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Environmental Assessment Monitoring Report

Project Number: 45030-002 June 2017

PRC: Yunnan Sustainable Road Maintenance (Sector) Project

Prepared by the Yunnan Highway Administration Bureau for the People’s Republic of China and the Asian Development Bank

This environmental monitoring report is a document of the borrower. The views expressed herein do not necessarily represent those of ADB's Board of Directors, Management, or staff, and may be preliminary in nature.

In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.

Asian Development Bank

Environmental Safeguard Assessment Report

Project Number: 45030

June 2017

PRC: Yunnan Sustainable Road Maintenance (Sector) Project-

Proposed Phase IV Subproject

(For six road sections of national or provincial highway G248,

S240, S325, S242, S235 and G324 in five prefectures of Yunan

Province)

For the Asian Development Bank

Prepared by the Yunnan Highway Administration Bureau

Table of Contents

Acknowledgements ...... 9 Executive Summary ...... 10

I. Background ...... 13 II. Descriptions of the Subcomponents in Phase IV and Domestic Approval Status ...... 18 III. Environmental Assessment for Road Maintenance-Phase IV ...... 22 Step 1 Environmental Screening ...... 23 Step 2 Scoping ...... 23 Step 3 Identifying Baseline Conditions ...... 36 A. Environmentally Sensitive Areas, Rare and Endangered Species ...... 51 B. Hydrology and Surface Water Quality ...... 51 C. Air Quality and Noise ...... 52 D. Archaeological, Historical Treasures and Scenic Areas ...... 57 Step 4 Impact Prediction ...... 57 Step 5 Public Consultations and Information Distribution ...... 63 Step 6 Preparation of the Environmental Management Plan (EMP) ...... 67 Step 7 Reviewing Capacity for Environmental Management ...... 67 Step 8 Estimating Mitigation, Monitoring and Training Costs ...... 68 Step 9 Reporting and Document Production ...... 68 IV. Conclusions ...... 69

Appendices: Appendix I List of Environmental Sensitive Receptors ...... 70 Appendix II Likely Impacts and Mitigation Measures and Monitoring for Road Maintenance Activities Proposed for Phase IV Subproject Roads ...... 76 Appendix III List of Persons Consulted ...... 77 Appendix IV Sample Environmental Clauses for Inclusion in Contract Documents ...... 83 Appendix V Environmental Costs ...... 88 Appendix VI Mainly Related Reports And Approval Status ...... 91

Tables, Figures and Pictures

Table 1 Road Sections for Maintenance during the Phase I and II Subprojects and Project Progress (as of March 2017) ...... 14 Table 2 Road Sections Proposed for Maintenance during the Phase IV of the Project ...... 19 Table 3 Domestic EIA Institutes and Approval Authorities for Phase IV Subproject ...... 21 Table 4 Environmental Quality Standards for Surface Water (GB3838-2002) ...... 51 Table 5 Standards for Irrigation Water Quality (GB5084-2005) ...... 52 Table 6 The Results of Water Quality Monitoring ...... 52 Table 7 Comparison of the PRC’s GB 3095-1996, GB 3095-2012, ...... 53 Table 8 Ambient Air Quality along the roads before construction ...... 53 Table 9 Acoustic Environmental Quality Standards (GB3096-2008) ...... 55 Table 10 Noise Monitoring Results ...... 55 Table 11 Environment Categorization Checklist ...... 58 Table 12 Prediction result of traffic noise of G248 section ...... 60 Table 13 Prediction result of traffic noise of S240 section ...... 60 Table 14 Prediction result of traffic noise of S325 section ...... 61 Table 15 Prediction result of traffic noise of S242 section ...... 61 Table 16 Prediction result of traffic noise of S325 section ...... 61 Table 17 Prediction result of traffic noise of G324 section ...... 62 Table 18 Numbers of Local Attendees ...... 66 Table 19 Summary of Issues Raised and Actions ...... 66

Table A1- 1 Environmental Sensitive Receptors alongside G248 road section ...... 70 Table A1- 2 Environmental Sensitive Receptors alongside S240 road section ...... 71 Table A1- 3 Environmental Sensitive Receptors alongside S325 road section ...... 72 Table A1- 4 Environmental Sensitive Receptors alongside S242 road section ...... 73 Table A1- 5 Environmental Sensitive Receptors alongside S235 road section ...... 74 Table A1- 6 Environmental Sensitive Receptors alongside G324 road section ...... 75

Table A3- 1 List of Persons Consulted for G248 Road Section ...... 77 Table A3- 2 List of Persons Consulted for S240 Road Section ...... 78 Table A3- 3 List of Persons Consulted for S325 Road Section ...... 79 Table A3- 4 List of Persons Consulted for S242 Road Section ...... 80 Table A3- 5 List of Persons Consulted for S235 Road Section ...... 81 Table A3- 6 List of Persons Consulted for G324 Road Section ...... 82

Table A5- 1 Estimated costs for ESSU establishment, environmental assessment preparation and annual operation ...... 88 Table A5- 2 Estimates of Costs for International Consultant Support for ESSU ...... 89 Table A5- 3 Estimates of Costs for Implementation of Construction Environmental Measures ...... 89 Box 1 Profiles of Luliang County ...... 24 Box 2 Profiles of Shizong County...... 29

Box 3 Profiles of Yongde County ...... 32 Box 4 Profiles of Wenshan City ...... 37 Box 5 Profiles of Shidian County ...... 42 Box 6 Profiles of Chenggong District ...... 47

Figure 1 Elevation variation of the G248 road section ...... 24 Figure 2 Weather profile of Qujing Prefecture where Luliang County (G248 road section) and Shizong County(S240 road section) situates ...... 26 Figure 3 Surrounding conditions of the G248 road section ...... 28 Figure 4 Elevation variation of the S240 road section ...... 29 Figure 5 Surrounding conditions of the S240 road section ...... 31 Figure 6 Elevation variation of the S325 road section ...... 32 Figure 7 Weather profile of Lincang Prefecture where Yongde County situates ...... 34 Figure 8 Surrounding conditions of the S325 section...... 36 Figure 9 Elevation variation of the S242 road section ...... 37 Figure 10 Weather profile of Wenshan Prefecture where Wenshan City situates ...... 39 Figure 11 Surrounding conditions of the S242 section ...... 41 Figure 12 Elevation variation of the S235 road section ...... 42 Figure 13 Weather profile of Baoshan Prefecture where Shidian County situates ...... 44 Figure 14 Surrounding conditions of the S325 section ...... 46 Figure 15 Elevation variation of the G324 road section ...... 47 Figure 16 Weather profile of Kunming City where Chenggong District situates ...... 49 Figure 17 Surrounding conditions of the G324 road section ...... 51 Figure 18 Opeartional noise attenuation curves (G248 as example) ...... 62 Figure 19 Domestic EIA Information Disclosure on EPB’s Website ...... 65

CURRENCY EQUIVALENTS ( as of 25 June 2017, from website of Bank of China)

Currency unit – Yuan (CNY) CNY1.00 = $ 0.1465 $1.00 = CNY 6.8238

NOTE

In this report, "$" refers to US dollars.

ABBREVIATIONS ADB – Asian Development Bank AP – Affected Person or People CEWP – Construction Environmental Work Plan CIEE – Consolidated Initial Environmental Examination dBA – A measure of audible (the ear) noise EA – Executing Agency EARF – Environmental Assessment Review Framework EIA – Environmental Impact Assessment EMP – Environmental Management Plan EPB – Prefecture Environmental Protection Bureau ESSU – Environmental , Safety and Social Unit GRM – Grievance Redress Mechanism (Process) IA – Implementing Agency IEE – Initial Environmental Examination km – Kilometer MEP – PRC’s Ministry of Environmental Protection MOT – Ministry of Transport NGO – Non-Government Organization NPC – National People’s Committee PMO – Project Management Office PMU – Program Management Unit PPTA – Project Preparation Technical Assistance RAMSAR – The Convention in Wetlands of International Importance PRC – People’s Republic of China RoW – Right of Way SC – YPDOT’s Project Steering Committee SPS 2009 – ADB Safeguard Policy Statement, June 2009 UNESCO – United Nations Environmental and Cultural Organization USD – United States Dollar YEPB – Yunnan Environmental Protection Bureau YHAB – Yunnan Highway Administration Board YHDIC – Yunnan Highway Development and Investment Co. Ltd. YPDOT – Yunnan Provincial Department of Transport YPG – Yunnan Provincial Government YSRI – Yunnan Science and Technology Research Institute of Highways YTPRDI – Yunnan Transport Planning and Design Research Institute YTSRI – Yunnan Transportation Science and Research Institute

Map of Project Roads (phase IV)

G324 (K2502 + G248(K582+12 830 - K2513 + 7—K600+127) S235 (K0 + 000 658) in Kunming in Qujing ~ K18 + 000) In Baoshan

S240(K73 + 000 ~ K83 + 400) S325(K88+035~ in Qujing ~K118+035) In Lincang S242(K0+000 ～ K38+000) in Wenshan

Note: subproject road alignments (125.23km, 6 road sections in five prefectures), for details see Chapter III. Source: Based on Phase IV Subprojects Screening Result – First Stage Submission, June 2017,YHAB and YSRI.

G248 S240

S325 S242

S325 G324

Source: Based on Baidu Map (2017), prepared by the LIEC

Acknowledgements The team that prepared this report consisted of national environmental specialists, as well as one YHAB specialists being trained on the job to undertake field surveys and complete future environmental assessments for maintenance subprojects. Provincial, prefecture and county staff of YHAB and YSRI devoted considerable time and effort to consultation and information collection for this study. Local citizens along the road section right of ways (RoWs) were consulted to identify their environmental concerns and provided many valuable inputs which were very much appreciated. Many of their comments are reflected in this report. The ADB project environmental specialist and project officer both participated in the preparing/reviewing of this report, and their inputs are acknowledged.

EXECUTIVE SUMMARY

The Yunnan Sustainable Road Maintenance Project (the Project) is located in Yunnan Province in the People’s Republic of China. The Yunnan Department of Transport (YPDOT) is the executing agency and the Yunnan Highway Administration Bureau (YHAB) the implementing agency. The latter manages non-tolled national highways, provincial roads and important county roads in the province. Condition of the network has been deteriorating resulting in a reduced level of service and safety, increased transport costs and environmental degradation.

The Project includes four outputs: maintenance of 850 km of national, provincial and county roads (Output 1); pilot of performance-based maintenance contracts (Output 2); development of a road asset management system (Output 3); and institutional development to enhance the performance and sustainability of YHAB road maintenance (Output 4). Maintenance activities will be implemented over five years in four phases.

The outcome of the Project will be more sustainable management of the local road network in Yunnan. The project aims to: (i) improve the condition of the YHAB road network; (ii) increase the proportion of the YHAB road network receiving maintenance; (iii) strengthen YHAB’s capacity and operational performance; and, (iv) reduce the gap between estimated maintenance needs and available resources.

The Phase I subproject is classified as environment Category B since there will be limited, generally site-specific impacts that are largely reversible and that can be readily addressed through mitigation measures. An Initial Environmental Examination (IEE) and Environmental Management Plan (EMP) had been prepared for Phase I maintenance works, in accordance with ADB Safeguard Policy Statement 2009. Phase I covers 10 road sections, associated with nine subprojects in six prefectures, of a total length of 276 km.

Both the Phase II and III subprojects are classified as environment Category C since it is likely to have minimal or no adverse environmental impacts. During Phase II, maintenance is for 4 road sections in 3 prefectures in Yunnan province, at a total length of 292.86 km. During Phase III, maintenance is proposed for 11 road sections in 5 prefectures in Yunnan province, at a total length 291.947 km. The work will be confined to maintenance activities within existing RoWs. Much of the work will be minor, such as replacement of guard rails, painting of road markings, and repair of potholes. Most roads will have sections of pavement replaced and their horizontal alignments raised to reduce flooding. All construction earthwork materials used, including aggregate, quarry rock, concrete, and asphalt will be purchased from existing licensed operations located as close as possible to the work areas. No new facilities or access roads will be necessary.

During Phase IV, maintenance is proposed for 6 road sections in 5 prefectures in Yunnan province. On the basis of the shortlisted 18 km sections, YHAB proposes the most suitable subprojects of 125.23 km as final Phase IV subprojects. The Phase IV subprojects include:

 96.4 km (two sections in Qujing, one section in Lincang and one section in Wenshan) jointly funded by ADB and YHAB with total estimated cost of USD 23.74 million (or CNY 162.00million equivalent) and ADB’s contribution at USD 14.72 million (62% of total expenditure); and  28.83 km (one section of S235 in Baoshan and one section of G324 in Kunming) fully funded by YHAB with total cost estimated at CNY 63.80million or USD 9.35 million equivalents.

The proposed works will be confined to maintenance activities within existing RoWs. Much of the work will be minor, such as replacement of guard rails, painting of road markings, and repair of potholes. Most roads will have sections of pavement replaced and their horizontal alignments raised to reduce flooding. All construction earthwork materials used, including aggregate, quarry rock, concrete, and asphalt will be purchased from existing licensed operations located as close as possible to the work areas. No new facilities or access roads will be necessary.

A method for screening the environmental impacts and risks associated with proposed maintenance subprojects was used according to the IEE for Phase I subproject and the EARF developed at appraisal stge. This method was used to screen the 6 proposed road sections. All the 6 proposed road sections of the Phase IV are classified as environment Category C since it is likely to have minimal or no adverse environmental impacts.

As the works will be confined to the RoW of operating national, provincial and county roads, there will be no impacts on environmentally sensitive features. Phase IV maintenance works will all be conducted within the RoW, which will not have impacts on sensitive sites.

There will be no drilling or damage blasting, and no known groundwater recharge areas will be affected; therefore, groundwater aquifers will not be impacted. No environmentally sensitive or culturally significant areas will be disturbed. There will be no need for excavation of new side slopes or new borrow areas or construction of new bridges.

The impacts during construction include temporary noise and dust pollution of short duration. The bridge works will only involve pavement replacement.There will be no other maintenance work over water or within 500 m of any watercourse, so risk of surface water contamination is not considered significant, however care should be taken during the rainy season. The proposed restoration of drainage culverts will reduce future erosion and flooding impacts.

The maintenance work associated with these 6 road sections will involve replacing asphalt pavement, clearing ditches, repairing shoulders and filling cracks in the

pavement, which will generate dust. Mitigation will include dust suppression measures, and prevention of spillage from trucks hauling materials and road cleanup.

Most areas in the 6 road sections go through are farm land or mountainous areas, where a few residential areas are scattered along the roads. There may be minor negative environmental impacts to local communities, such as construction noise and dust, however, these impacts will be short-term and will be mitigated by the mitigation measures according to the EMP.

The maintenance work will have a number of important benefits, as expressed by roadside residents during the public consultation program, including: reduced travel time to markets and services; improved public transport due to the attraction of providers to an improved road network; and significant reduction of road dust, resulting in less crop damage and fewer respiratory problems. With a significant road safety program targeting roads and communities1, improved safety on subproject roads passing through urban areas is anticipated.

The Environmental Management Plan (EMP), prepared at appraisal, will be still applicable for these subprojects’ maintenance works, which covers 6 road sections, of a total length of 124.8 km.

Prior to loan effectiveness, YHAB set up an Environment, Social and Safety Unit (ESSU) under its maintenance division, with support of consultants, funded by ADB. This unit provides training and guidance on environmental, social and road safety assessment, management and monitoring for YHAB periodic, maintenance and rehabilitation works. Training helps improve the environmental capacity of YHAB and its contractors. Further, this training should ensure that the risk of environmental impacts during the proposed maintenance works is minimised and opportunities for environmental benefits are maximised.

This Environmental Safeguard Assessment Report and EMP provides YHAB with a comprehensive assessment of environmental impacts associated with all 6 road sections proposed during Phase IV and sets out all necessary environmental management measures for design and implementation.

Environmental clauses based on the templates provided in the Environmental Assessment and Review Framework will be included in contracts for Phase IV works to ensure that Contractors are aware of and committed to implementing environmental requirements associated with the works.

No further surveys or studies will be required for Phase IV subprojects as long as there are no major changes in the type and location of maintenance activities proposed.

1Based on the consultant’s studies and implementation procedures found in the 2012 Road Safety Operational Manual prepared for YHAB as part of this project. 12

I. Background

1. Purposes and Objectives. In accordance with ADB’s Safeguard Policy Statement (SPS) 2009, PRC environmental legislation and standards and the Project Environmental Assessment and Review Framework (EARF), this report has been prepared to provide YPDOT, YHAB and their associated units and institutes with guidance on environmental assessment and management of future road maintenance activities to be undertaken on national and local roads as part of Phase IV of this Project.

2. Background of the Whole Project. The Yunnan Sustainable Road Maintenance Project (the Project) is located in Yunnan Province in People’s Republic of China (PRC). The Yunnan Highway Administration Bureau (YHAB) manages non-tolled national highways, provincial roads and important county roads. Given the strong focus on expressway network expansion in recent years, funding available for local road improvement and maintenance has been limited and condition of the network has deteriorated. The Project with loan amount of $80 million was approved by ADB on 9 December 2013. The Loan and Project Agreements were signed on 30 May 2014. The loan became effective on 7 August 2014. By completion of the Project, there will be four phases of roads. Currently, only Phase I，II and III subprojects are in implementation.

3. Progress Summary of Phase I，II and III Subprojects. By March 2017:

Phase I contracts were signed in middle of 2014 and the subproject has been completed except 2 performance based contracts in maintenance stages;

Phase II subprojects contracts were signed in Dec 2015 and officially started civil works in Jan 2016; and the subproject is still in implementation

Phase III subproject is in the late bidding process. Its bidding evaluation was submitted to ADB for review and was approved.

The progress is detailed in the below Table 1.

4. Phase I，II and III Safeguards compliance. YHAB and the environmetnal monitoring reports (EMRs, included in the project quarterly progress reports through 2014~2017) confirmed that none of the Phase I，II and III – road sections involved resettlement, environmental or indigenous people impacts and therefore Phase I，II and III -remain categories B or C consistent with the project design.

Table 1 Road Sections for Maintenance during the Phase I and II Subprojects and Project Progress (as of March 2017)

Summary of Phase I Sub-Project Progress (at end of March 2017)

ADB Financed Contracts Contract Design Procurem Current Expected Length Contract Value Disbursement Road Sections Major Works Completi ent Contractor Progress Completio （km） signing Date (10,000 from ADB on Date Method % n Date CNY) Major Dali Road & Bridge G320 Dali/Xiangyun 17 2014.3 2014.11.11 NCB 3775 100% CNY 21.411 M 2016.12 Maintenance Engineering Co. Ltd. Yunnan Lijiang Road & S211 Major 31 2014.3 2014.11.18 NCB 5007 Bridge Engineering Co. 100% CNY 29.982 M 2015.6 Kunming/Songming Maintenance Ltd. Performance- based Dali Road & Bridge G323/P Wenshan 57 2014.3 2015.10.12 NCB 6133 100% CNY 52.793 M 2017.12 Maintenance Engineering Co. Ltd. Pilot Total 105 CNY104.186 M

Note: G213a and G213b were removed from the ADB financing scope with ADB concurrence in 2013. The uncommitted loan resources can be reallocated to a later phase.

Non ADB Financed Contracts Contract Design Procurem Current Payment to Expected Length Contract value Road Sections Major Works Completi ent Contractor Progress Date (10,000 Completio （km） signing date (10,000 on Date Method % CNY) n Date CNY) G213a Yunnan Gongda Major Kunming/Jinning & 61 2013.6 2013.12.11 GPP 13601 Highway Engineering 100% 13601 2015.3 Maintenance G213b Jinning/Yuxi Technology Co. Ltd Major Dehong General X214 Dehong/Ruili 16 2013.1 2013.2.8 GPP 2000 100% 2000 2014.12 Maintenance Section G108 Major Kunming General 46 2013.6 2014.4.3 GPP 9627 100% 9627 2015.1 Kunming/Luquan Maintenance Section Lincang Highway and S321 Major 22 2014.12 2015.4.30 GPP 2415 Bridge Engineering 100% 2415.7 2015,9 Lincang/Mengdui Maintenance Corp Performance- G320-2/S234/P based Dehong General 107 2014.3 2014.11.1 GPP 2818 100% 2818 2014.12 Dehong Maintenance Section Pilot Total 252 30,461.7

Summary of Phase II Sub-Project Progress (at end of March 2017)

ADB Financed Contracts Length Contract value Current Section Competed Value (10 k CNY) ADB Disbursement （km） (10 k CNY) Progress %

S313 Yimen Shuangbai Rd. County to Chahe 57.32 11803.7 11629.19 98.52% CNY 39.562 M

CA1/Yimen/S313 30 5902.02 5815.99 98.54% ADB financing:4.8 million USD CA2/Yimen/S313 27.32 5901.68 5813.2 98.5% ADB financing: 4.8 million USD G213Yuxi Eshan to Xinping Shiyangchakou 61.56 12800.6 12056.57 94.19% CNY 55.360 M S211Kinming/Songming CA3/Eshan/G213 35.3 6896.31 6388.451 92.63% ADB financing 5.6 million USD CA4/Eshan/G213 26.26 5904.29 5668.12 96.00% ADB financing: 4.8 million USD ADB fund: 20 M USD, Total 118.88 24604.3 23685.76 96.27% received CNY 94.922 M or USD 14.06 M

Non ADB financed Contracts Length Investment (10 k Current Section Competed Value (10 k CNY) Note （km） CNY) Progress % G320 Dali Yuejing Bridge to Yongbao Bridge 91.522 13832.9 12050.97 87.12% CY1/Yangbi/G320 39.93 5346.11 4149 77.61% CY2/Yangbi/G320 16.23 3338.82 2754 82.48% CY3/Yangbi/G320 14.35 2888.18 2888.18 100% CY4/Yangbi/G320 13.62 2259.79 2259.79 100%

Length Investment (10 k Current Section Competed Value (10 k CNY) Note （km） CNY) Progress % To be Implemented by Including 7.529 Yongping County Government G320 Baoshan Yongbao Bridge to Baoshan 85.33 13774.68 8609 68.16%

CY5/Baoshan/G320 24.1 3705.67 2476.00 71.50%

CY6/Baoshan/G320 26.62 4691.01 2781.00 61.46% CY7/Baoshan/G320 34.61 5377.99 3352.00 72.20% Contract value is only for pavement works so no Total 176.99 27607.58 20659.97 74.83% progress reported in this Quarter Source: Quarterly Progress Report – 2017 Q1

Status of the Output 2 Performance-Based Road Maintenance Contracts

ADB financed contracts Section Length (km) Investment (CNY 10k) Completion(CNY 10k) Completion percentage Notes

G323/PWenshan 57 6133 5794.74 94.49%

Including:

Major repair 40 5083 5083 100%

Medium repair 17 585 585 100%

Performance contract Maintenance 57 248 20.3 8.2% in progress Domestic financed

G320-2/S234/P Dehong 107 3275.69 2674.2 81.64%

Including:

Major repair Repair 107 2473.7 2473.7 100% completed Performance contract Maintenance 107 801.99 200.5 25% in progress Source: Quarterly Progress Report – 2017 Q1

II. Descriptions of the Subcomponents in Phase IV and

Domestic Approval Status

5. During Phase IV, maintenance is proposed for 6 road sections in 5 prefectures in Yunnan province. The proposed works will be confined to maintenance activities within existing RoWs. Much of the work will be minor, such as replacement of guard rails, painting of road markings, and repair of potholes. Most roads will have sections of pavement (asphalt concrete) replaced and their horizontal alignments elevated to reduce flooding. All construction earthworks materials used, including aggregate, quarry rock, concrete, and asphalt will be purchased from existing licensed operations located as close as possible to the work areas. No new facilities or access roads will be necessary.

6. The implementation of Phase IV subproject is expected to commence in the 4th quarter of 2017 and complete by the 4th quarter of 2018, with maintenance periods ranging from 6~15 months at different road sections. Table 2 provides details of road sections where maintenance is proposed during Phase IV associated with types of maintenance proposed and sub-project environmental classification.

Table 2 Road Sections Proposed for Maintenance during the Phase IV of the Project

No. Sections and Chainage Prefecture Road Length, Subgrade Maintenance Total cost Subproject Start-end (Km) class km width (CNY, Environmental million) Classification Section: G2481 33.30 1 Qujing Class 3 18 7.5 ~ 12m Major C (K582+127—K600+127) Section: S240 16.50 2 Qujing Class 4 10.4 6.5 – 7m Major C (K73 + 000 ~ K83 + 400) Section: S3252 6.5-7m 49.50 3 Lincang Class 4 30 Major C (K88+035—K118+035) Section: S2423 62.70 4 Wenshan Class 4 38 Major C (K0+000～K38+000) 6.5-7m Section: S235 12m 39.60 5 Kunming Class 2 18 Major C (K0 + 000 ~ K18 + 000) Section: G324 24.20 6 Baoshan Class 2 10.83 Major C (K2502 + 830 - K2513 + 658) Note: to be fully funded by domestic counterpart

There are serveral numbering ruls applicable to three road numbers and their chainages above. The equivalency relationships are shown below: 1. G248 (K582+127—K600+127)= S208 (K146+916～K164+916), the latter used in the domestic EIA (Environmental Impact Registration Form) approval (Appendix VI) 2. S325 (K88+035—K118+035) = S321 (K86+075～K116+075) , the latter used in the domestic EIA (Environmental Impact Registration Form) approval(Appendix VI) 3. S242 (K0+000～K38+000) = S324(K0+000～K38+000) , the latter used in the domestic EIA (Environmental Impact Registration Form) approval(Appendix VI) Source: YHAB, June 2017

7. Domestic EIA Category and Requirements:

 Old PRC environmental impact assessment regulation. According to the Directory for the management of construction project environmental impact assessment categorization (MEP Decree [2008] No. 2) 《建设项目环境影响评价分类管理名录》环境保护部令 [2008]第 2 号, issued by the Ministry of Environmental Protection (MEP) on 2 September 2008 which became effective on 1 October 2008. Items in the table of the Decree specifies environmental impact assessment reporting for roads, requiring among others (i) a Full environment impact statement (报告书) for Class III and above roads ; (ii) an Environmental Impact Reporting Form (报告表) for roads under Class III and those involving with environmental sensitive receptors, and (iii) an Environmental Impact Registration Form (登记表) for others.  In accordance with the Management Guideline on EIA Categories of Construction Projects (MEP, 2008), the 6 road sections require the conduct of environment impact assessment documents as described in Table 3. All 6 road sections require aforementioned (iii) an Environmental Impact Registration Form ( 登记表 ) according to their potential environmental impacts. Article 16 of the PRC Law on Environmental Impact Assessment (2003) stipulates that an Environmental Impact Registration Form (登记表) is required for any capital construction project producing almost no environmental impacts.  New PRC environmental impact assessment regulation. According to the Directory for the management of construction project environmental impact assessment categorization (MEP Decree [2015] No. 33) 《建设项目环境影响评价分类管理名录》环境保护部令 [2015]第 33 号, issued by the Ministry of Environmental Protection (MEP) on 9 April 2015 which became effective on 1 June 2015. Items in the table of the Decree specifies environmental impact assessment reporting for roads, requiring among others (i) an Environmental Impact Registration Form (登记表) for road maintenance and ancillary facilities, and (ii) a Full environment impact statement (报告书) for new construction, expansion of Class III and above roads.  Consistent with the abovementioned regulation in 2008, the proposed 6 road sections maintenance activities in Phase IV , should fall within the (iii) Environmental Impact Registration Form, equivalent to ADB environment Category C, according to both the old (2008) and new (2015) Directories for the management of construction project environmental impact assessment categorization issued by MEP.  Six Environmental Impact Registration Forms respectively for six road sections of Phase IV Subproject had been prepared and approved by the local Environmental Protection Bureaus (available from Yunnan Provincial Environmental Protection Department’s website, shown in the page footnotes and the Appendix VI) through April to June 2017. In addition, an additional more detailed environmental document (not mandatory in law) on

the Phase IV subproject was prepared by Yunnan Provincial Environmental Science Research Institute Provided in May~June 2017. YHAB will mobilize resources to ensure that all domestic regulatory requirements are complied with on all Subprojects.

Table 3 Domestic EIA Institutes and Approval Authorities for Phase IV Subproject

Road Sections Type of EIA Documents EIA Approval Authority Approval Institute Date Environmental Impact Luliang County Section: G248 Not Registration Form (登记 Environmental Protection 9 June 2017 (K582+127—K600+127) applicable 表) Bureau2 Environmental Impact Shizong County Section: S240 Not Registration Form (登记 Environmental Protection 8 June 2017 (K73 + 000 ~ K83 + 400) applicable 表) Bureau3 Environmental Impact Yongde County Section: S325 Not Registration Form (登记 Environmental Protection 28 April 2017 (K88+035—K118+035) applicable 表) Bureau4 Environmental Impact Wenshan City Section: S242 Not Registration Form (登记 Environmental Protection 10 May 2017 (K0+000～K38+000) applicable 表) Bureau5 Environmental Impact Shidian County Section: S235 Not Registration Form (登记 Environmental Protection 25 May 2017 (K0 + 000 ~ K18 + 000) applicable 表) Bureau6 Section: G324 Environmental Impact Chenggong District Not (K2502 + 830 - K2513 + Registration Form (登记 Environmental Protection 8 June 2017 applicable 658) 表) Bureau7

Note: to be fully funded by domestic counterpart

2 http://61.166.240.109:5053/REG/f/announcement/view?id=7352bf11a23240aea15ddd935a253fc2 3 http://61.166.240.109:5053/REG/f/announcement/view?id=a5e2b20284d94d73b4efae9e43bdd43f 4 http://61.166.240.109:5053/REG/f/announcement/view?id=03569c88fec74273a9996e449ac05701 5 http://61.166.240.109:5053/REG/f/announcement/view?id=349980132a434ac0b2b66ca11a2e5aa2 6 http://61.166.240.109:5053/REG/f/announcement/view?id=9d97930ffffe4f15a1d7d5a9ce970a2a 7 http://61.166.240.109:5053/REG/f/announcement/view?id=f5271ba677994533b2f654bb751a5b96 21

III. Environmental Assessment for Road Maintenance-Phase IV

8. Screening requirements and procedures are described in the Environmental Assessment Review Framework (EARF), shown below as the Step 1 to 9 as shown below. YHAB conducted an environmental baseline assessment of each subcomponent to establish environmental sensitivity. YHAB reviewed the assessment results against an environmental categorization checklist to establish whether the subcomponents would be classified as Environment category A, B or C. All Category A or B sub-projects shall be excluded from ADB funding. All Category C subcomponents shall specify the environmental management plan (EMP) measures that need to be adopted. YHAB shall include all environmental protection measures identified in the EMP as contract clauses in the relevant tender documents and works contracts.

9. After discussions with relevant Divisions of YHAB, the selection of the Phase IV subcomponents should be considering the planning of the 2017~2018 yearly maintenance of YHAB, available budget, design progress and possible implementation in 2017~2018. 18 sections with total length of 1,037 km were selected as initial target sections (short-listed sections) through comprehensive studies of the first XX km priority long-listed sections. YHAB had held some meetings with local Prefecture Authorities and Transport Bureaus on some important aspects of the subprojects preparation progress including urgent needs and sequence of the maintenance, social importance, budget availability, feasibility study reports and preliminary design progress, and other possible key issues for environmental protection, social development and road safety enhancement etc to obtain the following initial target sections.

10. Project management office of YHAB submitted the above initial proposal subject list to the Directors of Planning Division of YHAB for their final feasible review and suggestions. The Directors confirmed that the best suitable subprojects are those in the above Table 2 considering the management convenience and project preparation and possible environmental impacts (all subcomponents in environmental Category C).

11. The proposed final subprojects and their maintenance levels are selected mainly considering: a. Project design criteria for Priority 1(P1), Priority 2(P2) and Priority 1(P3) classifications designated during PPTA; b. Poor pavement conditions; c. Preparation status and implementation timing; d. Counterpart budget availability; e. Expected social benefits and increased incomes from improvement; f. Limited environmental impacts (Category C expected); and g. Acceptable EIRR (over 12%) and NPV/Cost (over 5). 22

Step 1 Environmental Screening

12. Two rounds’ field survey covering all Phase IV road sections were completed between April and July 2017, including the preparation of maps and a photo record of significant environmental features. The survey involved driving the roads and noting down (referenced by chainage markings) observations on land use, environmental features, location of culverts and bridges and water courses, and sensitive roadside cultural features. These survey notes, plus any other relevant observations, were recorded for each road; and these documents are available in Appendix I and III.

13. For Phase IV subproject, YHAB only selected Category C road sections to consider possible impacts and mitigation measures for road maintenance activities proposed. This environmental assessment works is prepared following ADB’s preliminary approval before the market procurement is launched.

Step 2 Scoping

14. Recent topographic maps of the project area showing the project road(s) in relation to topography, water courses, settlement areas and preferably land-use is shown in the Map 1(in page 6) and below and used in the scoping exercise. A table, defining these parameters for each subcomponent is prepared and included in the Table 2 of Chapter I.

A.Two Roads under Qujing General Maintenance Division

No. Sections and Chainage Road Length, Subgrade Maintenan Total cost Start-end (Km) class km width ce (CNY, million) Section: G248 1 Class 3 18 7.5 ~ 12m Major 33.30 (K582+127—K600+127) Section: S240 2 Class 4 10.4 6.5 – 7m Major 16.50 (K73 + 000 ~ K83 + 400)

15. G248 (Lanzhou to Maguan line, K582+127—K600+127).This maintenance section is located in Luliang County.The road surface is seriously damaged, the pit is uneven and serious desertification occurs. Along the way it goes alongside Zhaokua township, Tayin village committee, Baizi village and Alapo village of Xiongtai town). In the 18 km section, no waters along will be unaffected. The beneficiary population is about 22,000 people.

Box 1 Profiles of Luliang County

Source: Wikipedia

Luliang County (simplified Chinese: 陆良县; traditional Chinese: 陸良縣; pinyin: Lùliáng Xi àn) is a county under the administration of the prefecture-level city of Qujing, in Yunnan province of southwestern China.

Location of Luliang County (pink) and Qujing (yellow) within Yunnan province (Coordinates: 25°02′53″N 103°44′58″E)

Area

• Total 2,096 km2 (809 sq mi)

Population

• Total 610,000

• Density 290/km2 (750/sq mi)

Figure 1 Elevation variation of the G248 road section Source: by LIEC on basis of Google Earth 2017.

Figure 2 Weather profile of Qujing Prefecture where Luliang County (G248 road section) and Shizong County (S240 road section) situates Source: https://www.worldweatheronline.com/

16. Its major maintenance works include below: 1) standard subgrade cross section layout: 7.5m integral subgrade, lanes width 2 × 3.25m , hard road shoulder widths 2 × 0.5 m, pavement cross slope 2.0%, hardening road shoulder cross slope 2.0%. Onsite surplus soils will be used for shoulder or landscaping. The alignment RoW will not be widened and controlled within the existing road RoW. 2) Drainage system of subgrade and pavement: this project does not change the

drainage facilities such as subgrade slope, road and ditch slope protection, and etc.. It will maintain the original drainage system for the road section, and add cover for village ditch drainage, and improve desilting of buried drainage ditch and culvert. Water will be discharged into natural ditches through drainage pipes such as ditch, culvert, etc., to form a complete and independent drainage system, so that the subgrade is not soaked by water and the subgrade stability is maintained. 3） Pavement: Asphalt concrete.

Key concerns: 1) Not involve bridge overhaul. 2 No need for cut-fill balance. 3) No temporary or permanent land acquisition and resettlement (LAR). 4) Temporary land area and existing land use: no. 5) Contractor and construciton workers will lease nearby village houses as construction camp and dormitories. No need construction access road.

Starting Point of G248 section Shanchong Village

Existing poor pavement Pulbic consultation

Alapo village Pulbic consultation

Figure 3 Surrounding conditions of the G248 road section

17. S240（K73+000-K83+400, ie, old S207, Yiqie town in Shizong county to Weimo townin Yanshan county）. The road section is in the territory of Shizong County. Due to its early construction (2003) when the road standard was low, it is now far beyond the design lifespan. The original asphalt pavement has serious damage and the road surface has a serious subsidence, rutting, pit and other diseases with much sharp bend and safety risk.The environemntal sensitive receptors are mainly concentrated in Yuxia Village. No waters along will be unaffected.The beneficiary population is about 26,000 people.

Box 2 Profiles of Shizong County.

Source: Wikipedia

Shizong County (师宗县; pinyin: Shīzōng Xiàn) is located in Qujing Prefecture, Yunnan, China.

Location of Shizong County (pink) and Qujing Prefecture (yellow) within Yunnan province of China (Coordinates: 24° 49′ 41″ N, 103° 59′ 24″ E)

Area

• Total 2,096 km2 (809 sq mi)

Population

• Total 333,621

• Density 160/km2 (410/sq mi)

Figure 4 Elevation variation of the S240 road section Source: by LIEC on basis of Google Earth 2017.

Its major maintenance works include below: 1) Soft foundation treatment and repair of broken subgrade; 2) New kerbstone and shoulder; 3) Repave the pavement structure layer; 4）Replacement and setup of fence, road marking and other traffic safety facilities 5) Repair and clean subgrade ditch and culvert.

Key concerns 1) Not involve bridge overhaul. 2 No need for cut-fill balance. 3) No temporary or permanent land acquisition and resettlement (LAR). 4) Temporary land area and existing land use: no. 5)Contractor and construciton workers will lease nearby village houses as construction camp and dormitories. No need construction access road.

Starting point of S240 section Broken pavement

Yuxia village committee Villagers consulted

Pulbic consultation

Existing pavement Ending point of S240 section Figure 5 Surrounding conditions of the S240 road section

B Road under Lincang General Maintenance Division

No. Sections and Chainage Road Length, Subgrade Maintenance Total cost Start-end (Km) class km width (CNY, million) Section: S325 3 Class 4 30 6.5-7m Major 49.50 (K88+035—K118+035)

18. S325 section (Mengyong to Yongde line) is locatd in Yongde County. It pavement is seriously damaged with serious safety risks. It goes along Caojia village, Changputang village, Yalian township government, Huiyin village, Yunling village committee, Tunai village and Tatuo village. The road section is 31

alongside a middle school (Yɑlian) at K106 + 560. The environemntal sensitive receptors are mainly concentrated in Yɑlian town. No waters along will be unaffected.The beneficiary population is about 25,700 people.

Box 3 Profiles of Yongde County

Source: Wikipedia

Yongde County (永德县; pinyin: Yǒngdé Xiàn) is located in Lincang Prefecture, Yunnan, China.

Location of Yongde County (pink) and Lincang Prefecture (yellow) within Yunnan province of China (Coordinates: 24° 1′ 48″ N, 99° 15′ 36″ E)

Area

• Total 3,296 km2 (1,273 sq mi)

Population

• Total 319,326

Figure 6 Elevation variation of the S325 road section Source: by LIEC on basis of Google Earth 2017.

Figure 7 Weather profile of Lincang Prefecture where Yongde County situates Source: https://www.worldweatheronline.com/

Key concerns

1) Not involve bridge overhaul. 2 No need for cut-fill balance. 3) No temporary or permanent land acquisition and resettlement (LAR). 4) Temporary land area and existing land use: no. 5)Contractor and construciton workers will lease nearby village houses as construction camp and dormitories. No need construction access road.

Starting point of S325 section Existing poor pavement,

Road surface Yɑlian Middle School

Villagers consulted Yalian township government

Ending point of S325 section Pulbic consultation Figure 8 Surrounding conditions of the S325 section

C Road under Wenshan General Maintenance Division

No. Sections and Chainage Road Length, Subgrade Maintenance Total cost Start-end (Km) class km width (CNY, million) Section: S242 4 Class 4 38 6.5-7m Major 62.70 (K0+000～K38+000)

19. S242 section (Xichou to Hekou Line, K0+000 - K38+000) is located in Wenshan City. It goes along Dudian village, Lengshuigou village, Zhean village, Pingba town, Yangliuhe village, Xiayinpan village, Xiaosanjia village and Dini village。 The maintenance road passes along the Dini reservoir, along a short section of about 30m, and at a cloest distance of 10m. The reservoir belongs to seasonal reservoir.This maintenance section has a beneficial population of about 37,000.

Box 4 Profiles of Wenshan City

Source: Wikipedia

Wenshan (Chinese: 文山; pinyin: Wénshān) is a city in and the seat of Wenshan Zhuang and Miao Autonomous Prefecture, in southeastern Yunnan province, People's Republic of China. It once was a county (Wenshan County; 文山县), but on 2 December 2010, with the approval of the PRC State Council, it was upgraded to a county-level city.

One of the largest companies based in Wenshan County is the electric power supplier Yunnan Wenshan Electric Power Co., Ltd. The Wenshan Zinc Mine is known for producing world class, deep blue hemimorphite specimens.Wenshan is a producer of 'Sanchi', a plant with medicinal properties which grows away from daylight under huge plastic sheets.

Location of Wenshan City (pink) within Wenshan Prefecture (yellow) and Yunnan (Coordinates: 23° 22′ 0″ N, 104° 15′ 0″ E)

Area

• Total 4,500 km2 (1,700 sq mi)

Population

• Total 450,000

Density 100/km2 (260/sq mi)

Figure 9 Elevation variation of the S242 road section Source: by LIEC on basis of Google Earth 2017.

Figure 10 Weather profile of Wenshan Prefecture where Wenshan City situates Source: https://www.worldweatheronline.com/

Key concerns

1) Not involve bridge overhaul. 2 No need for cut-fill balance. 3) No temporary or permanent land acquisition and resettlement (LAR). 4) Temporary land area and existing land use: no. 5) Contractor and construciton workers will lease nearby village houses as construction camp and dormitories. No need construction access road.

Starting point of S242 section Existing poor pavement

Pingba town Existing poor pavement

Public consultation Huangcaoba Primary School

Tudian Village Primary School Dini Reservoir

Ending point of S242 section Environmental monitoring on site Figure 11 Surrounding conditions of the S242 section

D Road under Baoshan General Maintenance Division

No. Sections and Chainage Road Length, Subgrade Maintenance Total cost Start-end (Km) class km width (CNY, million) Section: S235 5 Class 2 18 12m Major 39.60 (K0 + 000 ~ K18 + 000)

Note: to be fully funded by domestic counterpart

20. S235 section (Shidian to Junsai) is in Shidian County. It starts from Dianyang town, along Nanputang Village, Suanyuan upper village, Caopi village, Suanyuan lower village, Siyou village, Dahaan village, Sanyi Village, Xiaohan village, and ends Yaoguan town. The closest distance to Sankuishi Reservior is about 260 m (measure by Baidu Map tool). No waters along will be unaffected.The beneficiary population is about 78,000 people.

Box 5 Profiles of Shidian County

Source: Wikipedia

Shidian County (施甸县; pinyin: Shīdiàn Xiàn) is located in Baoshan, Yunnan, China. Its seat is the large community Dianyang (甸阳镇).

Location of Shidian County (pink) and Baoshan Prefecture (yellow) within Yunnan province of China (Coordinates: Decimal 24° 43′ 8″ N, 99° 12′ 0″ E)

Area

• Total 2,009 km2 (776 sq mi)

Population

• Total 330,000

Density 160/km2 (430/sq mi)

Figure 12 Elevation variation of the S235 road section Source: by LIEC on basis of Google Earth 2017.

Figure 13 Weather profile of Baoshan Prefecture where Shidian County situates Source: https://www.worldweatheronline.com/

Key concerns:

1) Not involve bridge overhaul. 2 No need for cut-fill balance. 3) No temporary or permanent land acquisition and resettlement (LAR). 4) Temporary land area and existing land use: no. 5) Contractor and construciton workers will lease nearby village houses as construction camp and dormitories. No need construction access road.

Starting point of S325 section A collapsed point K7 + 900

Existing pavement Existing pavement

Public consultation

Endting point of S325 section Figure 14 Surrounding conditions of the S325 section E Road under Kunming General Maintenance Division

No. Sections and Chainage Road Length, Subgrade Maintenance Total cost Start-end (Km) class km width (CNY, million) Section: G324 6 Class 2 10.83 Major 24.20 (K2502 + 830 - K2513 + 658)

Note: to be fully funded by domestic counterpart

21. G324 (old Kunming to Shilin line ,K2502 + 830 - K2513 + 658 ) is located in Chenggong district. This road section goes along Dashao village Committee, Toudian village, Yitiaolong restraunt, Xiaoshaoqing village, Yangzonghai Lake Administrative Committee, etc..The closest distance to Yangzonghai Lake8 is about 637m (measure by Baidu Map tool). No waters along will be unaffected. The beneficiary population is about 15,000 people.

8 Current water quality complies with Class III standard of Environmental Quality Standards for Surface Water (GB3838-2002) according to Kunming City 2016 Annual Envionmental Statement (http://www.ynepb.gov.cn/xxgk/read.aspx?newsid=168715).

Box 6 Profiles of Chenggong District

Source: Wikipedia

Chenggong District (Chinese: 呈贡区; pinyin: Chénggòng Qū) is a city district under the jurisdiction of Kunming, Yunnan, China. Chenggong, formerly a county and situated on east bank of the Dian Lake, had its status changed to a district of Kunming in 2011. Chenggong is the chief zone for the expansion of the city of Kunming, almost a 20-minute drive away. It is the site of the new Kunming City Hall, and new campuses for Yunnan University and Yunnan Normal University. Early in the district's redevelopment, much of the newly constructed housing in Chenggong was unoccupied and was reportedly one of the largest ghost towns in Asia in 2012, in a similar situation to Ordos City and the New South China Mall.[1] It has slowly become occupied, however, in more recent years as Central Kunming has become overcrowded. Some Government departments moved to Chenggong in 2012,[2] and a subway line connecting Chenggong to the city centre opened in 2013. By 2017, the district had become home to many more offices and residents with more redevelopment still on the horizon.

Location of Chenggong District (pink) and Kunming prefecture (yellow) within Yunnan province of China (Coordinates: Decimal 24° 53′ 30″ N, 102° 47′ 0″ E)

Area

• Total 461 km2 (178 sq mi)

Population

• Total 350,000

Figure 15 Elevation variation of the G324 road section Source: by LIEC on basis of Google Earth 2017.

Figure 16 Weather profile of Kunming City where Chenggong District situates Source: https://www.worldweatheronline.com/

Starting point of G324 section Dashao village Committee

Exising pavement Yitiaolong restraunt

Yangzonghai Lake Administrative Committee Public consultation at Xiaoqin village

Ending point of G324 section Figure 17 Surrounding conditions of the G324 road section

Step 3 Identifying Baseline Conditions

A. Environmentally Sensitive Areas, Rare and Endangered Species

22 Based on field surveys and document research, no protected or environmentally sensitive areas, rare and endangered species or important habitat of protected species have been reported at a distance of 200m from the road alignments.

23 The lists of environmental sensitive receptors see the Appendix I.

B. Surface Water Quality

24 Based on domestic EIA, there is a reservoir (Dini reservoir) along the proposed Phase IV S242 road section. Through local onsite communication and desk research, Dini reservoir at K36+600 is a seasonal reservoir for agricultural irrigation.The reservoir will release water in mid - May for rice growing. On - site monitoring of water quality of rivers and reservoirs in each maintenance section is as follows:

25 Water quality monitoring during field survey in 2017: The water environmental function of the Dini reservoir is categorized as Class V, Environmental Quality Standards for Surface Water (GB3838-2002, see Table 4 below). For SS, it applies the irrigation water quality standards issued by the Ministry of Agriculture (see Table 5 below) because there is no SS indicator in the GB3838-2002 mentioned above. Water quality monitoring of the Dini reservoir was undertaken by Yunnan Science and Technology Research Institute of Highways (YSRI) and shown in Table 6 below.

Table 4 Environmental Quality Standards for Surface Water (GB3838-2002) Unit：mg/L (excluding pH)

No. Indicators Category I Category II Category III Category IV Category V

1 CODcr 15 15 20 30 40

2 pH (dimensionless) 6-9 6-9 6-9 6-9 6-9

3 DO 7.5 6 5 3 2

4 NH3-N 0.15 0.5 1.0 1.5 2.0

Table 5 Standards for Irrigation Water Quality (GB5084-2005) Unit: mg/L

Parameter Type of crop Standard limit

SS aquatic 80 1

Table 6 The Results of Water Quality Monitoring Unit: mg/L (excluding pH)

Road Monitoring Monitorin Indicator pH CODCr DO NH3-N SS section section g date s

Category V in Standards on Environment Quality <=40 6-9 >=2 <=2.0 of Surface Water (GB3838-2002)

GB5084-2005 (the irrigation water quality <=80 standard) S242 Before 19 8.1 7.5 1.2 35 road constructi Dini 2 May section on reservoir 2017 Complian Complied with Category V of GB 3838-2002 and (K36+60 ce Status GB5084-2005 0) Source: the additional EIA document on the Phase IV subproject Yunnan Provincial Environmental Science Research Institute, June 2017

26 Evaluation of the water quality monitoring results during field survey in 2017. According to the monitoring results by YSRI in May 2017 during the domestic EIA, the water quality (concentrations of CODCr, pH, DO and NH3-N ) of the Dini reservoir can comply with the standard of Class V in Environmental Quality Standards for Surface Water (GB3838-2002) and the standard limit of GB 5084-2005.

C. Air Quality and Noise

27 Air quality monitoring: The main pollutants along the roads before construction 52

are dust. Along the roads, Class II of Ambient Air Quality Standard" (GB3095 -2012) are applicable. The standards limits are shown in Table 7. Table 7 Comparison of the PRC’s GB 3095-1996, GB 3095-2012, and World Bank Group EHS Ambient Air Quality Standards

9 3) Air Quality Averaging GB 3095-1996 GB 3095-2012 World Bank Group EHS (mg/m 3) 3) Parameter Period Class II (mg/m Class II (mg/m Interim Targets AQG

1-year 0.06 0.06 n/a n/a

SO2 24-hour 0.15 0.15 0.050-0.125 0.020 1-hour 0.50 0.50 n/a n/a 1-year 0.10 0.10 0.030-0.070 0.020 PM10 24-hour 0.15 0.15 0.075-0.150 0.050 1-year 0.08 0.04 n/a 0.040

NO2 24-hour 0.12 0.08 n/a n/a 1-hour 0.24 0.20 n/a 0.200

28 The ambient air monitoring along the roads was undertaken by YSRI during field survey in April~June 2017 and shown in Table 8 below. Table 8 Ambient Air Quality along the roads before construction Unit: mg/m3 Monitoring Monitoring Section Indicators PM10 NO2 SO2 Points date World Bank Group EHS Interim 0.075-0.150 n/a 0.050-0.125 TargetsAQG 0.050 n/a 0.020 Standard Limits of Class II, GB 3095-2012 0.15 0.08 0.15 Shanchong Village Before 0.11 0.017 0.012 Committee K584 + 627 constructionCompliance Complied with 他管营村Taguanyin village StatusBefore Compliedn/a with Section: K152K588+127 + 916 constructionCompliance Complied with G248 Baizigou Village,Xiongbi StatusBefore 0.1 0.012 0.014 2017.4.24 (K582+127— Town K594+ 811 constructionCompliance Complied with K600+127) Alapo Village StatusBefore 0.12 Complied0.013 with 0.012 K597 + 311 constructionCompliance Complied with Dazhai Village StatusBefore 0.1 Complied0.015 with 0.011 K598+ 611 constructionCompliance Complied with Yuxia Village StatusBefore 0.08 0.018 0.011 Section: Committee constructionCompliance Complied with S240 K76Xiaoshan + 500 Village StatusBefore 0.10 Complied0.015 with 0.013 (K73 + 000 ~ 2017.4.25 XiaoshanK78 + 100 Village constructionCompliance Complied with K83+ 000) Weinapu Village Before 0.11 0.014 0.011 K78 + 100 Status Complied with K81 + 500 constructionCompliance Complied with Tatuo village 2017.5.17 StatusBefore 0.1 0.011 0.01 Section: K95 + 660 constructionCompliance Complied with Status Complied with 9 World Bank Group 2007. Complied with 53

Monitoring Monitoring Section Indicators PM10 NO2 SO2 Points date S325 Tunai village Before 0.07 0.009 0.007 (K88+035— K105 + 260 constructionCompliance Complied with K118+035) Yalian Middle School StatusBefore 0.11 Complied0.008 with 0.008 K106 + 560 constructionCompliance Complied with Yalian town government StatusBefore 0.1 Complied0.009 with 0.011 K109 + 560 constructionCompliance Complied with Changputang village StatusBefore 0.09 Complied0.012 with 0.009 K120 + 560 constructionCompliance Complied with Caojia village StatusBefore 0.08 0.009 0.008 K113 + 260 constructionCompliance Complied with Dudian Village Primary StatusBefore 0.12 Complied0.03 with 0.009 School K5 + 400 constructionCompliance Complied with Huangcaoba Primary StatusBefore 0.11 Complied0.023 with 0.01 Section: School K11 + 600 constructionCompliance Complied with S242 Pingba Town 2017.5.2 StatusBefore 0.12 0.014 0.015 (K0+000～ K21 + 700 constructionCompliance K38+000) Lower Yingpan Village StatusBefore 0.1 0.016 0.013 K24 + 900 constructionCompliance Dini village StatusBefore 0.07 0.012 0.015 K36 + 600 constructionCompliance Complied with Dianyang Town StatusBefore 0.11 Complied0.01 with 0.007 K0 + 000 constructionCompliance Complied with Suanyuan upper village StatusBefore 0.08 Complied0.011 with 0.013 K12+500 constructionCompliance Complied with Section: Complied with Suanyuan lower village StatusBefore 0.10 Complied0.013 with 0.010 S235 K13 + 500 2017.5.16 constructionCompliance Complied with (K0 + 000 ~ Dahan village StatusBefore 0.09 Complied0.01 with 0.008 K18 +000) K14+200 constructionCompliance Complied with Sanyi village StatusBefore 0.1 Complied0.009 with 0.09 K14 + 500 constructionCompliance Complied with Yaoguan town StatusBefore 0.11 Complied0.013 with 0.012 K17 + 500 constructionCompliance Complied with Dashao Village StatusBefore 0.09 Complied0.012 with 0.012 Committee K2505 + 00 constructionCompliance Complied with Toudian village StatusBefore 0.11 Complied0.015 with 0.012 Section: K2506 + 100 constructionCompliance Complied with G324 Yitiaolong restaurant StatusBefore 0.12 Complied0.016 with 0.013 (K2502 + K2508 + 500 2017.6.2 constructionCompliance Complied with 830 - K2513 Qidian industrial park StatusBefore 0.09 Complied0.009 with 0.012 + 658) K2510 + 000 constructionCompliance Complied with Yangzonghai Lake StatusBefore 0.08 Complied0.008 with 0.016

Administrative Complianceconstruction Complied with Complied with Committee K2511+800 Status Source: the additional EIA document on the Phase IV subproject Yunnan Provincial Environmental Science Research Institute, June 2017

29 Evaluation of the air quality monitoring results during field survey in 2017:

Based on the data above, PM10, NO2 and SO2 along all the 6 road sections met Class II standards. However, World Bank Group EHS’s Interim Targets were met

but there were minor PM10 exceedances of World Bank Group EHS’s AQG at the above sections (see the yellow cells in the above table).

30 Noise monitoring was undertaken by YSRI during field survey in April~June 2017. The monitoring results during field survey in 2017 are showed in Table 10.

Table 9 Acoustic Environmental Quality Standards (GB3096-2008) (Unit: dB (A)) Noise GB World Bank Functional 3096-2008 Applicable Area Group EHS Area Standards Category Day Night Day Night Areas needing extreme quiet, such as convalescence 0 50 40 areas Area mainly for residence, cultural and educational 55 45 1 55 45 institutions 2 Residential, commercial and industrial mixed area 60 50 3 Industrial area 65 55 70 70 4a Area on both sides of urban road traffic trunk line 70 55

Table 10 Noise Monitoring Results Unit: dB (A)

LAeq（dB） Monitoring Monitoring Day Applicable Night Applicable Compliance Section Points date time standard time standard limit status limit Shanchong Village Complied with 54.3 70 40.4 55 Committee K584+ 627 Taguanyin village Complied with 53.2 70 42.7 55 K588+127 Section: G248 Baizigou Village, Complied with (K582+127— Xiongbi Town 2017.4.24 56.5 70 45.2 55 K600+127) K594+ 811 Alapo Village Complied with 49.7 70 43.9 55 K597 + 311 Dazhai Village Complied with 48.2 70 41.7 55 K598+ 611

LAeq（dB） Monitoring Monitoring Day Applicable Night Applicable Compliance Section Points date time standard time standard limit status limit Yuxia Village Complied with 57.3 70 44.5 55 Section: S240 Committee K76 + 500 (K73 + 000 ~ Xiaoshan Village Complied with 2017.4.25 52.2 70 42.6 55 K83+ 000) K78 + 100 Weinapu Village Complied with 50.8 70 41.4 55 K81 + 500 Tatuo village Complied with 49.2 70 45.8 55 K95 + 660 Tunai village Complied with 51.6 70 47.2 55 K105 + 260 Section: S325 Yalian Middle School Complied with 46.4 70 42.3 55 2017.5.17 (K88+035— K106 + 560 K118+035) Yalian town Complied with government 58.1 70 50.2 55 K109 + 560 Changputang village Complied with 48.5 70 43.4 55 K120 + 560 Dudian Village Complied with Primary School 55.8 70 45.4 55 K5 + 400 Huangcaoba Primary Complied with Section: S242 53.6 70 44.6 55 (K0+000～ School K11 + 600 2017.5.2 Pingba Town Complied with K38+000) 56.2 70 50.2 55 K21 + 700 Lower Yingpan Village Complied with 51.7 70 42.3 55 K24 + 900 Dini village Complied with 49.4 70 41.8 55 K36 + 600 Dianyang Town Complied with 48.4 70 43.6 55 K0 + 000 Suanyuan upper Complied with village 50.9 70 44.8 55 Section: S235 K12+500 (K0 + 000 ~ Suanyuan lower 2017.5.16 Complied with 47.5 70 44.6 55 K18 +000) village K13 + 500

Dahan village Complied with 52.3 70 43.5 55 K14+200 Yaoguan town Complied with 54.1 70 47.3 55 K17 + 500 Dashao Village Complied with Section: G324 2017.6.2 Committee 53.2 70 44.5 55 (K2502 + 830 - K2505 + 00

LAeq（dB） Monitoring Monitoring Day Applicable Night Applicable Compliance Section Points date time standard time standard limit status limit K2513 + 658) Toudian village Complied with 56.8 70 46.8 55 K2506 + 100 Yitiaolong restaurant Complied with 55.5 70 45.4 55 K2508 + 500 Qidian industrial park Complied with 52.3 70 43.7 55 K2510 + 000 Yangzonghai Lake Complied with Administrative 51.6 70 44.8 55 CommitteeK2511+800 Source: the additional EIA document on the Phase IV subproject Yunnan Provincial Environmental Science Research Institute, June 2017

31 Evaluation of the Noise Monitoring Results during Field Surveys: According to the monitoring results of the monitoring points along the 6 road sections, all met Class 2 and 4a standard of GB3096-2008 and World Bank Group EHS.

D. Archaeological, Historical Treasures and Scenic Areas

32 No archaeological historical or cultural resources of particular significance are associated with any of the road corridor areas, nor for 200 m either side of the road RoWs.

Step 4 Impact Prediction

33. The method for screening the environmental impacts and risks associated with proposed maintenance subcomponents was followed. Each subproject road section was given an environmental classification based on the sensitivity of environmental and social receptors and the anticipated impacts of proposed maintenance activities. When several maintenance activities will be undertaken at the same time, the classification was based on the most sensitive receptors and/or most significant impacts. This screening method was designed in line with the ADB method for the environmental classification of projects. All references to Category A, B and C in relation to particular activities or subprojects are on the assumption that potential associated environmental impacts and risks are commensurate with ADB environment categories A, B and C. This method was used to screen the 6 proposed road sections, which are considered to have environmental impacts and risks commensurate with ADB environment Category C. The details please see the Table 3 above, Table 11 below and Appendix II. .

Table 11 Environment Categorization Checklist D Environmental Assessment General Comments Environment Categorization Checklist Env. Cat Next Steps All 6 road sections (Section: G248 (K582+127—K600+127);Section: S240 Potential loss or damage to cultural heritage site (K73 + 000 ~ K83 + 400);Section: S325 (K88+035—K118+035);Section: Category A Triggers

S242 (K0+000～K38+000);Section: S235 (K0 + 000 ~ K18 + 000); Encroachment into buffer or core protected natural area Section: G324 (K2502 + 830 - K2513 + 658)): Encroachment onto significant wetland providing important habitat Damage to old-growth forest Major (including some medium/minor) maintenance activities are Permanent loss of important biodiversity proposed, only involving the below activities: Works in densely populated district e.g., urban zone, village, town EMP 1. Roadway minor realignment but within RoW for road class or city site Category B Triggers 2. Only pavement layer replacement Establishment of a new quarry or placement of new asphalt plant 3. Pavement strengthening, including some widening within RoW Slope stabilization works >50m 4. Adding new guardrails, replacement, fencing and snow fencing, etc. Replacement of more than 5 irrigation canals

Bridge placement, river bed training >30m or more than 2 in-water C No major environmental impacts were identified. pier reinforcement

Resettlement of >= 50 vulnerable people, >=100 ethnic minority

people, or >= 200 unclassified people Temporary bypass at maintenance site >50m, road closure of Contract more than 24 hours Clauses Continuous pavement works >15 km Other specific impact: Check Table 8, IEE Annex C to confirm Category

34 All subprojects of the phase IV are classified as environment Category C since there will be limited, generally site-specific and minor impacts that are largely reversible and can be readily addressed through mitigation measures. The Environmental Management Plan (EMP), prepared at appraisal, will be still applicable for these subprojects’ maintenance works, which covers 6 road sections, of a total length of 125.23 km.

35 Within distance of 2 km away from road central line, there is no major environmental sensitive features, including buffer or core protected nature area, cultural heritage site, water resource, primary forests. The maintenances of phase IV will be conducted within RoW, which cannot cause major damage to these sensitive sites.

36 There will be no drilling or huge damage blasting, and no known groundwater recharge areas will be affected; therefore, groundwater aquifers will not be impacted. No environmentally sensitive or culturally significant areas will be disturbed. There will be neither new side slope needed to excavate, nor new borrow land or new bridge to construct.

37 According to the site investigation and maintenance already planned, the phase IV works are predicted to have generally minor, localized negative impacts that will be temporary in nature.

38 The impacts during construction include increased noise and dust pollution within short episodes. Bridge works will only involve pavement replacement. So surface water contamination is not considered significant. There may be minor surface runoff during construction when rainy season, however, some local runoff channels and culverts will be fully restored and dredged to prevent erosion or flooding.

39 The maintenance work associated with these 6 road sections will involve replacing asphalt pavement, clearing ditches, repairing shoulders and filling cracks in the pavement, which will generate dust, and suppression measures, including prevention of spillage from trucks hauling materials, road cleanup, application of water, and use of calcium chloride have been recommended to reduce dust to an acceptable level. Nearby village houses will be rented as contractors’ offices and construction workers. No overhaul road will be required.

40 Most areas in these roads go through are farm land or mountainous areas, where a few residential areas scatter along the roads. There may be minor negative environmental impacts to human beings during maintenance. Some local impacts, such as construction noise and dust, will be mitigated by the mitigation measures according to the EMP.

41. Operational traffic noise prediction mode.This evaluation adopts the traffic noise prediction model recommended by "Environmental Impact Assessment Technology Guide- Acoustic Environment " (HJ 2.4—2009) ". For the different operation phases, the prediction year is 2018, 2026, 2033, as short - term, medium - term, and long - term, respectively.The prediction modes are as follows:

42. Operational traffic noise prediction results and analysis. Table 12 Prediction result of traffic noise of G248 section dB (A) Distance Prediction results from road 2018 2026 2033 Year centre line (short term) (medium term) (long term) (m) Period Daytime Nighttime Daytime Nighttime Daytime Nighttime 10 51.23 45.15 54.76 51.53 58.98 56.16 20 44.38 42.24 46.89 44.74 53.46 48.31 30 40.55 37.11 43.21. 39.98 47.05 42.76 40 37.34 33.52 40.13 36.51 43.11 39.97 60 34.61 31.08 36.58 33.67 41.21 38.72 80 32.41 30.68 34..55 32.35 39.54 36.86 100 31.78 29.16 33.16 31.12 37.99 35.77 120 31.23 28.46 32.77 30.47 36.56 34.31 150 30.16 27.69 31.86 29.55 35.68 33.56 200 29.42 26.75 31.12 28.69 34.79 32.52

Table 13 Prediction result of traffic noise of S240 section dB (A) Distance Prediction results from road 2018 2026 2033 Year centre line (short term) (medium term) (long term) (m) Period Daytime Nighttime Daytime Nighttime Daytime Nighttime 10 52.69 47.35 54.36 51.65 58.12 55.97 20 44.89 42.36 48.51 44.78 52.13 47.52 30 40.52 37.55 43.48 40.87 45.83 44.21 40 36.88 34.42 40.33 36.45 42.89 41.15 60 34.35 32.14 37.12 33.75 40.56 36.75 80 32.46 29.64 35.45 32.31 38.78 35.65 100 31.25 28.34 34.11 31.23 37.36 34.33 120 30.42 27.64 33.53 30.44 36.41 33.52 150 29.78 26.79 32.44 29.25 36.14 33.13 200 28.85 25.96 31.74 28.45 35.58 32.31

Table 14 Prediction result of traffic noise of S325 section dB (A) Distance Prediction results from road 2018 2026 2033 Year centre line (short term) (medium term) (long term) (m) Period Daytime Nighttime Daytime Period Daytime Nighttime 10 52.86 46.69 55.12 52.24 57.88 55.23 20 44.89 41.23 49.06 44.61 52.14 48.53 30 39.78 37.43 45.48 41.31 45.45 43.41 40 37.65 34.42 41.76 38.64 42.32 39.57 60 35.32 31.28 38.15 35.36 40.47 37.65 80 34.01 30.13 36.15 33.82 38.64 35.36 100 32.69 29.45 35.46 32.31 37.14 34.16 120 30.98 28.56 34.52 31.67 36.53 33.12 150 30.12 27.76 33.38 30.45 35.45 32.69 200 29.68 27.12 32.47 29.17 34.62 31.73

Table 15 Prediction result of traffic noise of S242 section dB (A) Prediction results Distance from 2018 2026 2033 road centre Year (short term) (medium term) (long term) line (m) Period Daytime Nighttime Daytime Period Daytime Nighttime 10 52.94 46.23 55.15 52.79 57.46 55.13 20 45.66 43.65 50.67 47.64 52.98 48.76 30 41.25 38.47 45.14 41.68 46.88 45.23 40 36.59 34.12 41.36 38.51 43.21 41.45 60 33.41 31.26 36.33 36.12 41.55 38.34 80 31.89 30.21 34.67 33.85 39.63 36.26 100 30.54 29.15 33.45 32.68 38.27 35.35 120 29.78 28.69 32.28 31.41 37.69 34.66 150 29.11 27.18 31.75 30.69 36.02 33.59 200 28.52 26.33 31.23 29.54 35.74 32.86

Table 16 Prediction result of traffic noise of S325 section dB (A) Distance Prediction results from road 2018 2026 2033 Year centre line (short term) (medium term) (long term) (m) Period Daytime Nighttime Daytime Nighttime Daytime Nighttime 10 55.65 47.98 57.11 53.61 57.21 54.68 20 47.76 45.64 50.45 47.32 52.76 50.61 30 42.61 38.49 44.41 42.64 46.64 43.75 40 38.78 35.66 40.36 37.25 42.25 41.16 60 36.14 32.43 38.35 35.24 39.35 37.41 80 33.45 30.49 35.26 33.44 38.12 36.34

100 32.16 29.36 34.24 32.13 37.32 35.26 120 31.25 28.23 33.65 31.72 36.44 34.43 150 30.61 27.45 32.78 30.45 35.66 33.41 200 29.36 26.62 31.45 29.36 35.28 32.69

Table 17 Prediction result of traffic noise of G324 section dB (A) Distance Prediction results from road 2018 2026 2033 Year centre line (short term) (medium term) (long term) (m) Period Daytime Nighttime Daytime Nighttime Daytime Nighttime 10 56.63 49.45 57.72 53.34 57.41 56.02 20 48.33 44.51 50.44 47.38 53.88 50.64 30 42.45 37.11 44.26 41.53 48.26 45.42 40 38.46 35.78 41.37 38.56 44.76 41.82 60 36.64 33.26 38.42 35.55 42.23 39.16 80 34.45 31.61 37.12 34.23 40.25 37.29 100 33.28 30.56 36.52 33.76 39.22 36.43 120 32.49 29.64 35.31 32.78 38.65 35.66 150 31.56 28.66 34.45 31.59 37.28 34.10 200 30.67 27.98 33.47 30.65 36.67 33.56 Source: the additional EIA document on the Phase IV subproject Yunnan Provincial Environmental Science Research Institute, June 2017

From the above tables, with the distance from the road road centre line increased, the impact of traffic noise gradually will be reduced; At the same time, over the operation period, the traffic volume increases so the noise level of traffic noise increases. See Figure 18 for noise attenuation curves.

Figure 18 Opeartional noise attenuation curves (G248 as example)

43. The prediction value of environmental noise is obtained by superimposing the predicted value of the road traffic noise on the ambient noise background value.The predicted values of traffic noise are calculated and obtained by calculating the distance, height difference, slope protection or road cutting from the location where the sensitive point is located. According to the prediction analysis, the subproject belongs to the existing road repair and adopts asphalt concreete pavement. The implementation of the subproject will help to reduce the adverse operational impact (such as dust, safety risks) in terms of sound environment.

44. Project economic analysis on safety and the environment10. The precise impact of pavement rehabilitation on safety is uncertain. While it reduces the number of hazards, it also allows higher vehicle speeds. The subprojects were specifically designed to improve the safety of road users and non-motorized traffic. About 10% of the costs are for safety features. Overall, the analysis assumed that this strong safety design will more than compensate for the negative safety impacts of higher speeds. Pavement rehabilitation also has a mixed effect on the emissions of greenhouse gases and local pollutants. Vehicle fuel use could rise or drop depending on the actual road speeds before and after the subproject work—motor fuel consumption reaches a minimum at 20–40 kilometers per hour. Still, since pavement roughness is directly linked to fuel use, road rehabilitation projects generally lead to a moderate reduction in fuel-related pollutants. At less than 1% of the overall economic benefits, this was a very small factor when compared with vehicle operating costs and was not included in the analysis

46 For Category C subprojects, it needs to identify and list all relevant EMP clauses and YHAB should put them in all tender documents and works contracts. The contractors for the 6 road sections will be required to adhere to the EMP and any other environmentalclauses in their contracts. The environmental clauses (from the Annex 4 of EARF, and consistent with the EMP) for inclusion in specific contract clauses in the civil works contracts see Appendix V. The EMP will be attached in the civil works contracts.

Step 5 Public Consultations and Information Distribution

47 Environmental Grievance Redress Mechanism. Same as in the approved IEE and EARF.

48 During domestic EIA, the information on the proposed maintenance for the six

10 Source: Phase IV Subprojects Screening Result – First Stage Submission, June 2017 ,YHAB

road sections of Phase IV subproject was posted with notice and on Yunnan Provincial Environmental Protection Department’s website11 respectively in April to June 2017. Brief summary of the subcomponent, anticipated environmental impacts and proposed mitigation measures were publicized. No comment on the EIAs has been received.

Section: G248

Section: S240

Section: S325

11 http://www.ynepb.gov.cn/

Section: S242

Section: S235

Section: G324

Figure 19 Domestic EIA Information Disclosure on EPB’s Website

49 Summary of Information Disclosure, Consultation, and Public Participation Activities during Field Survery in 2017. During the field surveys from April 24, 2017- June 7, 2017 for the Phase IV subproject roads, some representative residents and villagers adjacent to the roads, at a total of 122 potentially affected people (including 16 from minority group or 41 female) , in 18 villages/institutions of 6 counties/city/district, were consulted. The brief introduction of project activities, potential environmental impacts and mitigation measures were introduced.The numbers of the local people involved for meetings and consultation are shown as below Table 18. The detailed lists of persons consulted see the Appendix IIII. The cconsultation relevant roads for include. The summary see the below Table 19.

Their main concerns are summarized as follows:  Road damage is too serious, weakening traffic capacity, with serious noise pollution, also impacting normal study and sleep at night.  The road damage has affected normal life, and the construction can increase the local people’s income.  Poor road conditions so that large trucks run with noise and dust.  The bad road condition affects the old people's travel, fearing the travel, and 65

safety does not guarantee.  The current pavement condition greatly reduces the efficiency and safety of cargo transportation.  The road surface elevation difference affects the ride comfort and safety, the dust pollution is serious, the passenger does not want to go out of the door, and it is urgent to improve the road conditions.  Hope that early construction can increase jobs, to facilitate the sale of agricultural products, to solve some basic economic problems.  During construction period hope that some people rent the villagers’ houses, but also willing to participate in the road maintenance work to increase economic income.  Some villagers worry that the road will cause rainwater to enter their houses.  The persons being consulted expect to repair the roads soon.  The persons under consultation reflect that it has not heard about the land requisition and relocation.

Table 18 Numbers of Local Attendees

No. Sections Number of Number of Number of Meetings villages/institutions people consulted consulted 1 Section: G248 2 2 20 2 Section: S240 2 4 19 3 Section: S325 2 3 23 4 Section: S242 2 4 20 5 Section: S235 2 3 20 6 Section: G324 2 2 20 Total 12 18 122

Table 19 Summary of Issues Raised and Actions

No. Issue Raised: including actual and perceived Approach to Addressing the Implementer environmental issues Issue as suggested at Session 1 The waterlogged road section is very muddy. These problems will be solved IAs The dust flies when the vehicle passes. once the road sections are repaired. 2 Road maintenance will raise the road surface, Not all the road will be raised, DI/contractor and worry that rain will enter their houses in Drainage system will be rainy days. improved or supplemented depending on the specific circumstances to avoid the phenomenon of waters into the houses.

No. Issue Raised: including actual and perceived Approach to Addressing the Implementer environmental issues Issue as suggested at Session 3 The traffic control time cannot be too long. Full enclosed construction shall contractor not exceed 2 hours. 4 Construction period will be subject to noise, dust Construction will be well contractor interference which is expected to be the least. scheduled to avoid affecting rest, study or normal life. No construction at night, and no construction during the school examination day or some other special days. Use water spray to reduce dust and increase the frequency 5 Employment opportunity during construction to Try to employ the local people to contractor increase some household income. participate in the construction, try to use the local sand and gravel to increase the local residents 'income, and reduce the construction cost as possible. Source: the additional EIA document on the Phase IV subproject Yunnan Provincial Environmental Science Research Institute, June 2017

Step 6 Preparation of the Environmental Management Plan (EMP) 50 During project preparation, In line with ADB Safeguard Policy Statement (SPS) 2009 requirements, a consolidated Initial Environmental Examination (CIEE) and Environmental Management Plan (EMP) have been prepared for the subprojects that have already been identified. All the maintenance activities for phase IV subproject had been considered in the EMP. So the EMP will still be applicable for phase IV subproject.

51 To improve the practicability of the EMP, the DI (Yunnan Highway Science Research Institute) was consulted during field survey in June 2017. It was confirmed that all the mitigation measures have been incorporated into the design. The sample environmental clauses for inclusion in contract documents (see Appendix V) was also discussed with and confirmed by the DI.

Step 7 Reviewing Capacity for Environmental Management

52 Prior to loan effectiveness, YHAB has set up an ESSU, under its maintenance division. This unit provides training and guidance on environmental, social and road safety assessment, management and monitoring for YHAB periodic maintenance and rehabilitation works. Correspondingly, the Qujing General

Section, Lincang General Section, Wenshan General Section, Baoshan General Section and Kunming General Section have set up ESSUs respectively.

Step 8 Estimating Mitigation, Monitoring and Training Costs

53 The estimated operation cost of ESSU for Phase IV will be approximately USD 54,850 which will be borne by YHAB. One month of International Environment Consultant support and two months of national Environment Consultant support will be provided in each subsequent year, for a total of three months, estimated to cost approximately USD 39,750, plus USD 10,750 expenses. The Contractor will be responsible for implementing all construction environmental mitigation and monitoring measures as defined in the EMP, and civil works calculations will take into account any associated costs. An estimate of costs is provided in Appendix VI.

Step 9 Reporting and Document Production

54 The preparation of the Environmental Safeguard Assessment Report began at the very start of the work with the completion of a detailed Table of Contents. This is based on the mandatory content defined in the ADB SPS 2009, Annex 1 &2. (www.adb.org/safeguards).

IV. Conclusions

55 The proposed Phase IV subproject will bring better environmental benefits and improve social and economic development in Yunnan. All these environmental concerns have been developed into the detailed design and specific contract clauses that can be used alongside the generic EMP contract clauses. The domestic EIAs and this environmental safeguard assessment conclude that all identified impacts can be mitigated to acceptable levels if the measures defined in the EMP are carefully implemented and monitored.

Appendix I List of Environmental Sensitive Receptors

Table A1- 1 Environmental Sensitive Receptors alongside G248 road section

Distance to Elevaation Households Relationships with Applicable Environmental No. Name and chainage no. the center line,m difference,m /persons the alignment Standards 1 Shanchong Village Committee Left15 0 16/81 First row along the road Class II of Ambient Air K584 + 627 Quality Standard"

2 Taguanyin village Left15 0 12/72 First row along the road (GB3095 -2012); Class 4a K588+127 Acoustic Environmental Quality Standards 3 Baizigou Village, Xiongbi Town Left 10 0 32/126 First row along the road (GB3096-2008) K594+ 811 Right 10 0 35/137 First row along the road

4 Alapo Village Right15 0 8/36 First row along the road K597 + 311 5 Dazhai Village K598+ 611 Left15 0 12/79 First row along the road

Right15 0 9/46 First row along the road

Source: the additional EIA document on the Phase IV subproject Yunnan Provincial Environmental Science Research Institute, June 2017

Table A1- 2 Environmental Sensitive Receptors alongside S240 road section

Distance to Elevaation Households Relationships No. Name and chainage no. Applicable Environmental Standards the center line,m difference,m /persons With the alignment 1 Yuxia Village Committee Right12 0 58/249 First row along the road Class II of Class 4a Acoustic K76 + 500 Ambient Air Environmental Quality

Left12 0 62/256 First row along the road Quality Standards Standard" (GB3096-2008) (GB3095 2 Xiaoshan Village Right 30 0 29/102 Not adjacent to to the road -2012);

K78 + 100

4 Weinapu Village Right 35 0 10/42 First row along the road Class 2 Acoustic K81 + 500 Environmental Quality Standards (GB3096-2008) Source: the additional EIA document on the Phase IV subproject Yunnan Provincial Environmental Science Research Institute, June 2017

Table A1- 3 Environmental Sensitive Receptors alongside S325 road section

Distance to Elevaation Households Relationships No. Name and chainage no. Applicable Environmental Standards the center line,m difference,m /persons with the alignment 1 Tatuo village Right15 0 12/43 First row along the road Class II of Class 4a Acoustic Environmental K95 + 660 Ambient Air Quality Standards

2 Tunai village Left18 0 7/32 First row along the road Quality (GB3096-2008) K105 + 260 Standard" (GB3095 Right18 0 10/46 First row along the road -2012);

3 Yalian Middle School Left35 2 1000 persons Not adjacent to to the Class 2 Acoustic Environmental K106 + 560 road Quality Standards (GB3096-2008) 4 Yalian town government Right15 0 98 /318 First row along the road Class 4a Acoustic Environmental K109 + 560 Quality Standards Right15 0 104/315 First row along the road (GB3096-2008)

5 Changputang village Right 20 0 9/35 First row along the road K120 + 560 6 Caojia village Left 20 0 10/30 First row along the road K113 + 260 Source: the additional EIA document on the Phase IV subproject Yunnan Provincial Environmental Science Research Institute, June 2017

Table A1- 4 Environmental Sensitive Receptors alongside S242 road section Distance to Elevaation Households Relationships No. Name and chainage no. Applicable Environmental Standards the center line,m difference,m /persons with the alignment 1 Dudian Village Primary Left20 1 120 persons First row along the road Class II of Class 4a Acoustic Environmental School K5 + 400 Ambient Quality Standards (GB3096-2008)

2 Huangcaoba village K11 Right15 0 23/95 First row along the road Air Quality Class 2 Acoustic Environmental Standard" + 200 - K12 + 700 Left15 0 19/86 First row along the road Quality Standards (GB3096-2008) (GB3095 3 Huangcaoba Primary Left35 0 150 persons First row along the road Class 2 Acoustic Environmental -2012); School K11 + 600 Quality Standards (GB3096-2008) 4 Yangliuhe Village Right60 0 70/264 First row along the road K21 + 200 5 Pingba Town Left 10 0 80 /258 First row along the road Class 4a Acoustic Environmental

K21 + 700 Right 10 0 82/264 First row along the road Quality Standards (GB3096-2008) 6 Lower Yingpan Village Left12 0 20/84 First row along the road

K24 + 900 Right12 0 23/102 First row along the road 7 Dini village Right15 0 15/ 62 First row along the road

K36 + 600 Left15 0 9/43 First row along the road 8 Dini reservoir K36 + 600 - Along the road for a Surface water quality standard (GB3838 - 2002), K36 + 650 length of 50m Class V, agricultural irrigation Source: the additional EIA document on the Phase IV subproject Yunnan Provincial Environmental Science Research Institute, June 2017

Table A1- 5 Environmental Sensitive Receptors alongside S235 road section Distance to Elevaation Households Relationships No. Name and chainage no. Applicable Environmental Standards the center line,m difference,m /persons with the alignment 1 Dianyang Town Right15 0 5/24 First row along the Class II of Class 4a Acoustic Environmental K0 + 000 road Ambient Air Quality Standards (GB3096-2008)

2 Suanyuan upper village Left50 0 23/95 Not adjacent to to the Quality Class 2 Acoustic Environmental Quality K12+500 road Standard" Standards (GB3096-2008) (GB3095 -2012); 3 Caopi village Right15 0 16/51 First row along the Class 4a Acoustic Environmental K12 + 400 - K12 + 500 road Quality Standards (GB3096-2008) 4 Suanyuan lower village Right 50 0 82/246 Not adjacent to to the Class 2 Acoustic Environmental Quality K13 + 500 road Standards (GB3096-2008) 5 Dahan village Right15 0 30 /106 First row along the Class 4a Acoustic Environmental K14+200 road Quality Standards (GB3096-2008) 6 Sanyi village Left20 0 12 /41 First row along the K14 + 500 road 7 Yaoguan town Right12 0 157/470 First row along the K17 + 500 road Left12 0 165/ 490 First row along the road Source: the additional EIA document on the Phase IV subproject Yunnan Provincial Environmental Science Research Institute, June 2017

Table A1- 6 Environmental Sensitive Receptors alongside G324 road section Distance to Elevation Households Relationships No. Name and chainage no. Applicable Environmental Standards the center line,m difference,m /persons with the alignment 1 Dashao Village Right15 0 23 persons First row along the road Class II of Class 4a Acoustic Environmental Committee K2505 + 00 Ambient Air Quality Standards (GB3096-2008)

2 Toudian village Left20 0 20/84 Not adjacent to to the Quality K2506 + 100 road Standard" (GB3095 3 Yitiaolong restaurant Left15 0 10/67 First row along the road -2012); K2508 + 500 4 Qidian industrial park Left20 16/ 52 Not adjacent to to the K2510 + 000 road 5 Yangzonghai Lake Right40 0 56 persons First row along the road Class 2 Acoustic Environmental Administrative Committee Quality Standards (GB3096-2008) K2511+800 Source: the additional EIA document on the Phase IV subproject Yunnan Provincial Environmental Science Research Institute, June 2017

Appendix II Likely Impacts and Mitigation Measures and Monitoring for Road Maintenance Activities Proposed for Phase IV Subproject Roads

Maintenance Activities Proposed Key Environmental Impacts Most Relevant Subproject and Ref. No. in the Table of Likely EMP Mitigation & Road Sections Environment Impacts And Mitigation Measures Monitoring Category For Road Maintenance Activities12 Measures 1.3.1 Roadway minor realignment but Dust , Noise, some water pollution, Apply all EMP within RoW for road class materials storage issues, tree Measures removal and revegetation 2.3.1 (ii) Only pavement layer Same conditions (Dust, Noise, air Apply all EMP replacement pollution, odour, surface water Measures Section: G248 (K582+127—K600+127) contamination with bitumen storage, Section: S240 (K73 + 000 ~ K83 + 400) leakage during application of Section: S325 (K88+035—K118+035) asphalt, traffic delays, health effects C Section: S242 (K0+000～K38+000) from Asphalt milling machine) but Section: S235 (K0 + 000 ~ K18 + 000) much less and only temporary Section: G324 (K2502 + 830 - K2513 + 658) effects 4.3.1 Adding new guardrails, Minor roadside construction activity None needed replacement, fencing and snow and materials temporarily stored on fencing, etc. roadside—no significant impacts anticipated

12 Confirmed from the local design institutes (DIs).

Appendix III List of Persons Consulted Source: the additional EIA document on the Phase IV subproject Yunnan Provincial Environmental Science Research Institute, June 2017

Table A3- 1 List of Persons Consulted for G248 Road Section Date: 20 May 2017 No. Name Gender Minorities Employment Name of Village

1 Yin Yonɡhonɡ Male Han Taguanyin village, Zhaokua town, Villager Luliang County

2 Yuɑn Male Han Villager Taguanyin village Jiɑnhong 3 Yɑnɡ Chunli Female Han Villager Taguanyin village 4 Liu Yɑn Female Han Villager Taguanyin village

5 Wang Female Han Villager Taguanyin village Jinhong 6 Konɡ Penɡrui Female Han Villager Taguanyin village

7 Yuɑn Male Han Villager Taguanyin village committee Gɑnqinɡ

8 Wɑnɡ Female Han Teacher Taguanyin village Chunyɑn 9 Duɑn Qiɑorui Female Han Teacher Taguanyin village

10 Lu Lucɑnɡ Male Han Village Xiaoba Village Committee official 11 Wɑnɡ Zhiqinɡ Male Han Villager Xiaoba Village Committee

12 Lu Jinshenɡ Male Han Xiaochong Village, Xiaoba Village Villager Committee

13 Lu Shɑoronɡ Male Han Shanchong Village, Xiaoba Village Villager Committee

14 Chɑ Liɑnɡjiɑn Male Han Xiaochong Village, Xiaoba Village Villager Committee

15 Lu Ziwen Female Han Xiaochong Village, Xiaoba Village Villager Committee

16 Lu Youqi Male Han Xiaochong Village, Xiaoba Village Villager Committee

17 Wɑnɡ Male Han Village Xiaochong Village, Xiaoba Village Kunhonɡ official Committee

18 Lu Weigɑnɡ Female Han Shanchong Village, Xiaoba Village Villager Committee

19 Liu Shishenɡ Male Han Xiaochong Village, Xiaoba Village Villager Committee

20 Li Fenyɑn Female Han Xiaochong Village, Xiaoba Village Teacher Committee 77

Table A3- 2 List of Persons Consulted for S240 Road Section Date: 3 May 2017 No. Name Gender Minorities Employment Name of Village

1 Lɑnɡ Male Zhuang Villager Benggulou Village, Sheli Village Committee, Jinshenɡ Gaoliang town, Shizong County

2 Xu Jianju Female Han Villager Weinapu Village of Yuxia Village Committee, Gaoliang town, Shizong County

3 Qiɑn Male Han Villager Xiaoshan Village, Yuxia Village Committee, Shufɑnɡ Gaoliang town, Shizong County

4 Qiɑn Ziliɑnɡ Male Han Villager Xiaoshan Village, Yuxia Village Committee, Gaoliang town, Shizong County

5 Wɑnɡ Male Yi Villager Xiaoshan Village, Yuxia Village Committee, Lɑoshu Gaoliang town, Shizong County

6 Wɑnɡ Xiɑn Male Han Villager Yuxia Village, Yuxia Village Committee, Gaoliang town, Shizong County

7 Zhɑi Delin Male Han Villager Yuxia Village, Yuxia Village Committee, Gaoliang town, Shizong County

8 Liɑnɡ Male Han Villager Xiaoshan Village, Yuxia Village Committee, Sonɡminɡ Gaoliang town, Shizong County

9 Mɑ Xiɑnyu Male Han Villager Yuxia Village, Yuxia Village Committee, Gaoliang town, Shizong County

10 Qi Yunkun Male Han Villager Zhigeshan Village, Naxia Village Committee, Gaoliang town, Shizong County

11 Wang Female Zhuang Villager Nanyan Village, Nanyan Village Committee, Xiaotai Wulong Village, Shizong County

12 Qi Hepinɡ Male Han Shopper Nanyan Village, Nanyan Village Committee, Wulong town, Shizong County Liu Male Zhuang Villager Hongbeng Village, Goujie Village 13 Xiɑoliɑnɡ Committee, Dog Street, Wulong town,, Shizong County

14 Wɑnɡ Male Han Villager Goujie Village, Goujie Village Village Yɑngɑnɡ Committee, Wulong town, Shizong County

15 Zhɑnɡ Male Zhuang Villager Banjiang Village, Goujie Village Village Zhironɡ Committee, Wulong town, Shizong County

16 Yu Lichun Female Zhuang Villager Daqiao Village, Wulong town, Shizong County

17 Li Jinɡfɑnɡ Female Han Worker Yuxia Village Committee of Gao Liangxiang, Shizong County 18 Liu Zhihuɑ Male Han Driver Shizong County

19 Jiɑnɡ Female Han Migrant Luoping county Xiɑolin worker

Table A3- 3 List of Persons Consulted for S325 Road Section Date: 17 May 2017 No. Name Gender Minorities Employment Name of Village

1 Penɡ Male Han Village official Yalian town Guofɑnɡ 2 Li Xiaohan Male Han Village official Yalian town 3 Luo Guolin Male Han Village official Yalian town 4 Yɑnɡ En Male Han Village official Yalian town

5 Tɑnɡ Male Han Village official Yalian town Chenɡ 6 Zi Jinfen Female Yi people Village official Yalian town 7 Zhɑo Xiyu Female Han Village official Yalian town

8 Yɑnɡ Female Han Village official Yalian town Jiɑnfɑnɡ 9 Li Chɑowei Male Han Village official Tatuo village

10 Zhou Male Han Village Head Tatuo village Huɑxun

11 Wɑnɡ Male Han Villagers Tunai village Senlɑi 12 Yu Yinɡ Female Han Villager Tatuo village 13 Li Cuiju Female Yi Village official Tatuo village

14 Wɑnɡ Female Han Village official Tunai village Futuɑn

15 Zhang Female Han Villager Tunai village Tianju 16 Lu Guifɑnɡ Female Han Villager Yalian town 17 Li Huimei Female Han Villager Yalian town

18 Zhenɡ Male Han Villager Yalian town Xinminɡ

19 Zhɑo Male Han Villager Yalian town Yonɡpinɡ 20 Li Yinghua Female Han Villager Yalian town 21 Yang Taifa Male Han Village official Tunai village

22 Li Male Han Villager Tunai village Zhonɡminɡ 23 Li Zhimei Female Yi Villager Yalian town

Table A3- 4 List of Persons Consulted for S242 Road Section Date: 20 May 2017 No. Name Gender Minorities Employment Name of Village

1 Li Chunhonɡ Male Han Villager Kaihua town, the copper factory of wenshan

2 Wɑnɡ Male Han Villager Kaihua town, the copper factory of Tiɑnwen wenshan

3 Yu Chɑominɡ Male Zhuang Villager Kaihua town, the copper factory of nationality wenshan

4 Yɑnɡ Male Han Villager Huangcaoba Village, Pingba Town, Youqiɑnɡ Wenshan

5 Fu Chɑohui Female Han Villager Huangcaoba Village, Pingba Town, Wenshan

6 Tiɑn Kɑisonɡ Male Han Villager Huangcaoba Village, Pingba Town, Wenshan

7 Tɑo Minɡ Female Zhuang Shopper Ertang Village, Pingba Town, Wenshan City

8 Li Dan Female Han Villager Ertang Village, Pingba Town, Wenshan City

9 He Xin Male Han Villager Yanglinhe River Village, Pingba Town, Wenshan City

10 Li Yinɡlin Male Han Villager Yanglinhe River Village, Pingba Town, Wenshan City

11 Qi Qinɡwen Male Zhuang Villager Yanglinhe River Village, Pingba Town, Wenshan City

12 Wɑnɡ Honɡ Male Han Villager Yanglinhe River Village, Pingba Town, Wenshan City 13 Tɑo Dewei Male Zhuang Villager Pingba Town, Wenshan

14 Zhɑnɡ Jinfɑn Male Han Worker Pingba Town, Wenshan

15 Yɑnɡ Zhiru Female Han Villager Pingba Town, Wenshan

16 Yang Jing Male Miao Villager Xiayingpan Village, Pingba Town, Wenshan City

17 He Shenɡdɑn Male Han Villager Xiayingpan Village, Pingba Town, Wenshan City

18 Fenɡ Female Zhuang Villager Xiayingpan Village, Pingba Town, Shenɡdɑn Wenshan City

19 Li Deen Male Han Villager Gantian Village, Pingba Town, Wenshan

20 Liu Nɑn Male Han Villager Gantian Village, Pingba Town, Wenshan

Table A3- 5 List of Persons Consulted for S235 Road Section Date: 19 May 2017 No. Name Gender Minorities Employment Name of Village

st 1 Yin Ziwang Male Han Villager Fengji 1 team, Diantou Village Committee, Dianyang town, Shidian county st 2 Yin Kaisen Male Han Villager Fengji 1 team, Diantou Village Committee, Dianyang town, Shidian county st 3 Yin Male Han Villager Fengji 1 team, Diantou Village Committee, Zichɑnɡ Dianyang town, Shidian county st 4 Yin Ziguo Male Han Villager Fengji 1 team, Diantou Village Committee, Dianyang town, Shidian county st 5 Yin Zihe Male Han Villager Fengji 1 team, Diantou Village Committee, Dianyang town, Shidian county st 6 Yin Male Han Villager Fengji 1 team, Diantou Village Committee, Jianguo Dianyang town, Shidian county st 7 Yin Zilu Male Han Villager Fengji 1 team, Diantou Village Committee, Dianyang town, Shidian county st 8 Yin Zikun Male Han Villager Fengji 1 team, Diantou Village Committee, Dianyang town, Shidian county nd 9 Yin Kɑihe Male Han Villager Fengji 2 team, Diantou Village Committee, Dianyang town, Shidian county nd 10 Yin Bifɑ Male Han Villager Fengji 2 team, Diantou Village Committee, Dianyang town, Shidian county rd 11 Zhɑo Male Han Villager Fengji 3 team, Diantou Village Committee, Bishɑn Dianyang town, Shidian county rd 12 Yɑnɡ Male Han Villager Fengji 3 team, Diantou Village Committee, Guozhou Dianyang town, Shidian county rd 13 Zhɑo Biwu Male Han Villager Fengji 3 team, Diantou Village Committee, Dianyang town, Shidian county rd 14 Zhɑo Male Han Villager Fengji 3 team, Diantou Village Committee, Jinyuɑn Dianyang town, Shidian county nd 15 Yɑnɡ Male Han Villager Fengji 2 team, Diantou Village Suyinɡ Committee, Dianyang town, Shidian county

16 Yɑnɡ Female Han Villager Caipi village, Dianyang town, Shidian Xiɑofen county

17 Zhɑnɡ Female Han Worker Shidian county Xiɑolɑn 18 Liu Yun Female Han Worker Shidian county

19 Zhɑo Jiɑyi Female Han Worker Shidian county

20 An old lady Female Yi Villager Xiaohan village, Dianyang town, Shidian county

Table A3- 6 List of Persons Consulted for G324 Road Section Date: 7 June 2017 No. Name Gender Minorities Employment Name of Village

1 Jiɑ Xuezhonɡ Male Han Villager Guanyinsi Village

2 Li Bin Male Han Villager Guanyinsi Village

3 Jiɑ Zhenɡguo Male Han Driver Guanyinsi Village

4 Yɑnɡ Chunniɑn Female Han Shopper Guanyinsi Village

5 Jiɑ Xuewei Male Han Worker Guanyinsi Village

6 Zhɑnɡ Lishɑn Male Han Villager Guanyinsi Village

7 Zhɑnɡ Chuɑn Male Han Transport Guanyinsi Village

8 Jiɑ Shuili Female Han Villager Guanyinsi Village

9 Yɑnɡ Tilonɡ Male Han Shopper Guanyinsi Village

10 Jiɑ Guɑnɡjun Male Han Villager Guanyinsi Village

11 Hu love ei Female Han Shopper Hedian Village

12 Wɑnɡ Yunxiɑnɡ Male Han Villager Hedian Village

13 Guo Lichun Male Han Shopper Hedian Village

14 Pɑnɡ An Male Han Worker Hedian Village

15 Li Yonɡlɑn Female Han Villager Hedian Village

16 Guo Zhonɡhonɡ Male Han Civil servant Hedian Village

17 Guo Qinɡ Female Han Worker Hedian Village

18 Pɑnɡ Siguo Male Han Shopper Hedian Village

19 Wɑnɡ Chunli Female Han Shopper Hedian Village

20 Hu Rɑnli Male Han Villager Hedian Village

Appendix IV Sample Environmental Clauses for Inclusion in Contract Documents

1.1 ENVIRONMENTAL SAFEGUARDS These clauses are to be used in conjunction with the Environmental Management Plan (EMP). In the event of duplication or overlap the clause defining the more stringent and applicable measure will take precedence. 1.1.1 Contractor’s Understanding Of Safeguards A. The Employer is committed to undertaking the construction of the Project in a manner that results in the least impact on the natural and social environment. The Contractor will confirm an understanding of the environmental impact that may occur due to construction activities and of the methods for preventing or mitigating these impacts; as identified in the clauses to follow and as directed by YPDOT/YHAB and/or its General and Maintenance Section Engineers and/or YHAB’s Environmental and Social Safeguards Unit (ESSU). The contractor will be require to provide the following sentence in the covering letter accompanying the bid and which is signed by a responsible contractor representative. “ We have read and understand the contents of all environmental clauses and conditions contained in the bid documentation and will abide by these requirements. Any non compliance, as identified by an inspector will be rectified at our cost within asfew working days, and will not be included as charges to the Employer.”

B. The contractor will be required to attend YHAB’s environmental safeguards training course as defined by YHAB and be required to nominate at least two people to attend.

1.1.2 Compliance with All Laws, Regulations and Standards The Contractor shall observe and comply with all National Laws, Government Regulations, Decrees, Provincial Decrees, as well as any special conditions issued by local authorities pertaining to environmental protection, pollution control, waste management and biodiversity protection. The Contractor shall take all necessary precautions to minimize environmental disturbance to the project area and surroundings and to prevent the escape of polluting substances into streams, water courses, and groundwater. The Contractor shall also utilize all necessary methods and devices as are available to prevent and otherwise minimize atmospheric emissions or discharges of air contaminants.

1.1.3 Waste Management and Pollution of Land and Water

A. All waste arising from the project is to be disposed of in a manner compliant with PRC regulations and standards and as approved by the Project Engineer. All vehicles and machinery employed in the execution of the works shall be regularly maintained to ensure that pollutant emission levels comply with the relevant requirements of current pollution control legislation. Vehicle maintenance and refuelling shall be carried out in

such a fashion that spillage of fuels and lubricants lead to 0% contamination the groundor any watercourse. Vehicles and equipment must not be washed or driven into natural water bodies, unless approved by the Engineer. All used and collected petroleum products shall be disposed of in accordance with the relevant legislation. A step-by step spill cleanup plan, including names and numbers of officials to contact, should be available by the contractor for inspection by the employer. B. Adequate sanitary waste control facilities shall be provided in site offices and workers camps, and sewage waste shall be collected regularly and disposed in accordance with relevant national and provincial environmental legislation. C. In situations where the contractor must temporarily block or divert irrigations systems, prior consultation and agreement with owner/operators must be undertaken. A schedule agreeing to the start of work, duration of work, provision of temporary diversion in order to keep the water flowing, and reinstatement of the irrigation system suitable to the farmer (in relation to protection of crops) must be written down and filed with YHAB. The Contractor shall be responsible for maintaining the system to the satisfaction of the owners and all costs of maintaining the system shall be deemed to be included in the various rates and lump sum items for the works included in the priced Bill of Quantities.

1.1.4 Air Pollution A. The Contractor shall take all necessary steps to minimize air pollution resulting from maintenance activities. Except where stipulated in these Specifications, the disposal of natural vegetation, organic materials from clearing operations and the disposal of waste materials, particularly oil and petroleum wastes, rubber, plastics and similar material by burning, will not be permitted. The Contractor shall take all steps necessary, and shall furnish all labour, equipment, materials and means, required to reduce dust nuisance from the Works, and to prevent dust originating from maintenance activities from damaging crops, orchards, cultivated fields, and dwellings; or causing a nuisance to persons. The Contractor shall be held liable for any damage resulting from dust originating from maintenance activities including on Government roads, rights-of-way or elsewhere. Dust levels, measured as total particulate matter, must be in compliance with relevant air quality standards specified in PRC law. Emission exceedences from the manufacture, handling and storage and handling of cement and of concrete aggregates will not be permitted and the Contractor shall use methods and equipment to prevent such dust the construction period. All truck loads of loose materials shall be covered during transportation.

1.1.5 Noise Pollution A. All Works shall be carried out with reasonable controls over noise and disturbance levels. During routine servicing operations, the effectiveness of exhaust silencers must be checked and if found to be defective must be replaced. Notwithstanding this requirement, noise levels from any item of construction equipment must comply with the relevant PRC legislation and standards for levels of sound emission. Non compliant equipment will be removed from site. Operation of trucks and heavy vehicles will be restricted to hours of 07:00-18:00. 84

B. All necessary measures, including the use of noise barriers, shall be used to protect schools, hospitals and other noise sensitive receptors close to the RoW.

1.1.6 Damage to Property, Crops and Vegetation A. The Contractor shall preserve existing trees, plants and other vegetation that are to remain within or adjacent to the Works and shall use every precaution necessary to prevent damage or injury thereto. Trees or shrubs shall only be felled or removed where such obstruct directly the permanent works or necessary temporary works areas; and where such is approved by the local Forestry Department. Replanting of trees and bushes as specified by PRC standards shall be completed based on written plans agreed to between the local Forestry Dept. and the contractor. Two overarching criteria that must be considered are: i) replanting using indigenous vegetation and tree species and ii) replanting with a view of stabilizing soils as quickly as possible. B. The Contractor shall be responsible directly to YPDOT/YHAB and the affected people for any excessive or unnecessary damage to crops or lands arising from any construction operation. Deductions will be made from the payment due to the Contractor to cover the cost of repairing such excessive or unnecessary damage, as determined by YPDOT/YHAB. C. On completion of the Works all areas disturbed by the Contractor’s construction activities shall be restored by the Contractor to their original condition, or as may be acceptable to YPDOT/YHAB and any necessary input from the local Forestry Bureau.

1.1.7 Borrow Materials All borrow materials not taken from road cuts most be obtained from sites licensed by the relevant provincial agency. The contract will be wholly responsible for determine these requirements through consultation with YHAB office in the Maintenance Section responsible and any other local agency such as the prefecture level.

1.1.8 Soil Erosion and Sedimentation Control All temporary sedimentation and pollution control works shall be deemed as incidental to the earthwork and other items of work and as such no separate payment shall be made for the same.

1.1.9 Plant and Equipment During the day, plant and equipment working adjacent to traffic and having a projection beyond the normal width of the item, for example, a grader blade, shall have a fluorescent red marker attached to the outer end of the projection. During poor light conditions an additional traffic controller with an illuminated red wand shall direct traffic around such plant and equipment. At night, all construction equipment and materials shall be removed from the normal path of vehicles, to provide a lateral clearance of at least 6m where practicable, with a minimum clearance of 1.2m. Plant and equipment, within 6m of the normal path of vehicles, shall be lit by not less than two yellow steady lamps suspended vertically from the point of the obstruction nearest to a traffic lane, 85

and one yellow steady lamp at each end of the obstruction on the side farthest away from the traffic lane.

1.1.10 Public Safety and Traffic Management Special consideration shall be given in the preparation of the Traffic Control Procedure to assure that traffic continues to move efficiently during the construction activity and that an adequate and trained number (at least two) of traffic control officers are assigned to each construction site, where stop and start conditions will be required.

1.1.11 Occupational Health and Safety A. Any construction operation where people work at a site for a number of days, the contract will provide i) adequate safety foot ware, hardhats and protective clothing and enforcement in their use; ii) location of medical assistance on site; iii) sanitary toilet facilities and a potable water supply; iv) safety protocol when operating heavy equipment such as reverse alarms; and, v) up-to- date record book of health and safety issues as well as accidents. B. The contractor will provide adequate instructions to all workers transporting, handling and/or using hazardous materials such as herbicides, paints and fuels. These instructions need to be provided orally and with a label on each material. C. The contractor will insure that all labourers are more than 16 years of age.

1.1.12 Health and Vector-borne Diseases Given that all projects are in malaria and dengue mosquito zones and that construction sites have been shown to contribute very significantly to the rise in these insects locally through the creation of water collection sites and depressions from heavy equipment use and stagnant water collected in used materials such as tires, an insect control program will be required at each construction site and any work camps. During the wet season, contracts will be required to conduct checks once every two days to insure that construction work has not left small ponds and depressions where water has collected. Old tires and containers placed in open storage areas are favourite breeding grounds for mosquitoes. Any such stagnant water areas will need to be cleaned up immediately (dengue mosquito hatching from egg to insect takes only 6-7 days), with each check logged by the contractor.

1.1.13 Reporting A. The Contractor shall maintain a record of all emissions and spills of liquid, solid and gaseous matter which occur at the site, whether into water courses, streams, on land, or into the air. This record shall be compiled daily and shall include details of date, time and nature of the event, along with details of the remedial and clean-up measures carried out. Copies of these records shall be given to YPDOT/YHAB monthly. B. The Contractor shall also maintain a record of any complaints made by any Governmental or Community Organizations or by the public, regarding the operations.

This record shall contain the date and time of receipt of the complaint, the name and address of the complainant and the action taken to remedy the situation. Copies of these records shall be given to the Employer monthly using a format acceptable to YHAB’s engineer in charge. 1.1.14 Basis of Payment The Contractor will be fully compensation for carrying out the Environmental Protection and Pollution Control measures as described in Sections 1.1, and in compliance with relevant environmental specifications found in the construction contract. Mandatory compliance with national law, decrees and regulations is a legal requirement will not be compensated. Payments will be further verified through the submission of timely inputs to the monthly project monitoring report program as well as semi-annual reports to ADB.

Appendix V Environmental Costs

1. Training: Training for Phases IV will be delivered by the ESSU, with support from the trainers, as needed. The costs of any required trainer support will be covered by the loan under the Project Management Consultancy contract.

2. Operation of ESSU: The estimated cost for Phase IV will be approximately USD 54,850 which will be borne by YHAB. This includes the assessment of subcomponents for Phases IV, preparation of an annual environmental assessment report and EMP for approval by ADB, compliance monitoring and reporting.

Table A5- 1 Estimated costs for ESSU establishment, environmental assessment preparation and annual operation

Annual Reoccurring Costs* 1. ESSU Staff 1 5800 1 Year 5800 2. ESSU Staff 2 5800 1 Year 5800 3. ESSU Staff 3 5800 1 Year 5800 3. Administrative support (annual) Provided by YHAB 4. Office Operation/Consumables 3500 1 Year 3500 5. Land transportation costs (fuel/tolls) 5000 1 Year 5000 6. Field audit trip: airfares 275 18 4950 7. Field audit trip: per diem 50 200 10000 8. Driver 4000 1 Year 4000 9 ESSU Vehicle (full time) 600 1 Year 10000 Total Annual Reoccurring Costs per Phase 54,850.00 * Costs estimated based on past experience, but to be verified by YHAB

3. Implementation of Pre-Construction and Operational Measures: The ESSU will be responsible for ensuring that YHAB implement the pre-construction and operational environmental mitigation and monitoring measures, as defined in the EMP. They will be supported by an International/national Environment Consultant. One month of International support and two months of national support will be provided in each subsequent year, for a total of three months, this is estimated to cost approximately USD 40,400. An estimate of costs is provided in Table A5-2. All other costs associated with the implementation of pre-construction and operational measures are included within the estimates made for the annual operation of the ESSU.

Table A5- 2 Estimates of Costs for International Consultant Support for ESSU

Item Unit No. Units Unit Price Total USD Price International Environmental Person Months 1 18,000 18,000 Specialist International Air Travel Flights 1 4,000 4,000

National Environmental Specialist Person Months 2 55,00 11,000

Incidental expenses (visa/home Expenses 1 300 300 travel) Field audit trip expenses; 3 airfares/year to 4 project prefectures Domestic Flight 4 400 1,600 (excluding Kunming) plus land Land Travel 4 250 1,000 transport for one person Audit Per diems @USD 150/day Day 30 150 4,500

Estimate of Cost 40,400

4. Construction Environmental Measures: Contractors will be responsible for implementing all construction environmental mitigation and monitoring measures as defined in the EMP. It has been assumed that civil works calculations will take into account any associated costs, as specified in the environmental contract clauses (Appendix V).

Table A5- 3 Estimates of Costs for Implementation of Construction Environmental Measures Road Section Mitigation Cost % of Total Notes CNY’000 Cost Estimate Section: G248 2,000 6.0% (K582+127—K600+127) Section: S240 - - (K73 + 000 ~ K83 + 400) Section: S325 50 0.1% (K88+035—K118+035) According to domestic Section: S242 2,900 6.9% EIA documents (K0+000～K38+000) Section: S235 150 0.5% (K0 + 000 ~ K18 + 000) Section: G324 (K2502 + 830 - K2513 + 1,210 5.0% 658) Total 6,310 2.8%

5. Social Development Programs and Resettlement: At the time this environmental assessment report was prepared, data on social development costs were not available. They are presented in the social assessment report prepared as part of this Project. There was no resettlement of any kind, and therefore no resettlement costs.

6. The ESSU’s social staff will be responsible for social development assessment and resettlement and land acquisition planning for Phases IV subproject.

Appendix VI Mainly Related Reports and Approval Status

Road Section Type of Preparers Notes Documents Section: G248 Detailed design Yunnan Yunlu Road&Bridge Provided in June (K582+127—K600+127) Investigation and Design Co. 2017 Section: S240 Detailed design Yunnan Yunlu Road&Bridge Provided in June (K73 + 000 ~ K83 + 400) Investigation and Design Co. 2017 Section: S325 Detailed design Yunna Yuanzhou Engineering Provided in June (K88+035—K118+035) Design Co. 2017 Section: S242 Detailed design Yunnan Yunlu Road&Bridge Provided in June (K0+000～K38+000) Investigation and Design Co. 2017 Section: S235 Detailed design Yunnan Yunlu Road&Bridge Provided in June (K0 + 000 ~ K18 + 000) Investigation and Design Co. 2017 Section: G324 Detailed design Yunna Yuanzhou Engineering Provided in June (K2502 + 830 - K2513 + Design Co. 2017 658) An additional EIA document on the Phase Yunnan Provincial Provided in June IV subproject Environmental Science 2017 Research Institute

Approvals of domestic Environmental Impact Registration Forms

G248 (K582+127—K600+127) = S208 (K146+916 S240 (K73 + 000 ~ K83 + 400) ～K164+916)

S325 (K88+035—K118+035) = S321 (K86+075～ S242 (K0+000～K38+000) = S324(K0+000～ K116+075) K38+000)

S235 (K0 + 000 ~ K18 + 000) G324(K2502 + 830 - K2513 + 658)