of industry dust discharge (10,000 tons)


3.5 Vol. of COD discharge (10,000 tons) China Environment Statistics Yearbook\China Statistics Yearbook



4. Increasing the level of power consumption of residents in project areas to improve the quality of people′s life

4.1 Newly increased vol. of power consumption for daily living (KWH)


4.2 Vol. of power consumption for daily living of urban residents (KWH)


4.3 Vol. of power consumption for daily living of rural residents (KWH)



169

7. Energy efficiency and conservation


Impact Level

1. Enhanced efficiency in energy use leading to the economic development of the project areas

1.1 Vol. of energy consumption per RMB10,000 GDP (ton standard coal/RMB10,000)


1.2 Energy consumption per RMB10,000 industrial value added (ton standard coal/ RMB10,000)


1.3 Total vol. of coal consumption (10,000 tons standard coal)

XXProvincial Statistics Yearbook\China Energy Statistics Yearbook

1.4 Industrial value added of various coal sectors and growth (%)


1.5 Ratio of industrial value added of various coal sectors to the total industrial value added (%)


1.6 Coal fixed asset investment (measured @ RMB10,000) and growth (%)


2. Strengthening investment in coal development and utilization to reduce the direct dependence on original coal

2.1 Total energy fixed asset investment (measured@ RMB10,000)

China Energy Statistics Yearbook\Project Progress Report

2.2Total fixed asset investment for energy technology innovation (measired @ RMB10,000)

China Energy Statistics Yearbook\Project Progress Report

2.3 Coal used for secondary processing and conversion in power generation/heat supply/gas making/cleaned coal (10,000 tons)


2.4 Vol. of coal consumption (10,000 tons)



170


Impact Level








Outcome Level

1. Enhancing the level of energy development and utilization

1.1 Vol. of CBM power generation (KWH) Project Progress Report1.2 Vol. of gangue power generation (KWH) Project Progress Report

1.3 Yearly production of gangue products (gangue hollow brick, gangue cement, composite fertilizers)


1.4 Newly increased vol. of gangue heat generation for the use of residents (K-Joule)


1.5 Vol. of IGCC power generation (KWH) Project Progress Report

1.6 Ratio of coal used in the input for secondary processing and conversion (%)


2. Providing reliable CMB for industrial and commercial enterprises in project areas to realize the sustainable development their energy supply and enhance the safety of coal mines

2.1 Newly increased no. of residential sub-districts using coal gas Project Progress Report

2.2 Newly increased no. of households using coal gas Project Progress Report

2.3 Newly increased no. of industrial and commercial enterprises using coal gas Project Progress Report

2.4 Vol. of artificial coal gas consumption (10,000 m3)


2.5 Vo. of artificial coal gas consumption for family use (10,000 m3)



171


Outcome Level

3. Enhancing the capacity of enterprises in project areas in participating in CDM projects and reducing GHG emissions

3.1 No. of completed carbon exchange projects


3.2 Yearly decreased vol. of CO2 discharge through carbon exchange


3.3 Fund income garnered from carbon exchange (RMB)


4. Reducing the waste gas discharge in project areas



4.2 Vol. of SO2 discharge (10,000 tons)China Environment Statistics Yearbook



4.4 Vol. of industrial dust discharge (10,000 tons )


4.5 Vol. of COD discharge (10,000 tons )China Environment Statistics Yearbook



5. Encourage capital of non-governmental sources to participate in the development and utilization of CBM in project areas

5.1 Investment by private sectors in the CBM project construction through stock capital participation (measured @ RMB10,000s)


5.2 Investment by private sectors in the CBM project construction in the form o f creditors’ rights (measured @ RMB10,000s)



172


Outcome Level

5.3 Loans issued by domestic commercial banks to the CBM project construction (measured@ RMB10,000s)


6. Enhancing the capacity of project areas in developing and utilizing CBM to increase their capacity in supplying coal gas

6.1 Newly increased production of CBM (m3/year)


6.2 Coverage of CBM distribution system (m2)


6.3 Installed capacity of CBM power generation (MW)


6.4 Vol. of CBM power generation (KWH) Project Progress Report

6.5 Vol. of industrially used DBM power generation (KWH)


7. Enhancing the capacity in utilizing coal gangue

7.1 Installed capacity of gangue power generation (MW)


7.2 Vol. of gangue processing (ton/year) Project Progress Report

7.3 Decreased gangue area (mu) Project Progress Report

7.4 Vol. of recalled coal (10,000 tons) Project Progress Report

7.4 Rate of comprehensive gangue utilization (%)


8. Increasing the scope of implementation of energy saving plans and the scale of energy saving

8.1 No. of target buildings/institutions participating in energy saving plans


8.2 No. of energy saving equipment installed in target buildings/institutions


8.3 Total vol. of saved power by target buildings/institutions (GWh/year)



173


Outcome Level

9. Expanding the size of investment by private sectors in CBM projects

9.1 Increased investment by private sectors in CBM projects (RMB,%)


9.2 Increased fund support of domestic commercial banks to DBM project (RMB, %)


9.3 No . of non-state owned enterprises and domestic commercial banks investing in CBM development and utilization projects


9.4 Verifications of reasonable CBM power generation price

Project area network power price schedule

10. Enhancing the level of clean coal power generation in project areas

10.1 Vol. of thermal power generation (KWH/Year) and growth (%)


10.2 Suppliable vol of power (KWH/Year) and growth (%)


10.3 Vol. of power consumption (KWH/Year) and growth (%)


10.4 Per capita power consumption (KWH/Year)


10.5 Vol. of power consumption for daily living (KWH/Year)


10.6 Per capita power consumption for daily living (KWH/year)


11. Enhancing the capacity of project areas to conduct CDM projects

11.1 No. of completed renewable energy projects of carbon exchange

Project Progress Report\Documents on carbon exchange projects


174


Outcome Level

11.2 Decreased vol. of CO2 discharge through carbon exchange (ton/year)


11.3 Funds for emissions education garnered through carbon exchange (measured @ RMB10,000s)



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Case Study of Energy Project— Gansu Clean Energy Development Project

This project was implemented in Gansu Province. The main target of the project was to improve the environment of Zhangye City through providing clean energy. The project′s three main contents included building the 98MW runoff hydropower station (Xiaoshushan Hydropower Station), upgrading the power grid to provide more reliable power, and conducting capacity building for the implementing agency. The project started from October 2003 and ended in October 2007. The investment of the project totaled US$87 million, of which US$35 million was ADB loans, and US$52 million was domestic investment, co-invested by domestic commercial banks loans and Heihe Hydropower Development Company, Zhangye Bureau of Hydropower, and Gansu Yinlong Construction Company.


Impact

1. Promoting the sustainable social and economic development of project areas in Zhangye City

1.1 During 2005-2009, Zhangye City′s GDP reached 8% and it is estimated that its growth will reach 6% during 2010-2014.

Zhangye City Statistics Yearbook\Gansu Provincial Statistics Yearbook

1.2 During 2005-2009, Zhangye City’ per capital net income of its urban residents grew at 5%-7%, and at 8% during 2010-2014.


1.3 In 2009, total investment of Zhangye City in controlling environmental pollution was XX (measured @ RMB10,000), accounting X% of its GDP.


1.4 In 2009, investment driving clean energy related industries amounted to XX (measured @ RMB10,000) .



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Impact

2. Promoting the clean energy development of Zhangye City

2.1 In 2009, Zhangye City′s hydropower generation was XX (KWH), the coverage reaching XX%.


2.2 In 2009, Zhangye City′s hydropower generation increased XX% year on year, a growth of XX percentage points over 2006


2.3 In 2010, Zhangye City′s hydropower consumption will reach XX (KWH).


2.4 In 2009, Zhangye City′s hydropower consumption increased by xx percentage points over 2006.


2.5 In 2009, Zhangye City′s power grid volume of power transmission was xx (KWH).


Outcome

1. Increasing the clean energy consumption of Zhangye City to raise the efficiency and reliability in its power supply

1.1 In 2005, the yearly time of power restrictions was reduced by XX hours.


1.2 In 2005, the growth rate of Zhangye City′s power consumption reached 11.8%, and it is estimated that it will reach 8% in 2010.

Zhangye City Statistics Yearbook

1.3 It is estimated that in 2009, Zhangye City′s per capita power consumption will increased to 1,119KWh and to 1,644KWh in 2014.

Zhangye City Statistics Yearbook


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Outcome

2. Improving the environmental quality of Zhangye City

2.1 The no. of days with air quality reaching above Category II level in Changye City reaches XX days.

Gansu Provincial Monthly Report on Environmental Quality

2.2 The concentration of inhalable particles in Zhangye City reaches below XXmg/m3.

Gansu Provincial Statistics Yearbook

2.3 The concentration of SO2 in Zhangye City reaches below xxmg/m3.


2.4 The concentration of NO2 in Zhangye City reaches below XXmg/m3.


3. Improving the living standards of rural residents in Zhangye City

3.1 The electricity rate of rural areas in Zhangye City XX from RMB/KWH in 2003 to RMB/KWH in 2007.

Zhangye City Electricity rate Schedule

3.2 In 2003, the power consumption for daily living of rural households was XXKWH, and it increased to XX KWH in 2009.


3.3 In 2003, the household users of electric power in rural areas were XX households, which increased to XX households in 2009.


4. Conducting capacity building for the implementing agency

4.1 No. of staff trained for the implementing agency.


4.2 No. of staff of the implementing and executing agencies trained



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Outcome

4.3 Person-time of technical training for staff of the implementing and executing agencies (person)


4.4 Providing technical assistance to project management office


Outputs

1. Enhancing the capacity of project areas in clean energy production to connect to the regional power grid.

1.1 By 2007, river dams and canals for 2*40MW and 1*18MW hydropower generating units were revamped.


1.2 By 2007, two power transmission lines of 19KM long and 110 KV were built to connect to the transformer substations


1.3 By 2007, installed capacity of hydropower stations increased by 110MW.


1.4 By 2007, the power transmission increased XXGWh, with the proportion increase XX percentage points.


1.5 By 2007, the volume of power provided to this region increased XXGWh.


1.6 The newly increased no. of townships with access to electricity, XX; villages with access to electricity, XX; households with access to electricity, XX.


2. Shutting down old coal power station to improve environmental quality

2.1 By 2007, old small coal power stations were shut down, with the installed capacity totaling 8.5MW.



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Outputs

3. Enhancing the reliability in rural power grids

2.2 The environmental control project will be fully implemented.


3.1 By 2007, rural households in 23 counties were using power through the power grid distribution


3.2 By 2007, XX rural households in 23 counties were using power through power distribution


3.3 By 2007, rural households in 23 counties increased the number of big consumer items owned by per 100 households (washing machine, refrigerator and AC) (unit)


4. Implementing institutional reform in the power authorities to enhance service quality

4.1 Training will be conducted XX person- times to the power service organizations in 3 poverty towns and villages.


4.2 Technical training of XX person times will be provided to Xiaohushan Hydropower Company (the implementing agency).


4.3 Establishing the professional management system for Xiaohushan Hydropower Company (the implementing agency).


4.4 By 2008, a stable management system was established for Xiaohushan Hydropower Company.


References

181

References

1. ADB. 2006. Guidelines on Preparing a Design and Monitoring Framework

2. ADB. Project Performance Management System, Bank Policies and Operational Procedures, Operations Manual

3. ADB. 2006. An Introduction to Results Management: Principles, Implications, and Applications

4. ADB. 2008. Country Partnership Strategy: People’s Republic of China, 2008-2010

5. ADB. 2009. Staff Instruction for the Revised Project Classification System

6. Research Institute for Fiscal Science, Ministry of Finance, 2006. Managing for Development Results (MfDR) – Principles of Action and Experiences, Economic Management Press

7. Linda G. Morra Imas, and Ray C. Rist, 2009. The Road to Results: Designing and Conducting Effective Development Evaluations, the World Bank.

8. The World Bank. 1996. Performance Monitoring Indicators: A handbook for task managers

9. The World Bank. 1999. Environmental Performance Indicators, A Second Edition Note, Environment Department Papers

10. The World Bank. 2006. Physical Cultural Resources, Bank Policies and Operational Procedures, Operations Manual

11. National Center for Science and Technology Evaluation. Glossary of Key Terms in Evaluation and Results Based Management, OECD

12. Soniya Carvalho, and Howard White. 1994. Designing Performance Indicators to Monitor Poverty Reduction, a ESP Discussion Paper, The World Bank.

13. Guillermo Yepes, and Augusta Dianderas. 1996. Water and Wastewater Utilities, Indicators 2nd Edition, The World Bank.


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14. ADB. 2009. Energy Policy, A Policy Paper

15. National Bureau of Statistics, China Statistics Yearbook

16. Department of Population and Employment Statistics of National Bureau of Statistics, China Population Statistics Yearbook

17. Department of Population and Employment Statistics of National Bureau of Statistics, China Labor Statistics Yearbook

18. Department of Industrial Statistics of National Bureau of Statistics, China Industrial Economy Statistics Yearbook

19. Department of Fixed Asset Investment Statistics of National Bureau of Statistics, China Fixed Asset Investment Yearbook

20. Department of Urban Social and Economic Survey of National Bureau of Statistics, China Urban Statistics Yearbook

21. Department of Urban Social and Economic Survey of National Bureau of Statistics, China Urban Life and Price Yearbook

22. Department of Rural Social and Economic Survey of National Bureau of Statistics, China County Statistics Yearbook

23. Department of Rural Social and Economic Survey of National Bureau of Statistics, China Yearbook of Agricultural Price Survey

24. Department of Rural Social and Economic Survey of National Bureau of Statistics, China Rural Poverty Monitoring Report

25. National Bureau of Statistics, China Tertiary Industry Statistics Yearbook

26. National Bureau of Statistics, China High-Tech Enterprises Statistics Yearbook

27. National Bureau of Statistics, China Science and Technology Statistics Yearbook

28. National Bureau of Statistics and Ministry of Environmental Protection (formerly, State Environmental Protection Administration), China Statistics Yearbook on Environment

29. Department of Energy Statistics of National Bureau of Statistics and National Development and Reform Commission, China Energy Statistics Yearbook

30. PRC Ministry of land and Resources, China Statistics Yearbook on Land and Resources

References

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31. PRC Ministry of land and Resources, China Yearbook on Geological Environment Monitoring

32. PRC Ministry of Water Resources, China Water Conservancy Yearbook

33. PRC Ministry of Water Resources, China Water Resources Bulletin

34. PRC Ministry of Transport, China Transport Yearbook

35. PRC Ministry of Transport, China Ports Yearbook

36. PRC Ministry of Railway, China Railway Yearbook

37. PRC Ministry of Agriculture, China Agricultural Statistics Yearbook

38. PRC Ministry of Agriculture, China Rural Statistics Yearbook

39. PRC Ministry of Agriculture, China Forestry Yearbook

40. PRC Ministry of Agriculture, China Animal Industry Yearbook

41. PRC Ministry of Public Security, China County Population Statistic Data

42. PRC Ministry of Housing and Urban-Rural Construction, Annual Statistic Report on China Urban Construction

43. PRC Ministry of Housing and Urban-Rural Construction, China Statistics Yearbook on Urban Construction

44. PRC Ministry of Health, China Healthcare Statistics Yearbook

45.PRC M inistry of Environmental Protection (formerly, State Environmental Protection Administration), Annual Statistic Report on China Environmental Protection

46. PRC M inistry of Environmental Protection (formerly, State Environmental Protection Administration), China Environment Yearbook

47. State Bureau of Oceanic Administration, China Oceanic Statistics Yearbook

48. National Tourism Administration, China Tourism Statistics Yearbook

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About the Asian Development Bank

ADB's vision is an Asia and Pacific region free of poverty. Its mission is to help its developing member countries substantially reduce poverty and improve the quality of life of their people. Despite the region's many successes, it remains home to two-thirds of the world's poor: 1.8 billion people who live on less than $2 a day, with 903 million struggling on less than $1.25 a day. ADB is committed to reducing poverty through inclusive economic growth, environmentally sustainable growth, and regional integration.

Based in Manila, ADB is owned by 67 members, including 48 from the region. Its main instruments for helping its developing member countries are policy dialogue, loans, equity investments, guarantees, grants, and technical assistance.

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