China Plastic Waste Reduction Project (P174267) Public Disclosure Authorized Integrated Urban-Rural Plastic Waste Comprehensive Management Project

Public Disclosure Authorized

Preliminary Environmental and Social Management Framework （ESMF）

Public Disclosure Authorized

Chongqing Project Management Office

Public Disclosure Authorized January 2021

Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

List of content

1 Project Description...... 1

1.1 Project background ...... 1

1.2 Project description ...... 6

Main content ...... 6

Project scope ...... 11

1.3 Arrangement of the project implementation ...... 11

1.4 The goals and scope of ESMF ...... 13

2 Environment and Social Background ...... 15

2.1 Environment overview ...... 15

Geographical location ...... 15

Climate and meteorology ...... 15

Topography ...... 16

Geology ...... 18

Hydrology and water conservancy ...... 19

Ecological environment status ...... 21

Soil ...... 22

Soil erosion ...... 23

2.2 Social Baseline ...... 24

Socio-economic Profile ...... 24

Domestic Waste Classification ...... 27

Employment of the Domestic Waste Industry ...... 28

Overview of Cultural Relics ...... 28

Overview of Vulnerable Groups ...... 29

2.3 Current status of environmental quality ...... 30

Current situation of atmospheric environmental quality ...... 30

Current situation of the surface water environmental quality ...... 31

1 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Current situation of the groundwater environmental quality ...... 31

Current situation of the acoustic environmental quality ...... 32

2.4 Current situation of solid waste management ...... 32

2.5 Overview of Endemic Diseases / Epidemics ...... 34

3 Laws, regulations and institutional framework ...... 35

3.1 Relevant domestic environmental laws, regulations and policies ...... 35

3.2 Domestic Social Laws, Regulations and Policies ...... 50

Social risk assessment ...... 51

Labor and working conditions ...... 51

Land Acquisition (LA)and House Demolition (HD) ...... 53

Stakeholder Engagement ...... 54

3.3 Environmental social framework of the World Bank ...... 55

3.4 Environmental, Health and Safety Guidelines of the World Bank (EHSGs) ...... 62

4 Analysis and mitigating measures of the project’s environmental and social impact and risk

...... 67

4.1 Environmental and social impact of the project ...... 67

Technical assistance activities of institutional capability improvement...... 67

Construction activities of infrastructure construction ...... 70

4.2 Environmental and social impact management ...... 87

Technical assistance activities ...... 88

Civil construction activities...... 88

5 Environmental and social risk management procedure ...... 92

5.1 Risk screening and classification of subprojects...... 93

Exclusion list ...... 94

Environmental and social risk screening ...... 95

5.2 Preparation of the documents of the subproject’s social impact assessment and

environmental impact assessment ...... 96

5.3 Approval of environmental and social documents ...... 97

2 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Review and approval procedures of domestic environmental impact

assessment documents ...... 97

The World Bank’s review and approval procedures of environmental impact

assessment documents ...... 102

5.4 Bidding procurement of subprojects ...... 102

5.5 Procedures of implementation, supervision and report ...... 102

5.6 Subproject’s completion and assessment ...... 103

5.7 Stakeholder engagement ...... 103

6 Stakeholder Engagement and Grievance Redress Mechanism ...... 105

6.1 Stakeholder Identification ...... 105

6.2 Preliminary Stakeholder Engagement ...... 106

6.3 Grievance Redress Mechanism ...... 108

6.4 GRM for project affected individuals or organizations ...... 109

6.5 GRM for workers ...... 111

7 Arrangement and strengthening of institution and training plans ...... 115

7.1 Organization and responsibilities of institution ...... 115

7.2 Establishment plan of external teams ...... 118

7.3 Capacity building plan ...... 122

8 Project monitoring and reporting ...... 126

8.1 Internal monitoring ...... 126

8.2 External supervision ...... 127

8.3 Reporting system ...... 128

9 File Management and Reporting System (referring to other project documents) ...... 130

Appendix 1 Environmental and Social (E&S) screening of subproject...... 130

Appendix 2 Guideline on subproject’s environmental and social (E&S) risk classification

...... 134

Appendix 3 Outline of Environmental and Social Assessment Report ...... 136

Appendix 3-1 Outline of EIA Report ...... 136

3 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Appendix 3-2 Outline of the SIA Report ...... 145

Appendix 4 Outline of Environmental and Social Management Plan ...... 154

Appendix 5 Outline of Environmental and Social Due Diligence ...... 164

Appendix 5-1 Outline of Environmental Due Diligence ...... 164

Appendix 5-2 Indicative Outline of Social Audit ...... 166

Appendix 6: LMP template ...... 168

Appendix 7 Resettlement Framework ...... 186

Appendix 8 General environmental impact management measures ...... 210

Appendix 9 Traffic Management Plan ...... 230

Appendix 10 Construction Camp Management Plan ...... 237

Appendix 11 Emergency Preparedness and Response Plan ...... 259

Appendix 12 Ethnic Minority Development Framework ...... 266

Appendix 13 Cultural Relics Chance Find Procedure ...... 275

Appendix 14 Guideline of Assessing the Severity of the Incident ...... 280

4 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Executive Summary

China plans to cooperate with the World Bank to implement the China Plastic Waste

Reduction Project, which aims to strengthen the relevant policy and institutional capability on plastic waste management at national and local levels and reduce municipal solid waste pollution. The project is designed to contain three subprojects: (1) Support on policy and institutional capacity strengthening at the national level; (2) Technical assistance and institutional capacity building at the provincial/municipal and local levels; (3) Demonstration of solid waste/plastic pollution’s reduction, recycling and harmless disposal in selected provinces/cities.

Component 3 selects two cities as the demonstration cities of solid waste/plastic pollution management. Being one of the selected demonstration cities, Chongqing plans to implement the Chongqing Component of China Plastic Waste Reduction Project (P174267), namely ‘Chongqing Integrated Urban-Rural Plastic Waste Comprehensive Management Project

(hereinafter refer to the “Chongqing Part”).

The Chongqing Part comprises of three components. Component 1 is for institutional capability improvement, including policy mechanism research, publicity and training, establishment of information platform, etc.; Component 2 is about infrastructure construction, which include facilities expansion and construction of domestic waste separation, sorting and transfer, disposal, recycling and reuse; and Component 3 is project management capacity building. Under the unified leadership of the Chongqing municipal government and the leading group of the Chongqing Part, Chongqing’s relevant activities will be implemented by the

Chongqing Environmental Sanitation Group Co., Ltd., Chongqing

Development and Investment Group Co., Ltd., Qijiang Nanxin Solid Waste Disposal Co.,

Ltd. and Construction Investment Group as its project implementation units

(4 PIUs).

The Project follows a framework approach for investments. Most urban activities have been identified (first batch of projects, for which a Preliminary EIA has been prepared under separate cover) while the specific rural activities will be identified during implementation

1 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project (second batch of investments) following the completion of a Feasibility Study. Urban activities build upon the current system in Chongqing. Rural activities will feed into and link to the urban system such that complementarity is achieved along with efficiency and economies of scale. To that end, rural activities will be designed at a later stage, including related environmental impact and social assessments.

Among subprojects of Chongqing Part, the first-batch subprojects (they are: Jiguanshi ship waste receiving and treatment project, Function improvement project of Jieshi solid waste transfer station, Function improvement project of Xiajiaba solid waste transfer station,

Function improvement project of Zouma solid waste transfer station and Luoqi Low-value

Recycling Base project) have already carried out the specific subproject-level environmental and social impact assessment work and prepared special environmental and social management reports according to the World Bank’s ESF. Due to their detailed information

(such as site selection, scale and technical scheme, etc.) can only be determined during the specific implementation processes, the following up subprojects behind the first-batch ones are designed to execute their environmental and social management affairs in accordance of the principles and procedures of this framework document.

This Environmental and Social Management Framework (ESMF) is defined as a management tool prepared for the Chongqing Part, whose format is in line with the requirements of the World Bank’s Environmental and Social Framework (ESF) and the law and regulation system of China. This ESMF provides a complete set of procedure and content requirements for the environmental and social risks management of the Chongqing Part. The requirements of this ESF are applied to the whole implementation process of Chongqing Part’s sub-projects, including risk screening and classification, preparation of environmental and social assessment reports, monitoring, stakeholder engagement, etc.

The key content of this framework includes:

Preliminary analysis of environmental and social risks and impacts

The Chongqing Part’s nature is pollution reduction and environmental protection, with great positive environmental and social benefits. However, during the construction and

2 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project operation of specific facilities/activities (including associated facilities1 , if involved), there may still be some potential environmental and social risks and impacts at various degrees.

The technical assistance (TA) activities have minimal or negligible direct environmental impacts, but, inspired by the suggestions on policy and investment as their research results, the realization of the suggestions may cause some downstream activities. Infrastructure construction activities will lead to wastewater discharge, air pollutants, noise and solid waste.

Those pollutants have negative impacts on soil, terrestrial and aquatic ecology, occupational safety, traffic safety and community daily life .The infrastructure activities’ risks during the operation period are mainly odor and sewage generated in garbage transfer stations’ operation, temporary storage and transportation of household hazardous substances, fire and explosion risks of biogas tanks in kitchen waste treatment plants, hazardous substances production, storage and transportation related to recycling waste processing centers. And, the old landfills’ closure may cause pollutant leakage and lead to remediation of contaminated land and groundwater, etc.

For infrastructure construction activities, potential social risks may include negative economic and social impacts and risks related to land acquisition, immigration and land use restriction, as well as risks and impacts of the project on labor and working conditions (mainly occupational health and safety); odor, noise, dust, road traffic and other health and safety risks brought by the site to surrounding community residents; the noise and odor caused by garbage transport vehicles to the community and related road traffic safety risks; the Not In My Back

Yard reaction of the residents and the risks caused by possibly inadequate stakeholder engagement or untimely handling of grievance. In addition, the relevant vulnerable groups in the project area may be more affected due to their own factors and maybe with risk of being excluded from the project. For example, the front-end collectors of recyclable materials may

1 According the Bank’s ESF, the term “Associated Facilities” means facilities or activities that are not funded as part of the project and, in the judgment of the Bank, are: (a) directly and significantly related to the project; and (b) carried out, or planned to be carried out, contemporaneously with the project; and (c) necessary for the project to be viable and would not have been constructed, expanded or conducted if the project did not exist.

3 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project reduce their recyclable amount and income due to the increase of recycling facilities and the strengthening of governmental control brought by the implementation of the project. The social risks of technical assistance subprojects mainly come from potential downstream impacts. For instance, in the industrial upgrading and substitution process, some enterprises' production and operation may be affected or even eliminated, resulting in the transfer or unemployment of related employees.

Comprehensively, the environmental and social risks and impacts of the Chongqing Part’s components include different risk ratings as ‘High’, ‘Substantial’, ‘Moderate’ and ‘Low’. During the implementation phase, specific and detailed environmental and social impact analysis will be carried out in the way of special screening and evaluation on each particular activity according to the procedures and requirements specified in this framework, and the corresponding documents will be prepared.

Environmental and Social Management Procedure

This framework formulates the procedure below for the environmental and social

management of the following up subprojects:

（1）Screening and classification of environmental and social impacts: The PMO excludes the activities listed in the exclusion list of this framework. As for the subprojects in line with the scope of the project funding, the PMO screens and classifies them according to the E&S screening tools provided by this framework. And then, the PMO submits the result to the World

Bank to confirm the risk rating and applicable E&S assessment tools of the subprojects.

（2）Preparation of environmental and social impact report: The PMO employs qualified consultants to prepare special E&S impact assessment documents for the subproject in accordance with the applicable environmental and social standards (ESSs) under the World

Bank's ESF.

(3) Approval of environmental and social impact documents: Subprojects that are identified as High risk, Substantial risk and Moderate risk are required to submit all the E&S assessment reports to the World Bank for prior review and approval before subproject assessment, and then the subprojects are allowed to be implemented. Subprojects that are

4 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project identified as Low risk do not need to submit E&S assessment reports to the World Bank for prior review.

（4）Monitoring and reporting of subproject implementation: The Chongqing PMO is responsible for continuous supervision on the subproject’s E&S performance and regularly reporting to the World Bank.

（5）Subproject completion and evaluation: After the completion of the subproject, it is necessary to review and evaluate the environmental and social management performance in the whole process of the subproject, so to evaluate the actual effect and summarize the experience and lessons.

Stakeholder engagement plan

This framework contains a ‘Stakeholder Engagement Plan’ (SEP). The plan identifies and analyzes the demands of the main stakeholders, including the vulnerable groups, formulates the information disclosure and stakeholder consultation plans, clearly arranges the resources and stipulates the grievance mechanism. The PMO and PIUs will ensure the SEP being realized in the project’s life-cycle.

Capability building plan

This framework formulates a set of capability training plans covering numerous audiences such as the PMO, PIUs, residential communities, contractors, supervision units and third party monitoring units, etc, so to promote the E&S management performance during the project implementation process.

In the ‘Environmental and Social Commitment Plan’ (ESCP), the PMO undertakes to follow the requirements of this procedure to assess and manage the environmental and social risks and impacts of subprojects, and to submit regular progress reports to the World Bank.

5 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

List of Tables

Table 1.2-1 Content of Chongqing Urban-Rural Integrated Plastic Waste Comprehensive

Management Project ...... 8

Table 2.1-1 Rivers data of the project’s scope ...... 20

Table 2.1-2 Characteristics of the main soil types of Chongqing and the project scope .. 23

Table 2.2-1 Socio-economic Profile of the 3 Districts (2019) ...... 26

Table 3.1-1 Domestic environmental laws and regulations applicable to this project ..... 35

Table 3.2-1 State laws and regulations on labor and working conditions ...... 52

Table 3.2-2 State laws and regulations on LA and HD ...... 54

Table 3.2-3 State laws and regulations on stakeholder engagement ...... 55

Table 3.3-1 Applicability analysis on the World Bank’s environmental and social standards

...... 56

Table 3.4-1 The EHS Guildelines and relevant specific guidelines possibly applicable to

this project ...... 62

Table 4.1-1 Screening of subproject’s environmental and social risks ...... 75

Table 5.3-1 Approval processes of EIA documents ...... 99

Table 5.3-2 Regulations on disclosure ...... 100

Table 6.4-1 Contact persons and hotlines of the PIUs ...... 109

Table 6.4-2 government departments’ grievance channels for the project ...... 110

Table 6.5-1 Government department’s grievance channels for the workers ...... 112

Table 7.2-1 Qualification requirements and main responsibilities of external experts . 119

Table 7.3-1 Phased plan of the environmental and social management capacity building

...... 123

1 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

List of Figures

Figure 1.2-1 Service scope of the subprojects of infrastructure construction ...... 11

Figure 1.3-1 Project management organization ...... 13

Figure 2.1-1 Topography of Chongqing and this project’s scope ...... 18

Figure 2.1-2 Water system of Chongqing City and the project’s implementation scope . 20

Figure 2.1-3 Distribution of ecological sensitive areas within the project scope ...... 22

Figure 2.1-4 Soil erosion status of Chongqing and the project scope ...... 24

Figure 2.3-1 Trend of air quality of Chongqing in 2015~2019 ...... 30

Figure 7.1-1 Organizational structure of environmental and social management ...... 115

2 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

Acronyms

APs Affected Persons CMP Camp Management Plan C-CMP Contractor’s Camp Management Plan CHB Cultural Heritage Bureau CHS Cultural Heritage Supervisor C-TMP Contractor’s Traffic Management Plan EIA Environmental Impact Assessment EMDP Ethnic Minority Development Plan

EHSG Environmental, Health and Safety Guidelines (of the World Bank Group) E&S Environmental and Social Environmental and social commitment ESCP program ESF Environmental and Social Framework Environmental and Social Impact ESIA Assessment Environmental and Social Management ESMF Framework Environmental and Social Management ESMP Plan FPIC Free, Prior, and Informed Consent GBV Gender-Based Violence GIIP Good International Industry Practice GRM Grievance Mechanism HD House Demolition LAL Land Administration Law LMP Labor Management Procedure LAR Land Acquisition and Resettlement M&E Monitoring and Evaluation OHS Occupational Health and Safety PIU Project Implementation Unit

3 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project PLG Project Leading Group PMO Project Management Office PRC People’s Republic of China RF Resettlement Framework RP Resettlement Plan SIA Social Impact Assessment SEP Stakeholder Engagement Plan STD Sexually Transmitted Diseases TA Technical Assistance ToRs Terms of Reference TMP Traffic Management Plant USD U.S. Dollar WBG World Bank Group WHO World Health Organization

4 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

1 Project Description

1.1 Project background

China has placed transition to a more balanced and sustainable economic growth model at the center of its development agenda for the decades to come. Commitments in key policy documents including the 13th FYP (2016-2020) and the 19th Party Congress Report (October

2017), include reversing environmental degradation and tackling climate change.

Preparation for the 14th FYP was officially launched in November 2019. The plan is expected to continue this emphasis with a renewed focus on waste recycling and reuse, environmental monitoring and information systems, among others1.

In the past four decades, economic development in China has made great achievements in attracting worldwide attention. Yet the rapid economic development poses a serious challenge to environmental sustainability. A 2015 scientific study2 estimated that China is a significant contributor to ocean plastic debris and that its rivers are major conduits of such debris reaching the ocean. China is estimated to produce more than 400 million tons of solid waste is produced in urban areas of China every year, 12% of which is plastic waste. While urban China is reported to have near universal safe disposal rate3, rural China is estimated to safely dispose only half of its MSW4. Plastic pollution is also caused by microplastics found in the compost produced by urban kitchen waste treatment plants and plastics in bulky and construction waste. China has the largest in the world agricultural area under plastic films that are not universally collected contributing substantially to plastic pollution of soils and subsequent plastics run off into the marine environment. China has become a major source of marine plastic waste in the world.

1 The Beijing News. The Ecology and Environmental Minister: 14th Ecology and Environmental FYP needs to take a strategic approach, 2019. 2 Jenna R. Jambeck, Roland Geyer, Chris Wilcox, Theodore R. Siegler, Miriam Perryman, Anthony Andrady, Ramani Narayan, Kara Lavender Law, Plastic Waste Inputs from Land into the Ocean, Science Magazine, February 2015. 3 National Bureau of Statistics of China, China Statistical Yearbook, October 2018. 4 China Association of Urban Environmental Sanitation, The China Municipal Waste Development Report, October 2017.

1 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project In response to this severe challenge, the Chinese government attaches great importance to the prevention and control of solid waste and plastic waste pollution. The management of solid waste and plastic waste is in a rapid upgrading process aiming to reduce the amount, recycling as resource and disposal with harmlessness. Both ‘downstream’ solutions

(postconsumer, such as waste collection, recycling and disposal) and ‘upstream’ solutions

(pre-consumer, such as plastic substitution, plastic waste prevention and reduction) recognized to be applied in parallel. In rural areas, efforts will be focused on extending municipal waste collection services and increasing the safe disposal rates; as well as pilots to find a scalable model for agricultural film handling. In urban areas, efforts will be to increase the recycling rate, which currently stands at about 16% mainly due to contribution by the informal sector and improve source separation. At the central level, policy directions to reduce pollution control, increase recycling, enhance prevention have been issued. Much of the downstream regulatory frameworks that would allow to achieve the set policy direction are yet to be developed.

Despite progress so far and the clear ambition to advance policies and implementation practices towards reduced pollution and plastic leakage, increased recycling, and prevention, a lot remains to be done. There is institutional fragmentation in service planning and delivery and lack of well-articulated performance systems linked to actual waste volumes produced and handled. Significant operational and financial difficulties remain in rural areas to organize the system such that all waste is collected and safely handled. Rural areas also experience large gaps in data availability and reliability. In urban China, the rolling out of separate waste collection has proved challenging too. Where separation at source is not in place or with insufficient quality, the recycling rate and quality of kitchen waste compost suffer. At the policy level, the specific policy implementation drivers, such as economic and financial incentives and regulatory mechanisms that would underpin prevention and plastic waste reduction are not yet in place.

Addressing plastic pollution and management requires a multisectoral effort, through upstream analytical and policy work on plastics, and improvements to the solid waste

2 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project management sector, river water quality through programmatic cleaning efforts, and the plastic applications and handling in agriculture. With its improving policy, planning, regulatory mechanism, information management, infrastructure and institutional capabilities, China plans to cooperate with the World Bank to implement China Plastic Waste Reduction Project

(P174267). This project is to strengthen national and local policies, improve institutional capacity on plastic waste management and reduce the pollution of municipal solid waste. It includes three subprojects as (1) Support on policy and institutional capacity strengthening at the national level; (2) Technical assistance and institutional capacity building at the provincial/municipal and local levels; (3) Demonstration of solid waste/plastic pollution’s reduction, recycling and harmless disposal in selected provinces/cities. As the subproject 3, it selects two cities as the demonstration cities of solid waste / plastic pollution management.

In addition to this project which focuses on upstream policy and analytical support and solid waste management investments in two provinces, the World Bank is currently preparing two separate investment operations linked to river basins and the agricultural sector that include attention to marine plastics: (i) China: Yangtze River Revitalization Program which among other areas will also address the challenges of marine plastics flowing into China’s longest rivers; and (ii) China: Food Safety and Plastic Reduction which will among others also focus on plastic food packaging. An ongoing technical assistance funded by the ProBlue Multi

Donor Trust Fund is looking into contributing sources of plastic pollution, river transmission mechanisms and will offer benchmarking of plastic waste management mechanisms with those internationally.

The proposed project will support the policies, regulations and programs that China has adopted to reduce plastic pollution and improve solid waste management at national level and in two demonstration provinces. The project will help reinforce the policy measures envisaged under the policy note “Further Strengthening Plastic Pollution Control” issued by

NDRC and MEE (January 2020), the new Law on Solid Wastes (April 2020), and the “Notice on

Further Promoting Plastic Pollution Management” issued by 9 ministries including NDRC, MEE,

MOHURD, MARA and Ministry of Commerce (July 2020). The project will closely align its

3 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project activities with NDRC’s upcoming “Plastics Reduction Pilot Program” and the on-going

“Implementation Plan of Domestic Wastes Classification System (updated in 2019)”. The project will align with the national programs on agricultural mulching film recycling (MARA,

2017), and pilot initiatives on rural waste separation and recycling (MOHURD, 2020).

The proposed project will support the implementation of the policy agenda as well as activities to improve urban and rural waste management practices. Through analytics and technical assistance, the project will support selected activities envisaged by NDRC and MEE towards developing instruments, mechanisms and regulatory frameworks to advance the pollution reduction, plastic waste prevention and minimization policy objectives. It will also support investments in two provinces, on demonstration basis, to improve urban and rural waste management practices. Chongqing was selected as one of the demonstration cities because a typical depiction of most of urban China where separation at source is just commencing. The city aims to increase its recycling rate, improve sorting and waste treatment processes. In addition, two rural districts in Chongqing will pilot waste systems with the objective to drastically increase waste collection. Urban-rural integration will be piloted there.

The experience and lessons learned are expected to inform implementation practices in urban

China, much of which is at levels similar to Chongqing. The experience in the demonstration cities will inform the process of developing policy instruments at the central level.

This is the first Bank operation in China to tackle rural solid waste management, with the approach of public service delivery to drive for an integrated urban-rural system. This

Project has selected two districts in the southwestern municipality of Chongqing to experiment a sustainable model for rural-urban MSW management integration and agricultural mulching plastic collection. Compared with the demand and significance of rural solid waste pollution management in China, the rural component in this project is important but at this stage kept small in view of institutional and operational financing challenges that need to be addressed with project implementation.

The Project follows a framework approach for investments in Chongqing. Most urban activities have been identified (first batch of investments, for which a separate EIA has been

4 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project prepared) while the specific rural activities will be identified during implementation (second batch of investments). Urban activities build upon the current waste management system in

Chongqing. Rural activities will feed into and link to the urban system such that complementarity is achieved along with efficiency and economies of scale. To that end, rural activities will be designed at a later stage, including related environmental impact and social assessments.

The specific rural activities will be selected following appraisal of the feasibility studies for system design in the rural districts which is currently ongoing and will be completed within

6 months of project effectiveness. Detailed investment/facility specific FS (following system

FS currently under preparation) with basic design will start in the first 6-12 months of project implementation and will be prepared for all investments in the first 24 months of project implementation. Investments to be funded through the project will be selected between 12 and 24 months after effectiveness, and preparation and implementation of 2nd batch activities will range between 18 to 36 months after project effectiveness. Eligible 2nd batch investments may include transfer stations, local (small scale) kitchen waste treatments facilities, most likely based on anaerobic digestion technology; waste collection/transport/transfer equipment; solid waste management control centers (offices;

RD; education; equipment maintenance; possibly including or combined with waste transfer activities); waste sorting and basic treatment (sorting; shredding; compaction) for domestic and bulky (furniture etc.) waste. For the urban area, second batch investments are expected to including berths for shipping/river waste in addition to the first berths funded under first batch investments and further improvements to facilities waste system components that are already part of the first batch investments.

The rural waste management systems will have to ensure full MSW collection and safe treatment/disposal coverage. Permanent closure and remediation of landfills may be supported too if part of the overall system design. If waste will be treated in urban facilities these will not be included in the rural investments under the project. In addition to MSW activities, pilots for agricultural plastic waste collection and handling will be identified during

5 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project implementation. The activities to be supported will be those that improve the collection and recycling/treatment/disposal of agricultural plastic film.

As one of the selected demonstration cities, Chongqing plans to implement the ‘Chongqing

Integrated Urban-Rural Plastic Waste Comprehensive Management Project’ (‘Chongqing Part’).

Chongqing Part belongs to Component 2 and Component 3 of the China Plastic Waste

Reduction Project. Chongqing is located in the upper reaches of the Yangtze River. With its frequent rainfall, Chongqing has a high risk of garbage flowing into the sea. It is predicted that domestic waste production will reach 10.8 million tons and that of plastic waste will be 1.45 million tons in Chongqing in 2035. As a national " Zero-Waste City" and one of the first batches of "Compulsory Sorting of Domestic Waste" pilot cities, Chongqing has made many efforts on plastic pollution control of the plastic waste in urban and rural domestic garbage, and carried out a series of work in the whole process from source-control to recycling & reuse. However, there are still some problems, such as imperfect system and mechanism; inadequate collection, transportation and disposal systems based on waste separation; the large gap between the urban and rural solid waste management capacities; and weak public awareness of waste classification. In accordance with the principle of ‘reduction, recycling and harmless disposal’, the implementation of the Chongqing Urban-Rural Integrated Plastic Waste Comprehensive

Management Project is aiming to establish an overall urban and rural areas’ plastic waste collection and transportation system, a high efficient plastic waste resource recycling and reuse system, a sustainable policy system and a replicable model for plastic waste management. So, to strengthen the comprehensive management of urban and rural plastic waste, improve the domestic waste separation, collection, transportation and terminal disposal capacities, and the whole process management level of Chongqing City. It is a plastic waste reduction project which serves the overall development goal of the World Bank project.

1.2 Project description

Main content

Chongqing Part is mainly divided into three components. Among them, the Component-1 is institutional capability improvement, which is mainly a technical assistance action whose

6 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project subprojects involve no civil construction work except for the Equipment Research and

Development Center; while the Component-2 is infrastructure construction activity all about civil construction or equipment installation work, and the Component-3 is a project management and training process. Please check Table 1.2-1 for the detailed content of this

Project.

According to the Component-2’s specific composition, it can be divided into three categories as (1) Classified collection of solid waste, by building up domestic garbage, ship waste and river floating waste classified collection stations; (2) Solid waste separation and transportation, by building up sorting and distribution centers of integrated recycling and disposal networks for recyclable materials, household hazardous waste temporary storage center and solid waste separation and transportation stations; (3) Solid waste disposal and recycling, by building up waste recycling bases and executing closure operation for old landfill sites. These subprojects’ service scope covers the nine districts of the downtown area and three districts/counties containing small and medium-sized towns and rural areas. The service area of the downtown region (nine districts) is 4800 square kilometers, with 8.75 million beneficiaries. The service area of the three districts (Wulong district, , and ) is 6563 square kilometers, with nearly 200 million beneficiaries.

The total investment of this project is 2223.46 million RMB yuan, in which 1444.43 million yuan is a loan from the World Bank. The project construction period is planned for six years, and it will start in 2021. According to the Chongqing Part’s content and implementation arrangement, five subprojects of activity 2 have determined the site locations and construction content. They are Jiguanshi ship waste receiving and treatment project, Function improvement project of Jieshi solid waste transfer station, Function improvement project of Xiajiaba solid waste transfer station, Function improvement project of Zouma solid waste transfer station and Luoqi low value recycling base project (namely ‘the first-batch subprojects’). According to the World Bank’s ESF, the PMO and the subprojects owners have already carried out the detailed environmental and social impact assessment (ESIA) and prepared relevant management procedures and plans.

7 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Table 1.2-1 Content of Chongqing Integrated Urban-Rural Plastic Waste Management Project

Project Construction Determination on the detailed SN Project name Content Service scope nature location project content and location Component-1: Institutional capability improvement System and To research on the policy and system of comprehensive management and control of solid 1 mechanism / / In the conceptual phase for now; waste classification in the administrative area involved in the project. establishment To organize and carry out publicity and education activities on the public garbage Publicity, education 2 / / classification awareness within the scope of the project, and organize relevant personnel’s In the conceptual phase for now; and training training. To support the government departments involved in the project to establish the whole process statistical system of plastic waste reduction at source, production statistics, safe Information platform 3 / / transportation, flow control, safe storage, efficient utilization and resource recycling; In the conceptual phase for now; Chongqing City establishment upgrade the information platform; and establish the performance monitoring and assessment system of plastic waste management based on the project. The Municipal Environmental Sanitation Group establishes a professional technology and Technology R & D 4 / / equipment R & D center and an information platform for plastic waste resource recycling, to In the conceptual phase for now; Center provide technical support for safe and efficient disposal of plastic waste. To study and formulate solutions, in view of the two major problems as plastic packaging Preparation of 5 / / reduction of express delivery industry and agricultural and rural waste systemic In the conceptual phase for now; implementation plan management. Component -2: Infrastructure construction 2.1 Solid waste classified collection Pilot project of solid To build up 6 intelligent garbage separation and treatment stations, and purchase a batch It will be designed based on the waste smart Newly Downtown of intelligent waste separation terminals, mobile solid-liquid separation and pressure conclusions of the TA activities, 1 classified collection Downtown area develop area filtration equipment, intelligent closed waste transport vehicles, and small construction with the content and scale in and transportation in waste separation equipment. pending for now. urban communities 1. In Qijiang District, to build up several new garbage separation stations, transfer stations, large waste dismantling stations and domestic waste classified collection points, and Pilot project of Wulong purchase classified collection facilities (with classified dumping facilities), classified urban/rural waste The site selection will be carried Newly District, transport vehicles (including special hazardous waste transport vehicles) and domestic Wulong District, 2 classified collection out based on the conclusions of the develop Qijiang waste classification information platform in the construction area. Qijiang District and transportation TA activities, in pending for now. District 2. To build a new environmental sanitation operation base in Wulong District, and system purchase front-end garbage collection containers, garbage collection vehicles and reusable resource recycling points for the 185 administrative villages.

8 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Project Construction Determination on the detailed SN Project name Content Service scope nature location project content and location Nan’an Improvement project The Jiguanshi ship waste receiving District, of river floating and treatment project has already Newly Qijiang To build up 3 ship waste receiving and disposal piers with river floating waste collection 3 waste collection and determined, while the pier site Downtown area develop District and facilities and equipment. transportation selection processes of the other 2 Wulong system projects are still in pending. District 2.2 Solid waste transfer and separation The main task is to establish a separation and distribution center of integrated recycling (East), dadukou and disposal networks for recyclable materials, with domestic waste separation facilities and district (South), Function upgrading hazardous waste temporary storage centers. The transfer scale of the other-type waste is Jiangbei District project of Jieshi Banan adjusted as 2600t/d from original 3000t/d. The newly additional transfer scale of restaurant Determined and included into the (South), Jiulongpo 4 Expansion waste transfer District waste (including other kitchen waste) is designed as 400t/d. The newly additional sorting first-batch for assessment; District (South), station and transfer scale of domestic kitchen waste is designed as 600t/d. Sorting and distributing Nan 'an District, of all kinds of domestic waste and recyclable materials is designed as 600t/d. And to build up Banan District, and a maintenance base. Liangjiang New District (South) The main task is to establish a sorting and distribution center of integrated recycling and disposal networks for recyclable materials, with domestic waste sorting facilities and Jiangbei District hazardous waste temporary storage centers. The transfer scale of the other-type waste is (North), Beibei Function upgrading adjusted as 2600t/d from original 3600t/d. The newly additional transfer scale of restaurant District, Yubei project of Xiajiaba Determined and included into the 5 Expansion waste (including other kitchen waste) is designed as 300t/d. The newly additional sorting District, Liangjiang waste transfer first-batch for assessment; and transfer scale of domestic kitchen waste is designed as 700t/d. Sorting and distributing New District station of all kinds of domestic waste and recyclable materials is designed as 600t/d (including (North) and High- textile 60 t/d, glass 35 t/d, plastic 300 t/d, paper 200 t/d and metal 5 t/d). And to build up a tech Zone (North) maintenance base. Yuzhong District The main task is to establish a sorting and distribution center of integrated recycling and (West), Dadukou disposal networks for recyclable materials, with domestic waste sorting facilities and Function upgrading district (North), hazardous waste temporary storage centers. The newly additional transfer scale of project of Zouma Jiulongpo Determined and included into the , 6 Expansion restaurant waste (including other kitchen waste) is designed as 300t/d. The newly additional waste transfer District first-batch for assessment; sorting and transfer scale of domestic kitchen waste is designed as 700t/d. Sorting and station (North), High-tech distributing of all kinds of domestic waste and recyclable materials is designed as 600t/d. Zone (South) and And to build up a maintenance base. Bishan District Construction project Newly Qijiang To newly build up a waste compression transfer station with waste classification facilities 7 Site selection in pending; Qijiang District of Qijiang District’s develop District and equipment.

9 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Project Construction Determination on the detailed SN Project name Content Service scope nature location project content and location waste transfer system Construction project To newly build up a semi-underground waste transfer station and a waste transfer station of Wulong District’s Newly Wulong in Fenglai new district, correspondingly establish domestic waste collection facilities for 8 waste collection, Site selection in pending; Wulong District develop District Fenglai new district and entrust a qualified unit for urban-rural domestic waste transfer storage and transfer service of 10 years in future through franchise granting method. system 2.3 Waste disposal, recycling and reuse To build up a new resource recycling and reuse base which will recycle all kinds of waste Luoqi low-value Newly Determined and included into the 9 Yubei District after sorting, including low-value recycling centers for waste plastics, waste glass and waste Downtown area recycling base develop first-batch for assessment; clothes, with a design scale of 250 t/d. Improvement project The site selection of kitchen waste of Wulong District’s Newly Wulong treatment plant in pending; and 10 To build up a new kitchen waste treatment plant and closure urban waste landfills. Wulong District urban-rural waste develop District the technology roadmap of landfill disposal system closure in pending; Construction project To newly establish an agricultural film recycling and reuse base, including agricultural film of Wulong District’s recycling site, standard steel workshop, warehouse and other facilities, purchase main Newly Wulong 11 waste agricultural processing equipment and share devices, improve site roadways and correspondingly build Site selection in pending; Wulong District develop District film recycling and up domestic reservoirs, parking lots, domestic waste transfer stations, water supply and reuse base drainage systems and power distribution stations, etc. Closure project of The technology roadmap of landfill Qijiang District’s Newly Qijiang To execute closure measures on the old waste landfills in urban area, and to newly build closure in pending; and the design 12 Qijiang District urban-rural waste develop District up a leachate treatment plant. of the treatment plant scale in landfills pending; Construction project To establish a new recycling resources industrial park including district level waste of Qijiang District’s agricultural film sorting center, waste plastic crushing and cleaning production line, waste Newly Qijiang 13 industrial park of plastic recycled granule production line, raw material and product temporary storage, public Site selection in pending; Qijiang District develop District agricultural film engineering, environmental protection engineering and other supporting facilities and recycling resources equipment. This project involves bidding agency, project management, construction supervision, Component-3: Project management and training security policy monitoring, design, personnel learning, training and inspection during the In the conceptual phase for now; Chongqing City construction period.

10 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Project scope

The subprojects of infrastructure construction are mostly located in Chongqing’s downtown area and some small and medium sized towns with rural areas (As Figure 1.2-1).

In the Figure, the regions marked in red are Chongqing’s downtown districts, and those marked in green are the three districts of small and medium sized towns with rural areas.

Figure 1.2-1 Service scope of the subprojects of infrastructure construction

1.3 Arrangement of the project implementation

This Chongqing Part is planned to be implemented in batches. As the specific contents and locations of these five subprojects have been determined, these subprojects will be implemented as the first batch of subprojects in the first year of implementation. In accordance with the World Bank's ESF requirements and this framework, the specific environmental and social impact assessments at subproject level have been carried out, and separate environmental and social management documents and relevant programs have been prepared for these five subprojects. The E&S management of the follow-up subprojects will be

11 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project implemented according to the principles and programs formulated in this framework.

The Chongqing’s Project Management Office (PMO) of the project using the World Bank loan (located in Chongqing Development and Reform Commission) is entrusted with organizing and coordinating the project implementation on behalf of the Chongqing municipal government. To make sure that the civil design meets the agreed design standards and principles, PMO’s duties include 1) supervising the implementation progress of the project; 2) directing the implementation of technical assistance and capacity-building subprojects; 3) assisting the technical experts of municipal departments to put forward suggestions on technical problems, quality control and plan coordination of the project; 4) employing a consulting company with rich experience in the World Bank participated project and contract management to provide technical support in the project’s implementation stage, and 5) supervising the process of construction. The Chongqing Municipal Bureau of finance is mainly responsible for evaluating implementing agencies’ financial capabilities and projects’ financial affairs in the preparation period of projects; and the management of funds, finance and debts in the process of project implementation. The Chongqing Development and Reform

Commission, Urban Administration Bureau, Ecological Environment Bureau and Supply &

Marketing Cooperatives of the Commission of Commerce are responsible for providing policy compliance guidance for the project.

The Chongqing Environmental Sanitation Group Co., Ltd., Chongqing Liangjiang New Area

Development and Investment Group Co., Ltd., Qijiang District Nanxin Solid Waste disposal Co.,

Ltd. and Wulong District Construction Investment Group are the implementation units of the project. In future, new implementation units may join in. The organization chart of project implementation is displayed in Figure 1.3-1.

12 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

Chongqing municipal government

Overall planning and guidance of Leading group of Chongqing Urban-Rural Integrated municipal leaders Plastic Waste Comprehensive Management Project

Authorize

Chongqing Project Management Office （PMO）

Chongqing Liangjiang Chongqing Wulong District New Area Qijiang District Nanxin Environmental Construction Development and Solid Waste Disposal Sanitation Group Co., Investment Group Investment Group Co., Co., Ltd（PIU） Ltd（PIU） （PIU） Ltd（PIU）

Figure 1.3-1 Project management organization

1.4 The goals and scope of ESMF

China plans to cooperate with the World Bank for to implement China Plastic Waste

Reduction Project (P174267). The project includes (1) Support on policy and institutional capacity strengthening at the national level; (2) Technical assistance and institutional capacity building at the provincial/ municipal and local levels; (3) Demonstration of solid waste/plastic pollution’s reduction, recycling and harmless disposal in selected provinces/cities. As a part of

China Plastic Waste Reduction Project，Chongqing Part is implemented by central PMO. It includes three components (technical assistance, infrastructure construction activities and project management and training process). Technical assistance, including institutional capability improvement and training process, belongs to the subproject (2), and infrastructure construction activities are parts of subproject (3). The implementation of Chongqing Part is

13 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project aiming to strengthen the comprehensive management of urban and rural area plastic waste, improve the domestic waste classification, collection, transfer and terminal disposal capacity and the whole process management level of Chongqing City so to reduce plastic waste pollution, which is in line with the overall development goal of the World Bank project. Due to the difficulties of determination on the detailed data of all the subprojects before the project assessment, according to the requirements of ESSI, the document of Environmental and Social

Management Framework is prepared to provide a procedural and technical guide for the detailed environmental and social risks and impacts assessment during the implementation period.

This Environmental and Social Management Framework (ESMF) is applicable to all the subprojects of the Chongqing Project. It stipulates the principles, rules, guidelines and procedures for the assessment of environmental and social risks and impacts, including measures and plans to avoid, reduce, mitigate and/or offset risks and adverse impacts. It also formulates relevant standards for estimating the cost of such measures and making relevant budgets and provides information about the institutions responsible for addressing project risks and impacts, including their ability to manage environmental and social risks and impacts.

14 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project 2 Environment and Social Background

2.1 Environment overview

Geographical location

Chongqing is a provincial administrative region of the People's Republic of China and the only municipality directly under the central government in central and western China.

Chongqing is located in the southwest of China and the upper reaches of the Yangtze River, spanning 105°11'~110°11' E and 28°10'~ 32°13' N, covering a total area of 82400 square kilometers, with 26 districts, 8 counties and 4 autonomous counties under its jurisdiction.

Chongqing Part is mainly designed as three components as (1) institutional capacity improvement, (2) infrastructure construction and (3) project management and training. The implementation scope of component 1 and component 3 is the whole city of Chongqing, and the service scope of the infrastructure construction works includes the downtown area of

Chongqing (the 9 districts of the main city), and a part of its small and medium-sized towns and rural areas in surrounding area (Qijiang, Wulong and Bishan Districts). The detailed geographical location of this project is showed in Figure 1.2-1.

Climate and meteorology

Chongqing is settled in the East Asian monsoon region of the eastern Qinghai Tibet

Plateau. It generally has a humid monsoon climate in the middle subtropics, with four distinct seasons, abundant rainfall, sufficient heat and long frost-free period. In the hilly and valley areas, it is not severely cold in winter, yet extremely hot in summer with frequent drought, and its autumn and winter are usually foggy. Its climate characteristics are represented in the following 4 aspects:

(1) The annual average temperature is higher than that in the eastern region with the same latitude. The temperature is high in summer, and the vertical variation of temperature is obvious. The annual average temperature in Chongqing is higher than that in the middle and

15 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project lower reaches of the Yangtze River. It is above 18℃ in low dam valleys and 17 ~ 18℃ in areas at altitude of 400m. In the zones above 400m, it decreases by 0.58℃ in every 100m rising. The hottest months are July and August as the average temperature reaches 27~29℃; and the coldest month is January with an average temperature of 6~8℃. High temperature weather above 35℃ mostly occurs in late July to early September, and extremely hot weather above 40℃ occurs occasionally. The vertical variation of temperature is obvious.

(2) With concentrated rainfall time, Chongqing has abundant rainfall in uneven spatial and temporal distribution. Heavy rainfall and high temperature occur in the same season. And the annual range is relatively large. The average annual rainfall in the main urban area is about

1000~1400mm, and that of the surrounding towns and villages (Qijiang, Wulong and Bishan

Districts) involved in this project is about 1000 ~ 1200m. The precipitation from May to

October accounts for more than 70% of the annual rainfall.

(3) Chongqing has many foggy days in one year, and belongs to the low sunshine value areas in China. The annual sunshine hours of the city are between 921 and 1570 hours, and that makes it one of the low sunshine value areas. In the downtown area and Qijiang District that belong to the project’s service scope, the annual sunshine hours are below 1180 hours.

Foggy weather is a major feature of Chongqing climate. The period from December to February is the main season with dense fog.

(4) The weather in Chongqing is complex and changeable. Meteorological disasters are frequent in occurrence. Drought, water-logging, wind, hail, high temperature, cold damage, fog damage, snow disaster, debris flow and lightning disasters often occur.

Topography

Chongqing is located in the transition zone between the Qinghai Tibet Plateau and the middle and lower reaches of the Yangtze River Plain. With a distinct topographical relief, the terrain of Chongqing is gradually decreasing along with the Yangtze River Valley in south-north

16 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project direction. The northwest and central parts are mainly formed by hills and low mountains, and the southeast part is adjacent to Daba Mountain and Wuling Mountain, with many slopes as its feature. Therefore, Chongqing is known as "the mountain city". The overall terrain is high in the southeast and northeast, low in the middle and west, and gradually decreasing along with the Yangtze River Valley in south-north direction. The elevation in the west is generally 200-

900m, and that in the east is 1000-2500m. The most part of the service scope of this subproject of infrastructure construction is concentrated in the downtown area and its surrounding small

& medium sized towns (Qijiang, Wulong and Bishan Districts). The landform of the downtown area and Bishan District fluctuates little, most of which are low mountains, hills and flat dams with altitudes below 900m in usually cases. The terrain of Qijiang and Wulong Districts is higher, with altitudes usually more than 800m. Karst landforms are widely distributed in

Chongqing. As Karst is mainly concentrated in the eastern part of Chongqing, and the scope of this project mainly covers the downtown area and the southern-southeastern regions, therefore, Karst landforms are less distributed in the project area. Please check Figure 2.1-1 for the topography of the project area.

17 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

Figure 2.1-1 Topography of Chongqing and this project’s scope

Geology

The vast majority of Chongqing city belongs to the first-class structural units of Yangtze para-platform, and a few part of it belongs to Qinling geosyncline fold system. There are four secondary tectonic units in the region. They are Sichuan platform depression, upper Yangtze platform depression, Longmen Mountain and Daba Mountain platform margin depression and

Daba Mountain maogeosyncline fold system. The tertiary structural units involved in this region include a part of the East Sichuan depression-fold bundle and the central Sichuan platform arch, depression-fold bundle in Southeast Sichuan, Daba Mountain fold bundle and a part of the Northern Daba Mountain maogeosyncline fold system’s southern margin. Based on the regional geological conditions, Chongqing is not located in an earthquake zone, and not an earthquake prone area.

18 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Hydrology and water conservancy

Chongqing Municipal rivers belong to the Yangtze River Basin. The water system is in form of grid or arborization with large surface runoff and abundant surface water resources, but it is difficult to achieve full utilization of the water resource. The main stream of the Yangtze

River crosses the whole territory from southwest to northeast. It joins with its five major tributaries as Jialing River, Qujiang River, Fujiang River, Wujiang River, Daning River and other hundreds of small and medium-sized rivers, so to form a centripetal and asymmetric network of water system. Within the region, there are 374 rivers with drainage area larger than 50km2,

167 rivers with drainage area of 50-100km2, 19 rivers with 500~1000 km2, 18 rivers with

1000~3000km2 and 18 rivers lager than 3000km2.

Chongqing is rich in surface water resources, with widely developed secondary and tertiary water systems. Yet, because of the deep stream trenching, especially that of the main rivers in Southeast and Northeast Chongqing regions, it is difficult to utilize its water resource.

The surface water accounts for the majority of the total water resources in the city, of which the annual average surface water formed by rainfall is about 56.77 billion m3, and the average inflow water from the Yangtze River, Jialing River and Wujiang River to Chongqing is about

383.9 billion m3 every year.

The water system within the project’s scope is displayed in detail in Figure 2.1-2 and Table

2.1-1.

19 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

Figure 2.1-2 Water system of Chongqing City and the project’s implementation scope

Table 2.1-1 Rivers data of the project’s scope

Trunk Primary Secondary The involved districts and counties of stream tributary tributary this project Downtown area (Jiulongpo, Dadukou, / / Yuzhong, Nan’an, Jiangbei and Banan Districts) The Jialing Downtown area (Beibei, Yubei, Shapingba / River and Yuzhong Districts) The / Wulong District Yangtze The Wujiang The River Wulong District River The Huaxihe / Downtown area (Banan District) River The Qijiang / Qijiang District River

20 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Trunk Primary Secondary The involved districts and counties of stream tributary tributary this project The Binan / Bishan District River

Ecological environment status

Chongqing has many types of ecosystem, with complex structure and rich species. The ecosystem types in Chongqing mainly include 6 primary types as mountain forest ecosystem, grassland ecosystem, aquatic ecosystem, agricultural complex ecosystem, village ecosystem and urban ecosystem, and more than 20 secondary types. The service scope of the infrastructure construction subproject mainly covers the downtown area and the surrounding small & medium sized towns (Qijiang, Wulong and Bishan Districts). After a long period of human development, the ecosystem of the project area is mainly composed of urban ecosystem and agricultural composite ecosystem. However, there are still some important ecological sensitive points in the project area, such as nature reserves, forest parks, scenic spots and geological parks. At present, these important ecological sensitive points are identified and marked in Figure 2.1-3. According to the requirement on project site selection of the framework document, it is necessary to avoid those important ecological sensitive points in site location selection process.

(1) Plant resources

The scope of the infrastructure construction subproject mainly covers the downtown area and the surrounding small & medium sized towns. Except for the important ecological sensitive areas mentioned above, the plant distribution within the project scope includes trees and shrubs common in the area, such as ficus virens, broussonetia papyrifera, humulus scandens, cogongrass and sambucus chinensis, etc, associated with other common herbs such as youngia japonica, dandelion, polygonum lapathifolium and bermudagrass, etc.

(2) Animal resources

21 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project It is expected that a small number of amphibians and reptiles exist in the project region, such as Chinese toads, hyla annectans and zaocys dhumnades. The birds are mainly common species of the region such as mallard, anas poecilorhyncha, egret, heron and pond heron, etc.

There is no large forest in the project area. The mammals mostly are rodents in small numbers, such as rattus norvegicus, grass hare and mus musculus, etc.

Figure 2.1-3 Distribution of ecological sensitive areas within the project scope

Soil

Chongqing has various types of soil, among which the zonal soil is yellow soil. Besides that, many other types of soil distribute in the Chongqing region. The main soil types include paddy soil, newly deposited soil, purple soil, yellow-brown soil, lime (rock) soil, red soil and mountain meadow soil, etc., with 16 soil subtypes. The characteristics of Chongqing and the project implementation area's main soil types are listed in Table 2.1-2.

22 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Table 2.1-2 Characteristics of the main soil types of Chongqing and the project scope

Total area Proportion Distribution in Soil type (1000 of land Distribution region the project scope hm2) area (%) Dissolution channel dam of valley terrace, hill and Paddy soil 1101.0 13.36 low slope below the altitude of 800m; Newly First and second terraces 29.6 0.36 deposited soil of riverbed; Western hilly area that Widely distributed below 1400m, Fuling, within the scope of Purple soil 1712.7 20.79 Nanchuan and Wanzhou project Districts; implementation; Low, medium and hilly areas of 500m~1500m; Third, fourth and fifth Yellow soil 1993.9 24.20 terraces along the Yangtze River and its primary tributaries; Fuling, Wulong, Karst middle mountains Lime (rock) Nanchuan, 769.1 9.33 and anticline trough soil Wanzhou and valleys below 1500m; Qianjiang; Nanchuan, Mountain High mountains of 21.5 0.26 Wulong, Pengshui meadow soil 1500~2700m; and Qianjiang Medium mountains Thinly distributed Yellow brown below 1500m (Chengkou, in the scope of 479.1 5.81 soil Wushan, Kaixian, Fengjie project and Wuxi, etc;) implementation Total 6106.9 74.11

Soil erosion

There are various intensities of soil erosion in Chongqing. The main soil erosion areas are

23 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project moderate or below in degree, with obvious regional differences. Within the project scope, the distribution of soil erosion areas is small with low intensity of the downtown area and Bishan

District. As for the 5 districts of the downtown area as Yuzhong, Jiangbei, Shapingba, Nan’an and Banan, the proportions of soil erosion area are about 25%. While in Qijiang and Wulong districts, the proportions of soil erosion area of moderate and above levels to the land area are more than 30%.

Figure 2.1-4 Soil erosion status of Chongqing and the project scope

2.2 Social Baseline

Socio-economic Profile

(1) Socioeconomic Profile of Chongqing

24 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Chongqing has 38 districts and counties under its jurisdiction, with a total area of 82,400 square kilometers, including 4,800 square kilometers in central urban areas, 77,600 square kilometers in small and medium-sized towns and rural areas. Chongqing had a permanent population of 31,243,200 at the end of 2019, with an urbanization rate of 66.8%. Chongqing has 4 ethnic minority autonomous counties and 1 district enjoying ethnic minority policies under its jurisdiction. They are located in the southeast of Chongqing. They are Shizhu County

(79.3%6), Pengshui County (53.85%7), Youyang County (92.3%8), Xiushan County (58.5%9) and (ethnic minority population is 74.6%10 ) , mainly Tujia and Miao. The permanent ethnic minority population accounts for 5.8% of the total population of the city.

The ethnic minority population in the main urban area of Chongqing is nearly 70,000, accounting for about 0.8% of the total population in the main urban area. Among them, the permanent ethnic minority residents are 61,000 (including 31,000 ethnic minority students in colleges), and the non-permanent ethnic minority permanent residents are more than 7,000.

The five subprojects in the first batch are located in the main urban area, which does not have ethnic minority communities.

In 2019, the annual GDP in Chongqing reached RMB 2.36 trillion, and the per capita GDP was

RMB 75,828, ranking 9th among the 31 provinces/autonomous regions/municipalities in the country. The per capita disposable income of Chongqing residents was RMB 28,920 per annual, of which the per capita disposable income of urban permanent residents was RMB 37,939 per annual, ranking 11th among the 31 provinces/autonomous regions/municipalities in China;

The per capita disposable income of rural residents was RMB 15,133 per annual, ranking 17th

6Source: Official Website of Shizhu County Government 7Source: Data from 2010 Census 8Source: 2019 Youyang National Economic and Social Development Statistical Bulletin 9Source: Official Website of Xiushan County Government 10Source: Official Website of Qianjiang District Government

25 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project among the 31 provinces/autonomous regions/municipalities in China.

2) Socio-economic Profile of Qijiang District and Wulong District

In addition to the nine districts in the Chongqing’s downtown area, the project area of the

Chongqing part will also cover three suburb districts, i.e., Qijiang District, Wulong District and

Bishan District. In Qijiang District and Wulong District there will construct domestic garbage separation, transferring and disposal facilities; and Bishan District is in the beneficiary area of subprojects constructed in the downtown area. Additional overall socio-economic profiles of the involved suburb districts are indicated below.

Qijiang District is located in the South of Chongqing, whilst Wulong District is in the South-east of Chongqing. As shown in Table 2.1-3, the economic development of the Qijiang and Wulong districts are lower than the Chongqing average in terms of per capita GDP and per capita disposable income, whilst that of Bishan District is above the Chongqing average. Wulong

District has 4 ethnic minority townships with ethnic minority population of about 15,000, namely Wenfu Miao and Tujia Township, Shiqiao Miao and Tujia Township, Haokou Miao and

Gelao Township, and Houping Miao and Tujia Township.

Table 2.2-1 Socio-economic Profile of the 3 Districts (2019)

Qijiang District Wulong District Bishan District

Registered Households 36.30 14.03 25.83

（10,000 HHs）

Registered residents (10,000 92.68 41.05 65.11

persons)

Urban residents 42.25 12.15 34.28

Rural residents 50.43 28.90 30.83

Permanent residents 82.58 35.52 75.50

(persons)

Ethnic minority people (%) 0.9% 3.7% 0.3%

Urbanization rate (%) 57.83 37.74 60.20

26 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

Qijiang District Wulong District Bishan District

GDP (billion yuan) 68.27(14)1 20.97(33) 68.10(15)

Per Capita GDP (yuan) 61,941(20) 60,386(22) 90,621(6)

Annual per capital 26,733(23) 24,929(26) 32,956(12)

disposable income (yuan)

Note: the numbers in the brackets refer to the ranking of the relevant indicators in 38 districts/counties of Chongqing.

Source：official websites of Wulong, Qijiang and Bishan districts.

Domestic Waste Classification

In June 2019, Chongqing comprehensively promoted waste sorting and expand its coverage. As of June 2020, the city’s waste sorting system had covered 119 towns / sub- districts, 1,155 communities, 8,503 residential quarters and 4.17 million residents, including

2.714 million residents in the main urban area. Coverage rose from 33% in June 2019 to 72% in May 2020,which is higher than the average level of 46 key cities of China. In the districts and counties out of the main urban area, waste sorting had covered 1.228 million residents by the end of May 2020, with coverage of 38% of the total residents. In addition, 11,800 public institutions covered with 4103 public institutions in the main urban area had started waste sorting, with coverage of 70%in the city.

Qijiang District, as one of the 10 demonstration areas for garbage separation in

Chongqing, initiated the garbage separation on June 1, 2019. By the end of September 2020, garbage separation had been conducted in three sub-districts and in 242 administrative villages, with the coverage rate of 60% for urban area and 80% for administrative villages.

According to the district plan, by the end of 2021, the domestic garbage separation will be covered in all residential communities of urban areas and 90% of administrative villages; the utilization rate of food and kitchen garbage collection and transportation will reach 95%, and the utilization rate of household garbage recycling will exceed 45%.

27 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Wulong District has also started garbage separation. At present, about 112 tons of domestic garbage is collected and processed in urban area every day, including 60 tons of other garbage, 30 tons of perishable garbage (18 tons of kitchen garbage, 12 tons of kitchen waste),

21 tons of recyclables and 11 kilograms of hazardous garbage. The utilization rate of household garbage recycling is about 30%. The district is rich in tourism resources, and in

2019 it attracted 36 million persons with the tourism income of 17 billion yuan. Due to the large number of tourists pouring in a short period of time during holidays or summer, Wulong

District faces challenges in its garbage separation and disposal management.

Bishan District has piloted domestic garbage separation in the first batch of 24 sites in the government departments, residential communities, schools, hospitals, hotels, and shopping centers since 2018. In 2019, the recycling rate of urban household garbage reached

28% and it is estimated to reach 35% in 2020. As the district plan indicated, the garbage separation will be implemented in all the 15 towns and subdistricts of Bishan with the coverage of 100% in 2021; in 2022, domestic garbage sorting and disposal system will be basically established in 2022.

Employment of the Domestic Waste Industry

Chongqing Environment & Sanitation Group, a large state-owned enterprise founded in

2002, specializes in solid waste collection and disposal (e.g. the collection and disposal of domestic waste, kitchen waste, water surface clearing, construction waste, municipal sludge and general industrial waste etc.) environmental sanitation infrastructure construction and operation management, in the whole greater Chongqing area. The group has a workforce of about 3,600, including approximately 2,000 waste collection and transfer workers, 1,000 facility workers, 100 water clearing workers, and about 500 management and operation personal.

Overview of Cultural Relics

28 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project At the end of 2019, there were 445 cultural relics protected at or above the municipal level, of which 64 key cultural relics are protection units and 381 are city-level protected cultural relics, all located in national or local controlled construction areas.

The special geography of Chongqing has given rise to some religious faiths with local characteristics, such as temples mostly built on high mountains, and earth god temples built with simple shapes. Traditional customs such as god worship have become a form of spiritual support for the local people, mostly located in rural areas of Chongqing.

Overview of Vulnerable Groups

Vulnerable groups as defined by the Bank refer to individuals or groups who are more likely to be adversely affected by a project and/or more restricted in the ability to benefit from a project. These individuals or groups may be unable to fully participate in negotiations or excluded from mainstream negotiation procedures, so they need certain measures and/or assistance.

Based on preliminary identification, the Project’s vulnerable groups may include the poor and old people possibly affected by LA and/or HD, informal waste collectors affected by waste sorting, and inconvenience elderly, pregnant women and the disabled in waste sorting community, etc.

At the end of 2019, Chongqing had a poor population of 24,000, a poverty incidence rate of 0.12%. The urban and rural MLS population were 281,000 (1.35%) and 578,900 (5.58%), respectively. In 2019, Chongqing’s urban MLS standard was 580 yuan per month, and rural

MLS standard in rural was 5,337 yuan per annum.

Informal waste collectors refer to those collecting recyclable waste at communities, streets, some public places and business places. After 2010, for safety consideration, landfills had been managed closely and waste collection around landfills was avoided. In the project area, front-end recyclable collectors mainly include community cleaners, old people, etc., aged

29 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project 50-60 years. It is preliminary estimated that there are about 30,000 people in this group based on estimates of more than 9,000 communities in Chongqing with 3-4 cleaners in each community.

2.3 Current status of environmental quality

Current situation of atmospheric environmental quality

According to the data of ‘Chongqing Ecological Environment Status Report: 2019’ released by Chongqing Ecological Environment Bureau on June 3, 2020, the number of days with good air quality in Chongqing is 316 days, which is as good as that of the same period last year.

Among them, 119 days are excellent in air quality and 197 days are good. The number of days exceeding the standard was 49 (including 22 days for PM2.5 and 27 days for O3), and zero days of heavy pollution. The variation trend of air quality of Chongqing in 2015~2019 is shown in

Figure 2.3-1 as below.

Figure 2.3-1 Trend of air quality of Chongqing in 2015~2019

In 2019, the annual average concentrations of PM10, PM2.5, SO2 and NO2 are 60 μg/m3, 38

30 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

μg/m3, 7 μg/m3and 40 μg/m3 respectively. The concentration of carbon monoxide (CO) (95th percentile of daily average concentration) and ozone (O3) (90th percentile of daily maximum

8-hour average concentration) were 1.2mg/m3 and 157 μg/m3, respectively. The concentrations of PM10, SO2, NO2, O3 and CO (percentile concentration) reached the Class II of the national environmental air quality standard, and the concentration of PM2.5 exceeded the standard by 9%.

Based on the data of ‘Chongqing Ecological Environment Status Report: 2019’, the main environmental air quality problem of the downtown area, surrounding small & medium sized towns and rural areas in the project scope is PM2.5 exceeding the standard in some districts and counties.

Current situation of the surface water environmental quality

Chongqing is located in the Yangtze River Basin. The water quality of the Chongqing section of the main stream of the Yangtze River is generally excellent, and the water quality of the main stream’s monitoring section is up to or better than class III.

The water quality of the Yangtze River’s tributaries is generally good. Among the 196 monitoring sections of the 114 rivers, the proportions of Class I ~ III, IV, V and inferior V were

87.8%, 8.6%, 3.1% and 0.5% respectively. 93.9% of the sections meet the water area function standard in water quality. Among the 72 sections of 36 primary tributaries in the reservoir area, 25.0% of them are at eutrophic state in water quality. Among the 47 monitoring sections in Jialing River Basin, the proportions of I ~ III, IV, V and inferior V water quality sections were

72.4%, 149%, 10.6% and 2.1%. The water quality of 21 monitoring sections in Wujiang River

Basin reaches or exceeds class III standard.

Current situation of the groundwater environmental quality

In vertical zoning, the groundwater resource of Chongqing represents a pattern as drinking water source in the upper part, and gradually downward transits to salt brine or low

31 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project medium temperature sulfate hot mineral water. The chemical composition and water quality characteristics of the groundwater show obvious diversity, and the environmental background values vary in different layers. Generally speaking, the background values of Fe and Mn in groundwater in Chongqing are generally high, and other components are different due to the difference of hydro-geological and chemical environment.

Current situation of the acoustic environmental quality

Based on the data released by Chongqing Ecological and Environmental Bureau on June

3, 2020, the daytime average equivalent sound level of regional environmental noise in

Chongqing is 52.0 dB, which is 2.4 dB lower than that of the same period of other years; and the average daytime equivalent sound level of road traffic noise is 64.6 dB, 1.5 dB lower than that of the previous years.

According to the data of ‘Chongqing Ecological Environment Status Report: 2019’ and the overall classification standard of environmental noise in urban area in ‘Technical Specification for Environmental Noise Monitoring - Routine Monitoring on Urban Acoustic Environment’

(HJ640-2012), the daytime environment noises in the project scope of the downtown area and surrounding small & medium sized towns are all lower than 55.0dB, which indicates a

‘relatively good’ acoustic environment. And the daytime traffic noises of these areas are all less than 68dB, which is classified as a ‘good’ acoustic environment.

2.4 Current situation of solid waste management

(1) Production volume and composition of Chongqing domestic waste

According to the ‘Annual report on prevention and control of solid waste pollution in large and medium-sized cities in 2019’ issued by the Ministry of Ecology and Environment of China, in 2018, the domestic waste output of the 200 large and medium-sized cities in China was

211.473 million tons. Among them, Chongqing ranked fourth (with 7.17 million tons) in terms of domestic waste production, right behind Shanghai, Beijing and Guangzhou.

32 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project The urban domestic waste collection and transportation system is mainly composed with

2 parts, one is for restaurant waste collection and transportation, and the other is for those types of domestic waste other than restaurant waste. According to the data of Chongqing

Municipal Environmental Sanitation Monitoring Center, about the other-type domestic waste other than restaurant waste, its composition includes plastic, paper, textile, wood and bamboo, glass, metal and other recyclable materials accounting for 41.21%, in which the plastic waste accounts for 14%. And in restaurant waste, the plastic waste accounts for 3%. The proportion of plastic waste of domestic waste in Chongqing is higher than the national average level (12%).

(2) Current situation of main facilities of domestic waste

Chongqing municipal solid waste classification work is in the initial stage. Plastic waste and domestic waste are collected in a mixed way, and a single set of solid waste collection and transportation system is shared in service. The collection points of domestic waste are in charge of local communities of districts, counties and towns.

As of 2018, a total of 1023 garbage collection stations, 3.59 million domestic garbage cans and 47000 kitchen waste bins have been set up for all districts and counties of Chongqing. 726 garbage transfer stations (including 3 sorting transfer stations in the main urban area), 2565 domestic waste transfer vehicles and 3265 kitchen waste transfer vehicles have been put into service. 7 solid waste incineration plants have been put into operation and 3 are under construction. As for landfills, 37 are in operation, 2 under construction and 11 out of service.

6 kitchen waste treatment plants are in operation, 1 under construction and 4 in trial operation.

And 20~30 plastic waste recycling enterprises exist. At present, the harmless treatment methods of municipal solid waste in Chongqing are mainly incineration and landfill, accounting for about 54% and 45% respectively.

In the current condition, the overall shortage of garbage classification and transfer facilities in Chongqing makes it urgent to improve the solid waste sorting capacity of the

33 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project transfer stations. Due to the lack of plastic waste sorting facilities and special plastic waste recycling facilities, part of the front-end plastic waste are recycled by some private enterprises, and the rest goes into the domestic waste landfills for landfill treatment and finally leaks into the environment. The recycling and harmless treatment capacity of domestic waste such as recyclable materials, kitchen waste and household hazardous waste are insufficient.

2.5 Overview of Endemic Diseases / Epidemics

Endemic diseases are regional diseases that seriously endanger the health of the people.

Chongqing’s endemic diseases include coal-burning endemic fluorosis, iodine deficiency disease and Keshan disease.

Endemic fluorosis is a chronic systemic disease arising from the prolonged intake of excess fluorine from drinking water, food and air, characterized by skeletal fluorosis and dental fluorosis. Iodine deficiency disease results from insufficient iodine intake, and mostly occurs in high mountain areas. Keshan disease occurs in low selenium areas

34 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project 3 Laws, regulations and institutional framework

3.1 Relevant domestic environmental laws, regulations and policies

Since the promulgation of the environmental protection law in 1979, China has gradually established a comprehensive environmental management framework. At the national level, more than 80 laws, 120 regulations and more than 1000 emission standards and technical guidelines for environmental quality, pollution control, natural resources and ecological protection have been formulated. And at the provincial and local levels, provinces and municipalities have issued a large number of environmental protection laws and regulations.

Local environmental and emission standards are more stringent than national standards.

In the project to be invested, the following environmental laws and regulations are deemed to be applicable.

Table 3.1-1 Domestic environmental laws and regulations applicable to this project

Laws, regulations SN Main content Applicable and policies A Universal legal documents on environmental pollution control The basic and most ‘stringent’ environmental Environmental protection regulation in China. It sets out the Protection Law of the general principles of environmental protection 1 People's Republic of and describes the key tools of environmental Yes China (revised on management. This law is applicable to the April 24, 2014) territory and other sea areas under the jurisdiction of the People's Republic of China. The law is a system of methods to analyze, Law of the People's predict and evaluate the environmental impact Republic of China on that may be caused by the implementation of Environmental planning and construction projects, put 2 Yes Impact Assessment forward countermeasures and measures to (revised on December prevent or reduce adverse environmental 29, 2018) impacts, and carry out tracking monitoring. It is required that according to this law to execute

35 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Laws, regulations SN Main content Applicable and policies environmental impact assessment on those projects may impact the environment in the territory and other sea areas under the jurisdiction of the People's Republic of China. The subprojects of infrastructure construction are required to implement environmental impact assessments according to the requirements of it. The law makes it clear that the prevention and control of environmental pollution by solid waste adheres to the principles of reduction, recycling and harmlessness. It strengthens the Law of the People's supervision and management responsibility of Republic of China on the government and its relevant departments, prevention and and clarifies the systems as target control of 3 responsibility system, credit record, joint Yes environmental prevention and control, whole process pollution by solid monitoring and information traceability. This waste (revised on law is applicable to solid waste pollution April 29, 2020) control and management. This project of Urban-Rural Integrated Plastic Waste Comprehensive Management is applicable to this law. This law clearly defines the supervision and management on environmental noise pollution Law of the People's prevention and control, describes the Republic of China on prevention and control requirements of prevention and industrial noise, construction noise, traffic control of noise and social life noise pollution, and defines 4 Yes environmental noise the relevant legal responsibilities. It is pollution applicable to the environmental noise pollution (revised on December management and control activities within the 29, 2018) territory of the People's Republic of China. The construction project of the equipment R&D center of the institutional capability

36 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Laws, regulations SN Main content Applicable and policies improvement project, and a part of the subprojects of the infrastructure construction project are civil engineering projects. During their construction period and operation period, they may make noise to form up some impacts on the environment. This law puts forward corresponding requirements on the standards of the prevention and control on air pollution, limited time plans for reaching the standard, the supervision and management of air pollution prevention and control, the prevention and Law of the People's control measures of air pollution, the joint Republic of China on prevention and control of air pollution in key the prevention and areas, and the response to heavy pollution 5 control of weathers, etc., and clarifies the relevant legal Yes atmospheric pollution responsibilities. (revised on October The construction project of the equipment 26, 2018) R&D center of the institutional capability improvement project, and a part of the subprojects of the infrastructure construction project are civil engineering projects. During their construction and operation period, they may produce waste gas to form up some impacts on the environment. This law defines requirements of the standards and planning of water pollution Law of the People's prevention and control, supervision and Republic of China on management of water pollution prevention and the prevention and control, water pollution prevention and control 6 Yes control of water measures, protection of drinking water sources pollution (revised on and other special water bodies, treatment of June 27, 2017) water pollution accidents, etc, and clarifies the relevant legal responsibilities. It is applicable to the pollution prevention and control activities

37 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Laws, regulations SN Main content Applicable and policies on surface water and groundwater bodies such as rivers, lakes, canals, channels and reservoirs within the territory of the People's Republic of China. The river floating waste collection and transfer system improvement subproject, waste plastics recycling and reuse base subproject and urban-rural solid waste disposal system improvement subproject of the infrastructure construction project are required to pay attention to the surface water and groundwater pollution prevention and control problems. B Administrative regulations, rules and stipulations on environmental protection This document of methods aims to regulate public participation in environmental impact assessment and protect public right to know, participate, express and supervise environmental protection. It is applicable to the public participation in environmental impact assessment of special plans related to industry, Methods of public agriculture, animal husbandry, forestry, energy, participation in water conservancy, transportation, urban environmental impact construction, tourism and natural resource 1 assessment (Decree development that may cause adverse Yes No. 4 of the Ministry environmental impact and directly involve of ecological public environmental rights and interests. It is environment) also applicable to the public participation in environmental impact assessment on the construction projects that should prepare environmental impact reports according to law. The waste plastics recycling and reuse base subproject and the urban-rural solid waste disposal system improvement subproject of the infrastructure construction project are

38 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Laws, regulations SN Main content Applicable and policies required to prepare environmental impact assessment documents. It is necessary to carry out public participation according to this method. Methods of the This document of methods is formulated to municipal solid waste strengthen the management of municipal solid management (Order waste and improve the city appearance and No. 157 of the environmental sanitation. It is applicable to the 2 Yes Ministry of management activities of cleaning, collection, construction of the transportation and disposal of municipal solid People's Republic of waste within the territory of the People's China, July 2007) Republic of China. It is a document of environmental protection regulations formulated in combination with the actual situation of Chongqing in order to Regulations of prevent and control pollution, protect and Chongqing improve living environment and ecological Municipality on 3 environment, protect human health and Yes environmental promote sustainable economic and social protection (revised on development. It is applicable to the July 26, 2018) environmental protection, supervision and management activities within the administrative region of Chongqing City. This document of regulations puts forward corresponding requirements for the Regulations of supervision and management of air pollution Chongqing prevention and control, prevention and control Municipality on the of industrial and energy pollution, motor 4 prevention and vehicle and ship pollution, dust pollution and Yes control of air other types of pollution, and clarify the relevant pollution (revised on legal responsibilities. It is applicable to the July 26, 2018) protection, supervision and management activities of air pollution within the administrative region of Chongqing City. 5 Methods of This document of methods puts forward the Yes

39 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Laws, regulations SN Main content Applicable and policies prevention and corresponding requirements for the control of supervision and management of environmental environmental noise noise pollution prevention and control, and pollution in clarifies the relevant legal responsibilities. It is Chongqing (Order No. applicable to the protection and control 270 of Chongqing activities of noise pollution within the Municipal People's administrative region of Chongqing City. Government) Chongqing industrial investment access manual (Investment This document clarifies the division method department of of the 2 kinds of projects which are refused or 6 Yes Chongqing restricted to access. It can be used for exclusion development and and filtering of subprojects. reform commission [2018] No. 541) This notice puts forward the requirements Notice on strict for arrangement of industrial projects within a industrial layout and certain range along the main stream and main access (Industrial tributaries of the Yangtze River. It clarifies the department of 7 requirements for the new projects of entrance Yes Chongqing to the industry park. It makes industrial access development and strict and can be used for the site selection for reform commission the improvement project of the river floating [2018] No. 781) waste collection and transportation system. Guidelines for the negative list of The guideline includes 10 items in 4 aspects development of the of shoreline, river section, region and industry. Yangtze River It is applicable to new fixed asset investment Economic Belt (Trial) 8 projects in 11 provinces (cities) of the Yangtze Yes (No. 89 of the office of River economic belt. It is suggested to be the leading group for referred as the basis for exclusion and picking promoting the of subproject site selection. development of the Yangtze River

40 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Laws, regulations SN Main content Applicable and policies Economic Belt) It lists out the negative list of the development of the Yangtze River Economic Detailed Rules for Belt in Chongqing, which is applicable to the implementation of whole area of Chongqing. The aspects negative list of mentioned in this Detailed Rules such as Chongqing Yangtze shoreline and river section management, River economic belt regional protection and industry access are development (Trial) applicable to new fixed assets investment 9 Yes (Office of the leading projects. group for promoting In this document, a negative list is put the development of forward for pier projects involving the Yangtze River environmental sensitive sites such as nature Economic Belt [2019] reserves, wetland parks and drinking water No.40) source protection areas. It is suggested to be referred as the basis for exclusion and picking of subproject site selection. This document describes the requirement as Guidance on focusing on the improvement of water strengthening the environment quality, strengthening spatial prevention and control, optimizing industrial structure, control of strengthening source control and paying environmental attention to risk prevention to comprehensively pollution in the promote the prevention and control of water golden waterway of pollution and ecological protection and 10 the Yangtze River restoration of the Yangtze River. It puts forward Yes (Resource phased goals for the water environmental conservation and quality of the Yangtze Economic Belt. environmental This Guidance defines relevant requirements protection division of of along the river industry access. It is Development and applicable to exclusion and picking of site Reform Commission selection for the improvement project of river [2016] No.370) floating waste collection and transportation system. C Environmental quality standards

41 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Laws, regulations SN Main content Applicable and policies This standard specifies the classification of ambient air function area, standard classification, pollutant items, average time and concentration limit value, monitoring method, Ambient air quality validity regulation of data statistics, 1 standard（GB 3095- implementation and monitoring, etc. It is Yes 2012） applicable to ambient air quality evaluation and management, and it can provide a reference for the assessment of the current situation of ambient air in the area where the subprojects are located. This standard specifies the items and limit values of water quality control, water quality evaluation, analysis methods and standards of water quality items and implementation and Surface water supervision. It is applicable to rivers, lakes, environmental quality 2 canals, canals, reservoirs and other surface Yes standard（GB3838- water areas with use functions in the territory 2002） of the People's Republic of China. It can provide a reference for the assessment of surface water environmental quality status in the surrounding areas of the subprojects. This standard specifies the classification, indexes and limit values of groundwater quality, groundwater quality investigation and Groundwater quality monitoring, groundwater quality evaluation, 3 standard（GBT Yes etc. It can provide a reference for the 14848-2017） assessment of groundwater environmental quality status in the surrounding areas of the subprojects. This standard specifies the environmental Acoustic noise limits and measurement methods for 5 environmental quality 4 types of acoustic environmental functional Yes standard（GB3096- areas, which is applicable to the assessment 2008） and management of acoustic environment

42 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Laws, regulations SN Main content Applicable and policies quality. It can provide a reference for the assessment of acoustic environmental quality status in the surrounding areas of the subprojects. This standard specifies the screening values and control values of soil pollution risk of Soil environmental construction land to protect human health, as quality: construction well as the requirements of monitoring, land soil pollution 5 implementation and supervision. It is Yes risk control standard applicable to the risk screening and risk control (Trial)（GB 36600- of soil pollution in construction land. It can 2018） provide reference for the assessment of soil environmental quality of the subprojects. This standard specifies the screening values and control values of soil pollution risk of Soil environmental agricultural land, and the requirements of quality: agricultural monitoring, implementation and supervision. It land soil pollution 6 is applicable to screening and classification of Yes risk control standard cultivated land soil pollution risk and can (Trial) provide reference for the assessment of soil （GB 15618-2018） environmental quality status of the subprojects. This standard specifies the emission limits, monitoring and monitoring requirements of air pollutant concentration in Chongqing, except for boiler, industrial furnace and other Air pollutants industrial standards. It is applicable to the emission standard of emission management of existing pollution 7 Yes Chongqing sources in Chongqing, environmental impact （DB50/418-2016） assessment of new, reconstruction and expansion projects, design of environmental protection facilities of construction projects, completion acceptance and emission management after putting into operation. 8 Emission standard for This standard specifies the maximum single- Yes

43 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Laws, regulations SN Main content Applicable and policies odor pollutants time emission limits (by years) of the 8 odor （GB4554-93） pollutants, the odor concentration limits of compound odor substances and the boundary concentration limits of fugitive emission sources. It is applicable to the emission management of all odor emission units and garbage dumps in China, as well as the environmental impact assessment. It is also suitable for design, completion acceptance and emission management after completion of construction projects. This standard determines the pollutant limits of municipal wastewater treatment plants’ effluent, waste gas discharge and sludge disposal (control). It is applicable to the Discharge standard of management of effluent, waste gas discharge pollutants for and sludge disposal (control) of urban sewage 9 municipal sewage Yes treatment plants. The discharge management treatment plants（GB of pollutants from independent domestic 18918-2002） sewage treatment facilities in residential quarters and industrial enterprises shall also be implemented in accordance with this standard. According to the direction of sewage discharge, this standard specifies (by years) the maximum allowable discharge concentration of 69 kinds of water pollutants and the maximum Comprehensive allowable discharge volume of some industries. standard of sewage It is applicable to the discharge management of 10 Yes discharge （GB8978- water pollutants in existing units, construction 1996） projects’ environmental impact assessment, design of their environmental protection facilities, and their completion acceptance and discharge management after putting into operation.

44 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Laws, regulations SN Main content Applicable and policies This standard specifies the water quality, sampling and monitoring requirements of the sewage discharged into urban sewers, which is Water quality applicable to the drainage safety management standard for sewage of those units and individuals who discharge 11 discharged into urban Yes sewage into urban sewers. sewers（GB/T31962- The Ammonia Nitrogen substances in the 2015） subprojects of secondary waste transfer stations are required to be implemented according to this standard. This standard specifies the noise emission limits and measurement methods at the boundary of industrial enterprises and fixed Emission standard of equipment, which is applicable to the noise at boundary of management, assessment and control of noise 12 Yes industrial enterprises emission of industrial enterprises. Government （GB12348- 2008） organs, institutions, organizations and other units that discharge noise to the external environment shall also comply with this standard. This standard specifies the limit values and measurement methods of environmental noise emission at the boundary of construction sites. It is applicable to the management, assessment and control of noise emission from Emission standard of construction with noise sensitive buildings environmental noise around. It is also available for construction 13 at boundary of Yes noise emission of municipal, communication construction site and transportation, water conservancy and （GB12523-2011） other scenes. The noise control during the construction period of the infrastructure construction subprojects is required to be implemented in reference of this standard. 14 Pollution control This standard specifies the requirements of Yes

45 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Laws, regulations SN Main content Applicable and policies standard for domestic domestic waste landfills’ site selection, waste landfill site engineering design and construction, entry （GB 16889-2008） conditions and landfill operation of waste, site closure and post maintenance and management, pollutant emission limits and environmental monitoring, etc. Meanwhile, this standard specifies the special discharge limits of water pollutants. It is applicable to the pollution control and supervision management in the processes of construction, operation, maintenance and management after closure of domestic waste landfill sites. Part of its items are also suitable for the construction and operation of the associated domestic waste transfer station which is constructed with the domestic waste landfill site The urban landfill closure subprojects of the infrastructure construction project are required to be implemented according to this standard. D Technical guidelines and specifications for assessment Technical guideline of environmental impact Environmental impact assessment for civil 1 assessment: General engineering / development activities with Yes outline（HJ2.1- potential environmental impacts. 2016） Technical guideline of This guideline specifies the general environmental impact principles, content, working procedure, assessment: methods and requirements of atmospheric 2 Yes Atmospheric environmental impact assessment. It is environment（HJ 2.2- applicable to atmospheric environmental 2018） impact assessment of construction projects. Technical guideline of This guideline specifies the general 3 environmental impact principles, content, working procedure, Yes assessment: Surface methods and requirements of surface water

46 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Laws, regulations SN Main content Applicable and policies water environment environmental impact assessment. It is （HJ 2.3-2018） applicable to surface water environmental impact assessment of construction projects. The environmental impact assessment of surface water in planning environmental impact assessment work shall refer to this standard. This guideline specifies the general principles, content, working procedure, Technical guideline of methods and requirements of groundwater environmental impact environmental impact assessment. It is assessment: applicable to environmental impact assessment 4 Yes Groundwater for the projects which possibly affect environment（HJ groundwater environment. The environmental 610-2016） impact assessment of groundwater in planning environmental impact assessment work is suggested to refer to this standard. This guideline specifies the general principles, content, working procedure, methods and requirements of ecological Technical guideline of environmental impact assessment. It is environmental impact applicable to assessment of the impact of 5 assessment: Yes construction projects on ecosystem and its Ecological impact（HJ component factors. Regional ecological and 19-2011） planning eco-environmental impact assessment is suggested to comply to this document. This guideline specifies the general principles, content, working procedure, Technical guideline of methods and requirements of acoustic environmental impact environmental impact assessment. It is 6 assessment: Acoustic Yes applicable to acoustic environmental impact environment（HJ 2.4- assessments of construction project and 2009） planning environmental impact assessment work.

47 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Laws, regulations SN Main content Applicable and policies This guideline specifies the general principles, content, working procedure, Technical guideline of methods and requirements of soil environmental impact environmental impact assessment. It is 7 assessment: Soil applicable to soil environmental impact Yes environment（HJ assessment of construction projects which may 964-2018） have impact on soil, such as chemical industry, metallurgy, mining, agriculture and forestry, water conservancy, etc. This guideline specifies the general principles, content, working procedure, methods and requirements of construction projects’ environmental risk assessment. It is applicable to environmental risk assessment for the construction projects involving the Technical guideline of production, use and storage (including pipeline environmental risk transportation) of toxic, harmful, flammable 8 assessment of and explosive hazardous substances, and Yes construction projects possible sudden accidents (excluding accidents （HJ 169-2018） caused by man-made destruction and natural disasters). As for these subprojects of infrastructure construction, it may involve the storage of diesel and other flammable and explosive hazardous substances in the proposed project sites. The guideline stipulates the principles, contents, procedures, methods and technical requirements for human health risk Technical guideline of assessment of contaminated sites. It is contaminated sites 9 applicable to human health risk assessment of risk assessment contaminated sites and limit values （HJ25.3- 2014） determination of contaminated sites’ soil and groundwater. The project of closure of urban area’s old

48 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Laws, regulations SN Main content Applicable and policies waste disposal sites and other works of the infrastructure construction project are suggested to be implemented according to this guideline. This document aims to improve the scientific nature and rationality of urban environmental Planning standard of sanitation facilities planning and improve the urban environmental urban environmental quality. It is applicable to 10 sanitation facilities Yes the compilation of environmental sanitation （GB/T50337- facilities planning in urban planning at all levels 2018） and the layout of major regional environmental sanitation facilities. The purpose of this code is to standardize the planning, design, construction, acceptance, operation and maintenance of the closure project of domestic waste sanitary landfill site, so as to make the closure engineering reliable in technology, scientific in management, sound Technical code of in environmental protection and reasonable in closure of domestic economy. It is applicable to closure projects of 11 waste sanitary landfill Yes domestic waste sanitary landfill sites and site simple landfills. （GB51220-2017） The works of status investigation, design and project implementation of the closure project of urban area’s old waste disposal sites of the infrastructure construction project are suggested to be implemented according to this code. Technical code of The purpose of this code is to implement the collection, treatment national regulations and technical policies on and utilization of domestic waste disposal, and to ensure the 12 landfill gas in quality of landfill gas collection, treatment and domestic waste utilization, so to guarantee the safe operation of landfill（CJJ 133- domestic waste landfill sites, and standardize 2009） the design and construction of the projects of

49 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Laws, regulations SN Main content Applicable and policies landfill gas collection, treatment and utilization. It is applicable to design, construction and acceptance of the newly built, expanded and rebuilt landfill gas collection, treatment and utilization projects. The closure project of urban area’s old waste disposal sites of the infrastructure construction project is suggested to be implemented according to this code. This code is to ensure the construction perfection, reliability and safety of the anti- seepage system engineering of domestic waste sanitary landfill sites, so to prevent the possible pollution and damage to the environment Technical code of caused by landfill leachate. It is applicable to seepage control design, construction, acceptance and 13 system of domestic maintenance of the anti-seepage system waste sanitary landfill engineering of domestic waste sanitary landfill （CJJ 113-2007） sites. The closure project of urban area’s old waste disposal sites of the infrastructure construction project is suggested to be implemented according to this code.

The content of the table above is just a part of the main relevant laws, regulations, technical specifications and standards. The specific applicable legal framework and standards need to be finally determined in the environmental impact assessment of specific subprojects.

Detailed analysis is required to be carried out. Corresponding mitigation measures are necessary to be formulated according to the requirements.

3.2 Domestic Social Laws, Regulations and Policies

China has established a sophisticated system of laws and regulations on managing social impacts, covering such aspects as social risk assessment, labor, LA and HD, and stakeholder

50 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project engagement.

Social risk assessment

The Chinese government has regulations on social risk management for major investment projects. The Interim Measures of the National Development and Reform Commission on the

Social Stability Risk Assessment of Major Fixed Asset Investment Projects require that the owner of a major investment project should investigate and analyze social stability risks when conducting preparatory work. Subsequently, the assessment agency designated by the local government or its competent authority will assess and demonstrate social stability risks for the owner, collect opinions from different parties in multiple manners to determine the risk rating (high, medium or low), and evaluate the legitimacy, rationality, feasibility and controllability of the project, and its potential social stability risks, and propose risk prevention and mitigation measures, and a contingency plan.

Labor and working conditions

According to ESS2, 4 types of laborers are identified may be involved in the Project , which are direct workers, contracted workers, primary supply workers and community workers.

Direct workers include managers, drivers, repairmen, operators, etc. signing labor contracts directly with PIUs; contracted workers include those employed by contractors, subcontractors, brokers, agents or intermediaries to perform work related to the project’s core functions, such as builders, cleaners, security guards, researchers, etc.; primary supply workers refer mainly to workers of suppliers providing necessary goods or raw materials for the project’s core functions continuously; community workers refer mainly to those employed for or participating in community labor, such as cleaners, volunteers participating in publicity and guidance on waste sorting.

Chinese laws, regulations and policies have comprehensive provisions on child labor, discrimination, forced labor, working hours, minimum wage, labor safety and health, etc. For

51 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project example, employers are prohibited from recruiting minors under 16 years; female and underage workers (16-18 years) are subject to special protection; laborers should not be discriminated against based on ethnic group, race, gender or religion; women enjoy the same employment rights as men; forced labor is prohibited; employers must establish a sound labor safety and health system, and reduce occupational hazards.

The Chinese government has also established a system of laws, regulations and industry standards to protect laborers’ occupational health and safety, including state laws and regulations, local regulations and bylaws, and health and safety standards of different industries. A multi-layer legal system for occupational health protection has been established.

There are special laws that protect women’s labor rights, including the prohibition of sexual harassment.

Table 3.2-1 State laws and regulations on labor and working conditions

No. Title Effective year Amended in 1 Labor Law of PRC 2018 Provisions of the State Council on Working Hours of Workers 2 1995 and Staff 3 Emergency incident response Law of PRC 2007 Regulations on the Implementation of PRC’s Labor Contract 4 2008 Law Amended in 5 Labor Contract Law of PRC 2012 6 Special Rules on Labor Protection of Female Employees 2012 Amended in 7 Occupation Disease Prevention and Control Law 2018 8 Interim Provisions on payment of Wages 1995 Amended in 9 Social Insurance Law of PRC 2018 Regulations on Labor Protection in Workplaces with Toxic 10 2002 Substances Regulations on the Prevention and Treatment of 11 1987 pneumoconiosis Amended in 12 Law of PRC on the Protection of Minors 2020 Amended in 13 Law of PRC on the Protection of Disabled Persons 2018

52 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project No. Title Effective year 14 Labor Dispute Mediation and Arbitration Law of PRC 2007 Amended in 15 Labor Union Law of PRC 2009 16 Regulations on Collective Contracts of Chongqing City 2017 17 Standard on Worker Congress of Chongqing City (Trial) 2011 Regulations of Chongqing City on the Protection of Workers’ 18 2011 Rights and Interests Amended in 19 Regulations on Labor Union of Chongqing City 2012 Interim Measures of Chongqing City for Maternity Insurance for Amended in 20 Workers 2018 Regulations of Chongqing City on Employing Disabled Persons 21 2004 Proportionally Regulations of Chongqing City on Labor Unions of Foreign- 22 1993 funded Enterprises Regulations of Chongqing City on the Protection of Women's 23 2008 Rights and Interests Measures of Chongqing City for the implementation of the Law Amended in 24 on Assemblies, Processions and Demonstrations of PRC 2010 25 Regulations of Chongqing City on the Protection of Minors 2010 Regulations of Chongqing City on the Protection of Disabled 26 2011 Persons Amended in 27 Regulations of Chongqing City on Unemployment Insurance 2011 Measures of Chongqing City on Mediation and Arbitration of 28 2010 Labor Disputes Measures of Chongqing City on the Protection of the Rights and 29 2005 Interests of Rural Migrant Workers and Service Administration Regulations of Chongqing City on the Guarantee of Minimum 30 2001 Wages

Land Acquisition (LA)and House Demolition (HD)

China has established a complete legal framework and policy system for LA, HD, resettlement and compensation. Rural LA and HD are mainly based on the Land

Administration Law of the PRC (2020), provincial implementation measures of the Land

Administration Law, and relevant compensation and resettlement standards. Urban HD is based mainly on the Regulations on the Expropriation of Houses on State-owned Land and

Compensation (2011). The Land Administration Law amended on August 26, 2019 (effective from January 1, 2020) has unified rural and urban LA and HD practices to a great extent. The new law defines the scope of LA for public interests, strengthens the upfront risk management

53 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project of LA, and information disclosure and public participation during LA and HD, and requires that an agreement be signed with the land owner and the holder of the land use right before land approval, and that compensation and resettlement funds be arranged in advance. The new law requires that LA compensation rates is based on Block Comprehensive Land Price, and will adjust or promulgate again at least every 3 years.The fair and reasonable compensation should be granted to those affected by LA, and“the former living standard of land-expropriated farmers should not be reduced”. Accordingly, the new law will protect the rights, interests and livelihoods of affected persons more comprehensively.

LA and HD had been completed for the first 5 components at the time of screening, and the SIA agency conducted due diligence on LA compensation and resettlement. (See the Social

Due Diligence Report for the First Batch of Components).

Table 3.2-2 State laws and regulations on LA and HD

No. Title Effective year 1 Land Administration Law of the PRC 2020 Regulations on the Expropriation of Houses on State-owned 2 2011 Land and Compensation

Stakeholder Engagement

Chinese laws and regulations require that adequate information disclosure and public participation be conducted during EIA, LA and resettlement, and policy planning and making.

Relevant laws and policies have requirements for information disclosure and public participation in terms of EIA, LA and HD, government planning, policy measures, etc. to ensure the participation right of citizens. The Chongqing Municipal Government also stresses that if any decision-making matter involves the interests of any certain group, opinions and suggestions of persons concerned should be fully collected, and the timing requirements for public comments on decision-making matters are specified.

54 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

Table 3.2-3 State laws and regulations on stakeholder engagement

No. Title Effective year 1 Land Administration Law of the PRC 2020 Measures for public Participation in Environmental Impact 2 2019 Assessment Standard Guidelines for Grass-root Government Affairs 3 2019 Disclosure for the Acquisition of Rural Collective Land Opinions on Promoting Government Affairs Disclosure 4 2016 Comprehensively Regulations on Major Administrative Decision-making 5 2020 Procedures of Chongqing Municipality

It can be seen that China has established a sophisticated policy system on managing social impacts, which includes such social management tools as social stability risk assessment, land use approval before the land acquisition, construction land use certificate before starting the civil works, and occupational health and safety risk assessment as well. The objectives are consistent with the Bank’s policies on managing social impacts, namely mitigating a project’s social risks and realizing sustainable development. However, there are still some differences.

See Table 3-5 for the difference analysis

3.3 Environmental social framework of the World Bank

For those projects funded by the World Bank, the Environmental and Social Framework of the World Bank requires to identify, assess and mitigate the risks and impacts of the project implementation on the environment and society. A total of 9 environmental and social standards (except ESS9) are applicable for the whole life cycle of this project, which are listed in the table below as Table 3.3-1.

55 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Table 3.3-1 Applicability analysis on the World Bank’s environmental and social standards

SN ESS Applicable Commentary This project includes technical assistance activities and facility construction activities. The environmental benefits of the project are significant. By improving the collection and recycling of plastic waste, a large number of plastic waste entering the Yangtze River will be reduced. However, the implementation of the project will cause great environmental and social risks and impacts in many aspects. The technical assistance subprojects are activities of policy and planning research and institutional capability improvement. During their construction period, they require no need of civil construction works except the construction project of the Technical R & D center. And for the Technical R & D center, it is just about installation of equipment, with slight impacts on environment and society. The policy ESS1: Assessment research activities are just to provide technical and financial advices for future policies, and have nothing and management to do with policy making and implementation. Yet, these activities of research will cause some 1 of environmental Yes downstream environmental & social risks and impacts. and social risks The subprojects of infrastructure construction include domestic waste’s classified collection, and impacts transportation, reuse / processing facilities, as well as the collection and transportation facilities of ship waste and river floating waste. The potential negative environmental impacts include dust, noise, waste water, soil erosion, traffic interference, ordinary garbage, etc., as well as community health & safety, occupational health & safety, and the impact of pier construction on aquatic organisms. The main E & S impacts of the project come from the facilities’ operation. Such as: Odor, sewage of working waste transfer stations; Temporary storage and transportation of household hazardous substance; Fire and explosion risk of biogas tank in kitchen waste treatment plant; Hazardous substance production, storage and transportation of the recyclable waste processing centers; Pollutant leakage and remediation of contaminated land and groundwater bodies caused by closure operation of the old landfills. These will

56 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project SN ESS Applicable Commentary have a serious impact on the environment, community health & safety and occupational health & safety. Some associated facilities 11may involve in this project, for instance, waste treatment facilities, including incineration, composting and landfill facilities. These associated facilities may form serious risks and great impacts on environment, community health & safety and occupational health & safety. Environmental and social audits (ESA) of these associated facilities are required in accordance with the standards in the World Bank's ESF. ESA needs to identify and assess, to the extent appropriate, the potential environmental and social risks and impacts of associated facilities. The Borrower will address the risks and impacts of associated facilities in a manner proportionate to its control or influence over the associated facilities. To the extent that the Borrower cannot control or influence the associated facilities to meet the requirements of the ESSs, the environmental and social assessment will also identify the risks and impacts the associated facilities may present to the project. In view of the fact that the project includes a large number of technical assistance and infrastructure construction subprojects, the specific details of which have not yet been determined, therefore the ‘Environmental and Social Management Framework’ (ESMF) has been prepared to formulate the principles, procedures and measures for the environmental and social impact assessment of specific subproject during the implementation period. A document of ‘Environmental and Social Commitment Plan’ (ESCP) has been developed to ensure that the project complies with ESMF measures and actions during the project implementation. And ‘Stakeholder Engagement Plan’ (SEP) has been composed, which requires the borrowers to continuously carry out stakeholder participation and information disclosure activities in the early stage as well as the whole life cycle of the project.

11 According the Bank’s ESF, the term “Associated Facilities” means facilities or activities that are not funded as part of the project and, in the judgment of the Bank, are: (a) directly and significantly related to the project; and (b) carried out, or planned to be carried out, contemporaneously with the project; and (c) necessary for the project to be viable and would not have been constructed, expanded or conducted if the project did not exist. 57 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project SN ESS Applicable Commentary During the implementation period, the project involves direct workers, contracted workers, primary supplier workers and workers of involved communities. Therefore, the requirements on working conditions, workers' rights, appeal mechanism, occupational health and safety in this standard are applicable to the project. Occupational health & safety risks and impacts mainly come from the construction and operation stages of the project, including: Traffic safety, mechanical injury and falling during construction period; ESS2: Labor and High temperature and accidental drowning during pier operation; Traffic safety, disease and falling 2 working Yes during transfer station operation; Mechanical and high temperature injuries, as well as hazardous and condition chemical materials production, storage and transportation during operation of recyclable waste processing centers; Fire and explosion risk of biogas storage tank in kitchen waste factory; The leakage of pollutants caused by the restoration of old landfills, as well as the risks and impacts on the operators’ health and safety. This document of ESMF includes a ‘labor management procedure’ template to guide the development of corresponding management procedures and labor appeal mechanism in the preparation of specific subprojects. The project involves the processing of recyclable waste, which requires water consumption and energy consumption. It is recommended to adhere to the principle of cleaner production during the ESS3: Resource processing sections. As for facility construction subprojects, their construction and operation will efficiency and produce wastewater, waste gas, solid waste and noise. The projects also involve storage and 3 pollution Yes transportation of household hazardous substance, using, producing, storage and transportation of prevention and hazardous and chemical materials. The closure of old landfills often involves the remediation of management contaminated land and groundwater and other problems left over from the past. As ESMF requires, Chongqing Part has put forward requirements on pollution management and

58 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project SN ESS Applicable Commentary resource conservation of its technical assistance activities and civil construction activities’ environmental and social impact according to the World Bank’s ESF, World Bank group’s Environmental, Health and Safety Guidelines (EHSGs) and relevant Good International Industry Practice (GIIP). The relevant mitigation and management measures are described in the ‘General management regulations’ of this framework, and the corresponding documents of ‘Environmental and social assessment report’ and ‘Environmental and social management plan’ of future subprojects. The implementation of the project may have a health & safety impact on the surrounding communities. During the construction process, the increased number of transport vehicles, temporary storage and transportation of household hazardous substance, using, production, storage and transportation of chemical and hazardous materials, fire and explosion possibilities of a biogas storage ESS4: Community tank in kitchen waste plant, and the process of closure of the old landfills can all cause risks and impacts 4 Yes health and safety on residents’ health and safety. The detailed impact analysis will take place in the environmental and social impact assessment of those specific subprojects. The detailed management measures will be contained in the corresponding management plan. A ‘Stakeholder Engagement Plan’ has been made for this project, which will continue to conduct consultation and participation with surrounding communities in the project implementation process. ESS5 aims to avoid or minimize involuntary resettlement, to avoid forced evictions, and to mitigate ESS5: Land the unavoidable and adverse social and economic impacts of land acquisition or land use restrictions in acquisition, land several ways. 5 use restriction Yes This standard is not applicable to the technical assistance subproject, for it does not involve civil and involuntary engineering activity and has no impact on land acquisition and demolition. The civil construction migration subprojects may involve new land acquisition and involuntary resettlement, so this standard is applicable to them. Before the specific implementation of the subproject, RP shall be prepared according

59 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project SN ESS Applicable Commentary to the RF outline requirements in ESMF and submitted to the World Bank for approval. For those activities involving the upgrading of existing sites, Environmental and Social Due Diligence should be conducted to assess the legal compliance status and the possible remaining problems. This project is located in the built-up area of the city and its surrounding districts and counties. These areas have been seriously disturbed by human activities, so natural habitats unlikely exist, but it may ESS6: Biodiversity involve some modified habitats. conservation and For facility construction activities, the exclusion clauses of subprojects are listed in this framework. sustainable 6 Yes All of the activities with possible significant impacts on natural habitats and biodiversity will be management of removed. biological natural The impact of project activities on biodiversity will be analyzed in detail in the process of resources environmental and social impact assessment of specific activities, and corresponding mitigation measures will be formulated. ESS7: Indigenous As for the ethnic minorities which are in line with the 4 identification standards of the ESS712, the peoples / cases of that the ethnic minority communities exist in or have collective attachment to the proposed Underserved project areas are applicable for the ESS7. 7 No traditional local For the technical assistance subprojects, it is applicable to the whole region of Chongqing, including communities in the 4 Minority Autonomous Counties of Shizhu, Xiushan, Youyang and Pengshui as well as Qianjiang Sub-Saharan district which enjoys the treatment of ethnic minority areas. The site selection of civil construction

12 In the ESS7, the term “ethnic minorities” is used in a generic sense to refer exclusively to a distinct social and cultural group possessing the following characteristics in varying degrees: (a) Self-identification as members of a distinct indigenous social and cultural group and recognition of this identity by others; and (b) Collective attachment to geographically distinct habitats, ancestral territories, or areas of seasonal use or occupation, as well as to the natural resources in these areas; and (c) Customary cultural, economic, social, or political institutions that are distinct or separate from those of the mainstream society or culture; and (d) A distinct language or dialect, often different from the official language or languages of the country or region in which they reside. 60 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project SN ESS Applicable Commentary Africa subprojects may take place in ethnic minority areas, so this standard may be applicable. During the implementation period, it is required that, according to the 4 criteria for the identification of ethnic minorities in ESS7, to assess whether EMDP should be prepared according to the EMDF outline in ESMF, and submit it to the World Bank for approval. As for the technical assistance subprojects, the relevant requirements of ethnic minorities should be specified in the TOR of the project. There may be cultural heritages of cultural significance to the local communities and cultural heritages protected by law in the project area. The project involves civil engineering activities, which has potential impact risk on local cultural heritage. The ESMF of the project includes clauses of exclusion involving significant cultural impacts. The ESS8: Cultural 8 Yes detailed analysis on specific subprojects will be conducted in the ESIA and ESMP, and relevant measures heritage will be formulated (including Chance Find Procedure). A ‘Stakeholder Engagement Plan’ (SEP) has been made for this project, which will continue to carry out consultation and participation with surrounding communities in early stage and the whole process of project implementation. ESS9: Financial 9 intermediaries No This standard is not applicable to this project for no FI involvement. (FI) Information disclosure and consultation need to run through the project preparation, construction and ESS10: operation periods. It focuses on the needs of the directly affected population and the vulnerable groups Stakeholder (inclusiveness), such as the elderly, women, migrants, etc. 10 Engagement and Yes The Stakeholder Engagement Plan (SEP) has been formed for the first batch of investment projects and Information the ESMF during the project’s preparation period. Disclosure In addition, complaint and appeal mechanisms are also included in the SEP.

61 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

3.4 Environmental, Health and Safety Guidelines of the World Bank (EHSGs)

The ‘Environmental and Social Management Framework’ of the World Bank requires this project to comply with the relevant requirements of ‘Environmental, Health and Safety Guidelines’ of the World

Bank Group. The EHSGs generally contains acceptable and operational performance levels and environmental, health and safety protection measures for projects.

The EHSGs contains a universal guideline and 62 specific industry guidelines. In accordance with the project status, those guidelines possibly related to this project are listed in Table 3.4-1 as below.

Table 3.4-1 The EHS Guildelines and relevant specific guidelines possibly applicable to this project

SN Guidelines Commentary The EHS general guidelines are technical reference documents with general and industry-specific examples of Good International Industry Practice (GIIP). These General EHS Guidelines are designed to be used together with the relevant Industry Sector EHS Guidelines which provide guidance to users on EHS issues in specific industry sectors. They provide guidance on environment, occupational health and safety, community health and safety, project construction and operation process The EHS general guidelines mainly include: 1) environmental

General guidelines - Air Emissions and Ambient Air Quality 1 for environment, - Energy Conservation health and safety - Wastewater and Ambient Water Quality - Water Conservation - Hazardous Materials Management - Waste Management - Noise - Contaminated Land 2) Occupational Health and Safety

- General Facility Design and Operation - Communication and Training - Physical Hazards - Chemical Hazards

62 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project SN Guidelines Commentary - Biological Hazards - Radiological Hazards - Personal Protective Equipment (PPE) - Special Hazard Environments - Monitoring 3)Community Health and Safety

- Water Quality and Availability - Structural Safety of Project Infrastructure - Life and Fire Safety (L&FS) - Traffic Safety - Transport of Hazardous Materials - Disease Prevention - Emergency Preparedness and Response Thus, the EHS general guidelines are applicable to the Chongqing Part.

The guidelines contain information on construction materials mining activities, such as gravel, limestone, slate, sand, gravel, clay, gypsum, Environmental, feldspar, quartz sand, quartzite, and stone. It involves separate projects health and safety as well as construction material mining operations to support building, guidelines for 2 municipal and concrete projects. construction The infrastructure construction of the project involves civil materials mining engineering construction and site leveling is required during the industry construction period, which may involve processes of filling and cutting. Therefore, the guidelines are applicable to this project. These guidelines include information relevant to glass manufacturing facilities and outline the environmental, health and safety issues that occur in the glass manufacturing industry during the operational phase, and provides recommendations on how to manage them. Environmental, Within the infrastructure construction component, waste treatment health and safety and recycling subprojects include the recovery and disposal of waste 3 guidelines for glass glass. The detailed process is as: to grind waste glass into powder, calcine industry it at high temperature with catalyst, so to make it foamed and expanded. After cooling, a kind of inorganic silicate material with light porous quality will be formed. These guidelines have a certain guiding role for the environmental problems of waste residue, waste gas wastewater generated by the

63 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project SN Guidelines Commentary subproject. They also include requirements of environmental monitoring, resource use and emission loads for glass manufacturing. Besides, these guidelines mention occupational health and safety in the specific area, Thus, these guidelines are adopted. The guidelines contain various facilities or subprojects specifically used for the management of municipal solid waste and industrial waste, including waste collection and transportation; waste receiving, unloading, treatment and storage; landfill treatment; physicochemical and biological treatment; as well we incineration processes. Industry- Environmental, specific waste management activities applicable, for example, to medical health and safety waste, municipal sewage, cement kilns, and others are covered in the 4 guidelines for waste relevant industry-sector EHS Guidelines, as is the minimization and management reuse of waste at the source. facilities The scope of Chongqing Part covers the full chain of the process of ‘Front end Collection – Sorting and Transportation - Harmless Treatment’ in Chongqing’s downtown area, surrounding small & medium sized towns and rural areas. So, the guidelines are applicable to Chongqing Part. These guidelines contain information on the production of fatty acids, glycerol and biodiesel from animal and vegetable oils, and the information of production equipment. The guidelines include industry- specific impacts and management, environmental issues related to the oleochemicals, such as air emissions, wastewater, hazardous materials, Environmental, waste and noise, Besides, they also mention requirements of health and safety environmental monitoring, occupational health and safety for 5 guidelines for oil oleochemicals manufacturing. chemicals Within the infrastructure construction component, those waste production treatment and recycling subprojects include kitchen waste recycling plant, which involves hogwash oil pretreatment and biodiesel production process. This guideline has a certain guiding effect on the environmental issues such as waste water, waste gas, waste and by- products produced in the oil production process of the subprojects. Thus, these guidelines are adopted. Environmental, These guidelines outline the EHS issues in the textile manufacturing 6 health and safety industry during the operational stage. They provide suggestions on how guidelines for textile to manage them.

64 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project SN Guidelines Commentary manufacturing The waste treatment and recycling subprojects include the recycling and disposal of waste clothes within the infrastructure construction component. That is: The waste textiles separated from domestic waste or collected in clothes recycling bins of residential areas are to be screened by machinery, spectral instruments and other equipment according to different components and colors. Then they will be processed into short fibers through crushing opening procedures. Finally, fiber felt, and other products will be made by air flow paving hot rolling process. This guideline has a certain guiding role in the wastewater, waste gas, energy consumption and other issues in the recycling process of waste textiles in this kind of subprojects. The information contained in this guideline relates to combustion processes used to provide electrical or mechanical energy, steam, heat or mixtures thereof, whose total rated heat input exceeding 50 MW heat input (MWth) (based on HHV). The using fuels include gaseous, liquid and solid fossil fuels and biomass. Several types of fuels are included in Environmental, this guideline except for solid waste fuel which is in EHS Guidelines for health and safety Waste Management Facilities. This document is applicable to boilers, 7 guidelines for reciprocating internal combustion engines and gas turbines in new and thermal power existing facilities. plants Within the infrastructure construction component, the waste treatment and recycling subproject involve biogas power generation, etc. In addition, the relevant Good International Industrial Practice (GIIP) is suggested to be referred to in designing the height of exhaust stack. Therefore, the guide has a certain guiding role for the subprojects of facility construction. The information of operation and maintenance of these guidelines include drinking water treatment and distribution system; centralized sewage collection systems (e.g. piped sewer networks), decentralized Environmental, sewage collection systems (e.g. septic tanks with pump trucks) and health and safety 8 centralized sewage treatment facilities. Centralized municipal sewage guidelines on water treatment systems are applicable to this guideline. and sanitation The project involves the transportation of sewage to a centralized storage/treatment system through pipelines. Therefore, these guidelines have guiding roles for the subprojects of facility construction.

65 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project SN Guidelines Commentary These guidelines include industry-specific impact management. They are applicable to marine and freshwater ports, harbors, and terminals for Environmental, cargo and passengers. These guidelines include analysis and general health and safety measures about dredging, water pollution, water ecological impact. 9 guidelines for ports, Within the infrastructure construction component, the improvement harbors and docks project of the river floating waste collection and transportation system plans to newly build 3 ship waste receiving and disposal piers. Therefore, the guideline has a certain guiding role for the pier construction project.

The guidelines above provide guide measures for common facility construction/operation stages and environmental, health and safety issues in the context of specific industries. Some guidelines also provide references for some guideline values, such as air quality standards, domestic sewage treatment standards, industrial sewage discharge standards, and workplace noise limits. In addition, the general requirements and measures of energy saving and water saving are put forward in the guide. In the cases of high energy consumption, the energy-saving measures proposed in the guideline should be adopted when it is technically and financially feasible.

Not all of the above guidelines are applicable to each subproject activity under this project. In subproject preparation, the specific guidelines need to be determined according to the specific subproject activities, and then determined by professional screening and judgment. If applicable, management measures shall be formulated according to relevant guidelines in EIA.

In addition, the framework also refers to the World Bank Group's GIIP in road safety and construction camp management, and formulates the general environmental implementation regulations as ‘Traffic

Management Plan’ and ‘Construction Camp Management Plan’ (please see Appendix 7 and 8). They will serve as guidelines for preparing relevant contents in the specific environmental and social management plan of subprojects in future.

66 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project 4 Analysis and mitigating measures of the project’s environmental and social impact and risk

4.1 Environmental and social impact of the project

Chongqing Part is to promote the Chongqing City’s capability and full-cycle management degree on sorting, collection, transportation and terminal treatment of domestic waste by strengthening comprehensive management of urban-rural plastic waste to reduce the plastic pollution. The nature of this project is a process of solid waste’s reduction in amount, recycling as resource and disposal with harmlessness. It is beneficial to the country and the people by reducing pollution and protecting the environment, with significantly positive environmental and social benefits. The successful implementation of the project will effectively improve the recycling utilization rates of the domestic waste and plastic waste in Chongqing’s downtown area, the surrounding small & medium sized towns and rural areas. The amount of plastic waste getting into the ocean will be reduced as well.

Though the ultimate goal of this project is to reduce the pollution and protect and improve the environment, it is possible that potential environmental and social impacts and risks still may come out with varying degrees during the specific activities of those subprojects. Since many specific activities in this project need to be determined during the implementation process, this framework document only makes a qualitative analysis on environmental and social risks and impacts based on the existing preliminary suggestions of the project.

In general, this project is composed of three components, which are (1) institutional capability improvement process, (2) infrastructure construction process and (3) project management and training. Component 1 and component 3 mainly include technical assistance activities whose subprojects have nothing to do with civil construction work except for the construction project of the Equipment Research and Development Center; while the infrastructure construction process is all about civil construction or equipment installation works.

Technical assistance activities of institutional capability improvement

The technical assistance activities of this project include Component 1 (Institutional

67 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project mechanism improvement) and Component 3 (Project management and training).

Component 1 includes 5 activities as (1) Establishment of comprehensive management and control system and mechanism for waste classification; (2) Publicity, education and training of garbage classification awareness; (3) Establishment of the full-cycle information platform of plastic waste and the performance monitoring and evaluation system of plastic waste management; (4) Construction of the research and development center of plastic waste recycling technology and equipment; (5) Formulation of the solutions on the new format of the express delivery industry with reduced plastic packaging and agriculture and rural area waste system management;

Component 3 involves bidding agency, project management, construction management, security policy monitoring, design, learning, training and inspection of project personnel during the construction period.

As the World Bank’s classification rules of technical assistance projects, they are: Type I, assistance on the preparation of future investment projects (such as feasibility study, design, etc.); Type II, assistance on the development of policies, plans, programs, and legal frameworks; and Type III, assistance on strengthening the capacity of borrowers. It is clear that the technical assistance subprojects only include the activities of Type II and Type III. That is:

-Type II: Activity (1) and activity (5) of Component 1;

-Type III: Component 1’s Activity (2), (3) and (4) and Component 3.

The proposed technical assistance activities require no civil construction works except for constructing the research and development center (which possibly needs civil construction process). However, as for the activity (1) and activity (5) of Component 1, inspired by their research results, the realization of the suggestions on management mechanism and operation mode may cause some downstream activities to occur, such as promoting plastic waste recycling, reduction of plastic packaging, construction of processing facilities, promotion of alternative technologies, production of products as well as agricultural & rural waste management, etc. These downstream activities possibly have environmental and social risks and impacts, and these downstream impacts often involve a wide range of environmental and

68 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project social issues and possibly are significant. For example, in the process of industrial upgrading and substitution, the production and operation of some enterprises may be affected or even eliminated, which leads to a job transfer or unemployment of the related employees.

Meanwhile, it is necessary to focus on the indirect and cumulative impacts of the downstream activities related to technical assistance. The management mechanism and operation mode study will also optimize the existing waste classification management and waste disposal scheme. The improvement of domestic waste classification, collection, transportation and disposal will reduce plastic waste pollution and produce positive environmental benefits.

Therefore, these potential downstream environmental and social impacts are expected as

‘Moderate’ or ‘Substantial’. For each research activity, it is necessary to put forward the requirements for the analysis of potential environmental and social impacts in policy formulation in the work outline phase, with the participation of environmental and social experts. As the specific research result, it is required to set up special chapters in relevant documents with the analysis of the possible downstream potential impacts and put forward countermeasures.

The publicity and education, communication and training, statistical system and information platform, performance evaluation and other contents in component 3 and the activities (2) and (3) of Component 1 are pure capability strengthening activities. They do not involve any physical engineering contents such as civil construction or facility installation. No downstream activities will be caused by them, so there will be no direct or indirect environmental or social impacts.

For the Research and Development Center construction of the activity (4) of Component

1, small-scale civil construction and equipment installation may be involved. Environmental and social risks may come out during this duration. Yet due to the small scale of the civil construction, those possible risks and impacts are easy to be identified and controlled.

All the TA subprojects of institutional capability improvement need to conduct effective consultation with the stakeholders. Insufficient stakeholder engagement may cause imperfect management of related impacts and risks to aggravate the downstream impacts and risks

69 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project generated by the TA activities. Domestic solid waste classification, the comprehensive management of plastic waste and agricultural & rural waste and some other activities require continuous and effective participation of the stakeholders for the smooth running. The front- end garbage classification is the key to the comprehensive management of solid waste. It requires providing sufficient education and training opportunities, continuous communication, supervision and incentive to the communities responsible for waste classification and the wide public such as schools, enterprises and institutions. The plastic packaging reduction and agricultural & rural waste management also need the adequate cooperation of the employees of plastic production enterprises, express delivery/delivery and other emerging industries, and agricultural enterprises and farmers. The inadequate engagement of the stakeholders possibly causes low sorting efficiency of domestic waste, formalism nightmare to the operation of middle and back end, and implemented plan’s failure in solution to the actual problems.

Therefore, the environmental and social risk of this activity is classified as ‘Substantial risk’. The possible E&S risks and impacts are listed in Table 4.1-1.

Construction activities of infrastructure construction

The infrastructure construction subprojects of this project include (1) construction of domestic waste, ship waste and river floating waste classified collection stations; (2) construction of recyclable materials sorting and distributing centers of integrated recycling and disposal networks, household hazardous waste temporary storage centers and solid waste sorting and transfer stations; (3) construction of waste recycling bases and closure activities of old urban landfills. Such activities may contain large-scale civil engineering and equipment installation, with potential E&S risks and impacts.

(1) Environmental risks and impacts

The construction process will cause direct environmental impacts, including a) environmental sensitivity of site selection (e.g. whether it involves nature reserves, sensitive natural habitats, water conservation areas and cultural relics reserves, etc.); b) destruction and disturbance of surface vegetation and/or river water bodies during the construction period; c)

70 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project construction wastewater, dust, noise, solid waste (including hazardous waste that may be involved); d) impacts on river aquatic organisms; safety and health risks of construction workers (including the risk of COVID-19); and e) the risks of material transportation and mechanical operation to the personal safety of surrounding communities.

During the operation period, the environmental risks include a) pollution risks of facilities’ operation wastewater, waste gas, noise and solid waste; b) leakage risks of sewage facilities, waste storage facilities and old landfills; c) safety and occupational health risks of production workers (including misoperation of machine safe operation, the risk of hazardous waste contact and harmful gases inhalation); d) surrounding social safety and health risks (including the traffic interference of vehicles, roadway safety, and the risks caused by production accidents to the surrounding communities); and e) those factors that need to be considered such as energy demands, resource consumption and greenhouse gas emission, etc. The main impacts and the corresponding control measures during the design, construction and operation periods of the subprojects in the framework are listed in Appendix 6.

To sum up, the environmental risk ratings of the construction subprojects of this project are classified as from ‘Moderate’ to ‘High’.

(2) Social risks and impacts

First, the negative economic and social impacts and risks related to LA, resettlement and restrictions on land use.

The land use for facility construction may cause the affected persons to relocate, lose housing land or residences, or lose land, assets or access to assets, which will lead to the permanent or temporary loss of income or other means of living. LA and HD had been completed for the first 5 components before project identification, and the SIA team conducted due diligence to each component. The sites of subsequent subprojects have not been fixed, but they vary slightly in floor area 10-30 mu, and their LA and HD impacts will be assessed in SIA reports and RPs.

Second, risks and impacts of labor and working conditions.

Based on preliminary screening, labor involved in the civil works components include

71 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project direct workers (e.g., workshop operators, drivers, repairmen, greasers), contracted workers

(e.g., workers of contractors, subcontractors and third party agencies, such as cleaners and security guards), primary supply workers, community workers, etc. For direct and contracted workers, the main labor impacts and risks include occupational health and safety risks, including traffic safety, risks during the operations of vehicles / machinery, noise, smell, dust and other hazardous waste contacted at workplace, drowning during water surface waste clearing, old landfill leakage, inadequate prevention and control of COVID-19 pandamic and other infectious diseases, incomplete or nonconforming protective equipment, etc. Due to the strict requirements of the applicable Chinese laws and regulations, the Project’s child labor,

GBV and forced labor risks are low.

Third, community health and safety risks (real and perceived). The communities involved in the Project mainly include facility surrounding communities, communities run through during waste transfer, and waste sorting communities.

• The health and safety risks facing residents in facility surrounding communities may

include:

- Potential surface water and groundwater pollution affecting irrigation or other

agricultural activities;

- Health impacts of noise, dust, smell and other pollution;

- Traffic inconvenience or safety risks, etc.; and

- Potential leakage or explosion during landfill repair; and

- Gender base violence (GBV) in relation to labor influx, etc.

• The risks facing communities run through during waste transfer may include traffic

safety, and noise, smell and other pollution during transfer.

• The risks facing waste sorting communities may include: waste transfer vehicles

entering and leaving communities may produce noise, smell and potential safety risks.

Fourth, risks of being excluded from the project benefits (exclusion risks).

Vulnerable groups may be exposed to such risks to a greater extent due to their own

72 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project factors. Such vulnerable groups include front-end recyclable collectors (especially community cleaners), old people, pregnant women and the disabled in communities, etc. Front-end recyclable collectors’ livelihoods may be affected by the increase of recycling facilities, control strengthening by the government, etc. due to the reduction in the amount of recyclable waste and income, and they are also faced with exclusion risks; old people, pregnant women and the disabled in communities may feel inconvenient after waste sorting due to the difficulty getting about. Full consideration should be given in the project design to alleviate such impacts.

Fifth, NMBY and risks arising from inadequate stakeholder engagement and untimely grievance redress.

Project positioning, LA, HD, and facility construction and operation can be conducted smoothly only if nearby communities and other stakeholders participate continuously and effectively. Some community residents may dissent from the construction of a solid waste disposal facility near the community resulting in a conflict, namely NIMBY. The social survey found there are no residential communities within the sanitary and safety exclusion zones of the 1st batch of subprojects of which the sites are located in suburb areas or resource utilization park. The potential subprojects (subject to confirm the location) in the future batches would prefer locations away from local communities. The PIUs will also strengthen the environment protection measures for the Bank invested facilities, optimize the subproject design (for example, upgrade the technology from horizontal compression to vertical), enhance public engagement by information disclosure and meaningful consultation with community residents, accordingly decrease the leakage of waste and leachate, reduce odor emission, thereby mitigating the impact on the surrounding communities.

The distribution of sorted dustbins in the community may result in the dissatisfaction of residents, because they would affect environmental sanitation if too close or be inconvenient if too distant. Waste sorting will change residents’ behavior and increase time costs, resulting in the dissatisfaction of some residents; in particular, old people, pregnant women and the disabled may feel inconvenient, thereby leading to conflicts. Inadequate public participation and untimely grievance redress may lead to potential social conflicts. Positive and meaningful

73 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project stakeholder engagement can solve complex social problems effectively (e.g., objection to

NIMBY), and receive public understanding of, trust in and support for LA, HD.

In general, the social risk level of the Project’s construction activities is “medium” to “high”.

The table below provides a qualitative screening of the environmental and social impacts of the proposed project activities and lists the applicable ESSs and possible management tools.

74 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Table 4.1-1 Screening of subproject’s environmental and social risks

Applicable ESSs & Project Activities Potential environmental risks / impacts Potential social risks / impacts Risk rating analysis management tools A Institution capability improvement This subcomponent does not involve construction, but This technical assistance activity has minimal or its research findings involving waste sorting ESS1 ， ESS2 ， ESS3, Environmental risk rating: negligible direct environmental risk, yet the realization management may give rise to certain downstream ESS4 ， ESS6, ESS 8, This technical assistance activity will of the suggestions about management system in the activities if put into practice, such as plastic waste ESS10; lead to a series of downstream research results may cause some potential downstream recycling promotion and plastic package reduction, and Applicable tools: investment, such as construction of To research the policy environmental impacts or risks, such as some indirect such activities have environmental and social risks and Work outlines with plastic waste sorting, recycling and 1.1 System and system of and cumulative impacts. Analysis/ research results may impacts. Policy and institutional research also have risks requirements of processing facilities. So the and comprehensive lead to investments and practices.For instance, the and impacts of inadequate stakeholder engagement. environmental and downstream effects may have mechanism management and control construction of plastic waste sorting, recycling and Front-end waste sorting is the key to integrated waste social risk analysis; relatively high risks and impacts in establishme of waste classification in processing facilities may involve production, storage and management. Whether communities or broader social Research result reports terms of environment, health and nt the administrative area transportation of hazardous substances. The processes entities, such as schools, enterprises and public containing specific safety. The risk rating of this activity involved in the project. of plastic waste sorting, recycling, and processing institutions, adequate education and training chapters of description is classified as ‘Substantial risk’. facilities may involve treating and discharging opportunities should be provided, and continuous or suggestion on Social risk rating: wastewater, exhaust gas, and other pollutants. If communication, supervision and motivation made. potential environmental Such downstream potential social mismanaged, it can have a negative impact on the Inadequate stakeholder engagement may result in and social risks as the impacts may be “medium” to “high”. environment. inefficient and superficial domestic waste sorting, results. thereby affecting middle- and back-end operation. Front-end waste sorting is the key to integrated waste To organize publicity and management. Whether communities or broader social education activities on -. The activity is expected to be beneficial to the entities, such as schools, enterprises and public Preliminary screening of 1.2 the public garbage Environmental risk rating: environment. It will stimulate positive behavioral institutions, adequate education and training environmental and Publicity, classification awareness Low risk. changes. It will raise awareness and improve waste opportunities should be provided, and continuous social impacts, without education within the scope of the Social risk rating: management practices. There are no expected adverse communication, supervision and motivation made. requirement of further and training project, and carry out Medium environmental impacts. Inadequate stakeholder engagement may result in assessment. training for relevant inefficient and superficial domestic waste sorting, personnel. thereby affecting middle- and back-end operation. To support the 1.3 establishment of a -The activity is expected to be beneficial to the Preliminary screening of Environmental risk rating: Establishme statistical system for the environment. It will stimulate positive behavioral environmental and Low risk. nt of full-cycle management of changes. It will raise awareness and improve waste - No significant social impact social impacts, without Social risk rating: information plastic waste. To upgrade management practices. There are no expected adverse requirement of further Low risk. platform the information platform environmental impacts. assessment. and establish the

75 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Applicable ESSs & Project Activities Potential environmental risks / impacts Potential social risks / impacts Risk rating analysis management tools performance monitoring and evaluation system of plastic waste management based on the project. This activity involves civil construction, so it will cause direct environmental impacts, including: 1, Design period ESS1 ， ESS2 ， ESS3 ， Environmental sensitivity of site selection neither LA nor HD, social impacts at this stage mainly Work outlines with construction, the risks and impacts 1.4 and development center 2, Construction stage include impacts of construction noise, flying dust, waste requirements of are easy to be identified and Technology of plastic waste recycling Damage and disturbance to the surface vegetation, as and wastewater on nearby residents, security and environmental and controlled. Therefore, this activity is research technology and well as the impacts of construction wastewater, dust, infection risks from migrant workers for nearby social risk analysis; classified as ‘Moderate risk’. and equipment and the noise, solid waste (possibly including hazardous waste); residents, and health and safety risks for employees and ESMP, SEP, LMP; Social risk rating: developmen corresponding Safety and health risks of the construction workers, contractor workers; and the GBV is deemed low risk. Research result reports Since this subcomponent is small in t center information platform. including the risk of COVID-19; 2. Operation stage: health and safety risks for nearby containing specific scale, has a short construction Risks of material transportation and mechanical residents and enterprise employees caused by noise, chapters of description stage, and is used for research after operation during the construction stage on personal smell, solid waste, etc. or suggestion on completion, its risks are “low”. safety of surrounding residents; potential environmental 3, Operation stage and social risks as the Risks of operation wastewater, waste gas, solid waste result. (including hazardous waste), and safety and health risks of operation staff. The technical assistance activity has minimal or Its research findings may give rise to certain Environmental risk rating: ESS1 ， ESS2 ， ESS3 ， negligible direct environmental risk in itself. Yet its downstream activities if put into practice, such as plastic If the advices of this research result ESS4，ESS6, ESS8，ESS10 To formulate the research results will contain some policy and investment waste recycling promotion, plastic package reduction, are put into practice, the Applicable tools: solutions on the new advices, such as construction of plastic waste sorting, extension of alternative technologies, and rural waste downstream activities will be all Work outlines with 1.5 format of express delivery recycling and processing facilities, as well as technical management, and such activities have environmental pollution reducing effects. It is requirements of Implementa industry with reduced and financial policy suggestions for plastics reduction. and social risks and impacts. For example, some suggested the risk rating of this environmental and tion plan plastic packaging and The implementation of these advices may cause enterprises may be affected or even eliminated, and their activity to be ‘Low’ or ‘Moderate’ social risk analysis; research agriculture and rural area downstream risks or impacts, including occupational employees may have less income or get employed during (according to the specific Research result reports waste system health and safety risks and community health and safety replacement. There are also risks and impacts of suggestions). containing specific management. risks. This project is just to provide technical and inadequate stakeholder engagement. For plastic Social risk rating: chapters of description economical advices for plan implementation, but will not package reduction, rural waste management, etc., plastic Downstream potential social or suggestion on

76 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Applicable ESSs & Project Activities Potential environmental risks / impacts Potential social risks / impacts Risk rating analysis management tools cost the World Bank loan in support of making and manufacturers, workers in express mail, meal delivery impacts of this subcomponent may potential environmental implementation of the plans. and other emerging industries, and agricultural be “Moderate” to “Substantial”. and social risks as the enterprises or farmers should fully participate. result. Inadequate stakeholder engagement may render the implementation plan unable to solve practical problems effectively. B Infrastructure construction 1, Design period: Environmental risk rating: 1. Preparation stage The location selection of recycle bin may have The scale of project construction Public participation may interfere with communities. In environmental impacts in case of it located in or near activities is very small, basically does particular, if no adequate public participation and sensitive water bodies and cultural relics protection not involve (or involves very small) consultation is conducted after information disclosure, units; civil engineering activities. The community residents may be anxious and dissatisfied, In this period, transportation and collections safety problems in the construction and develop an emotion or act of hindering scheme (including size of bins which will impact process are preventable and implementation. Therefore, inadequate public frequency) should be taken into consideration, as it controllable. Adopting mature participation may lead to potential social conflicts. might have impact on community safety. management measures in using the 2. Construction stage 2, Construction stage: recycling bins can avoid leakage, - Community impacts: traffic safety risks resulting Safety risks during installation and construction in loading and unloading safety risks. from construction vehicles entering and leaving residential areas, including the access of transport The involved hazardous waste is also communities, dissatisfaction of residents arising from vehicles, the operation safety of hoisting machinery on common household hazardous 2.1 Solid Pilot project of smart construction noise and flying dust ESS1， ESS2, ESS3, site, and the problems of noise, dust and packaging / waste, such as batteries, fluorescent waste classified collection and - Impacts on labor: health and safety risks of the ESS4, ESS8, ESS10. construction waste, wastewater in the process of tubes, paint and so on. No high classified transportation of waste in construction site Possibly included tools: construction; consumption activities of energy or collection urban communities 3. Operation stage ECOP 3, Operation stage: water are involved. The operation of - Community impacts: The distribution of dustbins Risk of hazardous waste leakage caused by damaged the waste transportation vehicles may lead to conflicts. Waste sorting will change facilities or failure to clear and transport them in time; has no difference with that of residents’ behavior and increase time costs, resulting in Risks to safety operation and health of waste conventional vehicles, with the the dissatisfaction of some residents; in particular, old collection operators, including the safety of operators management measures mature and people, pregnant women and the disabled may feel while the transportation vehicles getting in or out of the clear. Therefore, the environmental inconvenient, thereby leading to conflicts. Waste community, garbage loading, unloading and risk rating of this activity is classified transfer vehicles entering and leaving communities may transportation, as well as the safety risks to the as ‘Low risk’. produce noise, smell and potential safety risks. The residents of the community and surrounding failure to transfer waste timely, and waste spilling during communities (especially the elderly people or Social risk rating: transfer will affect the living environment. children); Potential social impacts of such - Impacts on labor: traffic safety risks during transfer; Environmental, safety and health risks to the subcomponents may be “Moderate” occupational health and safety risks, etc. residents in using dustbins, such as scattered garbage, to “Substantial”.

77 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Applicable ESSs & Project Activities Potential environmental risks / impacts Potential social risks / impacts Risk rating analysis management tools accidental injury, odor of garbage, breeding of mosquitoes and flies, etc; Possible environmental risks and impacts of associated facilities. Risk of pollution leakage during transportation, such as loose sealing of vehicles or improper installation; Risks to the safety and health of surrounding communities in the process of loading, unloading and transportation of household hazardous waste; Road traffic safety risk during transportation; Safety risk of new energy vehicle charging facilities; The environment and safety risks of vehicle maintenance, including the safety and health risk of maintenance staff, waste water, waste oil, solvent, solid waste and other pollution generated in the maintenance process; Environmental and health risks caused by improper recycling and disposal of waste automobile batteries; Environmental and social risks of major suppliers of smart recycling bins and trucks, including the risks of labor rights and interests protection; 1, Design period: 1. Preparation stage Environmental risk rating: The environmental sensitivity of the project site is low, Public participation may interfere with communities. In The construction activities of these for it will not be located / close to the environment particular, if no adequate public participation and facilities are common civil sensitive area (sensitive water body or cultural relics consultation is conducted after information disclosure, construction projects, whose impact protection unit). community residents may be anxious and dissatisfied, nature is widely known, and the 2, Construction stage: and develop an emotion or act of hindering mitigation measures are mature and Pilot project of urban and ESS1，ESS2, ESS3, ESS4, Damage and disturbance to the surface vegetation, as implementation. Therefore, inadequate public reliable. Those possible risks of rural waste classified ESS5, ESS6, ESS10; well as the impact of construction wastewater, dust, participation may lead to potential social conflicts. operation wastewater, waste gas, collection and Possibly applicable tools: noise and solid waste. 2. Construction stage solid waste, and risks on traffic transportation system EIA, SIA, ESMP, SEP，LMP Safety and health risks of the construction workers, - Impacts on surrounding communities: traffic safety safety of transport vehicles and including the risk of COVID-19; risks of construction vehicles, noise / flying dust / water health and safety of operators are Risks of material transportation and mechanical pollution during construction, risks related to GBV in clear, with mature and reliable operation during the construction stage on personal relation to labor influx, etc. management measures to avoid or safety of surrounding residents; - Impacts on labor: machinery operation risks, mitigate. So, the risk rating of this 3, Operation stage: construction risks, risks of spreading of COVID-19 activity is basically ‘Moderate risk’.

78 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Applicable ESSs & Project Activities Potential environmental risks / impacts Potential social risks / impacts Risk rating analysis management tools Impacts of wastewater, waste gas, solid waste and pandemic and other diseases (The details need to be confirmed noise during the facility’s operation; 3. Operation stage according to the actual situation.) Risks on sorting workers’ operation safety and - Impacts on surrounding communities: potential Social risk rating: occupational health; dissent from the construction of a solid waste disposal Potential social impacts of such Traffic impact and safety risk of garbage transport facility near the community resulting in a conflict, subcomponents may be vehicles on surrounding communities; namely NIMBY; potential surface water and “Substantial”; Risks to the safety and health of surrounding groundwater pollution affecting irrigation or other communities in the process of loading, unloading and agricultural activities; noise, smell and other pollution; transportation of household hazardous waste; traffic inconvenience or safety risks, etc. Potential impact of sorting center and transfer station - Impacts on labor: traffic safety risks during transfer, odor; occupational health and safety risks, such as road traffic Environmental risks of downstream supporting or safety, operation risks of vehicles / machinery, noise, air, associated recycling, reproduction and disposal dust and hazardous waste contacted during operation, facilities, such as environmental pollution and risk inadequate prevention and control of COVID-19 caused by the construction and operation of plastic pandemic and other infectious diseases, incomplete or reprocessing enterprises, as well as environmental nonconforming protective equipment, etc. pollution and health risks associated with the final disposal (incineration or landfill) facilities of unusable waste. 1. Preparation stage 1. Preparation stage Greening and ecological restoration should be Public participation may interfere with communities. In considered, which will produce positive benefits to the particular, if no adequate public participation and Environmental risk rating: surroundings. consultation is conducted after information disclosure, The project involves large rivers (the Since the project involves constructing new piers in the community residents may be anxious and dissatisfied, main stream of the Yangtze River), Yangtze River and its branches, it may involve natural or and develop an emotion or act of hindering whose ecological sensitivity is high. critical habitats. Natural or critical habitats should be in implementation. Therefore, inadequate public Improvement project of Meanwhile the occupational health ESS1，ESS2, ESS3, ESS4, the excluded list. The project may involve modified participation may lead to potential social conflicts. river floating waste and safety risk is relatively high. So, ESS5, ESS6, ESS10; habitats. The site selection process should be conducted 2. Construction stage collection and the risk rating of this activity is ‘High Possibly applicable tools: in consultation with relevant government departments - Impacts on surrounding communities: traffic safety transportation system risk’ . EIA, SIA, ESMP, SEP，LMP and residents to see if the modified habitat also has risks of construction vehicles, noise / flying dust / water Social risk rating: essential biodiversity values. And avoid affecting pollution during construction, GBV risks in connection Potential social impacts of such essential biodiversity values. with labor influx, etc. subcomponents may be 2, Construction stage: Damage and disturbance to - Impacts on labor: machinery operation risks, “Substantial”; surface vegetation and river bed by dredging; construction risks, drowning risks, risks of spreading of environmental impacts of construction wastewater, COVID-19 pandemic and other diseases dust, noise, solid waste, water and soil erosion, and 3. Operation stage

79 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Applicable ESSs & Project Activities Potential environmental risks / impacts Potential social risks / impacts Risk rating analysis management tools impacts on river aquatic organisms (e.g. fish and - Impacts on surrounding communities: potential plankton); dissent from the construction of a solid waste disposal The impacts of aquatic ecology include noise, suspended facility near the community resulting in a conflict, substance, construction wastewater and solid waste, namely NIMBY; noise, smell and other pollution; traffic which can lead to the loss of biomass. inconvenience or safety risks, etc. Risks of material transportation and machine - Impacts on labor: drowning risks during water operation during construction stage on personal safety surface waste clearing, traffic safety risks during of surrounding residents. transfer, occupational health and safety risks, such as The supply of raw materials for construction projects, road traffic safety, operation risks of vehicles / such as sand and gravel, may involve primary suppliers. machinery, noise, air, dust and hazardous waste These raw materials may come from natural habitats or contacted during operation, inadequate prevention and critical habitats. Environmental and social risks, control of COVID-19 pandemic and other infectious assessment systems and validation practices used by diseases, incomplete or nonconforming protective primary suppliers should be established, including equipment, etc. sources of supply and habitat types in the region, risks to protecting workers' rights and interests in major suppliers, etc. Avoid sourcing raw materials from natural or critical habitats. 3, Operation stage: Discharge of wastewater, waste gas, noise and solid waste; It will have a positive impact on river ecology by collecting ship wastewater and waste. Risks of leakage in sewage treatment and waste storage facilities; Safety and occupational health risks of production workers, including high temperature, drowning, falling, safety of machine operation, exposure to hazardous waste, and risk of breathing harmful gases, etc; Risks on the surrounding social safety and health include the traffic interference of vehicles, road safety and the impacts on shipping; Energy consumption of the treatment facilities; Impacts of greenhouse gas emissions. 2.2 Solid Solid waste sorting and 1, Construction stage: 1. Preparation stage Environmental risk rating: ESS1，ESS2, ESS3, ESS4, waste transfer subprojects of Damage and disturbance to surface vegetation, as well Public participation may interfere with communities. In The main risks and impacts occur ESS5, ESS8, ESS10; sorting and Jieshi, Xiajiaba, Zouma, we construction wastewater, dust, noise and solid waste particular, if no adequate public participation and during the operation stage. The Possibly applicable tools:

80 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Applicable ESSs & Project Activities Potential environmental risks / impacts Potential social risks / impacts Risk rating analysis management tools transfer Qijiang and Wulong (including possible domestic hazardous waste); consultation is conducted after information disclosure, project involves the reconstruction EIA, SIA, ESMP, SEP，LMP Safety and health risks of the construction workers, community residents may be anxious and dissatisfied, and expansion of secondary transfer including the risk of COVID-19; and develop an emotion or act of hindering stations, with a large construction Risks of material transportation and machine implementation. Therefore, inadequate public scale. Meanwhile, during the operation during the construction stage on personal participation may lead to potential social conflicts. operation stage, it will form a great safety of surrounding residents; 2. Construction stage impact on the health and safety of 2, Operation stage: - Impacts on surrounding communities: traffic safety the workers and communities. Discharge of wastewater, waste gas, noise and solid risks of construction vehicles, noise / flying dust / water Therefore, the risk of this activity is waste; pollution during construction, GBV risk in connection classified as ‘Substantial risk’. Risks of leakage in sewage treatment and waste with labor influx, etc. Social risk rating: storage facilities; - Impacts on labor: machinery operation risks, Potential social impacts of such Safety and occupational health risks of production construction risks, risks of spreading of COVID-19 subcomponents may be workers, including high temperature, drowning, falling, pandemic and other diseases “Substantial”. safety of machine operation, exposure to hazardous 3. Operation stage waste, and risk of breathing harmful gases, etc; - Impacts on surrounding communities: potential Risks on surrounding social safety and health, dissent from the construction of a solid waste disposal including the traffic interference of vehicles, road safety facility near the community resulting in a conflict, and the risks caused by production accidents to the namely NIMBY; potential surface water and surrounding communities; groundwater pollution affecting irrigation or other Energy and resource consumption of the treatment agricultural activities; noise, smell and other pollution; facilities; traffic inconvenience or safety risks, etc. Impacts of greenhouse gas emissions. - Impacts on labor: traffic safety risks during transfer, occupational health and safety risks, such as road traffic safety, operation risks of vehicles / machinery, noise, air, dust and hazardous waste contacted during operation, inadequate prevention and control of COVID-19 pandemic and other infectious diseases, incomplete or nonconforming protective equipment, etc. 1, Construction stage: 1. Preparation stage Environmental risk rating: Damage and disturbance to surface vegetation, as well Public participation may interfere with communities. In The main environmental risks and ESS1，ESS2, ESS3, ESS4, 2.3 Solid we construction wastewater, dust, noise and solid waste particular, if no adequate public participation and impacts occur in the operation stage. ESS5, ESS8, ESS10; waste Luoqi low value recycling (including possible domestic hazardous waste); consultation is conducted after information disclosure, The production, storage and Possibly applicable disposal, base Safety and health risks of the construction workers, community residents may be anxious and dissatisfied, transportation of products and tools: recycling including the risk of COVID-19; and develop an emotion or act of hindering hazardous substances will cause EIA, SIA, ESMP, SEP， and reuse Risks of material transportation and machine implementation. Therefore, inadequate public relatively great impacts on the LMP operation during the construction stage on personal participation may lead to potential social conflicts. health and safety of the residents

81 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Applicable ESSs & Project Activities Potential environmental risks / impacts Potential social risks / impacts Risk rating analysis management tools safety of surrounding residents; 2. Construction stage and workers. So the environmental 2, Operation stage: - Impacts on surrounding communities: traffic safety risk rating of this activity is Discharge of wastewater, waste gas, noise and solid risks of construction vehicles, noise / flying dust / water ‘Substantial risk’. waste; pollution during construction, GBV risk in relation to Social risk rating: Risk of leakage in sewage treatment and waste storage labor influx, etc. Potential social impacts of such facilities; - Impacts on labor: machinery operation risks, subcomponents may be Safety and occupational health risks of production construction risks, risks of spreading of COVID-19 “Substantial”. workers, including safety of machine operation, pandemic and other diseases exposure to hazardous waste, and risk of breathing 3. Operation stage harmful gases, etc; - Impacts on surrounding communities: potential Risks that may involve the use of hazardous dissent from the construction of a solid waste disposal chemicals such as fuel oil products, including leakage, facility near the community resulting in a conflict, fire, explosion, contamination of soil and groundwater, namely NIMBY; potential surface water and etc; groundwater pollution affecting irrigation or other Risks on surrounding social safety and health, agricultural activities; noise, smell and other pollution; including the traffic interference ofvehicles, road safety traffic inconvenience or safety risks, etc. and the risks caused by hazardous substance - Impacts on labor: traffic safety risks during transfer, transportation accidents to the surrounding occupational health and safety risks, such as road traffic communities; safety, operation risks of vehicles / machinery, noise, air, Energy and resource consumption of the treatment dust and hazardous waste contacted during operation, facilities; inadequate prevention and control of COVID-19 Impacts of greenhouse gas emissions. pandemic and other infectious diseases, incomplete or nonconforming protective equipment, etc. 1. Preparation stage 1. Preparation stage Environmental risk rating: Emergency Preparedness and Response Plan (EPRP) Public participation may interfere with communities. In The main environmental risks and should be considered, which can contribute to positive particular, if no adequate public participation and impacts occur in the operation impacts on the environment. consultation is conducted after information disclosure, stage. The production, storage and ESS1，ESS2, ESS3, ESS4, 2, Construction stage: community residents may be anxious and dissatisfied, transportation of products and ESS5, ESS8, ESS10; Agricultural film recycling Damage and disturbance to surface vegetation; and develop an emotion or act of hindering hazardous substances will cause Possibly applicable tools: and reuse: Wulong, Safety risks during construction, such as implementation. Therefore, inadequate public relatively great impacts on the EIA, SIA, ESMP, SEP，LMP Qijiang transportation safety, community health and safety; participation may lead to potential social conflicts. health and safety of the residents Emergency Noise and dust generated during construction; 2. Construction stage and workers. So the environmental Preparedness and The impact of construction wastewater and its - Impacts on surrounding communities: traffic safety risk rating of this activity is Response Plan (EPRP) treatment on the environment; risks of construction vehicles, noise / flying dust / water ‘Substantial risk’. The temporary storage of construction materials, pollution during construction, GBV risk in relation to Social risk rating: transportation and disposal of solid waste (waste labor influx, etc. Potential social impacts of such

82 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Applicable ESSs & Project Activities Potential environmental risks / impacts Potential social risks / impacts Risk rating analysis management tools packaging/construction waste, etc.) - Impacts on labor: machinery operation risks, subcomponents may be construction risks, risks of spreading of COVID-19 “Substantial”. Safety and health risks of the workers, including the pandemic and other diseases risk of COVID-19; 3. Operation stage Risks of material transportation and machine - Impacts on surrounding communities: potential operation during the construction stage on personal dissent from the construction of a solid waste disposal safety of surrounding residents; facility near the community resulting in a conflict, 3, Operation stage: namely NIMBY; potential surface water and The discharge of wastewater, air pollutants, noise and groundwater pollution affecting irrigation or other solid waste in the process of agricultural film recycling; agricultural activities; noise, smell and other pollution; Discharge of wastewater, waste gas, noise and solid traffic inconvenience or safety risks, etc. waste; - Impacts on labor: traffic safety risks during transfer, Safety and occupational health risks of production occupational health and safety risks, such as road traffic workers, including the safety of machine operation, safety, operation risks of vehicles / machinery, noise, air, exposure to hazardous waste, and risk of breathing dust and hazardous waste contacted during operation, harmful gases, etc.; inadequate prevention and control of COVID-19 Risks that may involve the use of hazardous chemicals pandemic and other infectious diseases, incomplete or such as fuel oil products, including leakage, fire, nonconforming protective equipment, etc. explosion, contamination of soil and groundwater, etc.; Risks on surrounding social safety and health, including the traffic interference of vehicles, road safety and the risks caused by hazardous substance transportation accidents to the surrounding communities; The impact of emissions from vehicles and the emission of air pollutants on communities Energy and resource consumption of the treatment facilities; Impacts of greenhouse gas emissions. Improvement 1, Construction stage: 1. Preparation stage Environmental risk rating: of urban- Damage and disturbance to surface vegetation, as well Public participation may interfere with communities. In The process of kitchen waste ESS1，ESS2, ESS3, ESS4, Kitchen rural waste we construction wastewater, dust, noise and solid waste particular, if no adequate public participation and treatment is complex, with emission ESS5, ESS8, ESS10; waste disposal (including possible domestic hazardous waste); consultation is conducted after information disclosure, of various pollutants So, this activity Possibly applicable tools: treatment system Safety and health risks of the workers, including the community residents may be anxious and dissatisfied, is classified as ‘Substantial risk’. EIA, SIA, ESMP, SEP，LMP plants (Qijiang, risk of COVID-19; and develop an emotion or act of hindering Social risk rating: Wulong) Risks of material transportation and running facilities implementation. Therefore, inadequate public Potential social impacts of such

83 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Applicable ESSs & Project Activities Potential environmental risks / impacts Potential social risks / impacts Risk rating analysis management tools during the construction stage on safety of surrounding participation may lead to potential social conflicts. subcomponents may be residents; 2. Construction stage “Substantial”. - Impacts on surrounding communities: traffic safety 2, Operation stage: risks of construction vehicles, noise / flying dust / water Discharge of wastewater, waste gas, noise and solid pollution during construction, GBV risk in relation to waste; labor influx, etc. Risks of transportation vehicles to the safety of - Impacts on labor: machinery operation risks, surrounding communities; construction risks, risks of spreading of COVID-19 Risks of leakage in sewage treatment and waste pandemic and other diseases storage facilities; 3. Operation stage Explosion and fire risks of biogas storage facilities; - Impacts on surrounding communities: potential After the cleaning and closure operation of the old dissent from the construction of a solid waste disposal landfills, the risk of Methane leakage may also come out facility near the community resulting in a conflict, to form risks and impacts on the health and safety of namely NIMBY; potential surface water and construction workers and nearby residents. groundwater pollution affecting irrigation or other Energy and water consumption; agricultural activities; noise, smell and other pollution; Greenhouse gas emissions. traffic inconvenience or safety risks, etc. - Impacts on labor: traffic safety risks during transfer, occupational health and safety risks, such as road traffic safety, operation risks of vehicles / machinery, noise, air, dust and hazardous waste contacted during operation, potential leakage or explosion during landfill repair, inadequate prevention and control of COVID-19 pandemic and other infectious diseases, incomplete or nonconforming protective equipment, etc. 1. Preparation stage 1. Preparation stage Environmental risk rating: -The design of old landfills closure will have an impact on Public participation may interfere with communities. In The technology of landfill closure is ESS1，ESS2, ESS3, ESS4, the community health and safety, such as how to solve particular, if no adequate public participation and complex, which may involve ESS8, ESS10; the issues of landfill gas and treatment of leachate consultation, including information disclosure about the remediation of groundwater and soil Possibly applicable tools: emission from the stable landfill; landfill closure plan, technology, and assessment report, pollution. During the construction EIA, SIA (including social Closure of -The monitoring data of groundwater and soil and the is conducted, community residents may be anxious and and operation stages, this project audit), ESMP, SEP and landfills preparation of emergency response plan should be doubt, and develop an emotion or act of hindering may cause significant risks and LMP taken into consideration, which will contribute to implementation. Therefore, inadequate public irreversible impacts on the Emergency positive impacts on the environment. participation may lead to potential social conflicts. environment, the health and safety Preparedness and 2. Construction stage 2. Construction stage of the workers and residents. So, this Response Plan (EPRP) -Soil erosion and vegetation damage in the site leveling - Impacts on surrounding communities: traffic safety activity is classified as ‘High risk’.

84 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Applicable ESSs & Project Activities Potential environmental risks / impacts Potential social risks / impacts Risk rating analysis management tools project area; risks of construction vehicles, noise / flying dust / water Social risk rating: -Odors generated by waste dump slope repair and pollution during construction；community health and Potential social impacts of such shaping engineering, landfill leachate treatment, safety risks deriving from the landfill leachate the subcomponents may be construction facilities, and vehicle dust, etc. polluting surface water and ground water, the landfill “Substantial” to “high”. -Construction wastewater from vehicle and equipment bio-gas causing fire and explosion; exposure to cleaning and domestic sewage from workers at the hazardous contaminants during the clean-up of construction site; contaminated sites, and leakage of hazardous/toxic -Waste and slag generated from site leveling, pile wastes contained in landfills; GBV risk in relation to shaping, drainage ditch and other construction activities labor influx, etc. and domestic garbage of construction personnel, etc. - Impacts on workers: occupation health and safety -Leachate treatment and discharge and leakage under risks from landfill bio-gas causing fire and explosion, abnormal working conditions may cause pollution to exposure to hazardous contaminants during the clean- surface water and groundwater; up, and leakage of hazardous/toxic wastes contained in - Construction workers' covid-19 health risks. landfills; machinery operation risks; risks of spreading -The risks of material transportation and running of COVID-19 pandemic and other diseases. facilities during the construction stage to community health and safety; The closure of the old landfills may lead to risk of Methane leakage, which will form risks and impacts on the health and safety of workers and nearby residents. 3. After landfills closure

-The impact of landfill gas such as H2S, NH3 and odor on the environment; -After landfills closure, it will lead to the risk of methane leakage, which will cause an impact on the health and safety of construction personnel and nearby communities; -The impact of landfill leachate and leachate collection system on groundwater and surface water environment; -The impact of domestic waste generated by workers on the environment. C Project management and training bidding agency, project Environmental risk rating: Preliminary screening of management, Low risk. environmental and social 3 - No environmental impact. - No significant social impact construction supervision, Social risk rating: impacts, without security policy Low risk. requirement of further

85 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Applicable ESSs & Project Activities Potential environmental risks / impacts Potential social risks / impacts Risk rating analysis management tools monitoring, design, assessment. personnel learning, training and inspection during the construction period.

86 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project 4.2 Environmental and social impact management

According to the preliminary qualitative analysis, some subprojects of Chongqing Part may cause a wide range of significant environmental and social risks and adverse impacts on the population and environment. Some of the impacts can’t be mitigated by now, or with specific situation such as requiring complex and / or unproven mitigation, compensation measures or techniques. Therefore, this project includes those subprojects defined as from

‘Low risk’ to ‘High risk’ by the World Bank ESF.

As for the detailed environmental and social impact analysis of each activity, it is needed to carry out special screening and assessment for specific activities and prepare corresponding documents in accordance with the procedures and requirements specified in this framework in the implementation process. Please see Chapter 5 for the detailed environmental and social risk management procedures. In Appendix 6, a set of general measures is developed for common environmental and social risks & impacts management of general project activities.

Those general measures are not developed for listing out all possible environmental and social impacts and measures, but to provide some references for the making of environmental and social management documents of specific subprojects in future, so to assist the development of specific mitigation measures for specific subproject activities.

The document form of specific subproject’s environmental and social impact assessment is related to its nature, scale and actual risk rating. In this framework development stage, based on the preliminary risk analysis, Table 4.1-1 puts forward the document form requirements that may be applicable to the activities of each sub activity. During the implementation of the project, after the risk screening of the subprojects, the team from the World Bank will determine the screened classification results and the specific corresponding forms of relevant documents.

The institutional capability improvement component is technical assistance activity, whose subprojects require no civil construction works except the subproject of the equipment research and development center. And the project’s component of infrastructure construction is all about civil construction or equipment installation during the construction stage. It also

87 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project involves pollutant emission in the operation period. Besides, Chongqing Part’s implementation includes issues of occupational health and safety, community health and safety.

Technical assistance activities

As for institutional capability improvement projects, some research activities related to civil construction may involve some limited environmental risks. About those research activities which have nothing to do with civil construction, the realization of their research results, such as suggestions on waste management mechanism, plastic waste reduction and recycling, may cause some downstream activities occur.

As a civil construction activity, the establishment project of the research and development center is required to follow the civil construction requirements mentioned in following content. For the research activities not involving civil construction work, the work outline documents are required to contain the analysis on the potential downstream environmental and social risks in their research process. And the result reports are required to include specific chapters for description of those potential environmental and social risks and the suggestions on control measures. For those other types of capability building activities

(such as publicity, education, dialog and training, etc.), the PMO is required to submit the detailed content of the research activity. And it is up to the team of the World Bank to decide its relevance with ESF. Once it is determined as being related to the relevant environmental and social standards, the work outline shall be designed accordingly.

Civil construction activities

Generally speaking, the environmental and social impact assessment documents of construction projects usually include the following forms:

(1) Environmental and Social Impact Assessment

With content of identification and assessing the potential environmental and social risks of the proposed project, analyzing the scheme selection, formulating appropriate reduction measures, putting forward management requirements, and follow-up monitoring and reporting arrangements, this form is generally applicable to the subprojects of ‘High’,

‘Substantial’ and ‘Moderate’ risk ratings. In China, the document may consist of two separate

88 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project documents, namely EIA and SIA, prepared by their respective professional consultants (Please see Appendix 3 for an example of the outline of an Environmental and Social Impact

Assessment). The SIA will analyze the site specific GVB risks and propose appropriate mitigation measures following the Bank issued guidance notes .

(2) Environmental and Social Management Plan

By putting forward the detailed measures to avoid, mitigate, handle and compensate for the environmental and social impacts, and formulating action plans for implementing these measures, this form is generally applicable to the subprojects of ''High'', ''Substantial'' and

''Moderate'' risk ratings. The ''Environmental and Social Management Plan'' can be a separate document (e.g. for complex "High risk" projects) independent of the ''Environmental and

Social Impact Assessment''. In some cases, it can be a specific chapter in the document of ESIA.

As for those simple subprojects with relatively low risk (e.g. a few subprojects of ''Moderate'' or ''Low'' risk ratings), possibly it may be sufficient to prepare an ESMP without the comprehensive document of ESIA. (Please see Appendix 4 for an example of the outline of an

Environmental and Social Management Plan.)

(3) Environmental and Social Audit / Due Diligence Report

If the subproject involves existing facility or completed land acquisition, Environmental and Social Due Diligence may be required to determine the compliance with the legal and operational performance of the existing facility or land acquisition. Please check Appendix 5-

1 for the outline of Environmental Due Diligence Report. In some cases, the subproject’s

Environmental Due Diligence Report may be contained in its EIA. As for the outline of Social

Audit Report, please see Appendix 5-2.

(4) Stakeholder Engagement Program

It is necessary to formulate the time and method arrangement on engagement of the affected population and other stakeholders throughout the whole subproject cycle as soon as possible. This document is applicable to those subprojects of ‘High’, ‘Substantial’ and ‘Moderate’ risk ratings, and possibly also applicable to some subprojects of ‘Low’ risk, according to the actual situations.

89 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project (5) Labor Management Procedure

This project involves direct workers, contracted workers, primary supplier workers and community workers. The purpose of the LMP is to facilitate the planning and implementation of the project. The tasks of LMP are to identify the major labor needs and risks of the project and assist in labor management. LMP is a "dynamic" document, which needs to be continuously reviewed and updated by PMO in the process of project planning and implementation. (Please see Appendix 6 for the example of LMP.)

(6) Resettlement Plan

The land occupation of civil engineering projects shall avoid involuntary resettlement as far as possible. In case that is inevitable, it is necessary to put forward detailed mitigation, response and compensation measures for the involuntary resettlements, and formulate the arrangements on funds, institutions, monitoring and assessment action for the implementation of these measures. The required scope and level of detail of the resettlement plan can vary depending on the size and complexity of the resettlement. The plan is required to be based on the up-to-date and reliable information of the aspects as: (a) Potential impacts of the proposed project on migrants and other disadvantaged groups; (b) Proper and feasible mitigation measures; and (c) Legal and institutional arrangements for effective implementation of resettlement measures (Please see Appendix 7 for the Resettlement

Framework).

(7) Environmental Implementation Procedure

For the ‘Moderate’ or ‘Low’ risk subproject activities with small environmental and social impacts and clear control measures, sometimes an Environmental Implementation Procedure containing a set of general measures which are sufficient for meeting the requirements of environmental and social risk and impact management during the implementation.

(8) Ethnic Minority Development Plan

ESS7 under WB ESF applies whenever ethnic minority communities are present in, or have collective attachment to a proposed project area, as determined during the environmental and social assessment, regardless of the communities are affected positively or

90 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project negatively, and regardless of the significance of any such impacts. It is essential to establish and maintain an ongoing relationship based on meaningful consultation with affected ethnic minorities throughout the project’s life cycle, to improve project design and promote local support. The EMDF is consequently prepared which will serve as a basis to guide prepare

Ethnic Minority Development Plan (EMDP) when the ESS7 is deemed relevant to a specific subproject (Please see Appendix 12 for EMDF ).

(9) Chance Find Procedure for Culture Heritage

ESS8 requires that a chance finds procedure is prepared in advance if previous unknown culture heritage is encountered during project activities. It will be included in all contracts relating to construction of the project (Please see Appendix 13 for Chance Find Procedure).

(10) Environmental and Social Impact Screening

Generally, for those subprojects of ‘Low’ risk, an Environmental and Social Impact

Screening report is sufficient, and no need for further environmental and social assessment.

91 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project 5 Environmental and social risk management procedure

Because the determination of many specific subproject activities and detailed environmental and social impact work will be carried out in the project implementation phase, therefore, the project has formulated the procedures for identification, screening, impact assessment, preparation and approval of environmental and social documents, as well as the procedures of monitoring, reporting, and stakeholder engagement. In the Environmental and

Social Commitment Plan (ESCP), the project management office (PMO) undertakes to follow the requirements of this procedure, manage the environmental and social (E&S) risks and impacts of subprojects, and provide regular progress reports to the World Bank.

The subproject’s E&S risk management procedure is displayed as below.

92 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

To execute subproject screening Subproject investigation according to the exclusion list;

Identify the subproject and the associated Subproject screening and work facilities, determine the E&S risks related outline formulating to the subproject according to the screening table, and formulate the TOR for E&S assessment;

According to the TOR for E&S assessment Preparation of the subproject’s and ESMF to conduct the E&S impact

E&S documents assessment and public engagement that Stakeholder engagement matches the risk rating, including Due Diligence of the existing facilities;

To submit the E&S documents to the

Approval of the subproject World Bank for review and clearance;

To incorporate the ESMP into contractor's Purchase of the subproject procurement tender documents;

To carry out E&S activities and Implementation, supervision and performance evaluation according to the reporting of the subproject ESCP and subproject’s ESMP;

Completion evaluation of the To review and evaluate the E&S subproject performance of the whole process.

Figure 5-1 Environmental and social risk management procedure of subprojects

5.1 Risk screening and classification of subprojects

The project includes a series of activities, including the activities of construction (civil construction/facilities installation) such as: (1) Classified collection stations for domestic solid waste, ship waste and river floating waste; (2) Sorting and distribution centers for recyclable materials of integrated recycling and disposal networks, temporary storage centers of

93 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project household hazardous waste as well as waste sorting and transfer stations; (3) Waste recycling/utilization bases and closure processes of landfills.

Since there are still many specific details of such activities that have not been determined at this stage, it is necessary to conduct E&S risk screening in the future subproject determination stage in the project implementation phase, which specifically includes two contents: (1) First, the compliance of the proposed subproject shall be determined on the basis of the prepared exclusion list (please check the text box below for the screening list). Those activities listed in the exclusion list are required to be excluded. (2) Second, for the subprojects that within the funding scope of this project, the PMO needs to screen the environmental and social risks of each subproject activity according to the requirements of the World Bank's ESF.

So to determine the appropriate level of risk classification and confirm the applicable E&S assessment tools with the World Bank (Please see Appendix 1 for the table of Environmental and Social Risk Screening and Appendix 2 for the Risk classification guidelines;).

Exclusion list

The PMO is responsible for screening the subproject proposals according to the following list, and excluding the sub project activities within the scope of the list.

Exclusion list of project activities

(1) The activities which are not in line with the development goals of the World Bank loan

project, namely, ‘Strengthening national and local policies, institutional capacity and project

activities for reducing plastic pollution of domestic waste’;

(2) The project activities which are located in nature reserves and important natural

habitats, and possibly cause significant environmental impact on natural habitats and

biodiversity;

(3) The construction project activities which are located in the cultural relics protection area

and construction control area;

(4) The project activities of which the distance between the project site and the residential

94 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project area does not meet the national legislations of site selection13 and ESF’s requirements ;

(5) The project activities involving occupation of basic farmland without the approval of the

administrative department of natural resources;

(6) The projects whose implementation units have been punished by the environmental

protection department and fail to take measures to correct the problem within the specified

time limit;

(7) The projects whose implementation units are involved in any form of forced labor or

child labor (under age 16);

(8) Other activities not permitted by Chinese laws and regulations.

Environmental and social risk screening

As for the subprojects that are not included in the exclusion list and fulfill the conditions, the PMO shall conduct preliminary environmental and social risk screening for each one of them, and determine the risk rating. During this phase, it is recommended to carry out stakeholder engagement and information publicity, so to assist for the screening works of the subproject’s E&S risk and impact as well as preparation of relevant E&S documents.

According to the Environmental and Social Framework (ESF) of the World Bank, the environmental and social risks of subprojects are divided into four levels as ‘High risk’,

‘Substantial risk’, ‘Moderate risk’ and ‘Low risk’. This classification system is different from

Chinese domestic classification system of environmental impact assessment. The project management office is suggested to execute the classification and screening works in accordance with the classification system of the World Bank (please see Appendix 1 and

Appendix 2 for the details).

China Plastic Waste Reduction Project as a whole is classified as a ‘High risk’ project. Yet, as for those subprojects of the Chongqing Project, their risks are in many different types, which

13 The site of each subproject depends on the subproject, national legislation and standards. For example, Technical code for transfer station of municipal solid waste (CJJ/T47-2016) and Technical code for food waste treatment (CJJ184-2012) list some requirements of the site of solid waste transfer station and kitchen waste treatment plant respectively.

95 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project should be classified according to the actual environmental and social risk rating. The project management office is suggested to use the screening tools offered by Appendix 1 to preliminarily determine the risk type of each subproject during the implementation period.

After the completion of the preliminary screening, the PMO will report the result to the

World Bank. The World Bank will terminally decide the final risk rating and the corresponding

E&S assessment document requirements.

5.2 Preparation of the documents of the subproject’s social impact assessment and

environmental impact assessment

According to the subproject risk classification and the requirements of the corresponding

E&S impact assessment document form confirmed by the World Bank, the PMO (or management office and implementation unit of each subproject) shall employ qualified environmental and social consultants to prepare the specific environmental and social impact assessment (ESIA) for the subproject according to the applicable environmental and social standards (ESS) under the ESF of the World Bank.

During the preparation of subprojects, each subproject needs to prepare corresponding environmental and social assessment documents according to the requirements confirmed by the World Bank. And in this period, it is required to continuously update and implement stakeholder engagement plan and information release according to the ‘Framework of stakeholder measures’.

The World Bank requires that the depth and breadth of environmental and social assessment should match the risk and impact level of the project, as well as the measures and information release of stakeholders should also be consistent with the risk and impact level of the project. Depending on the actual situation of specific subprojects, the corresponding ESIA documents may take various forms.

No matter what kinds of documents are adopted, the environmental and social assessment of all subprojects shall comply with the requirements of the relevant

‘Environmental and Social Standards’ of the World Bank.

Environmental and social assessment is required to comprehensively assess the E&S risks

96 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project and impacts in the whole project cycle, including direct, indirect and cumulative impacts.

Based on the accurate project description and environmental and social status information, environmental and social assessment shall assess potential environmental and social risks and impacts, analyze alternative plans to the project, and determine methods to improve project screening, site selection, planning, design and implementation, so as to formulate management and mitigation measures against the adverse environmental and social impacts in accordance with the sequenced order of management measures. As for the cases of pollutant discharge, it is required to take the remaining environmental capacity, present and future land use, important sites of biodiversity in surrounding region, potential cumulative impacts and impacts of climate change into consideration. According to ESS10 of the World

Bank, environmental and social assessment should include the participation of the stakeholders, which is an integral part of the assessment.

About environmental and social assessment of subprojects, the World Bank also requires to identify and assess the potential E&S risks and impacts for those ‘associated facilities’ at an appropriate degree. If the owner of the subproject is unable to control or influence the associated facilities, it shall first testify its actual impact on the associated facilities and the level of control, including the aspects of laws, regulations, government management and institutions, etc. Because the associated facilities can just be partly controlled and influenced, it is required to analyze the risks and impacts brought by the part control and influence.

According to the World Bank’s ESS2 and ESS6, the environmental and social assessment is also required to take the relevant risks and impacts of major suppliers into concern according to the degree of cooperation between the subproject owner and its major suppliers.

5.3 Approval of environmental and social documents

Review and approval procedures of domestic environmental impact assessment documents

The PMO and the PIUs must ensure that the relevant activities under the Project comply with the relevant environmental and social management regulations in China and obtain the necessary approval from relevant departments in time.

97 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project According to Regulations on the approval procedures for environmental impact assessment of construction projects of the State Environmental Protection Administration (Order No. 29 of the

State Environmental Protection Administration) and Classified management directory of environmental protection for construction projects (2021), the PIUs should prepare the environmental impact assessment report (EIA report) and environmental impact assessment report form (EIA report form) for subprojects, submit them to the local department of ecology and environment before approval, and finally to obtain the approval (Table 5.3-1). Additionally, as for the subprojects which need EIA report, it is also required to execute public engagement activities according to the relevant regulations of Measures for public engagement in environmental impact assessment (order No.4 of the Ministry of the ecological environment). The relevant disclosure regulations are shown in the table below. The PMO is required to ensure the demonstration activities to be in line with national stipulations on environmental and social management and receive the necessary approvals from relevant departments.

98 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Table 5.3-1 Approval processes of EIA documents

Approval processes the local department the local department of ecology and PIUs of ecology and PIUs EIA environment environment documents Proposed Expert review Acceptance 1st disclosure 2nd disclosure 3rd disclosure approval Reply meeting items disclosure disclosure Required, to get EIA report Required, Required, 5 Get Not required Not required expert review and Not required form 7 days working days approval sign Required, within Required, not less Required, before 7 working days than 10 working submit the EIA Required, to get after the EIA days of disclosure report to the Required, Required, 5 Get EIA report expert review and preparation time after the draft ecological 7 days working days approval sign consultancy is for comments is environment determined; composed; authorities;

99 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

Table 5.3-2 Regulations on disclosure

Disclosure time Disclosure site

This disclosure must be in process within 7 Network platform (Website of the construction unit, the public The first disclosure working days after determining the media website of the construction project location or the relevant environmental impact assessment unit government website of the construction project location)

It should be disclosed synchronously in the following three ways:

1. Disclosed through the network platform;

2. The information shall be disclosed through newspapers easily accessible to the local public , and the information shall be After the consultation paper is finished, disclosed no less than twice within 10 working days after The second disclosure shall be last no less than 10 working consultation; disclosure days. 3. disclosed by posting a notice in the construction location. The notice should be easily accessible to the public .

The disclosure regulations encourage construction units to disclose the information through radio, television, wechat, microblog and other new means.

Before the construction unit submits the The third disclosure Network platform environmental impact assessment report to the

100 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

Disclosure time Disclosure site

ecology and environment bureau for approval

101 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project The World Bank’s review and approval procedures of environmental impact assessment documents

About the 3 research activities listed in Table 4.1-1, it is required to contain the analysis on the potential environmental and social impacts in the terms of references (TORs). All the

TORs shall be submitted to the task team of the World Bank for review.

For the construction project activities, the environmental and social assessment documents should be prepared according to the TOR, the ESMF and relevant ESSs. and will be submitted to the World Bank for prior review and clearance before implementation.

5.4 Bidding procurement of subprojects

The PMO and PIUs shall ensure that the relevant measures of ESCP and ESMP are incorporated into the Contractor's bidding documents and construction contracts so that supervising engineers can ensure that the contractors comply with the relevant requirements and strictly implement the actions and measures in the ESCP and ESMP during the construction and implementation of the project.

5.5 Procedures of implementation, supervision and report

After the approval of the subproject, the project management office shall continuously monitor the environmental and social management performance of the subproject as an integral part of the subproject supervision. The detailed requirements include:

(1) For all subprojects under the project, the management shall include the review and assessment of the E&S performance of the subprojects. The PMO and the subproject owner shall assess the performance in accordance with the requirements of the national laws and regulations applicable to the subproject and the requirements of the subproject E&S management plan.

(2) The PMO is required to ensure that the relevant actions of ESCP and the measures related to the E&S management plan are incorporated into the bidding documents and construction contracts, and will be actually realized in the implementation.

(3) The PMO shall guarantee that the subproject participants such as subproject office, owner, contractors and supervision units to establish an organizational structure which meets

102 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project the requirements of E&S management, and arrange special personnel to be responsible for the works of E&S management.

(4) As for those subprojects with significant E&S risks, the PMO and the subproject owner should strengthen the management, monitoring and supervision on contractors.

(5) The PMO and the subproject owners are suggested to employ an independent third party to carry out external monitoring and evaluation on the E&S performance of the subprojects according to the ESCP. The third party of monitoring is responsible for submitting external E&S monitoring report to the World Bank every 6 months.

(6) The project management office shall inform the World Bank within 48 hours if it is informed of any environmental and social accidents that may have a significant adverse impact on the workers, the affected communities, the public or open environment. It is required to provide as much detailed information as possible about the accident, including the measures being taken or to be taken as well as the appropriate information provided by the contractors and regulatory agencies. Subsequently, at the request of the World Bank, the PMO is required to prepare a report on the accident and propose targeting measures to prevent it from happening again. The guidance on classifying the severity of incidents and accidents is shown in Appendix 14.

In addition, the PMO shall track and monitor the implementation of the actions committed in the ESCP and report it in the half-year E&S progress report.

5.6 Subproject’s completion and assessment

As a component of the main project’s completion assessment, the PMO requests that the environmental and social management performance of the whole process should be reviewed and assessed after the implementation of the subproject. That is to evaluate the actual effects, summarize the experience and lessons, and provide basic materials for the preparation of the main project’s completion report.

5.7 Stakeholder engagement

According to the World Bank’s ESS10, engagement of stakeholders shall be throughout the whole life cycle of the project. The PMO and PIUs are required to ensure the stakeholder

103 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project engagement plans (SEP) which are formulated according to this framework being actually implemented during the project’s life cycle (please check the specific SEP documents). Once the content of the project changes substantially, stakeholder consultation and information disclosure on the changed content will be carried out. The grievance mechanism which is applicable to all the subprojects is also contained in it.

104 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project 6 Stakeholder Engagement and Grievance Redress Mechanism

The analysis of this chapter is mainly based on the information in the stand-alone

Stakeholder Engagement Plan (SEP) of the project.

6.1 Stakeholder Identification

This SEP identifies the stakeholders according to the activities of each subproject, and figures out the mainly affected people / groups by each subproject activity, as well as institutions and departments that have significant influence on the project (especially those involved in the processes of key approvals), so as to better guide the project management/implementing units to carry out project design, and endorse the preparation and implementation schedule of subprojects.

The project-affected parties include 5 main groups: i) Affected persons due to land acquisition and demolition; ii) Workers, including direct workers, contract workers, primary suppliers workers and community workers; iii) Residents, including the residents living in the communities with waste classification requirements, residents of surrounding communities of solid waste collection, transfer and disposal facilities, and the residents in the communities through which the waste transport vehicles pass; iv) Front-end waste pickers; and v) enterprises and individuals involved in the downstream activities caused by policy mechanism research (to be verified after the specific scheme is determined).

Especially, vulnerable groups identified under this project may include 4 types of people as below: i)the poor, the elderly, women and ethnic minorities affected by land acquisition and demolition; ii) contract workers of the project, especially cleaners in transfer stations, loading and unloading workers on vehicles, etc.; iii) people with mobility difficulties in the communities with waste classification requirement, including the elderly, pregnant women, the sick and the disabled etc.; and iv) front-end waste pickers, mainly the community cleaners.

The other stakeholders mainly include the institutions and departments at all levels that are in charge of project implementation (facility land use planning, dock layout, etc.) and in responsibility of approval and supervision on various municipal solid waste management

105 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project affairs, civial society organizations, community property agencies, passenger and cargo ships, local media, design consulting or research institutions and contractors, etc.

Civil society organizations, both domestic and international would interests in the project.

An initial screening finds the below civil society groups that would be relevant, such as women’s federation, legal aid center of municipal and district levels, Institute of Public and

Environmental Affairs, China Zero Waste Alliance, Friends of Nature, Bayu Public Welfare

Development Center.

6.2 Preliminary Stakeholder Engagement

On December 7, 2020 and December 25, 2020, CESG and the environment assessment unit disclosed Environmental and Social Management framework (ESMF) for the first round on their respective official websites of https://www.CESG.com.cn/aspx/ch/newsdetail.aspx?classid=58&id=12648 and http://zmsj.ccteg.cn/contents/1636/24309.html on December 25(see Figure 6-1). These documents were timely updated according to feedbacks.

Figure 6-1 First Round of ESMF Disclosure

On February 8, 2021, CESG and environmental impact assessment unit disclosed the ESMF reviewed and cleared by the Bank for the second round on their official websites of https://www.cesg.com.cn/aspx/ch/newsdetail.aspx?classid=58&id=12709 and http://zmsj.ccteg.cn/contents/1636/25145.html (see Figure 6-2). The updated final report will be disclosed on the official website of the World Bank in February 2021.

106 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

Figure 6-2 Second Round of ESMF Disclosure

In addition for the document information disclosure, from September to December 2020,

Chongqing PMO and PIUs conducted SIA, and a series of FGDs and key informant interviews to the stakeholders involving:

- PIUs and managers of the existing facilities;

- Government departments concerned, including development and reform

commissions, finance bureaus, urban management bureaus, maritime bureaus,

transport bureaus, safety supervision bureaus, ecology and environment

bureaus, housing and urban-rural development bureaus, natural resources and

planning bureaus, etc.;

- Community residents (covering schools, community cleaners, etc.), including

waste separation communities, communities around waste collection, transfer

and disposal facilities, and communities run through by waste transfer vehicles;

- Managers and workers of existing waste transfer and disposal facilities

(including direct workers, contracted workers, etc.); and

- Property management staff of residential communities.

Results of the consultation can provide the following suggestions for the planning and implementation of the subsequent subprojects.

First, include the time requirement for the engagement of influential stakeholders into the project implementation plan. As for the issues involving permission from the level of the

Municipality directly under the central government or above and the implementation of land planning /regulatory plan, it is suggested that the subproject PIU communicate with the

107 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project relevant approving departments at least 1 year before implementation of the subprojects, allowing enough time to apply for permission, land use or planning adjustment in advance.

Second, on basis of consultation with various stakeholders, mitigate the project’s negative effects as much as possible on the project-affected parties through further comparison and selection of project alternatives, and conduct inclusive arrangements for the vulnerable groups

(such as community cleaners, front-end waste pickers, contract workers and poor households) in aspects of project design, implementation and benefits sharing.

Third, as for all the technical assistance (TA) subprojects of institutional capability improvement, it is necessary to carry out effective consultation with the stakeholders during the implementation process, to avoid or mitigate the downstream activity impacts on environment and society. And the results of community resident survey can inform the design of the future layout of waste collection bins in residential communities. As for the design of the project’s publicity and education, it is suggested to consider different methods to meet the different demands of various groups. In addition, it is recommended to take account of the existing and widely accepted grievance redress channels of the community residents such as property management agency and community neighborhood committee in the design of community grievance redress mechanism (GRM).

In addition, an SEP has been developed to cover information disclosure and consultation activities of all stakeholders (including vulnerable groups).

6.3 Grievance Redress Mechanism

During the project implementation and operation stages, it is necessary to respond to people's opinions in time, so to make sure all the demands and concerns related to the project can be consulted and resolved through reasonable and compliant channels. Therefore, to form up a standardized and sound GRM is a key issue for the smooth operation of the project. All the grievances and the resolutions are required to be recorded by the annual environmental and social monitoring mechanism and reported to the World Bank.

The GRM of this project mainly contains 2 types:

108 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project • Type 1 is a GRM for project affected residents. It is a grievance channel provided for

the affected residents during the project’s implementation and operation processes.

• Type 2 is a GRM for project workers. It is a grievance channel provided for the project’s

direct workers and contract workers.

6.4 GRM for project affected individuals or organizations

For any grievance or problem directly related to the project, community resident or any individual can report it through any one of the 3 channels below.

A. PIU: including the head office and the branch company responsible for the

operation of subprojects. For the whole Chongqing project, each PIU will assign a

focal staff to collect and handle the complaints, including those from other

government channels. The information of contact persons and hotlines are listed in

Table 6.4-1.

Table 6.4-1 Contact persons and hotlines of the PIUs Wulong Chongqing Qijiang District District Possible new Chongqing Liangjiang New Nanxin Solid Construction implementing PIU Environment and Area Development Waste Disposal and agencies in the Sanitation Group and Investment Co., Ltd Investment future Group Co., Ltd Group contact Gubaifeng Wangdandan Chenyonggang Mr. Yang TBD person 023- Hotline 023-67886808 023-67199935 023-61286599 TBD 77711281

B. Government departments, including the municipal petition office, the municipal

Ecological Environment Bureau (for environmental protection problems), the

Municipal Urban Administration Bureau (for waste separation, interference in the

construction process, etc.), the land acquisition and demolition office (for the

problems of land acquisition and demolition), and the Municipal Commission of

Housing and Urban Rural Development (for the problems of land acquisition and

109 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project construction). The grievance ways include telephone hotline, network platforms,

petition letters and reception days, etc. When the government department receives

grievances related to the project, it will inform the PIU. The government departments’

grievance channels for the project are listed in Table 6.4-2.

Table 6.4-2 government departments’ grievance channels for the project

Government No. Grievance channels department - Office reception: - Time (9:00-12:00 AM, 14:00-17:30 PM, Monday-Friday, and usually excluding Friday afternoon) ; - Location (Chongqing People's visit reception center, next to people's Square, Municipal petition 214 Renmin Road, Yuzhong District, Chongqing). 1 office of Chongqing - Petition letter: The address of the letter is 214 Renmin Road, Yuzhong District, Chongqing; Zip code: 400015. - Online complaints: Access to the public information network of Chongqing petition Office (http://xfb.cq.gov.cn), and click the icon of ‘Online complaint’ for grievance. - Office reception: - Time (9:00-12:00 AM of working days, Monday-Friday), and the first Monday of each month (postponed in case of national legal holidays) is the reception day of the director; - Location (People's visit reception room of the Chongqing Ecological Environment Bureau, 252 Qishan road, Ranjiaba, Yubei District, Chongqing.); Chongqing Ecological 2 - Petition letter: The address of the letter is the Chongqing Ecological Environment Bureau Environment Bureau, 252 Qishan road, Ranjiaba, Yubei District, Chongqing; Zip code 401147; - Telephone hotline: including 12369 environmental protection acceptance report center (24-hour hotline), 89181996 (petition hotline, available in working days), 89188803 (the public phone of the director, available in working days); - The director’s E-mail: [email protected]. - Grievance phone: 12319 urban administration service hotline; Municipal Municipal Urban Urban Administration Bureau on-duty phone: 023-67886000 3 Administration - Webmail: Access to the official website of the Municipal Urban Bureau of Chongqing Administration Bureau (http://cgj.cq.gov.cn/), click the ‘Interactive communication’ block and click the button of ‘I want to write a letter’. Municipal - Grievance phone: 966566 service hotline; 4 Commission of

110 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Government No. Grievance channels department Housing and Urban - Webmail: Access to the official website of the Municipal Commission of Rural Development Housing and Urban Rural Development (http://zfcxjw.cq.gov.cn/), click of Chongqing the ‘Interactive communication’ block and click the button of ‘I want to write a letter’.

C．Community organizations: including community neighborhood committees and

property companies, etc. While the community organizations receive grievances

related to the project, they will report to the PIU and relevant supervising

departments.

The grievance redress mechanism will be disclosed on official websites of government agencies and PIUs, disclosing the procedure, specifying times for response and solution, and ensuring the transparency of the appeal procedure; community residents may file grievances by different means, including personal submission, mobile phone, text message, letter, e-mail and website.

Anyone from the affected communities or anyone or organizations believing they are affected by the Project can submit a grievance by using the channels described above.

Once a grievance is received, the designated staff at the PIU will file them in a GM log ad investigate the grievance. The log should include: date of receipt of complaint, name of complainant, brief description of complaint, action taken (Including remedies / determinations / result) , and date of finalization of complaint. The PIU staff shall notify the complainant of the decision/solution/action immediately either in writing, or by calling or sending the complainant a text message. All records and resulting resolutions will be kept and reported to the Bank through the annual environmental and social monitoring mechanism.

For GBV-related grievances, ensure the GRM having specific procedures to receive GBV grievances anonymously and addressed in a confidential manner. The PIU will have a male and female staff member available to receive and process grievances, so that employees can choose to whom they wish to speak.

6.5 GRM for workers

111 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project The workers of the project can report any grievances or problems through any internal and external channels below.

A. Internal channels

The internal grievance mechanism is carried out by the PIUs including the head office and the branch company responsible for the operation of sub projects, according to the specific requirements and processes of each subproject implementation company, such as reporting level by level or directly to human resources departments and production safety departments.

B. External channels

The external grievance mechanism includes the channels from municipal and district bureau of human resource and social security, women’s federation and general labor unions.

The methods include telephone hotlines, web platforms and petition letters, etc. While the government department receives the relevant complaints, it will inform the PIUs. The government’s grievance handling channels for the workers are listed in Table 6.5-1.

Table 6.5-1 Government department’s grievance channels for the workers Government No. Grievance channels department - Window report and complaint: the workers can go to the service windows of the local labor and social security supervision agency to report and complain by expressing their demands face to face; - Phone grievance: the workers can directly report through the Municipal Bureau Human Resources and Social Security Bureau hotline 12333; of Human 1 - Webmail: The workers can access to the official website of the Resources and Human Resources and Social Security Bureau Social Security (http://rlsbj.cq.gov.cn/), click the ‘Interactive communication’ block and click the button of ‘I want to write a letter’. - Grievance through ceil phone: The workers can download the ‘12333 in hand’ APP, fill in and submit the complaint information online after real name registration. - Website: Access to the official website of Chongqing Municipal Municipal General Federation of Labor Union (http://www.cqgh.org/), click 2 Labor Union of ‘Online consultation’, log in and fill the relevant information. Chongqing - Telephone hotline: 023-63866523;

112 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project - Website: Access to the Chongqing women's network Chongqing (http://www.cqwomen.org.cn/) , click ‘Rights protection 3 Women's consultation’, fill the relevant information and submit. Federation - Telephone hotline: 12338.

The grievance handling channels will be published on the official websites of relevant government departments and PIUs, including publicity procedure, setting out the users waiting for grievance acceptance, as well as the response and resolution time of their complaints, so as to ensure the transparency of the grievance handling procedures, governance structures and decision makers. The project workers can submit their grievances though different ways, such as hand-to-hand submitting or reporting through ceil phone, short message, petition letter, E-mail or website. The PIU shall collect and summarize the relevant complaints by recording them into a journal in its database for maintenance. All the records and the decisions made for them will be saved by the annual E&S monitoring mechanism and reported to the World Bank.

The grievance handling mechanism for the project workers is not an obstacle to them in using the mediation procedures stipulated in the Labor Law, as the basic procedure as below:

Phase 1: The party who proposes arbitration shall submit a written application to the labor dispute arbitration committee within 60 days from the date of occurrence of the labor dispute.

Usually, the labor dispute arbitration committee will make a ruling within 60 days after receiving the application. If the parties have no objection to the arbitration award, the arbitration award shall be enforced. The labor dispute arbitration committee is composed of the representatives of the labor administrative departments, trade unions at the same level and employers. The chairman of the committee shall be a representative of the labor administration.

Phase 2: If any party of the labor dispute disagrees with the arbitration award, it may bring a lawsuit to the people's court within 15 days after receiving the award.

The grievance handling mechanism of the project will be published on the official websites of the PIUs. Procedures are necessary to ensure that everybody is treated in the same

113 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project way in similar circumstances and to ensure issues are dealt with fairly, reasonably and in a timely manner. The grievance redress mechanism will be disclosed on official websites of the PIU and government agencies. All workers should be informed of the grievance mechanism at the time they are hired, and details about how it operates should be easily available. Workplace shift leaders and Managers who will be dealing with grievances, and workplace representatives who may become involved, should all be familiar with the procedures and receive training in implementing them.

Once a grievance is received, the designated staff at the PIU will file them in a GM log ad investigate the grievance. The log should include: date of receipt of complaint, name of complainant, brief description of complaint, action taken (Including remedies / determinations / result) , and date of finalization of complaint. The PIU staff shall notify the complainant of the decision/solution/action immediately either in writing, or by calling or sending the complainant a text message. All records and resulting resolutions will be kept and reported to the Bank through the annual environmental and social monitoring mechanism.

For GBV-related grievances, ensure the GRM having specific procedures to receive GBV grievances anonymously and addressed in a confidential manner. The PIU will have a male and female staff member available to receive and process grievances, so that employees can choose to whom they wish to speak.

114 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project 7 Arrangement and strengthening of institution and training plans

7.1 Organization and responsibilities of institution

The organizational structure of this project’s environmental and social management is

displayed in Figure 7.1-1

.

Management departments of the project Supervision departments

Chongqing leading group of the project The World Bank

Expert advis Project management ory group office（PMO） Relevant government departments External monitoring unit

Chongqing Environmental Chongqing Liangjiang Qijiang Nanxin solid Wulong District

Sanitation Group Co., Ltd New Area Development waste disposal Co., Ltd Construction

(PIU) and Investment Group (PIU) Investment Group

Figure 7.1-1 Organizational structure of environmental and social management

The main responsibilities of each organization are as follows：

(1) Chongqing leading group of the World Bank’s project:

① To guide project implementation and provide strategic decision for environmental and

social management;

② To coordinate with relevant units, so to provide organizational guarantee for the

establishment and implementation of environmental and social management framework;

③To supervise the environmental and social management work of the PMO, so to make

115 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project the project implementation comply with the World Bank’s stipulations and national laws, regulations and policies;

④To ensure the organization, personnel arrangement and resource allocation of PMO, so as to effectively carry out the work of environmental and social management work;

(2) Project management office of Chongqing (PMO):

①Being responsible for the preparation of the environmental and social management framework, to guide and supervise implementation units of subproject to carry out the relevant environmental and social management work of the subproject according to the requirements of the framework;

②To set up at least one full-time staff member to coordinate the implementation of the environmental and social management framework and keep in touch with the World Bank's environmental and social experts during the implementation period;

③To form a consultant expert group with at least one third-party environmental expert and one third-party social expert, so as to provide consulting services on environmental and social matters of the project during the implementation of the project;

④To ensure that the relevant measures in the environmental and social management plan are included in the bidding documents;

⑤With the assistance of the third-party expert group, to select the environmental and social risk ratings of subprojects, review documents aboutn managing environmental and social impacts, and submit them to the World Bank for review;

⑥To build up environmental and social management capacity for the implementation units of subprojects;

⑦To supervise the implementation of applicable documents managing environmental and social impacts (ESCP, SEP, Environmental Management Plan, Social Action Plan, Ethnic

Minority Development Plan, etc.);

⑧To employ third-party environmental and social monitoring consultants to externally monitor the environmental and social management of the project, prepare external monitoring reports on the environmental and social management performance, and report to the World

116 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Bank every six months;

(3) Consultant expert group of environmental and social management:

①Including competent and experienced environmental and social management experts as external technical consultants to provide technical advice to the PMO;

②To assist the PMO to prepare an environmental and social management framework that meets the requirements of the World Bank and domestic laws and regulations;

③To assist the PMO in screening environmental and social documents of subprojects, and review the quality of environmental and social management documents of subprojects;

④ To assist the PMO to carry out environmental and social management capacity training for the management offices of subprojects, implementing units and other relevant parties

(contractors, construction units and external monitoring units).

(4) Chongqing Environmental Sanitation Group Co., Ltd., Chongqing Liangjiang New Area

Development Investment Group Co., Ltd., Qijiang District Nanxin solid waste disposal Co., Ltd and Wulong District Construction Investment Group (the implementation units of the project);

① To set up departments and arrange personnel to execute the work of environmental and social management;

② According to the requirements of the environmental and social management framework, to fill in the screening forms for the proposed subprojects on managing environmental and social impacts, and report to the PMO for review;

③ To carry out environmental and social risk and impact assessment of subprojects in accordance with the instructions of the PMO and the World Bank;

④ To carry out relevant stakeholder consultation activities according to the requirements of ESMF and SEP;

⑤ To ensure that the actions of the subproject ESCP and the measures in the environmental and social management plan are incorporated into the tender documents and construction contracts;

⑥ To supervise the implementation of the environmental and social management execution;

117 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project ⑦ To submit progress reports of subprojects to Chongqing PMO at regular intervals.

(5) External monitoring units of environmental / social management

① Under the entrustment of Chongqing PMO, to provide the third-party monitoring and assessment on the actual implementation of environmental and social management measures in the process of project implementation;

② To submit third-party monitoring reports on environmental and social management to the PMO at regular intervals (every 6 months).

The roles of the World Bank during the project implementation include: 1) to review the environmental and social impact assessment documents; 2) to classify the level of environmental and social risk for each subproject, and assist the PMO in selecting appropriate tools of environmental and social assessment; 3) to supervise the environmental and social performance of the project; 4) to assist the PMO in swift start of SEP; 5) to supervise the implementation of ESCP.

7.2 Establishment plan of external teams

Chongqing PMO plans set up a full-time environmental management and social management specialist, whose duties include to connect with the World Bank and to carry out the relevant affairs of subprojects’ environmental and social management. The external environmental and social experts employed by Chongqing PMO of the World Bank’s project are responsible for environmental and social management of subprojects and control of the related risks. They are also responsible for reviewing and providing technical guidance for the environmental and social management work of Chongqing PMO and its subproject implementing units.

The qualification requirements and main responsibilities of external experts are listed in

Table 7.2-1.

118 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Table 7.2-1 Qualification requirements and main responsibilities of external experts

Requirements Environmental experts Social experts (1) From independent social institutions (such as research institutions, consulting companies, universities or other non-governmental organizations), without any affiliation or interest conflict with the borrower and the project (1) The leading EIA personnel / expert is required to have implementation unit, and with sufficient personnel the qualification of EIA Engineer; participation; (2) The leading EIA personnel / expert is required with at (2) With rich experience and good performance in carrying least 10 years of working experience in EIA industry; out social risk and impact assessment, resettlement (3) The leading EIA personnel / expert is required with EIA planning, external monitoring / assessment, etc. for similar experience of domestic waste / construction waste / projects; industrial general waste management projects; (3) Familiar with the background of waste project Qualification (4) The leading EIA personnel / expert is required of being (especially plastic waste treatment project) and relevant familiar with the security policy requirements of the World national laws, regulations, policies and standards; Bank loan projects, and those with EIA experience of the (4) The consulting team is required to be composed with World Bank participated projects are preferred; social experts with professional background of social impact (5) The leading EIA expert is required to ensure sufficient and risk assessment, labor management, resettlement, personnel participation and be able to work on site ethnic minorities, and stakeholder participation; according to the requirements of the project owner.。 (5) The leading social expert of the consulting team is required with more than 10 years of social consultation experience of the World Bank or other international development agencies; (6) The members of the consulting team are required to be

119 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Requirements Environmental experts Social experts familiar with the World Bank’s environmental and social framework (ESF); (6) The leading social expert of the consulting team is required to have been trained by the World Bank with ESF training courses; (7) The social experts with experience in implementing ESF projects are preferred. (1) To assist the PMO of the World Bank’s project in guiding (1) To assist the PMO of the World Bank’s project in guiding the environmental management of subprojects in the social management of subprojects in accordance with accordance with the approved environmental and social the approved environmental and social management management framework; framework; (2) To assist the PMO of the World Bank’s project in capacity (2) To assist the PMO of the World Bank’s project in capacity building of environmental management for sub borrowers; building of social management for sub borrowers; (3) To determine and update the ESMF including (3) To determine and update the ESMF including social Main environmental screening standards and environmental risk screening standards and social risk identification of responsibilities ratings of subprojects; subprojects; (4) To assist in review of the environmental safety (4) To assist in review of the social safety documents documents (including the third-party monitoring reports) (including the third-party monitoring reports) of of subprojects and submit review comments; subprojects and submit review comments; (5) To guide the sub borrowers in preparation of (5) To guide the sub borrowers in preparation of social environmental safety documents and carry out relevant safety documents and carry out relevant competency competency training for the staff of the PMO and the sub training for the staff of the PMO and the sub borrowers; project implementation units; (6) To follow up the latest social management policies and

120 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Requirements Environmental experts Social experts (6) To follow up the latest environmental management requirements of the domestic and international financial policies and requirements of the domestic and international institutions such as the World Bank. financial institutions such as the World Bank.

121 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project 7.3 Capacity building plan

It is planned for this project to establish an external expert team including environmental experts and social experts. Those external experts will cooperate with the experts of the World

Bank to provide ESMF related routine and specific trainings for the relevant personnel of the subproject implementation units. The content of trainings includes how to execute the ESMF in the whole life cycle of the subproject. The environmental and social management capacity building project will use the PMO's own funds and the institutional capacity development funds supported by the World Bank loan.

The phased plan of the environmental and social management capacity building is listed in Table 7.3-1 as below.

122 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Table 7.3-1 Phased plan of the environmental and social management capacity building

Number of Resource / Duration Trainees Main content of training Goals trainees / Way Frequency Trainers days/time time The World Bank ESF; To strengthen the The ESMF of this project; PMO's Domestic policies, laws, understanding on regulations and ESF, get familiar requirements of with the At least 1 environmental and social requirements of time every management; ESMF, and improve The third-party year during Measures and requirements of the project E&S experts, the The PMO environment protection and implementation other experts at 20 Lecture 1 implementati social management; ability; home and on period Screening of potential aboard; after project environmental and social start. impacts and risks; The implementation of SEP; Resettlement policy framework, the role of labor management procedures.

123 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Number of Resource / Duration Trainees Main content of training Goals trainees / Way Frequency Trainers days/time time The ESF of the World Bank and To strengthen the the ESMF of the project; implementation of Domestic policies, laws, ESMF, E&S At least 1 regulations and requirements; management The third-party time every Implementation Measures and requirements of ability, and E&S experts, Symposiu year during units of environment protection and occupational health other experts at 10~20 1 m the subproject social management; and safety training home and implementati The implementation of LEM; of subproject units aboard; on period; The implementation of SEP; and their E&S management personnel; The ESF of the World Bank and To strengthen the the ESMF of the project; knowledge and At least 1 Experts with Domestic policies, laws, ability of third- Advanced time every External teams experience of regulations and party experts on classroom year during of E&S the World Bank 5 1 requirements; environmental and training the monitoring participated Measures and requirements of social management; workshop implementati projects; environment protection and on period; social management; Contractors and Measures and requirements To understand the Experts with Consultati At least 1 20 1 supervision of environment protection E&S management experience of on service time every

124 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Number of Resource / Duration Trainees Main content of training Goals trainees / Way Frequency Trainers days/time time units and social management; measures and the World Bank of external year during The implementation of LEM; requirements of the participated experts the The implementation of SEP; project; projects and implementati staff of the PMO; on period before the start of construction; Measures and requirements To understand the At least 1 Experts with of environment protection E&S management time every experience of and social management; measures and year during the World Bank Involved streets The implementation of LEM; requirements of the the participated and The implementation of SEP; project; 2000~3000 Workshop 1 implementati projects, staff of communities on period the PMO and before the community start of representatives construction;

125 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project 8 Project monitoring and reporting

8.1 Internal monitoring

The PMO is responsible for ensuring that the relevant measures and requirements in all environmental and social documents are included in the bidding documents and contracts of the project activities. Meanwhile, the PMO supervises the E&S performance during the whole project implementation process. The special personnel of the PMO are responsible for timely collecting and sorting out the information related to environmental/social management, regularly tracking the implementation status of subprojects, inspecting the E&S performance of subprojects on site, discovering problems and proposing improvement suggestions. In addition, the PMO gives full play to the role of coordination and overall planning by ordering the subproject implementation units to assume the responsibility of the owner, doing a good job in the supervision on the environment and society of the subproject, and making sure that the relevant E&S impact mitigation measures are effectively implemented and realized at the subproject level.

The implementation units of subproject are responsible for the environmental and social performance of their respective subprojects. Their tasks include setting up departments and personnel specially responsible for the E&S management, supervising the implementation of relevant measures in the ESMP, and regularly submitting progress reports on E&S management to the PMO.

The supervision unit is entrusted by the project implementation unit to effectively perform the supervision responsibility to the contractor during the construction process. Its duty includes: supervising the contractor's implementation of relevant E&S impact mitigation measures; finding out problems in time; putting forward rectification requirements; strictly verifying the performance to ensure that the E&S management of the subproject construction is in line with the management plan and contract requirements, and recording the situation in

126 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project the monthly supervision report.

8.2 External supervision

In addition to the daily project management and supervision system of the PMO, the subproject management office and the subproject’s implementation units, an independent third-party monitoring unit will be arranged to carry out monitoring work on the performance related to E&S management during the implementation process.

Entrusted by the PMO, the environmental and social external monitoring unit aims to provide the third-party monitoring and assessment opinions and reports on the actual implementation of E&S management measures during the implementation of the project. Its main responsibilities include:

(1) Entrusted by the owner, to review whether the construction organization design, environmental management plan, safety production plan, traffic management plan and other documents of the construction unit meet the requirements of the approved environmental and social documents;

To monitor and inspect the contractor's site environmental management system and site performance as well as the environmental performance of the supervision engineers, and put forward rectification suggestions in case of problems are found out; To suspend the project implementation and provide rectification measures or punishment suggestions to the owner if necessary;

(2) To assist the PMO (and implementation unit) to carry out E&S management training for construction units and supervision units;

(3) According to the actual needs of specific subproject, to execute the necessary quantitative environmental monitoring (including sewage discharge, noise impact, air quality, etc.) , so to test the impact of project implementation on the environment;

(4) To assist the owner to investigate and deal with E&S emergencies or accidents;

127 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project (5) Entrusted by the owner, to execute tracking-monitoring on the implementation of resettlement plan, social action plan and other social management documents, including consulting and investigating the affected peoples;

(6) To submit monitoring report to the PMO / owner on a regular basis.

Additionally, in the process of project construction and operation, the relevant government departments also carry out relevant supervision activities according to their respective management and supervision functions. For instance, the on-site supervision and law enforcement of the Environmental Supervision Detachment (Brigade) on pollution discharge of construction projects and enterprises; supervision and law enforcement of the

Urban Administration Bureau (Comprehensive Administration and Law Enforcement Bureau) on city appearance and environmental sanitation, garbage classification, safety and quality of municipal engineering, etc; as well as the law enforcement inspection of the Emergency

Management Bureau (Work Safety Supervision Detachment) on project and enterprise safety production.

During the implementation period, the World Bank will also conduct special supervision on the E&S performance of the project.

8.3 Reporting system

The implementation unit of the subproject shall regularly prepare the E&S management report of the project (once every half a year). With its content containing the review of the implementation progress and results of the E&S management plan, the E&S commitment plan and other related plans (such as the immigration action plan, etc.), this report is required to be submitted to the PMO.

The PMO is responsible for summarizing the E&S performance of the overall project, preparing a progress report on E&S management every six months (which can be referred as a part of the project implementation progress report), and submitting it to the World Bank.

128 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project The third-party environmental and social monitoring unit shall submit an external monitoring report to the PMO every six months in accordance with the contract requirements.

These reports will be submitted as appendixes to the World Bank together with the semi- annual progress report of the project.

129 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

9 File Management and Reporting System (referring to other project documents)

Appendix 1 Environmental and Social (E&S) screening of subproject

This screening table is filled by Chongqing PMO (or management office of subproject or implementation unit) and submitted to the World Bank for approval.

Subproject:______Enterprise:______

Risk rating Screening factor Y N Remark / Suggestion L M S H E&S risk of the subproject 1. Whether the subproject involves ‘Associated Facilities’? (The ‘Associated Facility’ means a facility or activity which is not funded as a part of the If so, then the relevant E&S project, and judged by the World Bank as: (a) requirements of the subproject are Directly and significantly related to the project; (b) applicable to the ‘Associated Facilities’. Simultaneously implemented or planned with the project; or (c) Constructed for the project and is necessary for the project.) 2. Is the subproject located in nature reserves (existing or planned), scenic areas, forest parks, drinking

water conservation areas or areas with high ecological value? 3. Does the subproject’s area intersect with natural

habitats? 4. Does the subproject’s area intersect with important If so, the project will not be supported. natural habitats? That is, is there any important,

130 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

Risk rating Screening factor Y N Remark / Suggestion L M S H vulnerable or endangered species of plants or animals inhabiting in the area? 5. Does the implementation of the subproject affect If so, it is required to provide the common natural habitats (such as forest, river or relevant impact assessment and wetland) out of nature reserves? mitigation methods in the EIA. 6. Does the component involve LA and/or HD? Does the component involve restrictions on the use of land and natural resources, so that the community or its If yes, an RP should be prepared internal group loses the traditional or customary according to ESS5. right to use resources or recognized right of use? Does the component render any land unusable or any migrant unable to enter? 7. Does any prior LA or restriction on land use is caused If yes, due diligence should be by the occurrence of the component or conducted in conducted according to ESS5. preparation for the component? 8. Is there any ethnic minority community in the component area, or is any ethnic minority If yes, an EMDP should be prepared

community collectively attached to the component according to ESS7. area? 9. Does the component involve reconstruction or If yes, an environmental and social audit expansion on any existing facility, or otherwise should be conducted according to ESS1- relate to it? ESS10. 10. Is there any known archaeological, historical or other cultural heritage within the scope of the subproject? 11. Do the public or non-governmental organizations around the subproject express strong opposition to the construction of the project?

131 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

Risk rating Screening factor Y N Remark / Suggestion L M S H 12. Will the subproject bring great safety and health If so, the risk rating of the subproject is

risks to the surrounding communities? classified as S or H. 13. Does the construction and operation of the If so, the risk rating of the subproject is subproject pose great health and safety risks to the classified as S or H. workers? 14. Will the subproject cause social conflicts related to If so, the risk rating of the subproject is the recognition of community hazards or unfulfilled classified as S or H. benefits to a certain extent? Compliance of existing enterprises related to the project 15. Does the subproject enterprise have legal business To review relevant documents and

permission and license? records. 16. Does the sub project enterprise comply with the To review compliance records relevant national environmental laws and (monitoring reports, certificates, etc.) regulations and discharge standards of ‘the three and consult with relevant departments. wastes’? 17. Is the subproject enterprise facing major unresolved environmental penalties or environmental To consult with relevant departments

responsibilities? (e.g. pending legal proceedings for data research. involving environmental issues) 18. Is the subproject enterprise facing environmental To conduct media search and and social impact complaints from the surrounding consultation with the local communities residents or non-governmental organizations? and non-governmental organizations. 19. Has the subproject obtained the approval document To review the approval documents or registration of EIA report issued by through online audit of relevant environmental protection department? departments' websites. 20. Has the subproject obtained the relevant land use To review the approval documents certificate or land use approval document issued by through online audit of relevant the land department? departments' websites.

132 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

Risk rating Screening factor Y N Remark / Suggestion L M S H For the existing enterprise, it is required to carry out Due Diligence on land acquisition. 21. Does the subproject need to be examined and approved by relevant departments such as safety, soil and water conservation, geological disasters, flood control and so on? If necessary, state the approval status. Documents required: Overall environmental and social risks: (The overall level of E&S risk is determined by the highest risk rating of the issues above.)

133 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Appendix 2 Guideline on subproject’s environmental and social (E&S) risk classification

Applicable Risk rating Definition Comparison with China EIA classification E＆S tools The project will possibly cause a wide Based on the Catalogue of classified management on range of significant environmental environmental impact assessment of construction and social risks and adverse impacts projects in China (2021), as for those subprojects with on the population and environment. possible great impacts on environment, it is required Some of the impacts can’t be mitigated to prepare environmental impact report (EIA) to EIA, SIA, ESMP, SEP， High by now, or with special situations such comprehensively assess its environmental impact. RP , LMP etc. as requiring complex and / or unproven mitigation and/or Such projects may involve the construction of compensation measures or domestic waste incineration plants and hazardous techniques. waste incineration plants, etc. Based on the Catalogue of classified management on Some of the E&S impacts of the environmental impact assessment of construction project are possibly significant, but projects in China (2021), as for those subprojects with with reliable mitigation and/or possible great impacts on environment, it is required EIA, SIA, ESMP, SEP, RP, Substantial compensation measures which are to prepare environmental impact report (EIA) to LMP etc. easier to be designed comparing with comprehensively assess its environmental impact. that of the ‘High’ risky projects. Such projects may involve reconstruction activities of the existing waste disposal facilities. The project has potential E&S risks or With possible moderate environmental impacts, the EIA, SIA, ESMP, SEP， Moderate adverse impacts which are possibly subprojects which are required to prepare EIA forms RP , LMP etc.

134 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Applicable Risk rating Definition Comparison with China EIA classification E＆S tools not significant and can be mitigated in according to the requirement of the Catalogue of predictable ways. classified management on environmental impact assessment of construction projects in China(2021).

Such projects may include activities such as recyclable material sorting centers and waste transfer stations, and may also involve the research activities with moderate downstream risks. The subprojects which are just required to submit The potential adverse risks and registration forms according to the requirement of the E&S screening, SEP impacts on humans and / or the Low Catalogue of classified management on environmental (depending on the environment may be small or impact assessment of construction projects in China circumstances) negligible. (2021).

135 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Appendix 3 Outline of Environmental and Social Assessment Report

Appendix 3-1 Outline of EIA Report

Chapter Name Content requirement No. Describe the major findings, conclusions and activities. Briefly Executive summarize the analysis on the project’s environmental impacts Chpt.1 summery and corresponding measures, as well as the problems found out and actions need to be taken, including ESCP and SEP. Legal and Chpt.2 institutional framework Relevant domestic List out the applicable domestic lows, regulations and policies as 2.1 lows, regulations well as the relevant standards and assessment guidelines. and policies The World Bank’s environmental and Execute correlation analysis on the 10 ESSs of the ESF, so to 2.2 social framework identify which requirements are applicable to this project. (ESF) Identify the relevant guidelines and requirements of the EHSGs, The World Bank’s including ‘General EHS guidelines’ and guidelines for specific environmental, industries. It is necessary to correctly understand its content on 2.3 health and safety environmental impacts, occupational health and safety risks and guidelines (EHSGs) risks to residential communities, for it is helpful in identification of the environmental health and safety risks of the project. Compare the relevant domestic lows and regulations with the standards of the ESF. Study on each specific ESF standard comparing with the relevant domestic lows and regulations, that Comparative study is mainly to compare each ESF standard’s goals to the goals of on domestic the domestic ones, so as to figure out that is there any environmental and 2.4 substantial difference between them. social management As for the comparison on relevant standards: compare the system and the EHSGs standard with the domestic standard and choose the World Bank’s ESF more stringent one. In the case of choosing the looser one, it is necessary to be demonstrated that this looser standard can also effectively protect the environment and human health. 2.5 Related planning According to the usual domestic practice.

136 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Chapter Name Content requirement No. and environmental functional areas It is needed to add the content of social impact including community safety (as the requirement in section 2.3). It is also Scope and factors necessary to cooperate with the social assessment team to 2.6 of assessment determine it. Especially, based on the results of the first stage of the stakeholder engagement plan (before the outline preparation is completed)14 to screen the environmental risks and impacts. Environment 2.7 Consistent with Section 2.6. protection goals

• Concisely describes the proposed project and its geographic, environmental, social, and temporal context, including any offsite investments that may be required (e.g. dedi-cated pipelines, access roads, power supply, water supply, housing, and raw Project material and product storage facilities), as well as the project’s Chpt.3 description primary suppliers. • Through consideration of the details of the project, indicates the need for any plan to meet the requirements of ESS1 through 10. • Includes a map of sufficient detail, showing the project site and the area that may be affected by the project’s direct, indirect, and cumulative impacts . Briefly express the local environmental problems and relevant strategy and planning, including solid waste pollutant control plan, situations of local industrial, agricultural and domestic solid 3.1 Project background waste discharge and control as well as the management and goals of local solid waste. Describe the necessity of the project. Briefly describe the project’s location and content, including the 3.2 Project description activities funded and the other ones not funded by the World Bank, and including the technical assistance activities and

14 See the stakeholder engagement plan template provided by the World Bank team. It is required that at least two rounds of stakeholder consultation should be carried out in the early stage of the project.

137 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Chapter Name Content requirement No. associated facilities15. The adopted technologies and processes as well as water supply and drainage standards, etc; the possibly needed temporary facilities or works and the project’s key suppliers are also required to be described.16 Based on Section 2.2 and 3.2 to screen the project content and decide which plans need to be prepared: Stakeholder Engagement Plan (SEP); Labor management procedures 17 and labor grievance mechanism; Grievance Mechanism (GRM); Traffic management plan (community safety); Occupational Health and Safety management plan (OHS, it is required to be clearly promised to be executed in ‘Environmental and Social Commitment Plan’ ); Emergency preparation and response plan (transportation, Screening of the 3.3 storage and use of toxic and harmful substances and solid World Bank’s ESSs wastes); Construction camp management plan (if any); Sludge management plan; Closure Management Plan of old landfills: The baseline situation of groundwater, soli should be assessed in detail as part of the ESIA. This should be the basis for the design of adequate closure activities. Potential risks to be addressed include landfill gas evacuation, leachate evacuation from the stabilized landfill body and treatment. Environmental and Social Management Plan (ESMP): it is required to be specially prepared. Chpt.4 Baseline data Environmental profile Current situation of  Geological location 4.1 natural  Topography environment  Climate and meteorology

15 See paragraph 11 in page 17 of the World Bank’s ESF for the definition. 16 See footnote 34 in page 20 and footnote 5 in page 32 of the World Bank’s ESF for the definition. 17 See paragraph 9~16 in page 32 of the World Bank’s ESF.

138 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Chapter Name Content requirement No.  Geology  Hydrology and water conservancy  Animal and plant (determine whether the project involves Current situation of ecological sensitive areas and protected areas) 4.2 ecological  Soil environment  Soil erosion  Society: including population, health, endemic diseases18  Industrial economy Current situation of 4.3  Transportation social economy  Cultural relics and tourism (determine whether the project involves material cultural heritage19) Current situation of the solid waste 4.4 See the ESMF for the detailed requirements. management in the project area 4.5 Due diligence See the ESMF for the detailed requirements. The monitoring and analysis on the environmental quality of the project impact area (assessment scope) shall at least include the Current situation of aspects below: the environmental  Acoustic environment 4.6 quality of the  Ambient air project area  Surface water  Soil  Soil erosion It is required to consider all the E&S risks and impacts including positive and negative impacts, direct and indirect impacts, as well Environmental as analysis on cumulative impacts. Analyze the rating of risk and Chpt.5 and social risks the scope of impact in different stages of the project. It is required and impacts to be in line with the assessment scope and factors listed in Section 2.6. 5.1 E&S risks and According to the relevant domestic environment assessment

18 See paragraph 15~16 in page 47 of the World Bank’s ESF for the detailed requirements. 19 The scope of its definition is much wider than that of the cultural security units in China. See ‘Cultural heritage’ in ESS8 of the World Bank’s ESF for its detailed definition.

139 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Chapter Name Content requirement No. impacts during the guidelines, the assessment shall at least contain: construction Acoustic environment; period Water environment; Ambient air; Ecological environment; Solid waste: especially toxic or hazardous waste; Community safety: traffic safety risk (brought by increased construction vehicles); The impact on the community due to large number of construction workers entering; the impact on the community safety due to the transportation and storage of toxic and harmful substances; in the cases involving contaminated land remediation, the safety impact on the surrounding residents shall be considered; Social impacts: traffic congestion, land acquisition, relocation and affairs of ethnic minorities (from social review units); Occupational health and safety. According to the relevant domestic environmental assessment guidelines and the World Bank’s EHSGs, the assessment shall at least contain the items below (including positive and negative impacts): Acoustic environment; Water environment; Ambient air; Social impact; E&S risks and Occupational health and safety; 5.2 impacts during the Community safety; operation period Endemic / epidemic diseases; Solid waste (pay attention to the treatment of plasticizer and flame retardant in the process of plastic waste disposal / utilization); Energy consumption and saving; Greenhouse gas emission reduction is also required, which is mainly about those heavy transport vehicles’ exhaust gas. In previous chapters on air pollution, it is needed to classify the air pollutants emitted by the project, figure out which ones are

140 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Chapter Name Content requirement No. related to greenhouse gases, then estimate the greenhouse gas emissions, and then propose the reduction measures. Material and cultural resources (for local cultural significance rather than with cultural protection units); For large and complex facilities such as landfills and incineration plants, the elements should not be distributed to different chapters or assessed separately, but are recommended to be assessed in integrated way under the title of each facility. Assess it according to the requirements of ESS1 and ESS8, Cultural heritage (if 5.3 especially pay attention to sequencing of mitigation measures any) and E&S management.20 According to the ‘Environmental risk assessment guideline’ to assess the risks in transportation, storage, use and disposal of Environmental risk 5.4 toxic or hazardous substance / waste, and prepare ‘Emergency analysis preparation and response plan’ as its appendix (please see Section 3.3). Formulate mitigation measures based on the analysis conclusion, requirements and suggestions of Chapter 5 as well as the results Mitigation Chpt.6 of phase 2 SEP. See page 25 (f) of the World Bank’s ESF for the measures detailed requirements. Meanwhile the general measures and procedures provided by the ESMF also need to be considered. Mitigation measures on The problems and suggestions which need to be considered since 6.1 design period the design period. impacts Pay special attention to the management of toxic and harmful pollutants in the activities such as the treatment of contaminated Mitigation sites, and put forward detailed and feasible measures; measures on 6.2 Focus on the occupational health and safety measures (it is construction suggested to integrate the occupational health and safety period impacts measures of construction and operation periods into the ‘Environmental management plan’, so as to fit it into the ESCP). 6.3 Mitigation Some of those complex measures are recommended to be

20 See paragraph 27 in page 19 of the World Bank’s ESF for the detailed requirements.

141 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Chapter Name Content requirement No. measures on composed in specific appendixes. operation period impacts See page 26 (g) of the World Bank’s ESF. It is required to strictly comply with the sequencing of mitigation measures and E&S management. 21 Cooperation with feasibility study team and social review team is necessary. The environmental specialist of Alternative PMO should be in close contact with EIA units. At least the Chpt.7 analysis alternatives below shall be considered:  Possible alternative projects;  For the activities involved sensitive points, it is necessary to consider alternative sites;  Possible alternative technologies and processes. Environmental Chpt.8 management plan Institutional arrangement, 8.1 strengthening and training plans It includes the responsibilities of project coordination, Institutional 8.1.1 supervision, monitoring, implementation (including contractors) setting and evaluation of the capabilities of these agencies; Capability Make training plans for the relevant units, especially for project 8.1.2 strengthening and enterprises, contractors and the PMO. training (a) identifies and summarizes all anticipated adverse environmental and social impacts (including those involving indigenous people or involuntary resettlement); Mitigation (b) describes—with technical details—each mitigation easure, 8.2 measures including the type of impact to which it relates and the conditions under which it is required (e.g., continuously or in the event of contingencies), together with designs, equipment descriptions, and operating procedures, as appropriate;

21 See paragraph 27 in page 19 of the World Bank’s ESF for the detailed requirements.

142 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Chapter Name Content requirement No.

(a) a specific description, and technical details, of monitoring measures, including the parameters to be measured, methods to be used, sampling locations, frequency of measurements, Environmental detection limits (where appropriate), and definition of 8.3 monitoring plan thresholds that will signal the need for corrective actions; (b) monitoring and reporting procedures to (i) ensure early detection of conditions that necessitate particular mitigation measures, and (ii) furnish information on the progress and results of mitigation。 (a) an implementation schedule for measures that must be carried out as part of the project, showing phasing and Implementation coordination with overall project implementation plans; 8.4 Schedule and Cost (b) the capital and recurrent cost estimates and sources of funds Estimates for implementing the ESMP. These figures are also integrated into the total project cost tables . File management 8.5 and reporting Check other relevant documents of the project. system 1. Execution of SEP: meetings, questionnaires and records of information disclosure with photographs. 2. Other possible content (possibly including other plans. See the ESMF): 3. Mitigation measures of E&S impacts; 4. Labor management procedure 22 and labor grievance mechanism; Chpt.9 Appendix 5. Construction Environmental and Social Management Plan (CESMP) Traffic management plan (community safety); Construction camp management plan; Management plan of borrow area / spoil ground; Closure Management Plan of old landfills; Occupational Health and Safety management plan (OHS, it is

22 See paragraph 9~16 in page 32 of the World Bank’s ESF.

143 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Chapter Name Content requirement No. required to be clearly promised to be executed in ‘Environmental and Social Commitment Plan’ ); Emergency preparation and response plan; Waste Management Plan.

144 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Appendix 3-2 Outline of the SIA Report

Indicative Outline of SIA

Executive Summary

[Concisely summarize the process of social risks and impact assessment and discuss the significant findings and recommended measures and actions (particularly the actions and measures that will be included in the project’s Environmental and Social Commitment Plan

(ESCP).]

1. Introduction

1.1 Project Baseline

[Insert here a brief description of the project (this should cover the purpose/need of the project) and a location map, preparation and implementation sequence, the project proponent, the purpose of this report, etc.]

1.2 Social Assessment Objectives

1.3 Impact Assessment Scope

[Insert here a short description of the scope and coverage of the impact assessment with regards to the Project and its Footprint. Very useful at this stage in the report to be clear about whether there are other phases/stages of the Project that are not covered by this impact assessment and if that is the case how they are to be handled in the future.]

1.4 Approach and Methodology

[Present here the impact assessment methodology that has been used in this social assessment.

Below figure provides an indicative reference for consideration.]

1.5 Limitations

[Articulate here significant constraints and limitations for conducting the proposed impact assessment (for example, unavailability of certain baseline data, impacts from COVID-19, constraints for stakeholder engagement, key data gaps, and uncertainties associated with

145 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project prediction, etc.]

1.6 Report Structure

2 Project Description

[General requirements extracted from ESF:

Concisely describes the proposed project and its geographic, environmental, social, and temporal context, including any offsite investments that may be required (e.g., dedicated pipelines, access roads, power supply, water supply, housing, and raw material and product storage facilities), as well as the project’s primary suppliers.

Through consideration of the details of the project, indicates the need for any plan to meet the requirements of ESS1 through 10.

Includes a map of sufficient detail, showing the project site and the area that may be affected by the project’s direct, indirect, and cumulative impacts.]

2.1 Introduction

This section of the social assessment report presents information on components in sufficient detail in order to: describe, at a level that can be understood by a lay person, the features and activities proposed by the Project Proponent; and facilitate a comprehensive identification of the potential impacts on resources and receptors that could result from Project activities during the [pre-construction, construction, operation and decommissioning] stages.

[Useful to add here additional text related to the Baseline of the Project.]

a. Component 1

b. Component 2

3 Baselines Conditions

[General requirements extracted from ESF:

146 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Sets out in detail the baseline data that is relevant to decisions about project location, design, operation, or mitigation measures. This should include a discussion of the accuracy, reliability, and sources of the data as well as information about dates surrounding project identification, planning and implementation.

Identifies and estimates the extent and quality of available data, key data gaps, and uncertainties associated with predictions.

Based on current information, assesses the scope of the area to be studied and describes relevant physical, biological, and socioeconomic conditions, including any changes anticipated before the project commences.

Takes into account current and proposed development activities within the project area but not directly connected to the project.]

3.1 Introduction

The baseline conditions within the Project Study Area have been characterized based on a consideration of secondary data from published sources as well as primary data collected in order to fill data gaps. This section of the social assessment report is organized by resource/receptor, with an initial discussion of the findings of the desktop review followed by an identification of key data gaps, the methods used to fill them and the findings of any primary data gathering exercises.

3.2 Regional Social Profiles

General Social Setting 1

General Social Setting 2

General Social Setting 3

3.3 Community/Household Level Baselines

Resources/Receptor 1

Resources/Receptor 2

147 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Resources/Receptor 3

4 Relevant World Bank Environmental and Social Standards.

4.1 Legal Framework

[Analyzes the legal and institutional framework for the project, within which the environmental and social assessment is carried out, including the issues set out in ESS1, paragraph 26.]

4.2 World Bank ESF Requirements

[Briefly summarizes the key requirements for the relevant ESSs]

4.3 Gaps Analysis and Bridging Strategies

[Compares the Borrower’s existing environmental and social framework and the ESSs and identifies the gaps between them.] [Please note: this sub-section can be consolidated into

Section 4.3 if you like to.]

5 Social Risks and Impacts Screening

This chapter has screened the potential social impacts of the project as per the project description, desk-top review, social context reviewing, stakeholder engagement analysis, as well as the project proponent interviews, etc. The primary resources/receptors identified in the project includes [please insert all relevant dimensions].

5.1 Social Screening Approach

[Insert here a summary of the social screening approach. You can tailor the below approach a little bit to fit into the project’s context.]

5.2 Results of Social Screening

[Requirements extracted from ESF: Takes into account all relevant environmental and social risks and impacts of the project. This will include the environmental and social risks and impacts specifically identified in ESS2–8, and any other environmental and social risks and

148 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project impacts arising as a consequence of the specific nature and context of the project, including the risks and impacts identified in ESS1, paragraph 28.]

5.2.1 List of low/negligible social risk

5.2.2 List of Significant risk

[Please elaborate the basis for such determination for each of the potential risks and impacts]

Table: The Project’s Social Intervention Matrix by Activities (tentative)

Potential Social Risks and Impacts Project Phases and (Please list all relevant social dimensions in ESF) Activities Resources/Re Resources/Receptor Resources/Receptor ceptor 1 2 3

Preparation

Construction

Operation

5.3 Mitigations (Enhancement) Measures

An assessment of the magnitude and significance of the Impact;

Proposing differentiated mitigation measures by adopting mitigation hierarchy to minimize adverse impacts or to enhance beneficial effects as identified, so as that adverse impacts do not fall disproportionately on the disadvantaged or vulnerable and they are not disadvantaged in sharing development benefits and opportunities resulting from the project;

Identifying significant negative residual impact which is expected to remain after implementation of the proposed mitigation measures and, to the extent possible, assesses the acceptability of those residual negative impacts;

Assessing the feasibility of mitigating the social impacts; the capital and recurrent costs of proposed mitigation measures, and their suitability under local conditions; and the

149 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project institutional, training, and monitoring requirements for the proposed mitigation measures

5.3.1 Social Risk/Impact #1 and mitigation measures:

5.3.2 Social Risk/Impact #2 and mitigation measures:

5.3.3 Social Risk/Impact #3 and mitigation measures:

5.3.4 Social Benefits #1 and enhancement measures:

6. Stakeholder Engagement

This Chapter can be extracted from the component SEP.

6.1 Introduction

Stakeholder engagement is a key element of the social assessment process. The purpose of stakeholder engagement is to allow for stakeholders to interact with the decision-making process, express their views and influence mitigation and technical solutions to concerns voiced during the process.

Stakeholder engagement is an inclusive and culturally appropriate process which involves sharing information and knowledge, seeking to understand the concerns of others and building relationships based on collaboration. It allows stakeholders to understand the risks, impacts and opportunities of the Project in order to achieve positive outcomes.

6.2 Main objectives of stakeholder engagement

- to ensure that adequate and timely information is provided to those affected by the

Project;

- to provide these groups with sufficient opportunity to voice their opinions and concerns;

and

- to ensure that comments are received in a timely manner so that they can be taken into

account in Project decisions.

6.3 Stakeholder Identification and Analysis

150 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project [Identification of stakeholder group. Discussion on their level of interest in and influence on

the Project and how they should be engaged]

6.4 Social Assessment Engagement Activities

[Description of activities undertaken through the social assessment to disclose information

and engage with stakeholders.]

6.5 Key Findings for the Social Assessment

[Description of the overall level of engagement of the communities and level of support for

the Project.]

[Description of key concerns / issues raised during engagement.]

[Stakeholder views should be referred to explicitly in the evaluation of impacts.]

[The social assessment should also document how the feedback has been taken into account

in Project decision making. It is good practice to include a table in the social assessment

detailing feedback and how it has been responded to by the Project. This is often held as an

annex.]

6.5 Planning for Future Stakeholder Engagement

[A description of the activities that will be undertaken after the completion of the social

assessment.]

7. Social Management Plan

7.1 Social Management Plan

See the tentative SMP outline table as below. Indicative Template for Social Management Plan Responsible Potenti Specifi Timing for Persons for Timing and al Source of c Responsibili Reportin No. Implementati Ensuring Frequency Impact Actions Action ty for M&E g on Implementati of M&E s s on

151 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project In-place

controls Required Mitigatio ns

7.2 Key Actions and Measures for the ESCP

[Summarizes key measures and actions and the timeframe required for the project to meet the requirements of the ESSs. This will be used in developing the Environmental and Social

Commitment Plan (ESCP).]

8. Implementation, Monitoring and Evaluation, and Budget Estimation

9. Institutional Arrangement and Capacity Building

[Draws on the environmental and social assessment of the existence, role, and capability of responsible parties on site or at the agency and ministry level]

[Provides a specific description of institutional arrangements, identifying which party is responsible for carrying out the mitigation and monitoring measures (e.g., for operation, supervision, enforcement, monitoring of implementation, remedial action, financing, reporting, and staff training.]

[Recommends the establishment or expansion of the parties responsible, the training of staff and any additional measures that may be necessary to support implementation of mitigation measures and any other recommendations of the environmental and social assessment.]

9.1 Social M&E

[Outlines monitoring objectives and specifies the type of monitoring, with linkages to the impacts assessed in the environmental and social assessment and the mitigation measures described in the SMP and ESCP.]

9.2 Budget Estimation

152 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project [List the budget estimation for implementing the SMP and ESCP in a tabular form.]

Annexes

- List of the individuals or organizations that prepared or contributed to the

environmental and social assessment.

- References—setting out the written materials both published and unpublished, that

have been used.

- Record of meetings, consultations and surveys with stakeholders, including those with

affected people and other interested parties. The record specifies the means of such

stakeholder engagement that were used to obtain the views of affected people and other

interested parties.

- Tables presenting the relevant data referred to or summarized in the main text.

- List of associated reports or plans.

153 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Appendix 4 Outline of Environmental and Social Management Plan

The environmental and social management plan contains a series of mitigation, monitoring and institutional measures. These measures will be executed in the implementation and operation periods of the project to prevent, mitigate or offset those adverse environmental and social risks and impacts. The content includes: 1. Mitigation measures

(1) To identify and outline all expected adverse environmental and social impacts

(including those involving indigenous peoples or involuntary resettlements);

(2) To describe the technical details of each mitigation measure, including the type of impact associated with the mitigation measure and the conditions under which mitigation measures need to be taken (e.g., continuous or in an emergency situation), as well as design, equipment description and operational procedures (as appropriate);

(3) To estimate any potential environmental and social impacts of these measures;

(4) To consider other mitigation plans required by the project (such as those plans for involuntary resettlement, indigenous people or cultural heritage), and make sure that all plans do not conflict.

2. Monitoring

(1) A detailed description and technical details of the monitoring measures, including the parameters of the measurement, the methods used, the sampling locations, the frequency of measurement, the detection range (if appropriate) and the definition of the threshold values for indicating whether corrective action is required;

(2) Monitoring and reporting procedures: to ensure as soon as possible to check out the conditions under which certain specific mitigation measures should be taken; and to provide information on mitigation progress and results.

3. Capacity building and training

154 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project (1) The ESMP is expected to provide a detailed description of the institutional arrangements to determine which party is responsible for implementing mitigation and monitoring measures (e.g., operation, supervision, execution, monitoring, remedial action, financing, reporting and personnel training);

(2) It is recommended that the responsible party to establish or expand relevant institutions, implement personnel training, adopt any other measures needed for supporting the implementation of mitigation measures, and listen to any other suggestions on environmental and social assessment;

4. Implementation schedule and cost estimation

(1) The implementation schedule of mitigation measures, as a description of project’s phase division and overall coordination of the project implementation plan, must be considered as a component of the project;

(2) Capital and cost estimation and funding sources for the implementation of the ESMP.

These data will also be included in the total project cost table.

5. Integration of the ESMP and the project

It is required to clearly define every measure and action to be taken. Those actions include: mitigation and monitoring measures and actions, the institutional responsibilities associated with each measure and action, and the cost of implementing them. All the content above will be contained in the project’s master plan, design, budget and implementation.

6. Construction Environmental and Social Management Plan (CESMP)

6.1 Labor Management Program

This plan is developed based on the SIA in which the workers involved in the Bank-funded subprojects are estimated based on the PIU’s typical subprojects as well as sector wide averages in line with the template of LMP.

6.2 Traffic Management Plan

155 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project This Traffic Management Plan (TMP) sets out a set of generic requirements for the traffic management during the construction of the World Bank projects in Chongqing. It is designed as general guidelines which can be adapted to the project-specific traffic management plan as part of the Environmental and Social Management Plan (ESMP) or other relevant safeguards documents of the specific project.

6.3 Waste Management Plan

(1) Waste Collection and Transport Litter and clandestine dumping

• Encourage use of containers or bags for waste at the point of collection for each household and establishment;

• Implement a regular collection schedule with sufficient frequency to avoid accumulation of garbage;

• Use vehicles appropriate for the geographic conditions and waste types to maximize reliability of collection (e.g., compactor trucks may be appropriate for neighborhoods with wide streets and low-density trash, while smaller vehicles may be appropriate for neighborhoods with narrow streets and higher-density garbage);

• Encourage separation of recyclable materials at the point of generation, so that the collection points do not become sorting points for informal sector waste pickers;

• Cover collection and transfer vehicles along the entire route of transport to avoid windblown litter;

• Clean vehicles used for waste hauling before transportation of any goods, including compost;

• Encourage residents to put waste out at designated times and locations;

• Where possible, blocking off access to dumping sites and fining illegal dumpers.

(2) Vehicle Emissions

• Emissions from on-road vehicles may be regulated through national or regional

156 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project programs.

• Optimize waste collection routes to minimize distance traveled and overall fuel use and emissions

• Implement transfer stations for small vehicles to consolidate waste into large vehicles for transportation to a treatment or disposal facility;

• Waste collection and transport vehicle owners and operators should implement the equipment manufacturers’ recommended engine maintenance, along with the mechanical maintenance for the safe operation of the vehicle, including proper tire pressure.;

• Drivers should also be instructed on the benefits of driving practices which reduce both the risk of accidents and fuel consumption, including measured acceleration and driving within safe speed limits (working with garbage truck drivers can save as much as 25% on fuel use and reduce maintenance by 15%).

(3) Waste Receipt, Unloading, Processing, and Storage

• Control of the incoming waste stream is necessary to ensure safe and effective processing, treatment, and disposal of the waste and the quality of end products.

• Use impermeable materials for roads, waste processing and storage areas, and vehicle washing areas, and install curbs to prevent runoff to permeable areas;

• Select vehicles and containers that minimize air emissions during waste loading and unloading;

Construct a buffer zone between the facility and the external environment or locate facilities away from sensitive receptors;

• Include noise and vibration considerations during design, including use of models to predict noise levels at specified noise-sensitive locations, using standardized sound power levels for construction plant;

• Maintain site roads in good condition to reduce noise and vibration from vehicle

157 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project movements;

• Use acoustic screens around fixed/mobile plant and equipment;

• Select equipment that has low noise emission levels;

• Collect biogas for use or treatment (e.g. energy recovery or flaring);

• Provide a fire alarm system, including temperature sensors in the waste being treated;

• Design the facility for access by firefighting equipment, including clear aisles among windrows and access to an adequate water supply.

6.4 Management plan of borrow area/spoil ground

Determine whether the project can balance the site's earthwork and whether it involves soil borrowing and dumping. If so, prepare the management plan of soil borrowing/dumping site as part of the environmental and social management plan (ESMP) or other relevant supporting documents of the specific project. It is necessary to refer to the general guidelines of the world bank EHS Guidelines and the guidelines for excavation of building materials.

If new borrow and spoil sites are involved, it is necessary to demonstrate the environmental sensitivity of the site, transportation route and surrounding areas (whether natural habitat, critical habitat, modified habitat, etc.) and whether they are associated facilities of the subproject, and propose engineering and management measures to mitigate the impact of new borrow and spoil sites on the environment. Suppose it involves relying on the existing borrow and spoils ground. In that case, the environmental audit should be carried out, the dependability should be investigated and analyzed, and the corresponding management measures should be put forward to slow down the impact on the environment in transportation.

6.5 Construction camp management plan

This Camp Management Plan (CMP) sets out a set of generic requirements and standards for the construction camp management for the World Bank loaned projects in Chongqing. It is

158 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project developed as general guidelines which can be adapted to the project-specific camp management plan as part of the Environmental and Social Management Plan (ESMP) or other relevant safeguards documents of the specific project.

6.6 Noise management plan

(1) Prevention and Control

Noise prevention and mitigation measures should be applied where predicted or measured noise impacts from a project facility or operations exceed the applicable noise level guideline at the most sensitive point of reception. The preferred method for controlling noise from stationary sources is to implement noise control measures at source. Methods for prevention and control of sources of noise emissions depend on the source and proximity of receptors.

(2) Monitoring

Noise monitoring may be carried out for the purposes of establishing the existing ambient noise levels in the area of the proposed or existing facility, or for verifying operational phase noise levels.

Noise monitoring programs should be designed and conducted by trained specialists.

Typical monitoring periods should be sufficient for statistical analysis and may last 48 hours with the use of noise monitors that should be capable of logging data continuously over this time period, or hourly, or more frequently, as appropriate (or else cover differing time periods within several days, including weekday and weekend workdays). The type of acoustic indices recorded depends on the type of noise being monitored, as established by a noise expert.

Monitors should be located approximately 1.5 m above the ground and no closer than 3 m to any reflecting surface (e.g., wall). In general, the noise level limit is represented by the background or ambient noise levels that would be present in the absence of the facility or noise source(s) under investigation.

6.7 Closure Management Plan of old landfills

159 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Old landfill closure subprojects are required to prepare Closure Management Plan of old landfills.

(1) Environmental management organization and responsibilities

After landfills closure, the PIUs shall set up an environmental management organization to carry out the daily environmental management. The main responsibilities of the environmental management organization are as follows:

Supervise and urge the implementation of various environmental protection measures, regularly check the operation of environmental protection facilities, organize personnel to maintain and repair environmental protection treatment equipment regularly, and ensure its integrity rate.

Establish strict operating procedures to prevent accidental discharge, formulate prevention and emergency measures plan for pollution accidents, and eliminate accidents.

Be responsible for organizing environmental protection and skill training for employees and improving their technical level of operation, maintenance, and environmental protection equipment maintenance.

Establish environmental protection information system, be responsible for sorting and statistics of environmental status and various pollutant emission data, timely report, archive and report regularly.

(2) environmental management plan in different stages

A. Design stages

The design should include environmental protection measures in the subprojects’ EIA documents and estimated an investment in those measures.

Monitor groundwater and soil status during the design phase (or reference to landfill routine monitoring data) and incorporate groundwater, soil monitoring data, and emergency response planning into the project's engineering design.

160 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project B. Construction stages

The construction unit shall send environmental protection personnel to carry out the construction site's environmental management and supervise the construction environmental protection measures.

(3) motoring plan

PIUs entrusts qualified environmental monitoring units to monitor the environmental quality around the landfill during the construction and operation stages.

6.8 Soil and groundwater motoring and management plan

According to the national legislation, such as Classified management directory of environmental protection for construction projects (2021), Technical guidelines for environmental impact assessment – groundwater environment (HJ 610-2016) and Technical guidelines for environmental impact assessment – soil environment (HJ 964-2018), subprojects that are required to do soil and groundwater environment impact assessment need prepare monitoring and management plan, including 1) mitigation measures to protect soil and groundwater environment; 2) PIUs should entrust qualified units to carry out regular monitoring, which need to be supervised by the local department of ecology and environment during construction and operation period.

6.9 Habitat conservation plan

(a) Objectives, based on the findings of the biodiversity baseline and recommendations of the environmental and social assessment or similar document(s). These might include, for example, No Net Loss or Net Gain.

(b) Activities to be carried out, along with any specific project requirements needed to achieve the intended BMP objectives. BMP activities may include, for example, new or expanded protected areas; site-specific habitat restoration, enhancement, or improved management; community benefit-sharing; livelihood restoration activities (to mitigate any

161 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project negative socio-economic impacts from newly restricted access to natural resources, in accordance with ESS5); species-specific management interventions; monitoring of project implementation or biodiversity outcomes; or support for increased financial sustainability of conservation actions.

(c) Project Requirements that the implementing entities follow to achieve BMP objectives, such as biodiversity-related prohibitions or specific restrictions for civil works contractors and project workers. These may cover, for example, the clearing or burning of natural vegetation; off-road driving; hunting and fishing; wildlife capture and plant collection; purchase of bush- meat or other wildlife products; free-roaming pets (which can harm or conflict with wildlife); and/or firearms possession. Seasonal or time-of-day restrictions may also be needed to minimize adverse biodiversity impacts during construction or operation. Examples include (i) limiting blasting or other noisy activities to the hours of the day when wildlife are least active;

(ii) timing of construction to prevent disturbance during the nesting season for birds of conservation interest; (iii) timing of reservoir flushing to avoid harming key fish-breeding activities; or (iv) curtailment of wind turbine operation during peak bird migration periods.

(d) An Implementation Schedule for the key BMP activities, taking into account the planned timing of construction and other project activities.

(e) Institutional Responsibilities for BMP implementation.

(f) Cost Estimates for BMP implementation, including up-front investment costs and long- term recurrent costs. The BMP also specifies the funding sources for project implementation as well as recurrent operating costs.

6.10 Occupational Health and Safety management plan

Contractors should implement risk management strategies and measures to protect the community from physical, chemical, or other hazards associated with the construction phase.

These measures will include actions related to traffic safety and management, on-site access

162 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project control, such as fences and warning signs, removal of hazardous conditions at the site, community awareness measures, noise and odor control, and control of the spread of garbage and waste outside waste management sites. Besides, requirements and measures of EHS

General Guidelines and other related guidelines should be taken into consideration.

6.11 Emergency Preparedness and Response Plan

This plan should require risk contingency management for the World Bank's specific projects during construction projects in Chongqing and be a part of the Environmental and

Social Management Plan (ESMP) or other relevant safeguards documents for particular projects. The temple of this plan is in appendix 11.

6.12 Stakeholder Engagement Plan (SEP)

The details of SEP are in Overall Stakeholder Engagement Plan.

6.13 Community Health and Safety management plan

The Plan should be developed in line with the ESS4 of ESF and the EHSGs-General.

Specifically, the contractor should implement risk management strategies and measures to protect the community from physical, chemical, or other hazards associated with the construction phase. These will include measures related to traffic safety and management, site access controls, such as fencing and warning signs, removal of hazardous conditions on site, community awareness-raising measures, noise and odor control, and control of spreading of garbage and litter outside of the waste management site.

163 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Appendix 5 Outline of Environmental and Social Due Diligence Appendix 5-1 Outline of Environmental Due Diligence

1. Introduction

- Project background

- Enterprise profile

- Project description

- Goals and scope of due diligence

- Methods of due diligence

2. Conclusion of environmental due diligence

（1） Environment and safety management system

• Policy and system of the enterprise environment and safety management

• Organization and personnel of the environment and safety management

• Environment and safety management procedure and monitoring mechanism

（2） Pollution control and up-to-standard discharge

• Wastewater, waste gas and solid waste production of the enterprise;

• The operation status of the treatment facilities for ‘the three wastes’;

• The situation of the enterprise’s up-to-standard discharge;

（3） Safe production

• Safety production facilities compliance;

• Protective measures for workers;

• Management status of hazardous chemical substances;

• Training and certification status;

（4） Energy and resource utilization

• Status survey on water saving, energy saving and cleaner production;

（5） Community health, safety and impacts survey

• Distribution of sensitive points in surrounding communities;

• Community survey: to figure out the environmental, safety and health impacts of

enterprise production on surrounding residents;

164 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

（6） Related party investigation

• Interview with relevant departments

• Illegal records check on the enterprise

3. Conclusion of due diligence

4. Suggestions on environmental rectification actions

165 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Appendix 5-2 Indicative Outline of Social Audit

The aim of the audit is to identify significant social issues in the existing project or activities, and assess their current status, specifically in terms of meeting the requirements of the ESSs.

(a) Executive Summary

• Concisely discusses significant findings and sets out recommended measures and actions and timeframes.

(b) Legal and Institutional Framework

• Analyzes the legal and institutional framework for the existing project or activities, including the issues set out in ESS1, paragraph 26, and (where relevant) any applicable social requirements of existing financiers.

(c) Project Description

• Concisely describes the existing project or activities, and the social, and temporal context and any Associated Facilities.

• Identifies the existence of any plans already developed to address specific social risks and impacts (e.g., land acquisition or resettlement plan, cultural heritage plan, biodiversity plan).

• Includes a map of sufficient detail, showing the site of the existing project or activities and the proposed site for the proposed project.

(d) Social Issues Associated with the Existing Project or Activities

• The review will consider the key risks and impacts relating to the existing project or activities. This will cover the risks and impacts identified in ESSs1-10, as relevant to the existing project or activities. The audit will also review issues not covered by the ESSs, to the extent that they represent key risks and impacts in the circumstances of the project.

(e) Social Analysis

• The audit will also assess (i) the potential impacts of the proposed project (taking into account the findings of the audit with regard to the existing project or activities); and (ii) the

166 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project ability of the proposed project to meet the requirements of the ESSs.

(f) Proposed Social Measures

• Based on the findings of the audit, this section will set out the suggested measures to address such findings. These measures will be included in the Social Commitment Plan (SCP) for the proposed Project. Measures typically covered under this section include the following:

• specific actions required to meet the requirements of the ESSs

• corrective measures and actions to mitigate potentially significant social risks and impacts associated with the existing project or activities

• measures to avoid or mitigate any potential adverse social risks or impacts associated with the proposed project.

167 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Appendix 6: LMP template Note: This is a living document. The current version is developed based on the SIA in which the workers involved in the Bank-funded subprojects are estimated based on the PIU’s typical subprojects as well as sector wide averages.

1. Overview of Project Workers by Subprojects

One para. to introduce the subproject(s).

One para. to introduce the working time (by sub-types) according to the PIUs management and HR policy

Table 1: Project Workers for the Subproject(s)

Primary Direct Contracted Community Types of Workers Supply Workers Workers Workers Workers Existing No. of Workers (if have) No. of Workers for Subproject 1 Construction Incremental No. of Workers for Operation Existing No. of Workers(if have) No. of Workers for Subproject 2 Construction Incremental No. of Workers for Operation Existing No. of Workers(if have) No. of Workers for Subproject 3 Construction Incremental No. of Workers for Operation 2. Assessment of Significant Potential Labor Risks

The social audit of existing transfers stations, SIA for the 1st batch of subprojects and anecdote desktop studies concluded below potential labor risks are of negligible or low probability:

• Child labor;

• Forced labor;

• Gender-based violence (GBV);

168 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

• COVID-19.

Key labor risks at existing facilities: As part of the SA, the social audit evaluates the performance of labor and working conditions for the three transfer stations to be expanded or upgraded. Table 2 summarizes the key labor risks that need to be mitigated by proposing additional and appropriate mitigation measures.

Table 2: Site Specific Labor Risks at Existing Transfer Stations

Existing Primary Supply Direct Workers Contracted Workers Facilities Workers • Sanitary risk with • • Jieshi, refers to locality or Transfer positions Stations •

Xiajiaba • • • Transfer Station Zouma • • • Transfer Station Source: Social audit on existing facilities by the social consultants in November 2020.

Key Labor Risks at new investment activities: The SIA screened and assessed key labor risks which may be associated with the first batch of five subprojects (see, for example, those set out in legal provisions as well as ESS2 and the GN). These could include (refers to the Section XX of the SIA report):

(a) Construction Stage:

• Accidents and injuries associated with contracted workers for construction at all

five subprojects;

• Exposing COVID-19 virus to PIU/PMO staff, workers in existing facilities, and local

communities.

• Physical harms

(b) Operational Stage:

• XXX

• XX

• XX

• XX

169 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project 3. Brief Overview of Labor Legislation: Terms and Conditions

Applicable laws and regulations related to labor and working conditions in the case of the first batch subprojects are listed in Table 4.

Table 4 Applicable PRC Laws Concerning Labor and Working Conditions

No. Title Effective Year

1 Labor Law of PRC Amended in 2018

Provisions of the State Council on Working Hours of Workers and 2 1995 Staff

3 Emergency incident response Law of PRC 2007

4 Regulation on the Implementation of PRC’s Labor Contract Law 2008

5 Labor Contract Law of PRC Amended in 2012

6 Special Rules on Labor Protection of Female Employees 2012

7 Occupation Disease Prevention and Control Law Amended in 2018

8 Interim Provisions on payment of Wages 1995

9 Social Insurance Law of PRC Amended in 2018

Regulations on Labor Protection in Workplaces with Toxic 10 2002 Substances

11 Regulations on the Prevention and Treatment of pneumoconiosis 1987

12 Law of PRC on the Protection of Minors Amended in 2020

13 Law of PRC on the Protection of Disabled Persons Amended in 2018

14 Labor Dispute Mediation and Arbitration Law of PRC 2007

15 Labor Union Law of PRC Amended in 2009

16 Provisions on Collective Contracts of Chongqing City 2017

Specification on Employee Representative Assembly of Chongqing 17 2011 City (Trial) Regulations of Chongqing City on the Protection of workers' rights 18 2011 and Interests

19 Regulations on Labor Union of Chongqing City Amended in 2012

170 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

No. Title Effective Year

Interim Provisions of Chongqing City on Maternity Insurance for 20 Amended in 2018 Workers Regulations of Chongqing City on Proportionally Arranging 21 2004 Employment of Disabled Persons Regulations of Chongqing City on Labor Union of Foreign-invested 22 1993 Enterprises Regulations of Chongqing City on the Protection of Women's 23 2008 Rights and Interests Measures of Chongqing City for the implementation of the Law on 24 Amended in 2010 Assemblies, Processions and Demonstrations of PRC

25 Regulations of Chongqing City on the Protection of Minors 2010

Regulations of Chongqing City on the Protection of Disabled 26 2011 Persons

27 Regulations of Chongqing City on Unemployment Insurance Amended in 2011

Measures of Chongqing City on Mediation and Arbitration of Labor 28 2010 Disputes Measures of Chongqing City on the Protection of the Rights and 29 2005 Interests of Rural Migrant Workers and Service Administration

30 Minimum Wage Guarantee Provisions of Chongqing City 2001

Source: Desktop study by the social consultant.

Below is the overview of the key aspects of relevant laws, especially PRC’s Labor Law

(2018), with regards to terms and conditions of work (ESS2, para 11).

Wages

The distribution of wages shall follow the principle of distribution according to the nature of work and equal pay for equal work.

The employer is required to sign an agreement in writing with each worker. A labor agreement will determine the form of wage distribution and wage level for the workers on basis of the characteristics of enterprise’s production and business and economic results (Article 47 of the Labor Law). The workers should be paid above the latest local minimum wage standard issued by each provincial government on an annual basis

(Article 48 of the Labor Law). Wages should be paid to workers in form of currency monthly, which should not be deducted or delayed without justification (Article 50 of the

Labor Law).

171 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Working Hours

According to the Labor Law of PRC and Provisions of the State Council on Working hours

of Workers and Staff, duration of work will not exceed 44 hours per weeks or eight hours

per day on average.

In case of specific circumstances, the extended working hours will not exceed 3 hours per

day and 36 hours in total per month (Article 41 of the Labor Law). The juvenile workers

(16-18 years old) should not be involved in overtime working.

Rest Breaks

Article 38 of the Labor Law specifies that the employer should guarantee that workers

have at least one day off in a week.

Leaves

A system of annual leave with pay will be applied. Workers who have kept working for one year in one unit and more shall be entitled to annual leave with pay (Article 45 of the

Labor Law).

If a worker works for one unit more than one year and less than 10 years, he or she is

entitled to annual leave of 5 days; If a worker works with one unit more than 10 year and

less than 20 years, he or she is entitled to is annual leave of 10 days; If a worker works

with one unit more than 20 years, he or she is entitled to is annual leave of 15 days.

National statutory holidays and rest days (such as the spring festival, the National day,

and the international Labor Day) are not counted as annual leaves. Leave does not include

a period of temporary disability, and maternity leave.

After childbirth, the female workers shall be entitled to no less than ninety days of

maternity leaves with pay, and subject to the regulations of each province of China.

Overtime Working

Working hours might be extended due to the requirements of its production or business

after consultation with the trade union and workers, but the extended working hour for

a day shall generally not exceed three hours; if such extension is called for due to special

reasons, the extended hours shall not exceed three hours a day under the condition that

the health of workers is guaranteed. However, the total extension in a month shall not

exceed thirty-six hours (Article 41 of the Labor Law)

172 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project The workers should be paid higher wages than those for normal working hours under any of the following circumstances (Article 44 of the Labor Law of the People’s Republic of

China -2009 Amendment):

a. To pay no less than 150 percent of the normal wages if the extension of working

hours is arranged;

b. To pay no less than 200 percent of the normal wages if the extended hours are

arranged on rest days and no deferred rest can be taken; and,

c. To pay no less than 300 percent of the normal wages if the extended hours are

arranged on statutory holidays.

Labor Disputes

The Labor Law of PRC includes provisions that allow workers to resolve disputes in cases where there is a disagreement between the employer and the employee over the essential terms and conditions of a labor agreement or other aspects of work.

The well-developed mediation system covers labor disputes through an enterprise committee under the official trade union system. Workers may also directly lodge a complaint through the labor bureau.

Article 79 of Labor law stipulated that: Where a labor dispute takes place, the parties involved may apply to the labor dispute mediation committee of their unit for mediation; if the mediation fails and one of the parties requests for arbitration, that party may apply to the labor dispute arbitration committee for arbitration. Either party may also directly apply to the labor dispute arbitration committee for arbitration. If one of the parties is not satisfied with the adjudication of arbitration, the party may bring the case to a court.

In addition, a labor dispute mediation committee could be established inside the enterprise. The committee shall be composed of representatives of the staff and workers, representatives of the enterprise, and representatives of the trade union. The chairman of the committee shall be held a representative of the trade union. Agreements reached on labor disputes through mediation shall be implemented by the parties involved

(Article 80 of the Labor Law).

4. Brief Overview of Labor Legislation: Occupational Health and Safety

173 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project In PRC, there are over one hundred technical specifications and standards for prevention and control of occupational safety and diseases under the Labor Law system. These technical specifications and standards are developed based on the industrial best practice or updated toward the industrial best practice, i.e. WHO, and relevant technical codes/norms of EU or USA, and the requirements of the International Labor Conventions

23 . These technical specifications and standards become compulsory to apply in the design and operation of the facilities.

The Labor Law requires the employer must establish a complete system for occupational health and safety and strictly apply all the relevant occupational health and safety measures and standard and provide training on occupational health and safety to employees.

The Labor Contract Law explicitly requires that the employer shall provide the information to the workers at the beginning of the working relationship on the duties, working conditions, working place, occupational hazards, status of occupational safety and health facilities, wage, and other information if the workers request. The employer should get agreement with the workers before any change of the contract.

In terms of the Labor Law, the employer must establish and maintain a sound system for occupational safety and health, strictly implement the rules and standards of the State on occupational safety and health, educate workers on occupational safety and health, prevent accidents in the process of work, and reduce occupational hazards. Facilities of occupational safety and health must meet the standards stipulated by the State. The employer must provide workers with occupationally safe and healthy conditions conforming to the provisions of the State and necessary Articles of Labor protection and providing regular health examination for workers engaged in work with occupational hazards. Workers to be engaged in specialized operations must receive specialized training and acquire qualifications for such special operations. Moreover, workers have

23 So far, China has signed 25 of the International Labor Conventions, including Convention on Equal Pay for Equal Work (100th convention), Minimum Employment Age Convention (138th convention), The Worst Forms of Child Labor Convention (182th convention), and Employment and Occupation Discrimination Convention (111th convention), etc.

174 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project the right to refuse to operate if the management personnel of the employer command the operation in violation of rules and regulations or force workers to run risks in operation;

Workers shall have the right to criticize, report or file charges against the acts endangering the safety of their life and health.

The special protection for female and juvenile workers (16-18 years old) shall be provided. Prohibition of engagement in work down the pit of mines and Grade IV physical labor intensity for female workers, protections for female workers during menstrual period, pregnancy and breast-feeding are specified. No juvenile workers shall be arranged to engage in work down the pit of mines, work that is poisonous or harmful, work with Grade IV physical labor intensity as stipulated by the State, or other work that they should avoid. Regular physical examinations to juvenile workers should be provided by the employer.

This section sets out the key aspects of the national labor legislation with regards to OHS which relates to the items set out in ESS2, paragraphs 24 to 30. Below provides a general review of key regulations, which will be updated when the site-specific information of a subproject is known, and its different categories of workers are identified in Section 2.

COVID-19 Consideration

This section should set out relevant legislation and new regulations, government orders or advisories for addressing health and safety issues relevant to COVID-19. Identification of national guidelines with respect to COVID-19 measures is important (to the extent they exist). The degree to which these guidelines are up-to-date and capture good international industry practice (GIIP) should be detailed. If the Government has not published any such guidelines, reference should be made to WHO guidelines and other guidelines that may be useful. Further legislation that may be relevant could include regulations on:

• building and operation of medical waste facilities

• national protocols for disease prevention, screening

• containment/isolation, disposal of medical waste

• monitoring, supervision and reporting by key personnel

• development and testing of vaccines

175 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

• emergency preparedness and response

• roles and responsibilities of key government agencies.

Reference may also be made to applicable international conventions, and directives for addressing health and safety issues relevant to COVID-19, such as:

• ILO Occupational Safety and Health Convention, 1981 (No. 155)

• ILO Occupational Health Services Convention, 1985 (No. 161)

• ILO Safety and Health in Construction Convention, 1988 (No. 167)

• WHO International Health Regulations, 2005

• WHO Emergency Response Framework, 2017

• EU OSH Framework Directive (Directive 89/391)

5. Responsible Staff

This section identifies the functions and/or individuals within the subproject responsible for (as relevant):

• Engagement and management of project workers

• Engagement and management of contractors/subcontractors

• Occupational health and safety (OHS)

• Training of workers

• Addressing worker grievances

The PIUs are committed as per the Environmental and Social Commitment Plan (ESCP) to assign dedicated staff to be responsible for the following:

• Engagement, management and monitoring of labor and working conditions for

direct workers to maintain compliance with the requirements of China’s

regulations and ESS2;

• Supervising the reception, registration and addressing any

complaints/grievances received from the different stakeholders;

• Monitoring the occupational health and safety (OHS) issues and performance

across all sites and activities of the project.

• Orientation of all types of workers;

• Preparation/review of ToRs related to environmental and social assessments

176 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

• Preparation and review of contract clauses for contractors.

• Monitoring the implementation of the ESMPs and ensure correct implementation

as per the WB requirements and national legislations by reviewing Contractor’s

EHS reports, conducting site visits where required

• Prepare and deliver reports on the ESMPs and EHS performance as required to

Lending and/or regulatory institutions.

• Coordinating and leading awareness campaigns and capacity building needs;

• Coordinating sub-contractors regarding the requirements of contractor’s ESMP;

• Responding to the results of internal and external (lenders or regulatory)

monitoring visits/ inspections;

• Include COVID-19 specific measures according to contractual agreements;

• Monitor, supervise, and report on health and safety issues relating to COVID-19

(COVID-19 focal point), including details of key responsibilities and reporting

arrangements vis-a -vis the project’s Supervising Engineer and the main

contractor;

• Raising awareness and training of workers in mitigating the spread of COVID-19;

• Assessment, triaging and treatment of patients and/or workers infected with

COVID-19.

The External Social Monitor will monitor and evaluate the performances of relevant types of workers in the project following the TOR to the satisfaction of the World Bank.

The Contractor will have to comply with the requirements of ESS2 which will be incorporated into contractual agreements. The contractor has to pass the requirements to all his sub-contractors (if any). The following represents a list of their responsibilities that needs to be taken into account in a subproject-specific LMP:

• Prepare and implement subproject specific labor management procedure, OHS

plans;

• Develop labor management procedure and occupational health and safety plan.

These procedures and plans will be submitted to the PIUs for review and

approval;

• Maintain records of recruitment and employment process of contracted workers;

177 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

• Communicate clearly job description and employment conditions to contracted

workers;

• Develop, and implement workers’ grievance mechanism and address the

grievance received from the contracted workers;

• Have a system for regular review and reporting on labor, and OHS performance;

• Deliver regular induction (including social induction) and HSE training to

employees;

• Ensure that all contractor workers understand and sign the working

requirements prior to the commencement of works;

• After the bidding process is completed and the contractor(s) are known, this

labor management procedure can be updated to include additional details about

contracting companies, as necessary;

• Facilitate periodic audits, inspections, and/or spot checks of project locations or

work sites and/or of labor management records and reports conducted by the

PIUs and/or third parties;

• Coordination and reporting arrangements between contractors;

• Implement COVID-19 specific measures set out in contractual agreements;

• Monitor, supervise, and report on health and safety issues relating to COVID-19

(COVID-19 focal point),

• Raising awareness and training of contracted workers in mitigating the spread of

COVID-19.

6. Policies and Procedures

This section sets out information on OHS, reporting and monitoring and other general project policies. Where relevant, it identifies applicable national legislation. If relevant, this section will outline how to address significant safety risks and risks of forced labor.

As required by China’s Labor Law, all enterprises and institutes in China are required to establish a labor management system, polices or procedure, although the content may vary a bit in terms of breadth and in-depth for differing types and sizes of enterprises.

Once a subproject is identified and ESS2 is confirmed relevant, this section will list the

178 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project labor management procedures, policies and systems established by the sub-borrower. A comparative analysis will be carried out to identify the gaps against PRC’s labor regulations, and the requirements of ESS2. Supplementary procedures will be developed in this section to bring the sub-borrower’s labor management polices and procedures in alignment with both PRC’s regulations and standards as well as the requirements of ESS2.

Once significant risks of forced labor or safety risks are identified and assessed for a subproject, this section will outline the mitigation measures to address the risks and the responsible parties.

• Identification of all potential hazards affecting the physical, mental and social

well-being of project workers in all occupations, with focus on life threatening

hazards (including COVID-19).

• Provision of appropriate measures to prevent and protect against the potential

hazards, including modifying, substituting, or eliminating the hazard sources.

• Developing and implementing an Emergency Prevention and Preparedness and

Response arrangements to eProvision of remedies for adverse impacts such as

occupational injuries, deaths, disability and disease.

• Putting in places processes which enable project workers to report work

situations that they believe are not safe or healthy.

COVID-19 Considerations

Projects need to assess the risks posed by COVID-19, and identify what measures may be implemented. Specific procedures should be adopted to address hygiene and social distancing, as well as what should be done if workers become sick.

For projects involving construction/civil works, contractors should develop specific procedures or plans so that adequate precautions are in place to prevent or minimize an outbreak of COVID-19, and it is clear what should be done if a worker gets sick. Details of issues to consider are set out in Section 5 of the World Bank’s Interim Note: COVID-19

Considerations in Construction/Civil Works Projects.

7. Age of Employment

China’s Labor Law (2018) defines minimum working age at 16, which is more stringent than the requirements of ESS 2 (14 years old).

179 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Both China’s Labor Law (2018) and Regulation on Special Protection for Juvenile Workers

(1994) sets out specific protection for juvenile workers (aged from 16 to 18). Juvenile workers should be prohibited in working in a few hazardous positions such in unhealthy, hazardous or toxic circumstance, during the night, with dangerous machinery, equipment or tools, or involving handling or transport of heavy loads.

The PMO/PIU as well as its contractor(s) and primary suppliers(s) are required to verify the identify and age of all workers to assure no child labor will be employed or engaged with the subproject. This will require workers to provide official documentation, which could include a birth certificate, national identification card, or medical or school record.

The PIUs should ensure that no child labor should be employed or engaged in the subprojects. If a child under the minimum age is identified working on the project, measures will be taken to immediately terminate the employment or engagement of the child in a responsible manner, considering the best interest of the child.

The PMO/PIU shall not employ or engage the juvenile workers (if any) in any of the specific conditions that are prohibited the legal provisions and ESS2 (paragraph 18-19).

All the juvenile workers should be registered with the local labor authority. A health examination will be carried out for a juvenile worker before onboarding, which will be carried regularly on a six-month basis until he/she reaches 18 years old.

8. Terms and Conditions

As shown in legal review (Section 4 in this template), China has established comprehensive regulations regarding terms and conditions for a labor contract, which are deemed in alignment with relevant requirements of ESS2. The employer should sign a labor contract in writing with an employee. The labor contract should cover the basic terms and conditions, including the term of specific job positions, work content and place of work, work time and rest time, labor remuneration, bonus and social insurances, labor protection, labor conditions and protection against occupational hazards, and specified economic compensation. The content of a labor contract should be reached through prior consensus between the employer and an employee, without any violation against China’s labor related regulations and the requirements of ESS2.

The contractors’ labor management procedure will set out terms and conditions for the

180 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project contracted workers. These terms and conditions will be in alignment, at minimum, with this LMP.

9. Grievance Mechanism

A complaint mechanism must be provided for all direct staff and contract workers to raise complaints about workplace issues. At the time of recruitment, the PMO/PIU should inform all project staff promptly of the complaint mechanism and the measures taken to prevent retaliation for their use of the mechanism. At the same time, measures should be taken to make the appeal mechanism convenient for all project staff. The appeal mechanism will be consistent with the nature and scale of the project as well as the potential risks and impacts.

The purpose of the complaint mechanism is to resolve issues immediately through easy to understand and transparent procedures, and to provide a channel for timely feedback on relevant issues in a language they understand (no retaliation). The appeal mechanism should be implemented in an independent and objective way. Existing complaint mechanisms can be used provided that they are properly designed and implemented, that problems can be resolved in a timely manner, and that these project staff are ready to use.

The existing appeal mechanism can be supplemented according to the needs and specific project arrangements.

The appeal mechanism should not prevent the staff from seeking remedies from the law or the existing arbitration procedures through other judicial or administrative channels, nor should it replace other complaint mechanisms established by collective agreement.

The construction contractors will prepare their labor management procedure before subproject construction, which will also include detailed description of the workers grievance mechanism. The workers grievance mechanism will include:

• A procedure to receive grievances such as comment/complaint form, suggestion

boxes, email, a telephone hotline;

• Stipulated timeframes to respond to grievances;

• A register to record and track the timely resolution of grievances;

• A responsible unit to receive, record and track resolution of grievances.

The workers grievance mechanism will be described in staff induction trainings, which

181 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project will be provided to all project workers. The mechanism will be based on the following principles:

• The process will be transparent and allow workers to express their concerns and

file grievances.

• There will be no discrimination against those who express grievances and any

grievances will be treated confidentially.

• Anonymous grievances will be treated equally as other grievances, whose origin

is known.

• Grievances will be seriously treated and timely and appropriate action in

response will be taken.

Information about the existence of the grievance mechanism will be readily available to all project workers (direct and contracted) through subproject website, staff meetings, and other means as needed.

The subproject workers’ grievance mechanism will not prevent workers to use conciliation procedure provided in the China’s Labor Law. The basic procedures are:

Stage 1: The party that asks for arbitration shall file a written application to the labor dispute arbitration committee within 60 days starting from the date of the occurrence of labor dispute. In general, the arbitration committee shall produce a ruling within 60 days after receiving the application. The parties involved shall implement arbitration rulings if they do not have any objections to these rulings. Labor dispute arbitration committees shall be composed of the representatives of labor administrative departments, representatives from trade unions at the same level, and the employer representatives.

The chairmanship of such a committee shall be held by the representative of a labor administrative department.

Stage 2: If any of the parties involved in a labor dispute has objections to an arbitration ruling, it can raise a lawsuit with the People’s Court within 15 days after receiving the ruling.

10. Contractor Management

The Bank procurement policy requires tendering documents shall include labor and OHS requirements. As part of the process to select construction contractors who will engage

182 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project contracted workers, the PMO/PIU may review the following information:

• Information in public records, for example, corporate registers and public

documents relating to violations of applicable labor law, including reports from

labor inspectorates and other enforcement bodies;

• Business licenses, registrations, permits, and approvals;

• Documents relating to a labor management system, including OHS issues, for

example, labor management procedures;

• Identification of labor management, safety, and health personnel, their

qualifications, and certifications;

• Workers’ certifications/permits/training to perform required work;

• Records of safety and health violations, and responses;

• Accident and fatality records and notifications to authorities;

• Records of legally required worker benefits and proof of workers’ enrollment in

the related programs;

• Worker payroll records, including hours worked and pay received;

• Identification of safety committee members and records of meetings; and

• Copies of previous contracts with contractors and suppliers, showing inclusion of

provisions and terms reflecting ESS2.

Any contractor using child labor or with historic child labor use should NOT be eligible for biding. The contracts with selected contractors will include provisions related to labor and occupational health and safety, as set out in ESS2 and China’s regulations.

Contractors’ labor management records and reports may include:

• A representative sample of employment contracts or arrangements between

third parties and contracted workers;

• Records relating to grievances received and their resolution;

• Reports relating to safety inspections, including fatalities and incidents and

implementation of corrective actions;

• Records relating to incidents of non-compliance with national law; and

• Records of training provided for contracted workers to explain labor and working

conditions and OHS for the subproject.

183 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project 11. Primary Supply Workers

This section sets out the procedure for monitoring and reporting on primary supply workers.

• As part of the Social Assessment, the PMO/PIU will identify the potential risks of

child labor, forced labor and serious safety issues associated with primary

suppliers.

• The social assessment will identify, as far as possible, the types of raw materials

for goods supplied by primary suppliers. The raw materials of the goods may

come from local, domestic or foreign countries. If it is determined that there are

child labor, forced labor and serious safety risks, or that such risks are prevalent

or known in a particular sector, industry or region in the supply of such goods and

raw materials, the problem should be marked in order to identify potential

suppliers and the extent to which such risks are likely to arise.

• If it is not possible to identify specific primary suppliers, review and assess

general industry labor issues and risks in the supply of such goods and raw

materials. Regular reassessment of potential risks to primary suppliers during

project implementation will also help. Tracking supplier performance helps to

understand whether relevant procedures and mitigation measures are properly

implemented, performance feedback and whether there are new risk areas.

• If there are significant risks related to the employment of child labor or forced

labor in the staff of the main supplier, the PMO/PIU will require the main supplier

to identify these risks. The LMP should set out the roles and responsibilities of

supervising primary suppliers. If it is determined that child labor or forced labor

is employed, the PMO/PIU will require the main supplier to take appropriate

measures to remedy it.

• In addition, if there is a significant risk of serious security problems for the staff

of primary suppliers, the PMO/PIU country will require the primary suppliers to

introduce procedures and mitigation measures to address these security issues.

These procedures and mitigation measures should be regularly reviewed to

determine their effectiveness.

184 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

• The ability of the borrower to cope with these risks depends on the degree of

management control or influence of the borrower on its primary suppliers. In the

event of failure to implement the remedial measures, the borrower shall, within

a reasonable period of time, replace the main supplier of the project with one that

can demonstrate that it meets the relevant requirements of this environmental

and social standard.

185 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Appendix 7 Resettlement Framework

1. Introduction

This Resettlement Framework (RF) is developed for Chongqing Urban-Rural Integrated

Plastic Waste Comprehensive Management Project (the Project). The project PIUs has agreed to apply World Bank environmental and social framework in the design and implementation of this project, including ESS5 on Land Acquisition, Restrictions on

Land Use and Involuntary Resettlement.

At this stage, the specific subprojects are not known and will be identified during the project implementation by the PIUs. Accordingly, it is impossible to determine the extent of resettlement planning requirements. The purpose of the RF is to clarify resettlement principles, organizational arrangements, and design criteria to be applied to subprojects or project components to be prepared during project implementation. Once the subproject or individual project components are defined and the necessary information becomes available, such a framework will be expanded into a specific plan proportionate to potential risks and impacts. Project activities that will cause physical and/or economic displacement will not commence until such specific plans have been finalized and approved by the Bank.

2. Objective of Resettlement, Definitions and Key Principles

As mentioned above, this RF is prepared on basis of ESS5 on Land Acquisition, Restrictions on Land Use and Involuntary Resettlement, and the overall objectives are:

- To avoid involuntary resettlement or, when unavoidable, minimize involuntary

resettlement by exploring project design alternatives.

- To avoid forced eviction

- To mitigate unavoidable adverse social and economic impacts from land acquisition

or restrictions on land use by a) providing timely compensation for loss of assets at

replacement cost and b) assisting displaced persons in their efforts to improve, or at

least restore, their livelihoods and living standards, in real terms, to pre-

displacement levels or to levels prevailing prior to the beginning of project

implementation, whichever is higher.

186 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

- To improve living conditions of poor or vulnerable persons who are physically

displaced, through provision of adequate housing, access to services and facilities

and security of tenure.

- To conceive and execute resettlement activities as sustainable development

programs, providing sufficient investment resources to enable displaced persons to

benefit directly from the project, as the nature of the project may warrant.

- To ensure that resettlement activities are planned and implemented with

appropriate disclosure of information, meaningful consultation, and the informed

participation of those affected.

3. Preparation and Approval Procedures for Resettlement Plan

The Project is unlikely to involve in large-scale land acquisition and resettlement. The permanent land occupation will be likely induced by construction of facilities related to waste transfer and treatment stations. In addition, some facilities are likely to be expanded in existing stations where land has already been reserved by the PIUs. As identified in the preparation stage, no subproject will involve land acquisition of more than 80 mu.

In case where land acquisition and resettlement (LAR) has been undertaken and completed for the subprojects, a due diligence 24 shall be undertaken to determine whether the LAR undertaken is complied with national laws and regulations of China, and in case of non-compliance, a corrective plan shall be prepared that is acceptable to

WB.

In case where the LAR will be undertaken by a subproject, a RP should be prepared and implemented according to national regulations and relevant requirements of ESS5. The preparation and implementation of the RP (including the payment of all resettlement costs) will be the responsibility of the PIUs. Compensation, resettlement, and restoration

24 The due diligence should review prior resettlement within a time frame of approximately three years close to specific subprojects but will consider of the context of specific subproject and significance of the prior resettlement case by case 25 Impacts are considered "minor" if the affected people are not physically displaced and less than 10% of their productive assets are lost.

187 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project will not begin until the RP is cleared by the WB prior to the commencement of civil works construction. The RP should be disclosed locally and on PIUs and World Bank’s website and revised in accordance with feedbacks for the disclosure.

The main contents of RP should include: a. General description of the subproject：general description of the subproject and identification of the subproject area. b. Identification of potential impacts of the subproject, including:

- the project components or activities that give rise to displacement, explaining why

the selected land must be acquired for use within the timeframe of the project;

- the zone of impact of such components or activities;

- the scope and scale of land acquisition and impacts on structures and other fixed

assets;

- any project-imposed restrictions on use of, or access to, land or natural resources;

- alternatives considered to avoid or minimize displacement and why those were

rejected; and

- the mechanisms established to minimize displacement, to the extent possible, during

project implementation . c. Objectives: the main objectives of the resettlement program; d. Census survey and baseline socioeconomic studies. The findings of socioeconomic studies to be conducted in the early stages of project preparation and with the involvement of potentially displaced people, surveying land, structures and other fixed assets to be affected by the project . The census survey also serves other essential functions:

- identifying characteristics of displaced households, including a description of

production systems, labor, and household organization; and baseline information on

livelihoods (including, as relevant, production levels and income derived from both

formal and informal economic activities) and standards of living (including health

status) of the displaced population;

- information on vulnerable groups or persons for whom special provisions may have

to be made;

188 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

- identifying public or community infrastructure, property or services that may be

affected;

- providing a basis for the design of, and budgeting for, the resettlement program;

- in conjunction with establishment of a cutoff date, providing a basis for excluding

ineligible people from compensation and resettlement assistance; and

- establishing baseline conditions for monitoring and evaluation purposes . e. Legal framework: The findings of an analysis of the legal framework, covering:

- the scope of the power of compulsory acquisition and imposition of land use

restriction and the nature of compensation associated with it, in terms of both the

valuation methodology and the timing of payment;

- the applicable legal and administrative procedures, including a description of the

remedies available to displaced persons in the judicial process and the normal

timeframe for such procedures, and any available grievance redress mechanisms that

may be relevant to the project;

- laws and regulations relating to the agencies responsible for implementing

resettlement activities; and

- gaps, if any, between local laws and practices covering compulsory acquisition,

imposition of land use restrictions and provision of resettlement measures and ESS5,

and the mechanisms to bridge such gaps . f. Institutional framework: covering the identification of agencies responsible for resettlement activities that may have a role in project implementation; an assessment of their institutional capacity, and any steps that are proposed to enhance their institutional capacity; g. Eligibility: Definition of displaced persons and criteria for determining their eligibility for compensation and other resettlement assistance, including relevant cutoff dates. h. Valuation of and compensation for losses: The methodology to be used in valuing losses to determine their replacement cost; and a description of the proposed types and levels of compensation for land, natural resources and other assets under local law and such supplementary measures as are necessary to achieve replacement cost for them.

189 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project i. Community participation. Involvement of displaced persons (including host communities, where relevant):

- a description of the strategy for consultation with, and participation of, displaced

persons in the design and implementation of the resettlement activities;

- a summary of the views expressed and how these views were taken into account in

preparing the resettlement plan;

- a review of the resettlement alternatives presented and the choices made by

displaced persons regarding options available to them; and

- institutionalized arrangements by which displaced people can communicate their

concerns to project authorities throughout planning and implementation, and

measures to ensure that such vulnerable groups as indigenous people, ethnic

minorities, the landless, and women are adequately represented. j. Implementation schedule. An implementation schedule providing anticipated dates for displacement, and estimated initiation and completion dates for all resettlement plan activities. The schedule should indicate how the resettlement activities are linked to the implementation of the overall project. k. Costs and budget. Tables showing categorized cost estimates for all resettlement activities, including allowances for inflation, population growth, and other contingencies; timetables for expenditures; sources of funds; and arrangements for timely flow of funds, and funding for resettlement, if any, in areas outside the jurisdiction of the implementing agencies. l. Grievance redress mechanism. The plan describes affordable and accessible procedures for third-party settlement of disputes arising from displacement or resettlement; such grievance mechanisms should take into account the availability of judicial recourse and community and traditional dispute settlement mechanisms. m. Monitoring and evaluation. Arrangements for monitoring of displacement and resettlement activities by the implementing agency, supplemented by third-party monitors as considered appropriate by the Bank, to ensure complete and objective information; performance monitoring indicators to measure inputs, outputs, and outcomes for resettlement activities; involvement of the displaced persons in the

190 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project monitoring process; evaluation of results for a reasonable period after all resettlement activities have been completed; using the results of resettlement monitoring to guide subsequent implementation . n. Arrangements for adaptive management. The plan should include provisions for adapting resettlement implementation in response to unanticipated changes in project conditions, or unanticipated obstacles to achieving satisfactory resettlement outcomes.

Additional planning requirements where resettlement involves physical displacement: When project circumstances require the physical relocation of residents or businesses, resettlement plans require additional information and planning elements.

Additional requirements include: a. Transitional assistance. The plan describes assistance to be provided for relocation of household members and their possessions or business equipment and inventory. The plan describes any additional assistance to be provided for households choosing cash compensation and securing their own replacement housing, including construction of new housing. If planned relocation sites (for residences or businesses) are not ready for occupancy at the time of physical displacement, the plan establishes a transitional allowance sufficient to meet temporary rental expenses and other costs until occupancy is available . b. Site selection, site preparation, and relocation. When planned relocation sites are to be prepared, the resettlement plan describes the alternative relocation sites considered and explains sites selected, covering:

- institutional and technical arrangements for identifying and preparing relocation

sites, whether rural or urban, for which a combination of productive potential,

locational advantages, and other factors is better or at least comparable to the

advantages of the old sites, with an estimate of the time needed to acquire and

transfer land and ancillary resources;

- identification and consideration of opportunities to improve local living standards

by supplemental investment (or through establishment of project benefit-sharing

arrangements) in infrastructure, facilities or services;

191 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

- any measures necessary to prevent land speculation or influx of ineligible persons at

the selected sites;

- procedures for physical relocation under the project, including timetables for site

preparation and transfer; and

- legal arrangements for regularizing tenure and transferring titles to those resettled,

including provision of security of tenure for those previously lacking full legal rights

to land or structures. c. Housing, infrastructure, and social services. Plans to provide (or to finance local community provision of) housing, infrastructure (e.g., water supply, feeder roads), and social services (e.g., schools, health services); plans to maintain or provide a comparable level of services to host populations; any necessary site development, engineering, and architectural designs for these facilities . d. Environmental protection and management. A description of the boundaries of the planned relocation sites; and an assessment of the environmental impacts of the proposed resettlement and measures to mitigate and manage these impacts (coordinated as appropriate with the environmental assessment of the main investment requiring the resettlement). e. Consultation on relocation arrangements. The plan describes methods of consultation with physically displaced persons on their preferences regarding relocation alternatives available to them, including, as relevant, choices related to forms of compensation and transitional assistance, to relocating as individual households families or with preexisting communities or kinship groups, to sustaining existing patterns of group organization, and for relocation of, or retaining access to, cultural property (e.g., places of worship, pilgrimage centers, cemeteries) . f. . Integration with host populations. Measures to mitigate the impact of planned relocation sites on any host communities, including:

- consultations with host communities and local governments;

- arrangements for prompt tendering of any payment due the hosts for land or other

assets provided in support of planned relocation sites;

192 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

- arrangements for identifying and addressing any conflict that may arise between

those resettled and host communities; and

- any measures necessary to augment services (e.g., education, water, health, and

production services) in host communities to meet increased demands upon them, or

to make them at least comparable to services available within planned relocation

sites .

Additional planning requirements where resettlement involves economic displacement. If land acquisition or restrictions on use of, or access to, land or natural resources may cause significant economic displacement, arrangements to provide displaced persons with sufficient opportunity to improve, or at least restore, their livelihoods are also incorporated into the resettlement plan, or into a separate livelihoods improvement plan.

4. Legal Framework

The legal framework guiding the implementation of the RP of each subproject is based on the ESS5 of WB ESF, the applicable laws, regulations and ordinances of the PRC and

Chongqing Municipality, and districts where subprojects are to be located.

The PRC has developed a complete legal framework and policy system on land acquisition, house demolition, resettlement and compensation, including the Land

Administration Law of the PRC (LAL, effective on January 1, 2020), and the Regulation on the Expropriation of Buildings on Sate-owned Land and Compensation (Decree No.590 of the State Council) (January 21, 2011). Within the state legal and policy framework, local governments have promulgated relevant local regulations and policies to manage and direct local land acquisition, house demolition, resettlement and compensation work.

The key laws, regulations and ordinances of the PRC used to prepare this RF and ensure its legal validity are as follows:

• Land Administration Law of the PRC (effective on January 1, 2020)

• Regulation on the Expropriation of Buildings on State-owned Land and

Compensation (Decree No.590 of the State Council) (January 21, 2011)

193 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project • Notice on Issuing the Guidelines on Improving Compensation and Resettlement

Systems for Land Acquisition (MLR [2004] No.238, effective from November 3,

2004)

• Notice on adjusting Location-based Integrated Land Prices for Land Acquisition

(HPG [2016] No.48)

• Interim Measures of Chongqing Municipality on Basic Endowment Insurance for

Land-expropriated Farmers Converted into Urban Status after January 1, 2008

(CMG [2008] No.26)

• Notice of the Chongqing Municipal Government on Further Adjusting Land

Acquisition Compensation Rates (CMG [2013] No.58)

• Land Administration Regulations of Chongqing Municipality (Decree No.53 of the

Chongqing Municipal Government)

• Land Acquisition Compensation and Resettlement Measures of Chongqing

Municipality (Decree No.55 of the Chongqing Municipal Government)

The purpose of preparing the RP is to ensure that the APs have sufficient opportunities to replace their lost assets, and improve or at least restore their income level and living standard. To realize this purpose, all APs should be identified, and it should be ensured that all APs think the remedies defined in the RP are rational. In consideration of the main types of impact (e.g., land acquisition and occupation, demolition of residential houses

(including rural and urban), and non-residential houses (including enterprises and commercial stores). Meanwhile, the RP prepared should include an entitlement matrix for the APs (see Table 2 for template of entitlement matrix).

In terms of resettlement impact, the following measures are usually taken:

1) Take possession of acquired land and related assets only after compensation in accordance with ESS5 has been made available, and, where applicable, displaced people have been resettled and moving allowances have been provided to the displaced persons in addition to compensation.

2) APs losing farmland will be entitled to the following compensation and restoration measures:

- Direct APs will receive land compensation fees and resettlement subsidies in full;

194 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

- Direct APs will receive young crop compensation fees in full.

3) Demolished houses and attachments will be compensated for as follows, and the following restoration measures will be taken:

- Supply of resettlement housing of equal value;

- Compensation at full replacement cost;

- Reconstruction or restoration of all affected facilities and services (e.g., roads, water

and power supply, telephone, cable TV, schools);

- The subsidy during the transition period should ensure that all assets are relocated,

or temporary housing is obtained.

4) Displaced persons losing business income (or employment income) will be entitled to the following restoration measures:

- Main mitigation measures for anyone losing business income include: (i) offering an

optional commercial site with the same size and similar customer sources; (ii)

granting cash compensation to the owner of the commercial property at the full

replacement cost of such property and all facilities thereof; (iii) offering transitional

compensation for all expenses and lost sales income related arising from relocation

for the non-operating period.

- Main mitigation measures for anyone losing employment income include: (i) offering

an optional job opportunity with the same pay; (ii) offering cash compensation at

least equivalent to wage losses for three years; and (iii) offering a transition subsidy

for reemployment training and resettlement, or taking any other necessary measure

to help him/her find a new job.

In general, the overarching objectives of the Chinese system are similar to WB’s. However, there are a number of procedural differences. Differences are identified with mitigation measures in Table 1.

195 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

Table 1 Gaps between WB and PRC Policy regarding Land Acquisition and Resettlement Note: The below gap analysis table is developed based on a comparison of the ESS5 and the LAL of the PRC (effective on January 1, 2020). Chongqing Municipality is in process of formulating the supporting regulations based on the LAL, which has not yet been issued. In future, Chongqing elements will be incorporated in the RP for a specific subproject that would involve land acquisition or involuntary resettlement.

Main Elements for Borrower (a) China’s Regulatory Framework and Practice (b) Gap-filling measures

Resettlement planning. When there is economic Formal resettlement plans are requested for medium and Prepare a RP for each subproject in case of

or physical displacement, prepare a resettlement large hydropower and reservoir projects and prepared on the LAR by implementing agency with

plan proportionate to the risks and impacts basis of a comprehensive set of technical standards. supports of qualified expert and be

associated with the projects. Describe how the For other projects, the law does not require the development a disclosed to the APs and other

objectives of ESS-5 can be achieved. formal resettlement plan. stakeholders.

Minimizing LAR. Demonstrate that involuntary The 2020 LAL reinforces control of conversion of agricultural Efforts are made to minimize LAR impacts

land acquisition or restrictions on use are limited land, which contributes to limiting land acquisition for during feasibility study and further efforts to direct project requirements for specified urbanization and development purposes. will be made during detailed design.

project purposes within a clear timeframe. The 2020 LAL enhances upfront identification of LAR needs:

Consider feasible alternative designs to avoid or a comprehensive survey and SSRA are required. Public minimize land acquisition, paying attention to consultation and agreement are required in case of land

displacement, gender impacts and impacts on acquisition and resettlement. This may act as an incentive to

vulnerable people. adjust project design to minimize LAR. There are no explicit provisions on minimizing LAR in the law.

The Government often coordinates Bank projects with other

196 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

Main Elements for Borrower (a) China’s Regulatory Framework and Practice (b) Gap-filling measures

development projects also with LAR needs.

Eligibility. Affected persons include those who The 2020 LAL requests a comprehensive upfront survey on Establish a cutoff date for eligibility to

(1) have formal legal rights to land or assets; (2) the status quo of affected land to be affected, identifying compensation for each subproject; do not have formal legal rights but have a eligible persons for compensation and assistance. Provide compensation and assistance for recognized or recognizable claim: (3) have no Eligibility criteria in the law are narrow. Customary or any persons who are eligible to recognizable legal rights or claim. Establish a traditional rights are nonexistent. The law doesn’t recognize compensation. census of eligible affected persons. Opportunistic (1) those without formal rights to land or assets, (2) claims for settlers are disqualified. existing unauthorized constructions (often with vulnerable

low-income groups).

Cut-off date. Establish a cut-off date for eligibility The law does not have explicit provisions on cut-off date, The date of land acquisition notification to compensation. It is most effective when it is except for hydropower and reservoir projects. will be a cut-off date for each subproject. well communicated, documented, and In practice, the date of acquisition notification usually serves disseminated, including by providing clear the function of a cut-off date. demarcation of designated areas. Fixed assets In urban planning areas, entitlements are limited by “historic” constructed or planted after the cut-off date are cut-off dates, when the government demarcated the planning not eligible. area or decided to develop certain plot areas even without

direct linkage with a project.

Socio-economic survey. Establish baseline The law does not have requirements on socio-economic Conduct a socio-economic baseline survey conditions for developing livelihood restoration (baseline) survey of affected persons, except in the case of and incorporate the analysis in the RP for

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Main Elements for Borrower (a) China’s Regulatory Framework and Practice (b) Gap-filling measures strategies and monitoring and evaluation hydropower and reservoir projects. each subproject. purposes.

Compensation. Offer affected persons The 2020 LAL sets up new principles of fair and reasonable The compensation for any losses will be on compensation at replacement cost, and other compensation, and maintenance of living standards and long- the replacement cost basis; assistance as necessary to help them improve or term livelihoods. The “Output Value Multiple Method” is Specific rehabilitation and support at least restore their standards of living or replaced with a higher “Block Comprehensive Land Price” measures will be included in the RP. livelihoods. based on original purposes land, resource conditions, output Local government shall ensure APs can

Compensation standards for categories of land value, land location, supply versus demand, population, level enjoy the urban pension system in time and fixed assets will be disclosed and apply of economic and social development and other factors. The when they are qualified in age. consistently. government should additionally budget social security (i.e.,

Compensation rates may be subject to upward social pensions and medical insurance) for affected persons. adjustment where negotiation strategies are The local government should mobilize the LAR budget before employed. applying for acquisition and make full compensation in

Where livelihoods are land-based or land is advance of land acquisition and relocation. collectively owned, offer an option for In urban areas, compensation rates are determined through a replacement land unless it can be demonstrated third-party valuation and should be no lower than the that equivalent replacement land is unavailable. prevailing market prices of similar housing. Take possession of acquired land and related The 2020 LAL does not mention the principle of replacement assets only after compensation has been made cost and has few enhancements on land-for-land compensation.

198 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

Main Elements for Borrower (a) China’s Regulatory Framework and Practice (b) Gap-filling measures available. In rural areas, prices will continue to be issued by government.

Physical displacement. Document all The 2020 LAL requests fair and reasonable compensation for The compensation for any losses will be in transactions to acquire land rights, provision of housing. The 2011 Regulation on Acquisition and compliance with the replacement cost; compensation and other assistance. Offer feasible Compensation of Houses on the State-owned Land promotes No depreciation based on age will be resettlement options, including adequate valuation of affected houses by a third party. permitted for house valuations; replacement housing or cash compensation and The 2020 LAL confirms current practice: the government Further skill training and employment relocation assistance. Provide resettlement sites usually offers a choice among allocating homestead plots for support shall be provided by local with at least equivalent living conditions or constructing new houses, access to purchase an apartment government consistent with prevailing standards. Pay and cash compensation. Where land is in scarce, the law attention to gender aspects and needs of poor and promotes non-land for land resettlement. vulnerable. Consult and take into account host In practice vulnerable households receive additional support communities in planning. Respect preferences for to purchase or build a house with minimum standards. relocating in preexisting communities or in situ. The compensation package for relocation typically includes

compensation for affected houses, allowances for moving and temporary rental (when replacement housing is not

immediately available after relocation), and compensation for

business losses. Replacement housing will allow the displaced persons to

access to basic infrastructure, market, and utility services. In

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Main Elements for Borrower (a) China’s Regulatory Framework and Practice (b) Gap-filling measures

practices, the affected households prefer to relocation in situ to maintain social connections.

Economic displacement. Beyond compensation, The 2020 LAL newly highlights the principle of maintaining Formulate detailed livelihood restoration provide affected persons with opportunities to living standards and safeguarding long-term livelihoods. In plan for APs in the RP of each subproject. improve, or at least restore, their means of practice, vocational training and employment opportunities Follow up the outcomes of livelihood income-earning capacity, production levels, and are provided. restoration measures until completion standards of living. Pay attention to gender Social security should cover all rural households who lose audit. aspects and needs of poor and vulnerable. land. In practice, this has so far been pensions after

Monitor livelihood measures until completion retirement (60 for men, and 55 for women) and medical audit. insurance.

Except for hydropower projects, there has been a lack of upfront planning for livelihood restoration, and local

regulation do not require to follow up the outcomes of

livelihood restoration measures.

Community engagement. Engage with affected The 2020 LAL substantially enhances information disclosure, Follow WB procedural requirements for communities, including host communities during at least 30 days, on the scope of land acquisition, land meaningful consultation and disclosure

Resettlement and livelihood restoration will status quo, land use purposes, compensation measures and throughout planning, implementation, include options from which affected persons may arrangement for social security. Survey and registration of monitoring and evaluation of chose. Disclose information for meaningful affected land and assets should be confirmed by displaced compensation process, livelihood

200 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

Main Elements for Borrower (a) China’s Regulatory Framework and Practice (b) Gap-filling measures participation of affected communities and persons. The government should reach agreements with restoration activities and relocation. persons throughout planning, implementation, displaced persons before submitting the application of land monitoring and evaluation of compensation acquisition. Resettlement must be planned and implemented process, livelihood restoration activities and with respect to the residents’ willingness. relocation. In the 2020 LAL, a public hearing may take place, but only in

case affected persons perceive the LAR plan does not comply

with regulations.

Vulnerable groups. Improve living conditions of The 2020 LAL protects rural residents’ right to residence in Identify the poor and vulnerable groups poor or vulnerable persons who are physically resettlement. In practice, affected households' cash, or access as early as screening process to ensure displaced. The borrower will pay particular to purchasing an apartment, or a replacement house. they can participate, and their concerns attention to the impacts on and the needs of the Through the Government-led poverty reduction programs, are taken into account during poor and vulnerable. the government-recognized poor households access targeted consultations and planning.

assistance. Monitor the standards of living of the

The 2020 LAL does not require particular attention to the displaced poor and other vulnerable needs of the poor and vulnerable groups groups.

Give priority to the poor and vulnerable

groups of training and job opportunities, provided by the PIUs or relevant

government authorities.

201 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

Main Elements for Borrower (a) China’s Regulatory Framework and Practice (b) Gap-filling measures

Grievance redress. Ensure that a grievance China has increasingly enhanced enforcement of Establish or improve the GRM for each mechanism for the project is in place as early as administrative review and administrative litigation to protect subproject. possible to address specific concerns about the displaced persons. Failing these, the displaced persons compensation, relocation or livelihood can resort to court. restoration measures raised by displaced persons The law does not require a project-specific grievance in a timely and impartial fashion. mechanism. The resolution of LAR grievances is through

administrative or judicial channels.

M&E. Establish procedures to monitor and Allocation and usage of the LAR compensation fund will be Coordinate with local governments to evaluate implementation of the plan and take supervised by the local natural resource department, in properly monitor and supervise LAR corrective action as necessary during collaboration with country and township governments. activities. implementation to achieve the objectives of ESS5. The law does not require the project to develop a system for Disclose monitoring reports. external monitoring of the Project resettlement activities,

except for hydropower and reservoir resettlement.

Completion audit. For projects with significant An audit is requested on financial management of For subprojects with significant involuntary resettlement, commission an external compensation funds. involuntary resettlement, undertake an completion audit of resettlement plans, to be Regulations do not require a completion audit on resettlement external completion audit of resettlement undertaken by competent resettlement and living standards restoration (except for hydropower and plans by competent resettlement professionals. reservoir resettlement). professionals.

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Table 2 Indicative Template of Entitlement Matrix

Note: This below matrix, including the entitlement and compensation categories, is developed based on the social audit of Chongqing 1st Batch Subproject and an analysis of Chongqing’s current policies on land acquisition and resettlement. Both the contents and format are indicative. The PMO/PIU will be responsible for updating the information of the matrix in accordance with up-to-date policies and regulations while preparing the RP for a specific subproject for which ESS5 is relevant.

Type of impact Impacts Entitled person or entity Entitlement and Compensation rate Implementation Arrangements

Cut-off date is the date of land XXX mu of collective acquisition notification. (i) The PIU submits the urban and rural land in XXX village of planning, general plans for land use, as well as XXX Town will be Any individuals whose land is acquired topographic mapping and surveying and permanently acquired, will get land compensation fee, demarcating within the scope of LA to the among which XXX mu is resettlement subsidy and (i) land ownership of district planning and natural resources bureau cultivated land, XXX mu compensation fee for young crops. collective Specify who (PNRB) for preliminary examination. is house site, XXX mu is Permanent LA community and how many The compensation rate is on the garden plot, XXX mu (ii) The district LA office is responsible for for rural people are replacement cost basis. woodland, XXX mu is (ii) farmers who drafting the LA announcement on behalf of the collective land eligible to district government and submitting it to the wasteland land. have right to use the compensation Specify the rate for each category of land compensation. district PNRB for review before sending it to XXX people in XXX the district government for approval. households, of which Land compensation fee is based on XXX persons will be acquired land area regardless of land (iii) The LA office discloses the announcement eligible for conversion type. together with the town (street) in the town, to urban residency village and village group for at least 30 days; during this period, social stability risk evaluation is conducted. Cut-off date is the date of land (iv) The LA office mobilizes meetings to hear The house demolition acquisition notification. Rural Specify who the opinions of the APs and hold a rehearing at will cover XXX m2 with household and how many Any house structures built before the the request of APs. brick-concrete XXXm2, demolition and Owners of houses people are cut-oof date will be eligible to brick-wood 4,946m2, (v) Detailed measurement and survey are house eligible to compensation. earth-wood 1,535m2, conducted and disclosed. LA office signs relocation compensation simple 2,110m2. The compensation will be directly paid compensation and resettlement agreement to the house owner. with APs. The LA should not be commenced

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Type of impact Impacts Entitled person or entity Entitlement and Compensation rate Implementation Arrangements The compensation rate is on the until the more than two thirds of APs sign the replacement cost basis. agreement. The resettlement modes for the (vi) All the compensation will be paid the APs. households affected by HD include (vii) The LA office will be responsible for self-construction on allocated land, providing the swap apartments with cash compensation and preferential preferential prices or coordinate house site housing purchase under property with the town or villages for the self- swap. construction of new houses. Specify the compensation rate for each resettlement mode.

(i) The LA office will entrust a professional evaluation institution to conduct the Cut-off date is the date of land preliminary evaluation of each enterprise. acquisition notification. (ii) The related compensation and relocation Any assets built before the cut-oof date methods will be discussed and negotiated will be eligible to compensation. between the LA office and enterprises. XXX private enterprises Specify who The affected enterprises will be (iii) The affected workers will be reminded of Compensation or business shops will and how many compensated by cash in lump sum the resettlement 3 months in advance so that for Affected Owners of be affected and XXXm2 people are based on the market valuation the workers have enough time to seek for the enterprises or enterprises of structures will be eligible to conducted by a professional evaluation new jobs. business shops demolished compensation institution. (iv) The affected enterprises will give the The compensation rate is on the priority for the workers to be employed on the replacement cost basis. basis of the worker’s willingness. Specify the detailed compensation (v) A training needs assessment will be rate. conducted, and then relevant training will be provided for all the workers free of cost so they can be arranged in new jobs.

Specify who The compensation for the land attachments Compensation Land attachments on Owner of Cut-off date is the date of land and how many owned by villagers will be directly paid to the for Affected XXX mu of collective attachments acquisition notification. people are individuals while the compensation for other

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Type of impact Impacts Entitled person or entity Entitlement and Compensation rate Implementation Arrangements Lad land to be permanently eligible to Any land attachments built before cut- attachments owned by collectives will be paid Attachments acquired compensation off date will be compensated. to the collectives. The compensation rate is on the replacement cost basis. Specify the compensation rate. In some circumstance, the compensation for land attachment is combined with the compensation of young crops.

Each village group determines who will be converted to urban status through the townhall meetings of villager representatives APs due to the LAR can enjoy the and submit the list of people to township urban pension systems and receive government； compensation in cash. For female People XXX mu of collective XXX people All people converted aging over 55 years old and male over The LA office is responsible for the converted into land to be converted into into urban status 60 years old, they can receive monthly determination of the eligibility and one-off urban status permanently acquired urban status pensions right from the month payment of the basic insurance premium for following the receipt of the LA the people to social security bureau. approval. Social security bureau is responsible for the disbursement of social pension to the people who reaches the retirement age.

Identify the poor and vulnerable groups as early as screening process to ensure they can participate, and their concerns are taken into XXX vulnerable people Specify who account during consultations and planning. Through the Government-led poverty identified, including: vulnerable people and how Vulnerable reduction programs, the government- Monitor the standards of living of the XXX poor, XXX disabled affected by the many people group recognized poor households access displaced poor and other vulnerable groups. and illed, XXX old project are eligible to targeted assistance. people, etc. compensation Give priority to the poor and vulnerable groups of training and job opportunities, provided by the PIUs or relevant government authorities.

205 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project 5. Institutional Arrangements

The institutions to be responsible for the planning, management, implementation and monitoring of the resettlement activities include:

• the 4 PIUs

• Land acquisition and resettlement offices of relevant district or county

• relevant township governments

• relevant villages or village groups

• Independent Resettlement Monitoring and Evaluation Institution

In the RP for each subproject, details should be presented on the responsibility, staff, relationship of these institutions, and detailed training programs that are required.

Additional training for resettlement staff from each subproject will be included in the individual RP.

6 Public Consultation, Information Disclosure and Participation

Prior to implementing the Project, public consultation and information disclosure should be undertaken within the project area. Knowledge and acceptance of the proposed compensation policies and rehabilitation measures for the affected people is a precondition for approval of the RP. The RP of each subproject should be disclosed to the public during project preparation.

During project implementation, the prepared RP, including resettlement information booklets will be distributed to affected persons to provide details on impacts and compensation rates.

The public participation and consultation will be conducted during the overall resettlement process, especially during resettlement impacts surveys, establishment of resettlement policies and measure, and resettlement implementation etc.

The RP must describe all measures taken or to be taken, involve the APs in the proposed resettlement arrangements, and foster the sense of participation in livelihood and living standard improvement or restoration activities. To ensure that the APs’ opinions and suggestions are fully considered, public participation should be prior to project design and the implementation of resettlement relief measures. Public participation must run through the whole RP planning, implementation and external monitoring process.

206 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project The final RP must be disclosed again after acceptance by the Bank.

7. Implementation Process

The RP should include an implementation schedule for all activities to be conducted. If necessary, compensation payment, other entitlement restoration measures (in cash or in kind) and resettlement should at least be completed one month before land acquisition.

If full compensation is not paid or necessary assistance measures are not available before land acquisition, a transition subsidy should be provided.

8. Financial Arrangements

The PIUs will bear all costs related to land acquisition and resettlement. Any RP consistent with this RF must include estimated costs and a budget. Whether identified as affected persons at the RP preparation stage or not, and whether sufficient funds are available or not, all those adversely affected by land acquisition and house demolition are entitled to compensation or any other appropriate relief measure. For the above reason, the budget in the RP should include contingencies, which are usually 10% or more of the estimated resettlement budget in order to cover contingent resettlement costs.

The compensation rates specified in the RP provide a basis for the calculation of compensation fees for resettlement, which should be fully paid to individuals or collectives losing land or other assets and should not be deducted for any reason. The RP should describe by what means compensation fees are paid by the PIUs or LAR offices to the affected communities/villages or residents/villagers, entities and relevant right holders. A rationale is that the fund flow should be as direct as possible with minimum intermediate links.

9. Grievance Redressal Mechanism

The RP is prepared in accordance with the needs of the whole subproject. During implementation of the RP, APs complaints may arise because there have been some problems or change to the actual subproject implementation activities which had not been foreseen when the RP was prepared. In order to ensure that the affected people can voice their complaints when any problem arises for the land acquisition and/or resettlement of the APs, an appeal procedure is defined within this RF and in the RP. The purpose of this appeals procedure is to provide a mutually satisfactory means for rapid

207 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project response to any APs complaint, to avoid any likelihood of a complicated legal procedure.

The detailed procedure is as follows:

• If any AP does not agree with the compensation or resettlement plan, he/she

can voice their complaint to the village committee (residential committee). The

village or residential committee should keep records, consult with the district or

county LAR office and provide a reply to the affected people.

• If the affected person is not satisfied with the reply, they can appeal to the

township or sub-district resettlement office, which will take records, consult with

the district or county LAR office and provide a solution to the affected person.

• If the affected person still does not accept the proposed resolution, then they

can appeal directly to the district or county LAR office, which is the main

organization responsible for the whole subproject. The LAR office should make a

record of any appeal and provide a resolution.

• If the dispute still cannot be resolved, then the affected person can go through

an administrative appeal according to the “Administrative Procedure Law of

People’s Republic of China” or go directly to the People’s Court.

APs will be aware of their right to appeal through the participatory meetings and from the resettlement information booklet by following the new provisions in the land administration law and regulations. The project will also publicize information through the mass media and collect the APs opinions and suggestions, which will then be investigated and resolved through all necessary administrative levels in a timely manner.

The PIUs or the LAR offices will make records of all appeals, and the resultant resolutions.

10. Monitoring and Evaluation

The PIUs will internally monitor the implementation of the RP. Monitoring results will be recorded in quarterly internal reports for submission to the CPMO. The internal monitoring will include:

• Check implementation, including checking the baseline information, valuation

of asset losses, and the implementation of compensation, resettlement and

restoration rights according to the RF and the RP.

• Monitor if the RP is implemented as designed and approved.

208 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project • Check if the funds for RP implementation are appropriated timely and fully, and

if such funds are used in a manner consistent with the RP.

• Record all appeals and their solutions and ensure that appeals are handled

timely.

Meanwhile, the PIUs will appoint independent agencies to perform periodic external

M&E on the implementation of the RP. Such agencies may be academic or institutional organizations, or independent consulting firms, but must have qualified and experienced staff, and their terms of reference must be accepted by the Bank.

In adaptation to the internal monitoring information and reports checked, the external

M&E agency will perform a sampling survey every six months of implementation of the

RP. The main objectives are:

• To evaluate if the participation and compensation payment procedures, and

restoration rights are implemented practically, and consistent with the RF and the

RP;

• To evaluate if the RF objective of improving or at least maintaining the living

standard and income level of the affected persons has been realized;

• To gather qualitative socioeconomic impact indicators of project

implementation; and

• To propose suggestions for improving the implementation procedure of the RP

in order to realize the principles and objectives of this RF.

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Appendix 8 General environmental impact management measures

（1）Environmental impact mitigation measures during design period

Table 8-1 General environmental and social impacts and mitigation measures during design period Potential E&S Responsible Investment Impact factor Available mitigation measures Period impact and risk party budget 1) Fully demonstrate the site selection of sub projects, and avoid sensitive areas according to the screening list of the project; 2) It is not allowed to locate any subprojects in the sensitive areas within the The project itself exclusion list. In the case of the selected project site is nearby the identified has no negative sensitive areas, it is required, on the premise of ensuring the feasibility, by environmental risk means of space layout and equipment selection optimization in the design and impact in the stage, to reduce the pollution degree as much as possible, so to make sure it is design period. within the acceptable range of relevant guidelines or standard limits However, after this established in the project specific environmental assessment. period, the 3) Compare and select the process flow of subproject by considering the impact Implementatio Environment implementation of on environment, society, economy and other aspects; Design Not n unit of impact the design results 4) It is required to comply with the principle of cleaner production in the activities period available will largely as producing processing product and conducting technological design; subproject determine the 5) Reasonably design the project layout, and keep the high noise equipment, main environmental risk sewage outlets and other facilities away from the sensitive points around the and impact in the project; construction and 6) Optimize the equipment selection, and select the low noise equipment while operation the production scale is fulfilled; period.。 7) Formulate reduction measures which are feasible in technology and cost- effectiveness, in consideration of the current situation of environmental quality in the subproject’s area and the surrounding areas; 8) 8) All subprojects involving point discharge sources are required to be 210 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Potential E&S Responsible Investment Impact factor Available mitigation measures Period impact and risk party budget designed with reference to GIIP, so to avoid excessive ground pollutant concentration caused by downwash, wake and eddy current effects, and ensure effective diffusion to mostly reduce the impacts. 9) Select new energy transfer vehicles if it is feasible in technology and affordable in economy, so to reduce greenhouse gas emissions. 10) For the subprojects needing to discharge wastewater into water body, the designated use and environmental capacity of the recipient water body should be clearly figured out in the design stage. 11) Zero discharge design and reuse of treated wastewater is recommended to be included in the project design process. 12) Adequate water collection measures, overflow control and leakage control system shall be adopted in the project design. 13) Formulate the prevention and control plan of hazardous substance leakage. 14) Review new sources of waste in planning, site selection and design activities including equipment and process modifications. So to figure out predictable waste generation, pollution prevention opportunities and necessary facilities for treatment, storage and disposal. 15) Make the best use of topography for noise control in facility design process. 16) Design safe operation systems as well as administrative and institutional control measures. 17) The newly-built workshops, office buildings and other buildings of each subproject must fully comply with the local regulations on building, fire protection and legal & insurance, as well as the internationally recognized personal safety and fire safety standards. 18) In the design stage, the slope of the new road should be limited, and adequate road drainage channels should be provided according to the road width, pavement material, compaction degree and maintenance status. 19) For rotating and moving equipment, the pinch hazard shall be eliminated in the machine design, so to ensure that the protruding part of the machine will not cause harm to human body under routine operation.

211 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project （2）Environmental impact analysis and mitigation measures during construction period

Table 8-2 General Environmental and social impacts and mitigation measures during construction period Impact Potential E&S Responsible Investment Available mitigation measures Period factor impacts and risks party budget 1) Set continuous and closed barrier around the construction site to reduce the emission of dust; 2) Assign special personnel to clean and spray water regularly within the range of 50m around the main entrances & exits of the construction site and around the barrier. Make sure the cleaning rate keep 100%; 3) Seal the dust-producing materials such as cement and lime in warehouse or pit; Piled up the waste soil and construction waste in a centralized way; Reasonable arrange temporary storage yards; Make sure the implementation rate of solidification, coverage, greening and other measures 1) Dust of are all 100%; It is forbidden to burn any waste at the site. construction 4) Ensure the hardening rates of the main roads are 100%; Spray water regularly to reduce dust; Set up sign plates at every entrance and exit of the process Implementatio Waste gas / site. Constructio Not 2) Waste gas of n unit of dust 5) Install dense mesh safety nets for all the external scaffolds. machine and n period available 6) Guarantee all the vehicles leaving the construction site will be sufficiently washed by washing facilities according to the flushing regulations. Make subproject transportation sure the vehicles in construction waste transportation are perfectly sealed. vehicle 7) Use commercial concrete and do not set temporary mixing station at the site. When it is necessary to mix mortar and concrete on site, it is necessary to avoid sprinkling, leaking, remaining and pouring as far as possible; 8) As for construction machinery and vehicles, it is recommended to use low sulfur gasoline or low sulfur diesel oil, and strengthen daily maintenance to ensure their normal operation and avoid excessive exhaust emissions. 9) Cover the exposed earthwork at the construction site with dense mesh nets, or transport it as soon as possible for vegetation restoration. 1) As for washing and toilet of construction personnel, it is recommended to use the existing facilities in surrounding area. Otherwise, temporary septic tank, oil separator and other sewage treatment facilities should be set up. 2) Set special flushing area at the site, with ground hardening for seepage control. Set up drainage ditch and oil separation sedimentation tank around the flushing area. After oil separation and sedimentation treatment, the flushing wastewater of vehicles and machines will be reused as spraying water for dust reduction or discharged with proper quality. 3) Construction materials, solid waste and earthwork must be piled at places far away from water body. Adopt anti-flushing measure for the pile 1) Production yard, such as surrounding with soil bags and intercepting ditches; Implementatio Waste wastewater 4) The construction unit should also avoid heavy rain season (especially typhoon season) to carry out large-scale earthwork excavation works; Constructio Not n unit of water 2) Domestic Necessary soil and water conservation measures should be taken for temporary stacking sites of building materials and waste; Make sure the n period available wastewater drainage system of the construction site is unobstructed. subproject 5) Set up specific storage houses with anti seepage ground for oil and chemical solvents; Waste oil and chemical solvents shall be treated in a centralized manner and shall not be dumped at will. 6) Domestic waste, construction waste and maintenance waste can all pollute water environment. So it is required to collect, sort, store and treat them in plan. The materials that can be reused should be properly recycled or submitted for purchase. For example, most of the paper, wood, metal and glass waste can be reused by acquisition stations. For the un-recyclable waste, they shall be handed over to the environmental sanitation department for proper harmless treatment. 1) Reasonably arrange the construction time to avoid construction at night; The construction time of sensitive section should be adjusted as appropriate, and high noise machinery construction at night (22:00-6:00) is prohibited; If it is necessary to carry out construction at night due to the construction technology, it is necessary to apply for the ‘night construction permit’ according to the regulations, and announce the residents nearby; 1) Noise of 2) Optimize the construction plan, adopt advanced technology and low-noise equipment; mechanical 3) Strengthen regular maintenance for equipment and adhere to strict operation procedures, so to avoid the noise of abnormal equipment. Implementatio equipment Constructio Not Noise 4) Temporary construction enclosure with noise reduction function (such as color steel plate, solid enclosure wall, etc.) shall be set when n unit of 2) Noise of construction near sensitive targets; Limit the speed of bulldozers, excavators, road rollers and other mechanical equipment, and prohibit honking. n period available transportation subproject 5) Strengthen the management of transport vehicles and strictly control the honking of vehicles. vehicle 6) The entrance and exit of construction transport vehicles shall be arranged far away from residential areas, schools and other sensitive points. The strong noise equipment in the construction site should be set at the side far away from the residential area. It is suggested to adopt noise reduction measures such as sealing those strong noise equipment during operation. 7) Strengthen noise monitoring. Noise reduction measures shall be formulated in accordance with the national standard ‘Emission standard for

212 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Impact Potential E&S Responsible Investment Available mitigation measures Period factor impacts and risks party budget environmental noise of construction sites’ (GB12523-2011); Noise at the boundary of construction site shall be detected and recorded; Make sure the noise discharge is within the national standard. 1) Keep the construction site clean and tidy. The waste shall be collected by type, stored together and disposed by the Environmental Sanitation Department. 1) Construction Implementatio 2) The production of solid waste in construction should be reduced as much as possible. The solid waste should be sorted and recycled as far as Constructio Not Solid waste waste n unit of possible and sent to material recovery stations for recycling. For those intact bricks, steel or iron materials in the construction waste, they shall 2) Domesic waste n period available be centralizedly recycled and handed over to the construction waste disposal site for recycling; subproject 3) Make good use of earthwork allocation, so to reduce the amount of the construction waste as far as possible. 1) Strictly control the boundary of construction plant to reduce the disturbance of surface vegetation; 2) Cover the bare surface caused by construction activity to reduce soil erosion; 3) Avoid rainy season to execute earthwork excavation, so to keep the vulnerable and new excavated or filled bare surfaces from direct rain-wash; 4) For the temporary land for construction, land consolidation and greening should be carried out in time after the construction; 5) These measures are required for sites of soil borrow and stone quarry: - Use the existing commercial quarries and borrow areas near the project site. Do not exploit new sites; - If it is inevitable, the newly opened quarries or borrow areas shall avoid sensitive areas such as nature reserves, scenic spots, forest parks, water source protection areas and areas prone to geological disasters, and shall be approved by the environmental supervision engineer and relevant local departments; - Temporary soil and water conservation measures are necessary for those borrows, quarries and pile yards; - The contractor is required to trim the land, restore the natural waterways and execute vegetation rehabilitation after using the sites, so to ensure the slope stability; - It is recommended to use the local species for site vegetation rehabilitation; 1) Soil fetching and Water and - It is necessary for the contractors to negotiate with the local communities for their demands about, say, using the soil borrow as fish pond or filling Implementatio soil other production and living purposes. While meeting their needs as much as possible, it is also required to meet the national and local Constructio Not 2) Vegetation n unit of conservatio regulations on the nature of land. removing at site n period available n 6) These measures are required for spoil grounds: subproject leveling stage - It is required for the contractors to select the sites of spoil ground based on the requirements of design documents and EIA. - Try to choose low-lying areas with large capacity for the new sites of spoil ground, and avoid the sensitive areas such as nature reserves, scenic spots, forest parks and water conservation areas, etc;. - Choose barren valley or wasteland to avoid soil erosion as far as possible; Do not choose the sites near rivers or lakes; The flood discharge and irrigation functions of rivers, valleys, drainage and irrigation ditches shall not be affected by the sites; Ensure the safety of downstream farmlands and buildings; Do not set the sites right in the upstream of residential areas (village houses, etc.). - The newly opened spoil ground shall be designed by qualified design units. Retaining, slope protection, drainage and restoration schemes must be available and approved by environmental supervision engineer and / or relevant local departments. - 30 cm of natural topsoil should be retained with proper sealing & retaining measures to control soil erosion. It can be backfilled for vegetation rehabilitation after the construction period. - It is necessary to build intercepting ditch and side ditch at the top of slope to control soil erosion on the surface, so to maintain slope stability. - Comprehensive restoration work should be carried out immediately after the end of spoil. The restoration is to fully cover the site with local topsoil, and mostly use local species to achieve all greening. 1) Impact on 1) Once cultural relics are found in the construction process, the construction unit must immediately stop the construction, protect the site and Implementatio Chance find possibly buried Constructio Not immediately report to the cultural relics management department; n unit of procedure cultural 2) Only with the permission of the cultural relics department can the construction process be resumed.。 n period available resources subproject (1) Operation safety 1) The Contractor shall formulate safety and health management plan (including safety accident emergency plan) before start of construction and submit it to the supervision unit / owner for approval; and health risks of Workers' 2) The contractor's supervision safety management organization shall appoint full-time safety management personnel to be responsible for Implementatio safety and construction construction safety management; Constructio Not n unit of occupationa personnel 3) Conduct occupational health and safety training for all construction personnel, introduce them to the basic working rules, personal protection n period available l health rules of the construction site and how to prevent their colleagues from injured; subproject (2) The 4) Provide proper personal protective equipment (gloves, helmets, protective shoes, etc.) to construction workers. Make sure the equipment are environmental and sufficient to fully protect the workers on site and occasional visitors;

213 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Impact Potential E&S Responsible Investment Available mitigation measures Period factor impacts and risks party budget safety risks of 5) The construction site should be equipped with appropriate first aid equipment. The sites in remote areas are required to prepare written emergency procedures to make sure that the patients can be transferred to appropriate medical institutions as soon as possible; vehicle maintenance, 6) Hang the correct signs at dangerous areas, devices, materials, safety measures, emergency exits, etc. including the safety 7) The access to the emergency exit should not be obstructed at any time. The exit should be clearly marked, and ensure it can be seen even in and health of complete darkness. 8) Place warning signs on all powered electrical devices and wires; maintenance 9) The construction site shall be equipped with sufficient fire-fighting facilities to meet the requirements of relevant laws and regulations on fire personnel, waste safety; 10) Operators of special vehicles / machinery must be trained in safe operation, equipped with necessary protective equipment and with relevant water, waste oil, certificates; solvent, solid waste 11) Install protective railings at the edge of vulnerable areas (with a middle bar and peripheral baffles). The high-altitude construction workers are and other pollution required to equip with fall prevention devices (including protective net, safety belt and distance limit tether). 12) The construction unit shall establish a safety log which is recorded daily by the person in charge of safety; generated in the 13) The construction unit shall establish workers' health records and conduct regular physical examination for the workers; maintenance 14) Provide health education for construction personnel in the methods of implement information communication strategy, enhance face-to-face process. consultation, solve systemic problems affecting personal behavior, and encourage individuals to take protective measures such as using condoms to avoid spreading the disease to others. In addition, mosquito repellents, clothing and mosquito nets are encouraged to be taken to prevent mosquito bites and spread diseases. 15) Please check Appendix 10.2 ‘Construction camp management plan’ for details of management measures of construction camp; 16) Please See Appendix 10.3 ‘Traffic management plan’ for traffic safety measures brought by vehicle transportation during construction; 17) The lighting intensity of the working area shall meet the general needs of the specific location and type of work; Auxiliary lighting shall be provided on the specific worktable as required; 18) Provide proper eye protection equipment (such as welding goggles and / or mask) for all the individuals involved in welding operation. Set welding baffles around the work area (plates made of light metal, canvas, or plywood so that no one else can see the bright light produced by welding). Relevant devices may also be required to absorb and remove toxic fumes from welding sources. 19) Take special thermal protection, fire prevention measures and standard operation procedure (SOP) in the case of carrying out welding or thermal cutting work outside the designated welding work area. 1) A notice board shall be set at the entrance of the construction site, indicating the contractor, the construction supervision unit, the construction period, the hotline number of the local environmental protection bureau and the name of the contact person. It is to strive for the affected residents’ (1) Impact of understanding and forgiveness of the temporary interference caused by the project construction. It is also to facilitate the affected residents to contact the relevant departments when they find that the construction unit has illegal operation. construction vehicles 2) Set up clear traffic guidance signs. Put forward suggestions on traffic dispersion plan during the peak period of busy road construction to the (exhaust gas, vehicle project owner. And the owner is responsible for submitting it to relevant departments for the plan implementation. transportation 3) Do the best to reduce the construction’s impact on the public services. If it is inevitable, inform the owner in advance. The owner is responsible for informing to the residents. And do the best to shorten the duration of impact. process) on 4) Establish an effective complaint mechanism, and appoint special personnel to receive the complainants. surrounding 5) The Contractor shall, at the request of the owner, participate in the public participation meetings held by the owner on a regular basis in the Community communities； villages in the project affected area. At the meeting, the construction unit will send personnel to explain the construction activities, the health and environmental protection measures that have been taken or will be taken; listen to the environmental problems and complaints of the public, and safety (2) The impact of respond to them. waste gas and noise 6) Emphasize safety rules for construction vehicle drivers and improve their driving skills. Limit driving time, arrange driver's shift schedule to avoid fatigue. in the construction 7) Equip speed control device (speed controller) on the construction vehicles, and remotely monitor drivers’ behavior; site on the 8) Maintain the vehicle regularly and use the parts approved by the manufacturer to avoid serious accidents due to equipment failure or premature surrounding failure of components. 9) Construction vehicles should avoid schools and other areas with children. If it is not possible, it is recommended to strengthen the management community of drivers and carry out traffic and safety education with local communities (e.g. publicity activities in schools). residents. 10) Try to use locally purchased materials in order to shorten the transportation distance. Build the relevant facilities (such as workers' dormitories) near the project site. Transport the workers with special buses to avoid increasing the traffic flow. 11) Traffic safety control measures shall be adopted to warn people and vehicles of dangerous conditions through road signs and signalmen.

214 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Impact Potential E&S Responsible Investment Available mitigation measures Period factor impacts and risks party budget 12) In case of that the local community may be endangered by the emergency of the project facilities, the owner shall inform the community through various notification channels. 1) On epidemic prevention and control, the contractor shall establish internal organization, control system and control plan, and clarify the emergency measures and treatment process. The contractor shall prepare emergency procedures and obtain the approval of the construction supervisor. 2) The contractor shall assign the prevention and control responsibility to all departments, posts and individuals, and do a good job in epidemic prevention and control, material reserve, living security and public security, etc. Assign special personnel to take charge of temperature detection, ventilation and disinfection, distribution of personal protective equipment, publicity and education, etc. And appoint special personnel to be responsible to collect and report the unit’s information of epidemic prevention and control. 3) Establish employee health account, and implement health management with reporting and classification methods according to local requirements. 4) Execute daily temperature detection. Infrared body temperature detection must be carried out every day when employees go to and from work. Report and take corresponding prevention and control measures immediately in case any abnormal situations coming out. 5) Implement close management at the construction site. Strictly execute the site access system for all construction personnel. 6) Strictly implement the registration and management system, when workers enter or leave the construction sites, PIUs should record their names, body temperatures, directions of moving, means of transportation, time of entry and exit and reasons, etc. COVID-19 Cross infection 7) The personnel on duty shall strictly register and manage the external vehicles for distributing materials. They also have dusty on supervising the Implementatio prevention staff of material purchasing to take personal protective measures and record their time as coming-going and route. Constructio Not among construction n unit of / public 8) Set up isolated observation room at the construction site, and provide full-time health personnel. Reserve disinfection drugs, medical masks and n period available health workers other related materials, and set up special temperature measurement points. subproject 9) The construction site, office area, living area, construction facilities and equipment shall be disinfected and cleaned according to the requirements of epidemic prevention department. 10) During construction, keep clean and sanitary of the construction site and living area (canteen, dormitory and toilet). Ensure indoor air circulation is sound. Implement the requirements on environmental disinfection. 11) Staff canteen should be equipped with hand washing facilities and disinfection supplies for dining staff to wash hands and disinfect. Do a good job in disinfection of kitchenware and tableware. Use disposable tableware if the disinfection conditions can’t be met. Take measures such as separate meal and staggered peak meal to reduce personnel gathering. Avoid sitting face to face and do not talk to others during meals. 12) The dormitory should be equipped with movable windows for regular ventilation. The dormitories with poor ventilation shall be equipped with exhaust fans and other mechanical ventilation equipment. The washroom is required to be equipped with hand washing basin and disinfection equipment with regular cleaning plan. 13) Set up special recycling box for masks in public areas. Strengthen the cleaning of dustbin with regular disinfection operation. Strengthen the classified management of garbage, collect and transport in time. 14) Cooperate with the nearest medical institutions to ensure that employees receive timely treatment and medical services.

215 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project （3）Environmental impact analysis and mitigation measures during operation period

Table 8-3 Typical environmental impacts and mitigation measures during operation period (Solid waste classified collection)

Impact Responsible Investment Potential E%S impact and risk Available mitigation measures Period factor party budget Waste overflow and leakage caused by According to the different types and the amount of solid waste, timely collection and transportation should be carried out to avoid damage of facilities or failure to clear and the long-time storage. transport in time.

The odor of NH3, H2S and particulate matter produced in the process of garbage Use the devices as plant liquid spray system, waste dust removal and deodorization purification and biological deodorization, etc. unloading and compression. Implementatio (1) Use clean fuel; Operation Not (2) Implement the engine maintenance program recommended by the manufacturer; n unit of Waste gas (3) Drivers shall adopt driving methods that can effectively reduce accident risks and fuel consumption, including controlling period available Exhaust gas of the transport vehicles in subproject acceleration rhythm and driving within safe speed limits; transportation from residential areas to (4) Replace old vehicles with new vehicles with higher fuel efficiency; waste transfer stations and sorting (5) Upgrade the usually used vehicles to make them available for clean fuels if feasible. stations (6) Install emission control devices such as catalytic converters and keep them in service. (7) Implement regular vehicle maintenance system. (8) Choose the best transportation route to reduce greenhouse gas emission. (1) Promote, develop and increase the use of renewable energy forms, such as new energy transport vehicles. Greenhouse gas emission (2) Choose the best waste collection route to reduce greenhouse gas emission. Leachate from waste compression Collect, pre-treat and transport to sewage treatment plants. Washing wastewater of transport vehicles (including the outside of garbage Implementatio Wastewate compression box) and washing Collect, pre-treat and transport to sewage treatment plants. Operation Not n unit of r wastewater of collection, transportation period available subproject and sorting workshops It is forbidden to directly discharge domestic sewage into natural water body. After pretreatment, the domestic sewage is planned to Domestic wastewater of staff be transported to the municipal pipe network and discharged after being treated by the sewage treatment plant with allowed quality. (1) Select equipment with low sound power level; (2) If noise is generated from the equipment casing, install the acoustic enclosure; Noise generated by production equipment (3) Improve the sound insulation effect of buildings and take sound insulation measures; Implementatio such as compression equipment, transfer Operation Not Noise (4) Install vibration isolation device for mechanical equipment; n unit of vehicle, water pump and fan in each period available (5) Limit the running time of a specific device or job; subproject workshop (6) Permanent facilities should be kept away from communities; (7) Establish a mechanism for recording and responding to complaints.

216 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Impact Responsible Investment Potential E%S impact and risk Available mitigation measures Period factor party budget (1) Reasonably arrange the transport time. Overloading and over-speeding of transport vehicles are prohibited; Noise generated by transport vehicles in (2) Optimize the route, and try to avoid residential areas when in vehicle transporting. If that is inevitable, it is forbidden to whistle transportation when the vehicle passing through the environmental sensitive points such as residential areas and schools. (3) Optimize internal traffic route, especially reduce the reverse demands of vehicles (so to reduce the noise of reversing alarm). Sludge of the sewage treatment station in Clear it regularly and send it to incineration plants. plant area Implementatio Operation Not Solid waste (1) Collect the waste regularly in short intervals to avoid accumulation. n unit of period available Domestic waste of staff (2) The recyclable waste shall be sorted at the point where it is generated, and then be handed over to the environmental sanitation subproject department for disposal after collection. (1) Safety risks to residents (especially (1) Traffic safety: Emphasize safety rules for drivers; Improve their driving skills, and require every driver must have license; Limit the elderly and children) when the driving time, arrange driver's shift schedule to avoid fatigue; Avoid risky route and try to avoid driving during peak hours of the day vehicles entering or leaving the to reduce the possibility of accidents; Install speed control device on vehicles and remotely monitor the drivers’ behavior; Maintain community, and during garbage loading the vehicle regularly and use the parts approved by the manufacturer to avoid serious accidents due to equipment failure or or unloading; premature failure of components; Work with local communities and authorities to upgrade the road signs by improving their Communit (2) Environment, health and safety risks visibility; Improve overall road safety, especially in the vicinity of schools and other areas with children; Carry out traffic education

y safety in the process of using dustbins by and pedestrian safety education with local communities (e.g. publicity activities in schools) ; community residents, such as scattered (2) Transportation of household hazardous waste: Ensure that the volume, nature, integrity and protective performance of the garbage, accidental injury, odor of packaging materials and containers used for transportation conform to the type and quantity of the hazardous substances to be garbage, breeding of mosquitoes and transported; Ensure the transportation method is proper; Make sure the size of the transport vehicle is suitable; Train the flies, etc; employees involved in the transportation of hazardous substances on how to correctly execute the dispatching procedure and (3)Traffic risk in transportation process. emergency handling procedure; Use labels and plates according to relevant requirement (signs on the outside of transport vehicles). (1) Equip with fire detector, alarm system and fire extinguishing equipment. (2) Inside and outside buildings, the passageways for personnel and vehicles shall be separated, and required as easy to use, safe and reliable, and meeting the needs. (1) Operation safety and health risks of (3) During working hours, the temperature of workplace, toilet and other welfare facilities shall be kept within the temperature range solid waste collection and sorting consistent with the use of the place. operators; (4) Conduct occupational health and safety training for all new employees. Workers' (2) The environment and safety risks of (5) Establish visitor introduction and control system. safety and vehicle maintenance, including the safety (6) Set up signs and warning signs for dangerous areas and equipment, with danger level indication. occupation al health and health risks of maintenance (7) For the rotating or moving equipment: It is required to shut down, cut off and isolate those machineries with exposed or shielded operator, waste water, waste oil, solvent, moving parts, and those machineries with stored energy according to relevant standards during maintenance and repair process. solid waste and other pollution (8) Provide hearing protection equipment to employees (as final-stage noise control measures). generated in the maintenance process. (9) For those workers exposed to high-intensity noise, it is necessary to check their hearing regularly. (10) Provide adequate fresh air for indoor and small working spaces. The factors that should be considered in ventilation design include: human activities, substances used and process related emissions. The air supply system shall be designed to prevent direct airflow from the workers.

217 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Impact Responsible Investment Potential E%S impact and risk Available mitigation measures Period factor party budget (1) Supervise the workers, actively check and treat them; (2) Treat the patients in the on-site medical institutions or local community medical institutions. Make sure the workers are easy to access to medical treatment. Keep workers' information confidential and provide appropriate care (especially for migrant workers). COVID-19 (3) Educate the project personnel and local residents to help them understand the risks, risk prevention, and the available treatment. prevention Cross infection among working staff (4) Supervise, detect and treat diseases in local communities during high-risk seasons. / public health (5) Ensure that hand washing facilities with soap, disposable tissue and closed trash can are provided at key locations in the workplace. Key locations include: entrances / exits to work areas; toilets, canteens, food distribution areas or places where drinking water is provided; and public spaces. Sufficient washing facilities are necessary, and it is not allowed that no washing facility or washing facilities not enough for the demand. It is suggested to use alcohol hand sanitizer (containing 60-95% alcohol) .

218 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Table 8-4 Typical environmental impacts and mitigation measures during operation period (improvement project of river floating waste collection and transportation system )

Impact Responsible Investme Potential E&S impacts and risks Available mitigation measures Period factor party nt budget Road dust emission from land platform Spray water to control the dust emission during materials transportation on paved or unpaved road surface. and downriver ramp of the pier (1) Use clean fuel; (2) Implement the engine maintenance program recommended by the manufacturer; Implementatio (3) Drivers shall adopt driving methods that can effectively reduce accident risks and fuel consumption, including controlling Operation Not Waste gas n unit of Ship fuel gas, machinery and automobile acceleration rhythm and driving within safe speed limits; period available subproject exhaust gas (4) Replace old vehicles with new vehicles with higher fuel efficiency; (5) Upgrade the usually used vehicles to make them available for clean fuels if feasible. (6) Install emission control devices such as catalytic converters and keep them in service. (7) Implement regular vehicle maintenance system. It is suggested to set up oil separation & sedimentation tank on land platform. After separation and sedimentation processes, the Flushing wastewater of the land working flushing wastewater of the land platform can be reused in circulation system or as greening water or dust control spraying water, platform without being discharged to outside. It is forbidden to directly discharge the domestic wastewater into natural water body. The domestic sewage from pontoons and ships is planned to be transported to the ship domestic sewage collection pool through the Domestic sewage produced by pier land sewage pipe network of the pier, and then into the integrated sewage treatment facilities; The land domestic sewage is designed to management center, pontoons and ships, be transported to the ship domestic sewage collection pool by the sewage pipeline system along the auxiliary production Implementatio Operation Not Wastewater with COD, BOD5, SS and NH3-N as the main construction area, and then into the integrated sewage treatment facilities. n unit of period available composition; The sewage is designed to be treated by the integrated sewage treatment facilities to meet the standards of Class 3 in ‘Comprehensive subproject standard of wastewater discharge’ and Class B in ‘Quality standard of the wastewater discharged into urban sewers’, and then it will be discharged to the sewage treatment plant through the main sewage pipeline behind the auxiliary production area. The oil-bearing bilge sewage is designed to be pumped by the sewage pump on the pontoon, and then, through the pipeline for oil- Ship oil-bearing sewage and oil-bearing bearing sewage, it will be transported to the ship oil-bearing sewage collection tank on land for storage. After being treated by the bilge sewage oil-water separation equipment, the dirty oil will be stored in the oil storage tank, and the sewage will enter the ship domestic sewage collection tank together with the domestic sewage from the management center. (1) Select equipment with low sound power level; (2) Improve the sound insulation effect of buildings and take sound insulation measures; Noise of production equipment such as (3) Install vibration isolation device for mechanical equipment; loading / unloading equipment and (4) Limit the running time of a specific device or job, especially for those mobile noise sources traversing communities; Implementatio sewage pretreatment equipment on land Operation Not Noise (5) Permanent facilities should be kept away from communities; n unit of platform period available (6) Make full use of natural topography to absorb the noise in facility design; subproject (7) Establish a mechanism for recording and responding to complaints. Noise of transport vehicles and berthing (1) Reasonably arrange transporting time, and overloading and over-speeding of transport vehicles are prohibited; vessels in the plant area (2) Malicious whistle is not allowed for transport vehicles and ships;

219 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Impact Responsible Investme Potential E&S impacts and risks Available mitigation measures Period factor party nt budget (3) Optimize internal traffic route, especially reduce the reverse demands of vehicles (so to reduce the noise of reversing alarm); (4) Reduce project vehicles crossing communities as much as possible. Set up ship waste collection points at the pier to receive garbage from ships. After collection, send the waste to the domestic waste Domestic waste received from passing compression transfer station for disposal. It is forbidden to dump it into the inland waters. ships Use the ship's own loading / unloading equipment to unload the solid waste into the truck with detachable garbage compartment. Implementatio Operation Not Solid waste Then transport it with the truck to Fengsheng waste incineration plant in Banan District for incineration. n unit of period available (1) Collect the waste regularly in short intervals to avoid accumulation. subproject Domestic waste of staff (2) The recyclable waste shall be sorted at the point where it is generated, and then be handed over to the environmental sanitation department for disposal after collection. Risks on the surrounding communities’ (1) Reserve buffer zone or other isolation methods around the project site. So to protect the public from the serious impact of Impacts on social safety and health, include the traffic hazardous substance accidents or process failures, and to avoid the unpleasant effects on the public, such as noise, odor and other communitie interference of vehicles, road safety and emissions; s the impact on shipping; (2) (1) Equip with fire detector, alarm system and fire extinguishing equipment. (2) Inside and outside the buildings on land platform, the passageways for personnel and vehicles shall be separated, and required as easy to use, safe and reliable, and meeting the needs. (3) During working hours, the temperature of workplace, toilet and other welfare facilities shall be kept within the temperature range consistent with the use of the place. Risks on safety and occupational health of (4) Conduct occupational health and safety training for all new employees. Workers' production workers, including high (5) Establish visitor introduction and control system. safety and temperature, drowning, falling, safety of (6) Set up signs and warning signs for dangerous areas and equipment, with danger level indication. occupationa machine operation, exposure to (7) For the rotating or moving equipment, according to relevant standards during maintenance and repair process, it is required to l health hazardous waste, risk of breathing shut down, cut off and isolate those machineries with exposed or shielded moving parts, and those machineries with stored energy. harmful gases, etc; (8) Provide hearing protection equipment to employees (as final-stage noise control measures). (9) For those workers exposed to high-intensity noise, it is necessary to check their hearing regularly. (10) Provide adequate fresh air for indoor and small working spaces. The factors that should be considered in ventilation design include: human activities, substances used and process related emissions. The air supply system shall be designed to prevent direct airflow from the workers. (1) Supervise the workers, actively check and treat them; (2) Treat the patients in the on-site medical institutions or local community medical institutions. Make sure the workers are easy to access to medical treatment. Keep workers' information confidential and provide appropriate care (especially for migrant workers). COVID-19 prevention (3) Educate the project personnel and local residents to help them understand the risks, risk prevention, and the available treatment. Cross infection among working staff / public (4) Supervise, detect and treat diseases in local communities during high-risk seasons. health (5) Ensure that hand washing facilities with soap, disposable tissue and closed trash can are provided at key locations in the workplace. Key locations include: entrances / exits to work areas; toilets, canteens, food distribution areas or places where drinking water is provided; and public spaces. Sufficient washing facilities are necessary, and it is not allowed that no washing facility or

220 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Impact Responsible Investme Potential E&S impacts and risks Available mitigation measures Period factor party nt budget washing facilities not enough for the demand. It is suggested to use alcohol hand sanitizer (containing 60-95% alcohol).

221 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Table 8-5 Typical environmental impacts and mitigation measures during operation period（subproject of domestic solid waste separation and transfer）

Impact Responsible Period Investmen Potential E&S impacts and risks Available mitigation measures factor party t budget (1) Use clean fuel; (2) Implement the engine maintenance program recommended by the manufacturer; (3) Drivers shall adopt driving methods that can effectively reduce accident risks and fuel consumption, including controlling Exhaust gas of the transport vehicles in acceleration rhythm and driving within safe speed limits; transportation from primary transfer (4) Replace old vehicles with new vehicles with higher fuel efficiency; stations to secondary transfer stations (5) Upgrade the usually used vehicles to make them available for clean fuels if feasible. (6) Install emission control devices such as catalytic converters and keep them in service. (7) Implement regular vehicle maintenance system. (8) Choose the best route for transportation to reduce the greenhouse gas emissions. (1) Set up integrated deodorization purification tower, and discharge the waste gas through the exhaust stacks after dust removal The waste gas generated by domestic and deodorization; waste in unloading process of transfer (2) Set up plant liquid space spray control system;

workplaces (NH3, H2S, Methyl mercaptan) (3) Set wind curtains at the entrance and exit of unloading hall; (4) Set gas collecting hood directly above the discharge port. The waste gas emitting from waste (1) Set up integrated deodorization tower; Implementation separation workplaces in sorting process (2) Install bag-type dust collector for large piece crushing device; Operation Not Waste gas unit of (NH3, H2S, dust) (3) Discharge the waste gas through exhaust stacks after purification. period available subproject PET cleaning workshop: The PET bottles are mainly the sorted and collected waste plastic bottles from kitchen waste. The bottle body is contaminated with a small Set up integrated deodorization purification tower, and discharge the waste gas through the exhaust stacks after purification. amount of stains, and some odor will emit in PET cleaning, feeding, sorting and

other processes (NH3, H2S, etc). The odorous substances absorbed by the sludge of production wastewater treatment station; or the anaerobic Implement airtight measures for the sludge dehydration workshop and treatment tank in sewage treatment area. Collect and send decomposition of H2S and various alkyl the odor together with the odor from PET cleaning workshop to the integrated dust removal and deodorization units, and then mercaptans during the long retention discharge through exhaust stacks after proper treatment. time of sludge, they are mainly in sludge storage tank and thickening and dehydration workshops. Flushing wastewater of equipment, Implementation Operation Not Wastewater Send to sewage treatment plant after collection and pretreatment. workshops and vehicles unit of period available

222 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Impact Responsible Period Investmen Potential E&S impacts and risks Available mitigation measures factor party t budget Replaced chemical wastewater of subproject Send to the production wastewater treatment unit after collection and neutralization. deodorization tower (acid and alkali) Leachate produced during the storage of (1) Carry out anti seepage treatment for temporary storage sites of household hazardous waste; household hazardous waste such as (2) Analyze the hazardous materials before receiving, so to properly divide and treat them according to treatment capacity. waste batteries and medicines It is forbidden to directly discharge domestic sewage into natural water body. After pretreatment, the domestic sewage is planned Domestic wastewater of staff to be transported to the municipal pipe network and discharged after being treated by the sewage treatment plant with allowed quality. (1) Select equipment with low sound power level; (2) If noise is generated from the equipment casing, install the acoustic enclosure; (3) Improve the sound insulation effect of buildings and take sound insulation measures; Operation noise of machineries in (4) Install vibration isolation device for mechanical equipment; workshops (5) Limit the running time of a specific device or job; Implementation Operation Not Noise (6) Permanent facilities should be kept away from communities; unit of period available (7) Establish a mechanism for recording and responding to complaints. subproject (1) Reasonably arrange the transport time. Overloading and over-speeding of transport vehicles are prohibited; Noise coming out from transport vehicles (2) Optimize the route, and try to avoid residential areas when in vehicle transporting. If that is inevitable, it is forbidden to whistle in transportation when the vehicle passing through the environmental sensitive points such as residential areas and schools. (3) Optimize internal traffic route, especially reduce the reverse demands of vehicles (so to reduce the noise of reversing alarm). Biochemical treatment pool sludge Clear it regularly and send it to incineration plants. Some processes of deodorization adopt chemical washing and biological washing technique. The chemical washing is alkali The filling of deodorization tower is regularly replaced and maintained by the manufacturer. After replacement, it will be included cleaning with dilute alkaline solution of Implementation in the subproject for disposal as common solid waste. Operation Not Solid waste NaOH. Generally, the filling is collected unit of period available and replaced once every half a year to subproject one year after alkali spray. Waste oil, veil, gloves produced by the machine repair workshop during the Temporarily store in the hazardous storage room, and regularly hand over to qualified units for disposal. maintenance of vehicles and equipment Risks on surrounding community safety (1) Reduce the inventory of hazardous substances through inventory management and process optimization, so to obviously reduce and health, including the traffic or eliminate the potential possibility of hazardous substance discharge to outside. Community interference in and out of transport (2) Traffic safety: Emphasize safety rules for drivers; Improve their driving skills, and require every driver must have license; Limit safety vehicles, road safety, the risk of driving time, arrange driver's shift schedule to avoid fatigue; Avoid risky route and try to avoid driving during peak hours of the production accidents to the surrounding day to reduce the possibility of accidents; Install speed control device on vehicles and remotely monitor the drivers’ behavior; communities; Maintain the vehicle regularly and use the parts approved by the manufacturer to avoid serious accidents due to equipment failure

223 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Impact Responsible Period Investmen Potential E&S impacts and risks Available mitigation measures factor party t budget or premature failure of components; Work with local communities and authorities to upgrade the road signs by improving their visibility; Improve overall road safety, especially in the vicinity of schools and other areas with children; Carry out traffic education and pedestrian safety education with local communities (e.g. publicity activities in schools) ; (3) Transportation of household hazardous waste: Ensure that the volume, nature, integrity and protective performance of the packaging materials and containers used for transportation conform to the type and quantity of the hazardous substances to be transported; Ensure the transportation method is proper; Make sure the size of the transport vehicle is suitable; Train the employees involved in the transportation of hazardous substances on how to correctly execute the dispatching procedure and emergency handling procedure; Use labels and plates according to relevant requirement (signs on the outside of transport vehicles). (1) Equip with fire detector, alarm system and fire extinguishing equipment. (2) Inside and outside buildings, the passageways for personnel and vehicles shall be separated, and required as easy to use, safe and reliable, and meeting the needs. (3) During working hours, the temperature of workplace, toilet and other welfare facilities shall be kept within the temperature range consistent with the use of the place. Risks on safety and occupational health (4) Conduct occupational health and safety training for all new employees. Workers' of production workers, including safety (5) Establish visitor introduction and control system. safety and of machine operation, exposure to (6) Set up signs and warning signs for dangerous areas and equipment, with danger level indication. occupational hazardous waste, risk of breathing (7) For the rotating or moving equipment, according to relevant standards during maintenance and repair process, it is required to health harmful gases, etc; shut down, cut off and isolate those machineries with exposed or shielded moving parts, and those machineries with stored energy. (8) Provide hearing protection equipment to employees (as final-stage noise control measures). (9) For those workers exposed to high-intensity noise, it is necessary to check their hearing regularly. (10) Provide adequate fresh air for indoor and small working spaces. The factors that should be considered in ventilation design include: human activities, substances used and process related emissions. The air supply system shall be designed to prevent direct airflow from the workers. (1) Supervise the workers, actively check and treat them; (2) Treat the patients in the on-site medical institutions or local community medical institutions. Make sure the workers are easy to access to medical treatment. Keep workers' information confidential and provide appropriate care (especially for migrant workers). COVID-19 (3) Educate the project personnel and local residents to help them understand the risks, risk prevention, and the available treatment. prevention / Cross infection among working staff public health (4) Supervise, detect and treat diseases in local communities during high-risk seasons. (5) Ensure that hand washing facilities with soap, disposable tissue and closed trash can are provided at key locations in the workplace. Key locations include: entrances / exits to work areas; toilets, canteens, food distribution areas or places where drinking water is provided; and public spaces. Sufficient washing facilities are necessary, and it is not allowed that no washing facility or washing facilities not enough for the demand. It is suggested to use alcohol hand sanitizer (containing 60-95% alcohol).

224 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

225 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Table 8-6 Typical environmental impacts and mitigation measures during operation period（subproject of solid waste recycling and disposal）

Impact Responsible Period Investmen Potential E&S impacts and risks Available mitigation measures factor party t budget (1) Use clean fuel; (2) Implement the engine maintenance program recommended by the manufacturer; (3) Drivers shall adopt driving methods that can effectively reduce accident risks and fuel consumption, including controlling Exhaust gas of the transport vehicles in acceleration rhythm and driving within safe speed limits; transportation from upper transfer (4) Replace old vehicles with new vehicles with higher fuel efficiency; stations to recycling / disposal centers (5) Upgrade the usually used vehicles to make them available for clean fuels if feasible. (6) Install emission control devices such as catalytic converters and keep them in service. Implementation Operation Not Waste gas (7) Implement regular vehicle maintenance system. unit of period available (8) Choose the best route for transportation to reduce the greenhouse gas emissions. subproject (5) Intermittently set deodorizing liquid atomizing spray devices at the ceiling of production workshop to purify the odor gas dispersed in the building; Odor gas generated during the waste (6) Equip gas collection hoods for the production line, and send the collected gas to the deodorization tower through the negative disposal / recycling processes of pressure exhaust system; production workshops (7) Install bag-type dust collector for large piece crushing device; (8) Discharge the waste gas through exhaust stacks after purification. (1) Improve the use efficiency of water and reduce the amount of waste water; (2) Classify the production wastewater by nature; The separated water from gasoline and diesel products shall be pre-treated in the oil separator and then transported to the sewage treatment plant for treatment; The ethylene glycol wastewater and other wastewater shall be stored in temporary storage pools and then transported to the units with qualification of hazardous waste treatment; Production wastewater (chemical (3) Adopt anti-seepage measures for the wastewater storage pools; wastewater) generated in the treatment / (4) Formulate the prevention & control plan of hazardous substance leakage; recycling processes of low value (5) The wastewater treatment units such as sewage treatment plant, which receive the wastewater generated by the subproject, recyclables such as waste plastics shall have sufficient capacity to meet the local regulatory authorities’ requirements on the treatment of the subproject’s Implementation Operation Not Wastewater wastewater; If the municipal or centralized wastewater treatment system receiving the subproject’s wastewater fails to meet unit of period available the regulatory requirements on treatment capacity, the wastewater of the subproject must be pre-treated and discharged after subproject fulfilling the requirements; (6) The wastewater discharged by the subproject is required to meet the pre-treatment and monitoring requirements of the sewage treatment system which it enters. (1) Collect and send the wastewater to the sewage treatment plant through the municipal sewage pipeline system; The wastewater treatment units such as sewage treatment plant, which receive the wastewater generated by the subproject, shall have sufficient Flushing wastewater of workshop’s capacity to meet the local regulatory authorities’ requirements on the treatment of the subproject’s wastewater; If the production lines municipal or centralized wastewater treatment system receiving the subproject’s wastewater fails to meet the regulatory requirements on treatment capacity, the wastewater of the subproject must be pre-treated and discharged after fulfilling the

226 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Impact Responsible Period Investmen Potential E&S impacts and risks Available mitigation measures factor party t budget requirements; (2) The wastewater discharged by the subproject is required to meet the pre-treatment and monitoring requirements of the sewage treatment system which it enters. (1) It is forbidden to directly discharge domestic sewage into natural water body. (2) The domestic sewage and canteen wastewater shall be pre-treated to meet the receiving standards of the wastewater treatment units (such as sewage treatment plant), then they are allowed to access to the municipal pipe network, and discharged after being treated by the sewage treatment plant with allowed quality. Domestic sewage and canteen wastewater (3) The wastewater treatment units such as sewage treatment plant, which receive the wastewater generated by the subproject, of staff shall have sufficient capacity to meet the local regulatory authorities’ requirements on the treatment of the subproject’s wastewater; If the municipal or centralized wastewater treatment system receiving the subproject’s wastewater fails to meet the regulatory requirements on treatment capacity, the wastewater of the subproject must be pre-treated and discharged after fulfilling the requirements; (1) Select equipment with low sound power level; (2) If noise is generated from the equipment casing, install the acoustic enclosure; (3) Improve the sound insulation effect of buildings and take sound insulation measures; Operation noise of machineries in (4) Install vibration isolation device for mechanical equipment; workshops (5) Limit the running time of a specific device or job; Implementation Operation Not Noise (6) Permanent facilities should be kept away from communities; unit of period available (7) Establish a mechanism for recording and responding to complaints. subproject (1) Reasonably arrange the transport time. Overloading and over-speeding of transport vehicles are prohibited; Noise coming out from transport vehicles (2) Optimize the route, and try to avoid residential areas when in vehicle transporting. If that is inevitable, it is forbidden to whistle in transportation when the vehicle passing through the environmental sensitive points such as residential areas and schools. (3) Optimize internal traffic route, especially reduce the reverse demands of vehicles (so to reduce the noise of reversing alarm). General solid waste produced in the regeneration process of low value Collect and temporarily store it in the plant’s general industrial waste storage house by type, and hand over to environmental recycled materials such as waste plastics sanitation department for disposal; and waste glass (1) Collect and temporarily store it in the plant’s hazardous waste temporary storage house after classification, and then transport to the units with qualification of hazardous waste treatment; Implementation Operation Not Solid waste (2) Adopt anti-seepage measures for the hazardous waste temporary storage house; unit of Hazardous waste produced in the period available (3) Formulate the prevention & control plan of hazardous substance leakage; subproject regeneration process of low value (4) Transport the hazardous waste with closed tank truck, make sure the storage tank is not overfilled, and ensure no leakage recycled materials such as waste occurs in the transportation; activated carbon and waste filter cotton (5) Implement vehicle registration system for transport vehicles; Install GPS for every truck and fit it into the construction unit’s GPS monitoring system; (6) When driving in some place close the river (ditch or pond, etc.) or on a road crossing the river (or ditch, etc.), the driver shall

227 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Impact Responsible Period Investmen Potential E&S impacts and risks Available mitigation measures factor party t budget slow down the speed and observe around so to safely pass through. Waste oil, veil, gloves produced by the (1) Temporarily store in the hazardous storage house, and regularly hand over to qualified units for disposal. machine repair workshop during the (2) Adopt anti-seepage measures for the hazardous waste temporary storage house; maintenance of vehicles and equipment (3) Formulate the prevention & control plan of hazardous substance leakage; Domestic waste and restaurant waste of Collect the waste at the fixed place after classification, and then hand over to environmental sanitation department for disposal; staff (4) Reduce the inventory of hazardous substances through inventory management and process optimization, so to obviously reduce or eliminate the potential possibility of hazardous substance discharge to outside. (5) Traffic safety: Emphasize safety rules for drivers; Improve their driving skills, and require every driver must have license; Limit driving time, arrange driver's shift schedule to avoid fatigue; Avoid risky route and try to avoid driving during peak hours of the Risks on surrounding community safety day to reduce the possibility of accidents; Install speed control device on vehicles and remotely monitor the drivers’ behavior; and health, including the traffic Maintain the vehicle regularly and use the parts approved by the manufacturer to avoid serious accidents due to equipment failure Implementation Community interference in and out of transport or premature failure of components; Work with local communities and authorities to upgrade the road signs by improving their Operation Not unit of safety vehicles, road safety, the risk of visibility; Improve overall road safety, especially in the vicinity of schools and other areas with children; Carry out traffic education period available subproject production accidents to the surrounding and pedestrian safety education with local communities (e.g. publicity activities in schools) ; communities; (6) Transportation of hazardous waste: Ensure that the volume, nature, integrity and protective performance of the packaging materials and containers used for transportation conform to the type and quantity of the hazardous substances to be transported; Ensure the transportation method is proper; Make sure the size of the transport vehicle is suitable; Train the employees involved in the transportation of hazardous substances on how to correctly execute the dispatching procedure and emergency handling procedure; Use labels and plates according to relevant requirement (signs on the outside of transport vehicles). (11) Equip with fire detector, alarm system and fire extinguishing equipment. (12) Inside and outside buildings, the passageways for personnel and vehicles shall be separated, and required as easy to use, safe and reliable, and meeting the needs. (13) During working hours, the temperature of workplace, toilet and other welfare facilities shall be kept within the temperature range consistent with the use of the place. (14) Conduct occupational health and safety training for all new employees. Risks on safety and occupational health Workers' (15) Establish visitor introduction and control system. of production workers, including safety Implementation safety and (16) Set up signs and warning signs for dangerous areas and equipment, with danger level indication. Operation Not of machine operation, exposure to unit of occupational (17) For the rotating or moving equipment, according to relevant standards during maintenance and repair process, it is required to period available hazardous waste, risk of breathing subproject health shut down, cut off and isolate those machineries with exposed or shielded moving parts, and those machineries with stored harmful gases, etc; energy. (18) Provide hearing protection equipment to employees (as final-stage noise control measures). (19) For those workers exposed to high-intensity noise, it is necessary to check their hearing regularly. (20) Provide adequate fresh air for indoor and small working spaces. The factors that should be considered in ventilation design include: human activities, substances used and process related emissions. The air supply system shall be designed to prevent direct airflow from the workers.

228 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Impact Responsible Period Investmen Potential E&S impacts and risks Available mitigation measures factor party t budget (6) Supervise the workers, actively check and treat them; (7) Treat the patients in the on-site medical institutions or local community medical institutions. Make sure the workers are easy to access to medical treatment. Keep workers' information confidential and provide appropriate care (especially for migrant workers). (8) Educate the project personnel and local residents to help them understand the risks, risk prevention, and the available Implementation COVID-19 Operation Not prevention / Cross infection among working staff treatment. unit of period available public health (9) Supervise, detect and treat diseases in local communities during high-risk seasons. subproject (10) Ensure that hand washing facilities with soap, disposable tissue and closed trash can are provided at key locations in the workplace. Key locations include: entrances / exits to work areas; toilets, canteens, food distribution areas or places where drinking water is provided; and public spaces. Sufficient washing facilities are necessary, and it is not allowed that no washing facility or washing facilities not enough for the demand. It is suggested to use alcohol hand sanitizer (containing 60-95% alcohol).

229 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Appendix 9 Traffic Management Plan

1. Introduction

This Traffic Management Plant (TMP) sets out a set of generic requirements for the traffic management during the construction of the World Bank projects in Chongqing. It is designed as general guidelines which can be adapted to the project-specific traffic management plan as part of the Environmental and Social Management Plan (ESMP) or other relevant safeguards documents of the specific project.

The objectives of this TMP are to establish general requirements of traffic management to be implemented by the project contractor to avoid and minimize traffic disturbance and ensure the safety of public and project workers during the project construction.

This TMP is intended to be used for traffic management during the construction stage of a project which may have potential impacts on road traffic and related public/worker safety concerns caused by road traffic. These include e.g. direct road construction or maintenance, construction activities occupying road or sidewalk, construction vehicles/equipment entering public roads, and construction vehicles/equipment through local community roads, etc.

During the preparation of a specific World Bank project in Chongqing, a project-specific traffic management plan using this TMP as a general framework, taking into account project-specific situation and demand, will be developed as part of the project’s ESMP or other safeguards documents as appropriate. During the implementation of the project, this TMP (or the project- specific TMP) will be incorporated into the bidding documents and latterly the construction contracts, as part of the environmental and social management specifications.

The key mitigation measures of the TMP as arranged in the following structure:

230 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

2.0 Contractor’s Traffic Management Plan

2.1 Road Closure/Partial Occupation of Public Roads

2.2 Pedestrian/Cyclist Safety

2.3 Safety of Construction Workers

2.4 Construction Vehicle/Equipment Management

2.5 Community Relations

2.6 Accident Reporting and Response Plan

2. Traffic Management Measures

2.0 Contractor’s Traffic Management Plan

2.0.1 The Contractor is required develop a detailed Contractor’s Traffic Management Plan

(C-TMP) prior to the commencement of the construction. The C-TMP shall specify

detailed measures to avoid and minimize traffic disturbance, and how road users

(particularly vulnerable cyclists and pedestrians) will be directed around a work site

or other temporary road disruption, to minimize inconvenience while providing safe

conditions for both road users and the project construction workers.

2.0.2 The C-TMP shall be reviewed and approved by the Supervision Engineer and the

project proponent before it is implemented.

2.0.3 When the construction activities will affect the traffic of public roads, such C-TMP shall

be submitted to the local traffic management authority for approval.

2.0.4 The Contractor shall designate a dedicated staff in charge of the implementation of its

traffic management plan (can be combined with the ESHS management staff), whose

responsibility is to enforce the implementation of C-TMP measures, monitor the

compliance, report the performance (and accidents) to Supervision Engineer and

project proponent, organize safety training to workers, and engage local communities

as necessary for traffic management and community safety issues, etc.

231 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

2.1 Road Closure/Partial Occupation of Public Roads

2.1.1 When construction works requires closure or partial occupation of public roads, the C-

TMP shall be submitted to the local traffic management authority for approval prior to

the commencement of construction.

2.1.2 The contractor shall publicize the notice of road closure/partial occupation and

temporary traffic diversion arrangement to the public through appropriate media, e.g.

local radio, TV, newspaper, and poster notices in near communities before the

commencement of construction. Traffic diversion sign/map shall be established on

both ends of the closed/occupied road to inform the public of the road closure and

diversion arrangement.

2.1.3 Construction activities shall be properly scheduled according to local traffic status, e.g.

avoid material transportation during rush hour,

2.1.4 Traffic management signs and facilities installed by the contractor for the construction

site must comply with relevant national standards and technical specifications.

2.1.5 For road closure, adequate fencing of the closed construction site shall be established

with proper control arrangement at entrance and exit gates, e.g. closed gate, guard rail,

and/or dedicated staff for entrance/exit control. No public shall be allowed to pass

through the closed construction site.

2.1.6 For partial road occupation, separation between construction zone and public traffic

must be ensured with fences, barriers, warning columns etc. Separation of

pedestrian/cyclist and vehicle traffic around the construction site shall also be

provided to protect the safety of pedestrian and cyclists.

2.1.7 Temporary path for pedestrian/cyclists shall be provided to ensure the accessibility of

local public with adequate safety facilities.

2.1.8 The contractor shall assign traffic safety staff on both ends of affected road section to

direct the through traffic affected by the partial road occupation of the construction

232 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

activity.

2.1.9 Adequate lighting facilities and reflective safety signs shall be installed around the

construction site for night-time safety of diverted traffic and pedestrian/cyclists.

2.1.10 Temporary access for road side shops shall be provided whenever possible with

adequate safety measures to minimize the disturbance of local business.

2.1.11 Where new access road is built for the project construction purpose, strict access

control should be in place to prevent non-construction related users

(vehicles/pedestrian) entering such roads. Necessary signs (e.g. speed limits, public

road crossing) and measures (e.g. speed bumps) shall be put in place to ensure the

traffic safety of such roads.

2.2 Pedestrian/Cyclist Safety

2.2.1 Contractor shall make utmost efforts and take measures to the extent possible to

ensure the safety of pedestrian/cyclists within the area of impacts from the

construction activities.

2.2.2 Safe temporary paths shall be guaranteed with proper separation from construction

zone and vehicle traffic zone (where possible) using e.g. fences, guard rails, warning

pole, warning flag/tape, etc.

2.2.3 Temporary pedestrian/cyclist paths shall be well lit during night-time to ensure that

the paths are clearly visible for the pedestrian/cyclists.

2.2.4 In case construction activities may temporarily occupy these paths (e.g. material

hauling and loading/unloading, moving of large construction equipment etc.),

contractor shall assign on-site staff to direct the pedestrian/cyclists safely passing

through the area without threatened by the potential risks.

2.3 Safety of Construction Workers

233 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

2.3.1 Contractor shall provide necessary personal safety protection equipment to all

workers, including reflective vest/clothes and helmet, and enforce the wearing such

equipment all the time in the construction sites and public roads during construction

hours.

2.3.2 Provide safety training (including traffic safety) to all workers prior to the

commencement of construction, and repeatedly (at least monthly) throughout the

construction period.

2.4 Construction Vehicle/Equipment Management

2.4.1 Contractor shall ensure that drivers or operators for construction vehicles and

equipment have proper licenses and qualifications as required by national and local

laws/regulations.

2.4.2 Provide traffic safety training to the drivers and operators of construction vehicles and

equipment prior to the commencement of construction, and repeatedly (at least

monthly) throughout the construction period.

2.4.3 Routes and schedule of material/spoil transportation on public roads shall be prior

planned to minimize the traffic disturbance. Where applicable, such plan shall be prior

approved by the local authority.

2.4.4 Contractor shall plan separate traffic routes and/or entrance/exit for construction

vehicles/equipment and workers at the construction site where possible.

2.4.5 Use traffic controllers, mirrors, stop signs or warning devices at site exits to make sure

drivers can see or are aware of pedestrians before driving out onto public roads.

2.4.6 Designate specific parking areas for construction vehicles and equipment, avoiding the

occupation of public roads or interference with pedestrian paths.

2.4.7 Construction vehicles and mobile equipment shall equip reserving warning alarms,

flashing lights, sensors or cameras to ensure the safety for reversing operation. A signal

person wearing high visibility clothing shall be assigned when the driver cannot see

234 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

clearly behind the vehicle/equipment during backward operation on public roads and

in the construction site.

2.4.8 When over-sized construction vehicle and special equipment are to be put on the

public roads, ensure adequate safety measures such as clear warning signs, visible

markers or flash lights are well equipped. Speed limit shall be strictly enforced.

2.4.9 Overloading of construction vehicles for material or spoil transportation shall be

strictly prohibited.

2.5 Community Relations

2.5.1 Contractor shall engage local communities and relevant authorities when developing

its C-TMP through stakeholder consultation process, so that the local demand of

accessibility and safety concerns are incorporated into the C-TMP.

2.5.2 Where public roads are closed or partially blocked for construction, public notice shall

be announced through local medias prior to the road closure and blockage.

2.5.3 Public grievance redress information shall be disclosed on-site, with specific contact

person names and contact numbers open to public to receive public complaints.

2.5.4 Consultation with local communities, road users and relevant government authorities

shall be conducted regularly throughout the construction period of the project.

Feedbacks from such consultations shall inform the continuous improvement of the C-

TMP.

2.6 Accident Reporting and Emergency Response Plan

2.6.1 Contractor shall develop an emergency response plan, as part of its C-TMP, to address

the traffic related accidents happen in/near the project construction sites. This

response plan should clearly specify the communication/reporting procedures, key

contact persons to be immediately informed, contacts of relevant response agencies

235 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

(e.g. traffic police, firefighting department, medical service etc.), and emergency

response measures (e.g. road closure, traffic diversion etc.).

2.6.2 Contractor shall immediately report any traffic accident related to project construction

to the Supervision Engineer and project proponent, including time and location of

accidents, any fatality or serious injury, any spills of known and unknown chemicals,

significant adverse impacts on traffic and community environment, and response

measures taken on-site, etc. Full details of such accidents report shall be provided to

the Supervision Engineer and project proponent with the timeframe agreed by the

Supervision Engineer and project proponent.

2.6.3 Provide traffic accident emergency response training to all workers and

management staff of the contractor as part of the overall safety training

program.

236 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Appendix 10 Construction Camp Management Plan

1. Introduction

This Camp Management Plan (CMP) sets out a set of generic requirements and standards for the construction camp management for the World Bank loaned projects in Chongqing. It is developed as general guidelines which can be adapted to the project-specific camp management plan as part of the Environmental and Social Management Plan (ESMP) or other relevant safeguards documents of the specific project.

The objectives of the CMP are to:

• Establish standards on worker welfare and living conditions at the camps that provide a

healthy, safe and comfortable environment.

• Develop a set of generic measures to be implemented by the Contractor to avoid or reduce

potential adverse effects of construction camps on the environment and the surrounding

communities, and to maintain good relationships between construction camp and

surrounding communities.

This CMP is intended to be used for all the World Bank loaned projects in China, in which construction camp is foreseen to be needed and provided by the Contractor 25 . Given the different scales of projects and specific local contexts, the types and scales of different construction camps may vary substantially, thus the potential environmental and social impacts related to construction camps should be considered accordingly.

The set of generic requirements and measures covers a full range of aspects of large construction camps, typically related to large scale infrastructure projects. For moderate or small-scale projects where the number of workers is relatively small, not all the requirements and standards in this document are applicable. Therefore, the requirements list below may be

25 This CMP does not apply to the situation in which accommodation is self-arranged by the workers themselves and is not the responsibility of the Contractor, e.g. local workers from nearby communities.

237 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project proportionally or selectively used for the development of the project-specific camp management plan for such projects.

The following table illustrates the potential environmental and social impacts related to construction camps, and advices on project-specific camp management plan development.

Types of Application of Positive Impacts Negative Impacts Accommodation this CMP - Land acquisition and resettlement or temporary occupation; - Camp construction related impacts such as - Minimize dust, noise, waste, etc.; Project-specific interaction with - Environmental, health CMP in the surrounding and safety issues related project’s communities; to camp operation, e.g. safeguards - Reduce pressure wastewater, solid waste, documents (and on community noise, food safety, the later C-CMP) infrastructure worker’s health, etc.; should address New construction and services; - Potential impacts on all aspects under of workers’ camp - More effective nearby communities the Chapter 2 management of from camps with large and 3 of this workers’ health number of workers, e.g. CMP, with and safety religious or cultural proportional issues, and conflicts, increased consideration to enforcement of spread of communicable the specific code of diseases such as project context. conducts; HIV/AIDS and other sexually transmitted diseases, gender-based violence and harassment (GBVH) risks. - Increase demand of Project-specific infrastructure, services CMP in the - Avoid new and utilities etc.; project’s construction of - Development of illicit safeguards camps; trade activities; documents (and - Increase income - Disturbance of the later C-CMP) Rental of existing of surrounding community life; should mainly housing communities; - Potential religious or focus on - Promote local cultural conflicts; management of business (shops, - Inflation in local costs; worker’s restaurants etc.). - increased spread of behavior and

communicable diseases interaction with such as HIV/AIDS and communities

238 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project other sexually (section 3.2, 3.4, transmitted diseases; 3.5 and 3.6), - GBVH related risks. while ensuring the rental houses have decent living and sanitation standards (comparable to relevant provisions in 2.4)

During the preparation of a specific World Bank loaned project in China, this CMP will be used as a template for the development of a project-specific camp management plan, taking into account project-specific situation and demand, as part of the project’s ESMP or other safeguards documents.

During the implementation of the project, the project-specific camp management plan shall be incorporated into the bidding documents as part of the environmental and social management specifications. Prior to the commencement of the construction activities, the Contractor is required to develop a detailed Contractor’s Camp Management Plan (C-CMP), which shall be reviewed and approved by the Supervision Engineers and the project implementation unit

(PIU).

2. Camp Requirements and Standards

2.1 General Principles

2.0.1 Assessment of need for worker’s accommodation shall be conducted prior to the

commencement of construction by the Contractor, with due consideration of likely

environmental and social impacts. For larger projects with potential large number of

labor influx, this assessment shall best be done at the stage of the Environmental and

Social Impact Assessment (ESIA).

2.0.2 The Contractor may adopt different options for worker’s accommodation, i.e. rental of

local existing houses, new construction of worker’s camp, or combination of both.

239 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

While, any camp arrangement approach must comply with relevant national and local

laws and regulations, and the bidding documents requirements.

2.0.3 Camp construction and management shall follow the general principles of

minimization of land acquisition/occupation, minimum disturbance of environment

and surrounding communities, adequate safety, rational layout, proper functions for

accommodation and sanitation, convenience for worker’s life and meet the demands

of project construction.

2.0.4 The Contractor may have separate on-site project office camps and construction

workers camps. In this case, both types of camps shall meet the minimum standards

as specified in the project-specific CMP, which will be incorporated into the bidding

documents.

2.0.5 The Contractor shall develop its own C-CMP according to the bidding documents (and

assessment of the specific site context) as part of its construction plan, which shall be

reviewed and approved by the project Supervision Engineer and the PIU.

2.1 Camp Location

2.1.1 Either through new construction or rental of existing residence, the location of

construction camps shall be carefully selected by the Contractor to ensure that risks to

resident workers and impacts to the environment and surrounding communities are

controlled to a level that is as low as reasonably practicable. The suitable sites shall be

selected and finalized in consultation with the PIU, Supervision Engineers and local

affected communities. Necessary permits will be obtained from the relevant local

government departments for the approved camp location.

2.1.2 Selection of camp location shall meet the following selection criteria:

1) Construction camp should be located within a reasonable distance from the

worksite, but free from worksite disturbance.

2) The location should have convenient access to power, water and communication to

meet the living needs.

240 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

3) The location should have convenient traffic conditions, be as close to the road as

possible.

4) Construction camp should be located away from natural hazards such as collapse,

landslides, falling rocks, mudslides, floods, high frequency/voltage power supply,

pollution sources and at least 500m away from the centralized blasting area26.

2.1.3 For new construction of workers’ camps, the following criteria should also be met:

1) The camp located land should be as wide and flat as possible, with an area able to

meet the demand of living, and the land should be able to acquire legally.

2) Construction camp should not occupy the planned borrow pits or disposal area.

3) Construction camp shall be located in areas which are clear of any natural

watercourses or stormwater courses.

4) Construction camp shall not be located to impact on existing traffic or else

adequate mitigation measures shall be available to address the impacts.

5) Construction camp shall keep a proper distance from existing residential

settlements areas to minimize the environmental and social disturbance to the

surrounding communities.

6) Environmental sensitive sites shall be avoided, including nature reserves, scenic

and tourism area, physical cultural resources protection area and within 100m of

watercourses resource.

2.2 Camp Planning and Layout

2.2.1 For new construction of workers’ camp, after finalization of the location, the

Contractor shall submit to the PIU and Supervision Engineers a detailed layout plan for

development of the construction camp, indicating the various structures to be

constructed including the temporary structures to be put up, fence, road, drainage,

waste storage, electricity generator, material/fuel storage and other facilities,

emergency evacuation plan and location of assembly point, as well as location of

26 JTG-F90-2015 Technical Specifications for Road Works Construction Safety

241 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

environmental sensitive areas as present. The plan should be supplemented with

written agreement from the land owner and any site redevelopment plan after

construction completion.

2.2.2 The layout takes into account the construction scale of the residence and the form of

temporary structures and follows the below principles:

1) Adopt a “closed” camp policy by setting up gates and surrounding fences;

2) Separate functional areas for working area, living area, storage area;

3) Canteen and kitchen shall not be located in the downwind direction of pollution

sources including washrooms, shower rooms and solid waste bins, and be at least

15m away from them;

4) The site is designed with adequate drainage system to avoid the accumulation of

stagnant water;

5) The layout should meet the national/local requirements of fire prevention, firefight,

and safe evacuation of personnel. The dormitories, office buildings, canteen,

kitchen, washrooms, shower rooms, laundry rooms, and recreation buildings shall

stay away from flammable and explosive dangerous goods warehouse. Width of

evacuation passage shall not be less than 1m for one-side building layout, and not

less than 1.5m for two-side layout. Width of evacuation stairs should not be less

than that of evacuation passage;

6) The entrances and exits shall meet the requirements for the passage of fire trucks.

At least one fire safety passage shall be set up. Fire truck route indication sign shall

be provided on the right. The roadbed, pavement and the facilities below shall be

able to withstand the pressure and working load of fire trucks;

7) The main access roads should be hardened and cleaned regularly.

8) Greening space should be planned where feasible with landscape design of grass,

trees and flowers for aesthetics;

2.2.3 For rental of existing buildings, the Contractor shall submit the rental plan with

242 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

detailed information on the locations, facilities and rental arrangement etc. to the PIU

and Supervision Engineers for review and approval.

2.3 Camp Facilities

2.3.1 Generally, all the camp facilities shall meet the following requirements:

1) The camp shall be provided with basic services of water supply, electricity, wash

rooms and sanitation facilities, dormitory, canteen, shower/laundry, health and

safety facilities that meet the requirements set out in this section.

2) The size of facilities shall be proportionate to the number of users, and provides a

reasonable amount of space/area per user. National/local design standards for

structural safety, firefight, space/area per person and ceiling height shall be

followed, if there are any.

3) All facilities are built/decorated with materials meeting the national/local firefight,

safety, sanitary and epidemic disease prevention requirements. No dangerous and

hazardous materials (e.g. asbestos product) shall be utilized.

4) All facilities shall be kept in functional and clean conditions with adequate routine

maintenance.

5) Adequate information disclosure bulletin boards shall be set up at the entrance of

the camp, including at least "Five Boards and One Map". “Five boards” refer to

information disclosure bulletin boards on brief project description, names and

contact numbers of management and supervision personnel, firefight measures,

safety operation measures, and civilized construction measures; "One Map" refers

to the layout map of the camp site.

2.3.2 Dormitory

1) Dormitories are to be built with hardened and easily cleanable flooring material,

fire-resistant and waterproof roof material, and constructed so that noise does not

interfere with sleep to the extent that is reasonably practicable.

2) Area per resident is advised not less than 2.5m2, and the ceiling height should not

243 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

be lower than 2.5m. A room is advised not to accommodate more than 8 workers.

3) Every resident is provided with a separate bed and adequate furniture. Where

possible, there could be partitions or curtains to ensure privacy.

4) Layers of bedding shall not be more than 2.

5) All doors and windows should be openable and lockable.

6) There shall be heater and measures for preventing gas poisoning in winter where

conditions warrant (e.g. in the northern part of China).

7) Separate rooms are provided for men and women, except in family accommodation.

8) Adequate ventilation and/or air conditioning systems shall be provided for

dormitory rooms.

9) Mosquito net shall be provided to workers where needed.

2.3.3 Office

1) Each office shall be reasonably equipped with office supplies according to the work

requirements, such as chairs, file cabinets, water dispensers, printers, and network

connection.

2) Meeting and training rooms could be set up if needed.

2.3.4 Canteen

1) Canteen and kitchen are built with easy to clean materials and anti-slip floor. Wall

surfaces adjacent to cooking areas are made of fire-resistant materials.

2) Kitchen is provided with facilities for operating, cooking, cleaning, disinfecting,

storage of cooking utensils, storage of gas tanks, closed storage of waste, fire

extinguisher, and facilities to maintain adequate personal hygiene.

3) Kitchen’s drainage pipes should be cleaned and dredged regularly. There should be

covers such as reinforced iron rafters on open ditches, water seals, rat-proof baffles,

and fly-proof devices where conditions warrant.

4) Smoke from kitchen shall be treated before emission to the air.

5) Kitchen and canteen are cleaned and disinfected regularly.

244 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

6) Raw and cooked food are placed and processed separately with separate storage

cabinets, chopping boards, knives, and utensils.

7) Kitchen and canteen staff need to pass health check every year and are not allowed

to participate in food preparation when detected with disease considered to

negatively affect food safety.

8) Food procurement, storage, preparation and delivery should follow good food

hygienic practices, as required by national/local regulations and World Health

Organization (WHO).

9) Food provided to workers should contain an appropriate level of nutritional value

and take into account religious/cultural backgrounds.

2.3.5 Water Supply

1) Access to an adequate and convenient supply of free and safe potable water is

always available to workers. Anti-freezing measures for water supply pipelines

shall be taken in cold areas as necessary.

2) Drinking water storage tanks constructed and covered as to prevent water stored

therein from becoming polluted or contaminated, and should be remarkably

labeled and separated from other water storage tanks.

3) Drinking water quality is regularly monitored to meet national/local or WHO

drinking water standards, whichever is more stringent.

2.3.6 Washroom

1) Separate washrooms are provided for either male or female users (except in family

accommodation), and designed with adequate privacy. There shall be a notice

displayed outside the rooms in the language understood by the majority of the

workers “For Men Only” or “For Women Only” as the case may be.

2) The ratio of number of positions to users is advised not less than 1:50 for men, and

1:25 for women; the ratio of number of taps to users is advised not less than 1:20.

3) Washrooms are constructed of materials that are easily cleanable, with water

245 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

flushing, anti-slip flooring, and adequate drainage.

4) Washrooms should also be provided with adequate supplies of running water, soap,

and toilet paper.

5) Toilet shall be flushed after every use. Waste from washroom shall be treated with

adequate wastewater treatment facility (e.g. three-cell septic tank) or connected to

the municipal sewage network for treatment. Open-air dry toilet is not permitted.

2.3.7 Shower room

1) Separate shower rooms are provided for either male or female users (except in

family accommodation), and designed with adequate privacy. There shall be a

notice displayed outside the rooms in the language understood by the majority of

the workers “For Men Only” or “For Women Only” as the case may be.

2) Shower rooms are constructed of materials that are easily cleanable, with anti-slip

flooring, and adequate drainage.

3) Shower rooms are provided with an adequate and reliable supply of cold and hot

running water. Renewable energy is prioritized for water heating.

2.3.8 Laundry

1) Laundry facilities are built in easy to clean materials, with anti-slip flooring, and

adequate drainage.

2) Special laundry facilities should be provided for work clothes used in contact with

dangerous substance.

3) Adequate drying area and racks are advised to be provided.

2.3.9 Wastewater treatment

1) Wastewater from kitchen must flow through an oil separation tank and screening

grid before entering the wastewater pipelines of the camp. The oil separation tank

should be cleaned regularly.

2) Wastewater from washrooms must be at least treated with septic tank. The septic

tank should be at least 30m away from groundwater intake structure and at least

246 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

5m away from exterior wall of buildings27.

3) Wastewater from the camp is advised to be pre-treated by both a sedimentation

tank and a septic tank before discharge into environment. The wastewater shall be

periodically transported away by a water tank to the nearest treatment plant

where feasible.

4) Wastewater discharged from the camp shall comply with national standards.

2.3.10 Solid Waste

1) Adequate and classified containers (in accordance with local regulations on solid

waste classification) for solid waste collection are provided and emptied on a

regular basis. The containers should be leak proof, non-absorbent, rust and

corrosion-resistant, and protected from insects and rodents.

2) Special attention should be given to medical and hazardous wastes, making sure

these wastes are properly recorded and disposed by qualified contractors.

3) Where possible, recyclable waste may be supplied to a local receiver licensed to

process such waste.

4) Open burning of solid waste is strictly prohibited.

2.3.11 Safety and Firefighting Facilities

1) Safety and firefighting facilities shall be adequately provided in line with national

and local laws/regulations;

2) Adequate safety warning signs shall be equipped where appropriate, e.g. No

smoking”, "No fireworks", "Beware of electricity hazards”, “Beware of fire hazards”

etc. 3) Warning signs shall be also erected adjacent to perimeter fences, water

tanks, high-altitude areas and other places with potential hazards.

3) Firefight extinguishers should be procured from reliable source, periodically

checked to ensure effectiveness, located obviously, easily accessible, and shall not

affect the safe evacuation. Fire extinguishers should not be installed in humid or

27 GB50015-2019 Building Water Supply and Drainage Design Standards

247 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

corrosive locations, or else there should be corresponding protective measures.

4) Trolley fire extinguishers should be provided in places with high fire risk, such as

generator room and power distribution room; whereas portable fire extinguishers

are provided in other places.

5) The number of fire extinguishers in each location should not be less than 2. If there

is no fire-fighting water supply system, the number of fire extinguishers in each

location should not be less than 3.

6) If firefighting water source is other than municipal water supply, there should be

measures to ensure reliable water supply.

7) When the building area is greater than 300m2, an outdoor firefighting water supply

system should be installed, unless the site is all within the 150m protection range

of municipal fire hydrant, and the number of municipal fire hydrants meets the

requirements for outdoor firefighting water consumption.

8) A specific fire safety plan should be prepared, including training of fire wardens,

periodic testing and monitoring of fire safety equipment and periodic drills.

2.3.12 Health and Medical Facilities

1) Adequate first aid kits shall be provided in the camp.

2) The first aid kits are under the charge of a responsible person who shall always be

readily available during working hours of the work place. He/she shall be

adequately trained in administering first aid-treatment. Where possible, female

medical staff should be available for female workers.

3) All consumables as the first aid equipment, cleaning equipment for maintaining

hygiene and sanitation should be recouped immediately.

4) Formal arrangement shall be prescribed to make motor transport available to

carry injured person or person suddenly taken ill to the nearest hospital.

5) Guidance on the detrimental effects of the abuse of alcohol and drugs and other

potentially harmful substances and the risk and concerns relating to HIV/AIDS and

248 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

of other health risk-related activities is provided to workers.

6) There should be a mechanism (including person in charge and specific duties) to

report to the authorities on the outbreak of any contagious diseases, food

poisoning and other important casualties.

2.3.13 Recreational Facilities

1) For large camps where there is collective demand from workers and also

practicable, basic collective social/rest spaces and recreational facilities should be

provided to workers and kept in working condition, e.g. basketball court, table

tennis, library room, etc.

2) Workers are provided with dedicated places for religious observance if the context

warrants.

3. Managing Construction Camp

2.1 Staff Roles and Responsibilities

3.0.1 Project Implementation Unit (PIU)

1) In the bidding phase of the project, the PIU is responsible for ensuring that the

requirements for implementing construction camp management plan be clearly

listed as one of the obligations for the successful bidder.

2) The PIU shall review and approve the construction camp management plan

developed by the Contractor as a pre-requisite for signing the agreement.

3) The PIU shall monitor the Contractor’s performance of implementing the Plan

through periodic inspection and review of contractor’s monthly monitoring report,

and request for any necessary improvements on non-compliance.

4) The PIU shall retain the right of reviewing and approving any changes to the Plan.

3.0.2 Contractor

1) The Contractor shall develop detailed construction camp management plan (C-

CMP) prior to signing the contract. The C-CMP should describe the resources

allocated to and responsible for the execution of each task and requirement

249 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

contained therein, and shall describe how roles and responsibilities are

communicated to relevant personnel.

2) The Contractor shall ensure sufficient resources are allocated on an on-going basis

to meet the requirements of the C-CMP.

3) The Contractor shall monitor the effectiveness of the C-CMP and submit to the PIU

monthly monitoring reports.

4) The Contractor shall take immediate actions to remedy any non-compliance with

the C-CMP.

5) The Contractor shall report to the PIU of any proposed changes to the C-CMP.

6) Full-time EHS management staff is appointed by the Contractor to monitor and

supervise the effectiveness of the implementation of C-CMP. He or she will be

responsible for maintaining the daily records and preparing monthly monitoring

reports. He or she will also be the key liaison person of the Contractor to respond

to any concerns or requirements from the PIU, surrounding communities or local

government.

7) The PIU and the Contractor shall ensure that all personnel responsible for the

execution of the tasks and requirements contained within its C-CMP are competent

on the basis of education, training and experience.

8) The C-CMP shall describe the training and awareness requirements necessary for

its effective implementation. The training activities shall be appropriately

documented by means of training needs assessment, training plan and records of

training undertaken.

2.2 Code of Conduct of Workers

3.0.3 Resident workers and surrounding communities shall be informed of the Code of

Conduct for Resident Workers, which outlines the appropriate behavior in compliance

with relevant laws and regulations to minimize community impacts. Failure to comply

with the Code of Conduct will result in disciplinary actions. The code of conduct shall

250 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

address the following (but not limited to them):

1) All of the workforce shall abide by the national laws and regulations.

2) Illegal substances, weapons and firearms are prohibited.

3) Pornographic material and gambling are prohibited.

4) Fighting (physical or verbal) are prohibited.

5) Any discrimination, harassing behavior, or gender-based violence are prohibited.

6) Maintenance of appropriate standards of dress and personal hygiene.

7) Smoking shall only be allowed in designated areas.

8) Use of alcohol by workers shall not be in office hours.

9) Disposing waste in unauthorized places or burning of waste shall be prohibited.

10) Washing cars or machinery in streams or creeks or doing maintenance (change of

oils and filters) of cars and equipment outside authorized areas shall be prohibited.

11) Use of unapproved toxic materials, including lead-based paints, asbestos shall be

prohibited.

12) Spillage of potential pollutants, such as petroleum products, shall be prohibited.

13) Hunting, fishing, wildlife capture, tree cutting or plant collection for any reason

outside the approved construction area shall be prohibited.

14) Building of fires or collection of firewood shall be prohibited.

15) Buying of wild animals for food or having caged wild animals (especially birds) in

camps shall be prohibited.

16) Creating nuisances and disturbances in or near communities shall be prohibited.

17) Driving in an unsafe manner in local roads shall be prohibited.

18) Disrespecting local customs and traditions shall be prohibited.

19) Disturbance to anything with architectural or historical value shall be prohibited.

20) Residing camp workforce visiting the surrounding communities shall behave in a

manner consistent with the Code of Conduct.

2.3 Security Arrangement

251 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

3.0.4 For new construction of workers’ camp,

1) The Contractor shall enforce a 'closed' camp policy. A perimeter security fence shall

be constructed from appropriate materials, supplemented with other measures

such as locks, alarms, badge and pass card systems as appropriate.

2) Access to the camp shall be limited to the residing workforce, construction camp

employees, and those visiting personnel on business purposes and with prior

approval from the construction camp manager.

3) Transfer of goods into and out of camps shall be monitored and recorded.

4) The Contractor shall provide training to increase workers’ self-protection

awareness and capability against theft and attack.

5) Camp will be controlled by security to avoid intrusions from outside community.

6) Security staff should have passed background check, with no implication in past

abuses, and received clear instruction about their duties and responsibilities.

7) Security staff should know and abide by applicable laws.

8) Security staff should have received adequate training in dealing with domestic

violence and the use of force.

9) Adequate, day-time and night-time lighting shall be provided.

10) Safe transport means from dormitories to worksite is provided.

11) There need to be a mechanism (including person in charge and specific duties) to

ensure full cooperation with the police authority (where adequate) in cases of

security incidents.

3.0.5 For rental of existing residence,

1) The Contractor shall review the adequacy of security arrangement as present

before making the rental decision, and undertake improvement measures as

appropriate.

2) The Contractor shall provide training to increase workers’ self-protection

awareness and capability against theft and attack.

252 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

3) Safe transport means from residence to worksite is provided or accessible at

reasonable cost.

4) There need to be a mechanism (including person in charge and specific duties) to

ensure full cooperation with the police authority (where adequate) in cases of

security incidents.

2.4 Community Relations

3.0.6 A transparent and efficient liaison and consultation mechanism (including person in

charge and specific duties) should be established allowing a constant exchange of

information and consultation with the surrounding communities in order to identify

and respond quickly to any problems or grievances and maintain good working

relationships.

3.0.7 The Contractor shall disseminate project and camp information (including workers’

code of conduct) to affected communities in local language before construction

commencement.

3.0.8 The Contractor shall provide orientation training to its workers to increase their

awareness about the behavioral disciplines, local traditions and cultural sensitivities.

3.0.9 The Contractor shall provide services and entertainment as practical in the workers’

camp to reduce the need for workers to use surrounding communities’ facilities or mix

with surrounding communities.

3.0.10 The Contractor shall hire workers through recruitment offices and avoid hiring “at the

gate” to discourage spontaneous influx of job seekers.

3.0.11 The Contractor shall utilize water and electricity sources for camp/construction site

use in a manner that minimizes impacts on local supply and use. The water and power

sources should be reviewed and approved by local government where necessary.

3.0.12 The Contractor shall procure an appropriate mix of locally and non-locally goods. The

Contractor shall not procure from vendors if it may lead to higher prices for

surrounding communities or encourage in-migration into the area.

253 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

3.0.13 The adverse environmental and social impacts generated by the construction camp on

surrounding communities should be periodically reviewed and mitigated, which

include but are not limited to increased noise and air emissions, inadequate

wastewater discharge and waste disposal, increased demand and competition for local

public services, increased volume of traffic and higher risk of accidents, social conflicts

within and between communities, increased risk of spread of communicable diseases,

and increased rates of illicit behavior and crime.

3.0.14 External lights on the camp should be positioned or shielded to minimize light

overflow onto neighboring properties.

3.0.15 The Contractor shall implement an education program for workers on the prevention

sexually transmitted diseases (STD), especially with regard to HIV/AIDS.

3.0.16 The Contractor shall frequently consult with key sensitive receptors such as schools

and hospitals to minimize the adverse impact to these receptors.

3.0.17 The Contractor shall ensure that the camp security personnel foster good community

relations through their interaction and behavior towards the communities.

2.5 Grievance Redress Mechanism

3.0.18 Grievance redress mechanisms for workers and surrounding communities to

articulate their grievances should be provided to workers and surrounding

communities through camp information disclosure boards, and preferably

supplemented with regular meetings with nominated representatives.

3.0.19 Complaints received from workers and surrounding communities must be recorded,

and timely tracked for remedial action.

3.0.20 Workers subjected to disciplinary proceedings arising from behavior in the camp

should have access to a fair and transparent appealing system and have the right to

refer the dispute to relevant public authorities.

3.0.21 A fair conflict resolution mechanism should be in place to address conflicts between

workers themselves.

254 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

3.0.22 In cases where more serious offences occur, including serious physical or mental abuse,

contractor should seek cooperation from the police authority where situation

warrants.

2.6 Gender Equality and GBVH Risk Management

3.0.23 The Contractor shall establish an Equal Opportunity Policy regarding non-

discrimination by gender, enabling fair and transparent decision-making related to the

hiring of staff and awarding of promotions and performance-related pay.

3.0.24 Where there is a difference in camp accommodation, the Contractor shall manage this

issue in an open and transparent manner. No reduction in standards shall be allowed

because of worker's gender, although distinctions may be appropriate based on

seniority of individuals and job classifications.

3.0.25 The Contractor shall develop policies that define various forms of GBVH, set out clear

codes of conduct linked to disciplinary procedures and communicate the

unacceptability of GBVH to all staff and workers engaged in the project.

3.0.26 The Contractor shall establish reporting and investigation procedures for concerns or

suspicions regarding acts of GBVH which enable them to be treated seriously and in an

impartial and confidential way.

3.0.27 Training and awareness raising activities shall be delivered to provide clear messaging

about what constitutes GBVH, what behaviors are accepted and tolerated, and how to

report GBVH-related concerns or complaints.

3.0.28 The Contractor shall encourage and support its suppliers and subcontractors

alignment with GBVH risk management practices, agree acceptable codes of conduct,

raise awareness about policies and procedures, and include suppliers and

subcontractors in any relevant training.

3.0.29 There need to be a mechanism to ensure full cooperation with the police authority

(where adequate) in cases where more serious offences occur.

2.7 Emergency Response Plan

255 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

3.0.30 Emergency response plans shall be prepared by contractor on physical injury,

electricity outage, food safety, fire safety, natural hazards, outbreak of infectious

disease, and severe social conflicts.

3.0.31 Emergency response plan for outbreak of infectious disease shall follow relevant

national requirements and WHO’s guidelines, including but not limited to travel and

access restrictions, isolation arrangements, hygiene and disinfectant arrangements,

medical staff and supplies of treatments, storage and disposal arrangements for

medical waste, awareness campaigns and trainings, as well as procedures to screen,

identify, isolate, report, and transport suspicious or confirmed cases as agreed with

PIU and the local health authorities.

3.0.32 Emergency response plans shall be periodically reviewed and updated in accordance

with project and camp circumstances.

3.0.33 Emergency response plans shall be clearly communicated to all staff and workers

during orientation induction.

3.0.34 Adequate contingency resources (e.g. vehicle, equipment, materials, tools, human

resource, funds) are equipped and managed by clearly designated

personnel/department.

3.0.35 Establish and maintain an emergency communication and reporting mechanism and

make sure emergency contacts are known to all staff and workers in the camp.

3.0.36 Conduct periodic drills, assess the efficacy of emergency response plans and revise the

plans accordingly.

3.0.37 Report the incidents to supervision engineers and PIU, and local government

departments in accordance with national/local regulations.

2.8 Monitoring and Reporting

3.0.38 The EHS staff of the Contractor will undertake both desktop and field-based

inspections to confirm that specified mitigation measures are being implemented

effectively and achieving the intended outcomes. The suggested performance

256 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

indicators are as in the table below. The performance indicators as well as a track of

corrective actions for any non-conformances form a key component of monthly

reporting to the PIU.

Performance Frequency of Measurement Target/Benchmark Indicator reporting Camp 100% of workers resident at camp management Percentage of undergo training on camp Monthly training participation management participation Worker satisfaction Percentage of 100% of workers are satisfied with Monthly with living satisfaction living conditions conditions Grievance Type and Closed or adequately responded to lodged by Monthly number within 30 days workers Grievance lodged by Type and Closed or adequately responded to Monthly surrounding number within 30 days communities Disciplinary Type and Reduction in disciplinary breaches Monthly cases number Type and GBVH cases Reduction in occurrence Monthly number Accidents Type and (near-miss, Reduction in occurrence Monthly number injury, death) Immediate reporting and measures Infectious Type and taken in compliance with relevant Immediately disease cases number national requirements and WHO’s guidelines

3.0.39 The PIU should review the monthly monitoring reports submitted by the Contractor to

determine their compliance with the C-CMP. For large camps with high environmental

and social risks, independent third-party monitoring is recommended.

3.1 Decommissioning

3.1.1 A decommissioning plan shall be prepared by the Contractor specifying the mitigation

measures against relevant environmental impacts (e.g. dust, noise, waste) and safety

requirements, in accordance with JGJ147 Technical Code for Safety of Building

Demolition Engineering. The plan is reviewed and approved by the Supervision

257 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

Engineers and the PIU.

3.1.2 Buildings and facilities shall be dismantled following environmental and safety

requirements as set out in the decommissioning plan, and is supervised by the

supervision engineers during the process.

3.1.3 The disturbed areas will be reinstated to a condition not inferior to that pertained prior

to the camp construction. Where practical, the Contractor will return camp areas to

former landforms.

3.1.4 Oil and fuel contaminated soil shall be removed and disposed by pre-approved

disposal method.

3.1.5 Septic tanks shall be sterilized, covered and effectively sealed off.

3.1.6 Where community requests, some infrastructure and services may be retained at the

discretion of the Contractor and the PIU in consultation with local government.

258 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Appendix 11 Emergency Preparedness and Response Plan

The Borrower will identify and implement measures to address emergency events. An emergency event is an unanticipated incident, arising from both natural and man-made hazards, typically in the form of fire, explosions, leaks or spills, which may occur for a variety of different reasons, including failure to implement operating procedures that are designed to prevent their occurrence, extreme weather or lack of early warning. The measures will be designed to address the emergency event in a coordinated and expeditious manner, to prevent it from injuring the health and safety of the community, and to minimize, mitigate and compensate for any impacts that may occur.

Borrowers engaged in projects having the potential to generate emergency events will conduct a risk hazard assessment (RHA), as part of the environmental and social assessment undertaken pur-suant to ESS1. Based on the results of the RHA, the Borrower will prepare an

Emergency Response Plan (ERP) in coordination with the relevant local author-ities and the affected community, and will take into account the emergency prevention, preparedness and response arrangements put into place with project workers under ESS2.

An ERP will include, as appropriate: (a) engineering controls (such as containment, automatic alarms, and shutoff systems) proportionate to the nature and scale of the hazard; (b) identification of and secure access to emergency equipment available on-site and nearby; (c) notification procedures for designated emergency responders; (d) diverse media channels for notification of the affected community and other stakeholders; (e) a training program for emergency responders including drills at regular intervals; (f) public evacuation procedures; (g) designated coordinator for ERP implementation; and (h) measures for restoration and cleanup of the environment following any major accident.

1. Emergency Organizations and Responsibilities

259 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project (1) Organizations

An emergency organization and an emergency command team shall be established for the

Project. The Manager serves as the team leader, and the emergency command team shall follow the command of the superior emergency command organization and take charge of the field emergency command work. The emergency command team shall timely adjust and amend the emergency plan in accordance with its successful experiences and existing problems in the implementation project, and organize staffs to conduct drill of the accident emergency plan on a regular basis. Meanwhile, it shall designate the personnel to collect and sort all the emergency records and documents after the end of accident, and file them.

(2) Assignment of responsibility

The emergency plan shall expressly define the assignment of responsibility for each member of the emergency organization. The main content to be defined is as follows:

① Who alarms, how to alarm, and to whom the alarm is sent;

② Time and mode of reporting accident to the superior (personnel and contact means);

③ Who organizes rescue and relief work and controls the accident;

④ Use and distribution of emergency devices;

⑤ Define the channel of communication with the medias and the channel of releasing accident information to the external;

⑥ When the accident site and environment are safe and confirmed by the environmental protection department to be no harm to the human health, who will declare that the harm is removed and the residents evacuated from the accident hazard area can return.

⑦ Expressly define when the end of emergency plan is declared and who makes the statement.

260 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project 2. Public Awareness, Education and Evacuation Plan

① Safety education and promotion shall be conducted to the surrounding residents and communities every quarter.

② Safety education and training on sodium hydroxide, methanol, ethanediol, oils and emergency facilities shall be conducted to the operation personnel, drivers, escorts and personnel of emergency team every month.

③ Emergency drill time: At least once every quarter.

④ The emergency drill personnel shall arrive the site within 15 min after receiving the group call or the phone call, and sign in at the command department.

⑤ Each functional team shall act under the unified command of the person in charge, and the person in charge of the team shall act under the unified command of the command department.

⑥ After the end of emergency drill, the drill situation shall be summarized and the problems found in the drill shall be rectified.

⑦ By principle, the emergency plan shall be reviewed and amended once every year, so to timely rectify it according to the change in process and gas transmission scale, or the nonconforming items found in the drill.

3. Emergency Facilities, Equipment and Devices

Necessary materials and equipment for repair, rescue, site protection and clearing shall be provided particularly near the sensitive area with high risk of fire and explosion. The emergency equipment shall be provided and prepared in advance, and inspected regularly to keep good status in use.

4. Emergency Communications

261 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Unobstructed communication equipment and network, such as mobile phone and satellite phone, shall be provided. In case of any accident, it is necessary to immediately take the required actions which can control and reduce the accident impact, such as emergency shutdown and pressure relief. Meanwhile immediately contact the relevant rescue, first-aid, firefighting and public security agencies for assistance to make sure that they can arrive the accident site for rescue and treatment in the shortest time, so as to minimize the accident impact.

5. Regular and Emergency Monitoring

Regular inspections of facilities and of the body of the existing dump site (before and after its closure) should be performed to ensure timely observation of and response to fires, spills or leakages.

In case of chemical and oil leakage accident, it is necessary to consider the impact of such leakage on the atmosphere, soil, surface water and human health at the first place. Therefore, the main content of emergency monitoring involves atmosphere, soil and surface water environment in the surrounding area.

When the sewage leakage accident occurs, it mainly influences the soil and surface water, so the main content of emergency monitoring involves the quality of surrounding soil and surface water.

6. Emergency Treatment Measures

(1) Treatment of chemical and oils leakage

① The area and reason of sudden accident shall be properly analyzed and judged, and proper method shall be adopted to cut off the diffusion source. Meanwhile, workers shall be organized to guard the hazardous area due to chemical and oil leakage, and control all potential ignition

262 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project sources with combustible materials strictly, so to avoid possible fire explosion and escalation.

② It is required to briefly report the accident to the superior leader and the production command system, and inform the local public security and fire control departments to strengthen the precautionary measures.

③ The repair team shall be swiftly organized and sent to the site. Under the unified organization and command of the site leading team, sophisticated organization and assignment of responsibility shall be conducted in accordance with the repair plan and safety technical measures to ensure safe repair.

(2) Treatment of fire and explosion

Explosion hazard zones and relevant mitigation measures should be identified.

① After the occurrence of fire, the first person who discovers the fire shall immediately call

119 and briefly describe the accident time, place and fire status.

② The first person who discovers the fire shall immediately report to the duty room after calling 119. The cadres on duty shall immediately start the emergency response procedure and comprehensively treat the various complex situations on site after receiving the report.

③ After the occurrence of the accident, the operation personnel at each post shall follow the unified command of the person in charge.

④ The cadre on duty shall assign the rescue tasks, investigate the casualties on site and organize and implement initial rescue work.

⑤ The cadre on duty shall report the fire status and casualties to the dispatching room of the company, and meanwhile clear the road and prepare to receive the vehicles. The personnel on duty of the fire-pump room shall alarm and inform over the loudspeaker, evacuate the personnel and vehicles, and prepare for starting the fire pump.

263 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project ⑥ If the fire is caused by leakage, the dispatching room shall requests to stop and cut off the transmission.

⑦ After the full-time fire team arrives the site, the cadre on duty shall introduce the fire status and extinguishing work, and assist in formulating the fire extinguishing plan. Other personnel shall leave the fire extinguishing site and follow the unified command of the cadre on duty to carry out shifting process and fire extinguishing assistance work properly.

⑧ If the fire pump and fire foam pump are started in the fire extinguishing process, the personnel on duty of the fire pump room shall timely supplement the liquid in the fire protection water tank and foam tank to ensure adequate liquid volume of the water tank and foam tank.

⑨ When the fire cannot be controlled, the staff shall quickly evacuate to the area outside of the flame’s injurious heat radiation.

⑩ After confirming that the fire and explosion site is thoroughly under control, the leader of

Response Team shall check the number of people and organize to clear the site for relieving the emergency status.

(3) Emergency treatment measures for sewage leakage

① On the basis of correct analysis and judgement on the area and reason of the sudden accident, the emergency response team shall organize manpower to cut off the diffusion source with appropriate methods, and guard the dangerous area of sewage diffusion.

② Immediately report the accident to the superior leader in charge and the production command system, and inform the local environmental protection and fire department to strengthen the preventive measures.

③ An emergency repair team is required to be organized and sent to the site immediately.

264 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Under the unified organization and command of the on-site leading group, the emergency repair team will carry out emergency repair for the accident equipment according to the established emergency repair plan and safety technical measures.

④ After the accident is under control, the emergency repair team shall detect and monitor the damage caused by the accident, and determine the damage area, nature and degree of the accident. In view of the actual harm and possible harm to soil and surface water environment, the emergency response team should take measures such as sealing, isolation, decontamination and detection in time to prevent the environmental pollution from expanding, clean up the site and restore the infrastructure in time, so to restore the accident site to a relatively stable basic state.

265 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Appendix 12 Ethnic Minority Development Framework

1. Purpose of the EMDF

There are 56 nationalities living in Chongqing. There has 4 ethnic minority autonomous counties and 1 district enjoying ethnic minority policies, located in the southeast of Chongqing.

They are Shizhu County (79.3%), Pengshui County (53.85%), Youyang County (92.3%),

Xiushan County (58%) and Qianjiang District (ethnic minority population is 74.6%), mainly

Tujia and Miao people. The permanent ethnic minority population accounts for 5.8% of the total population of the city. The ethnic minority population in the main urban area of

Chongqing is nearly 70,000, accounting for about 0.8% of the total population in the main urban area. Among them, the permanent ethnic minority residents are 61,000 (including

31,000 ethnic minority students in colleges), and the non-permanent ethnic minority permanent residents are more than 7,000. And there are 14 ethnic minority townships in

Chongqing, including 4 ones in Wulong District, 2 in , 1 in , 1 in Zhongxian County, 4 in , and 2 in Wushang County, mainly Tujia and Miao people, accounting for about 40% of all the people in these townships.

At this stage, the specific subprojects are not known and will be identified during the project implementation by the PIUs. ESS7 under WB ESF applies whenever ethnic minority communities are present in, or have collective attachment to a proposed project area, as determined during the environmental and social assessment, regardless of the communities are affected positively or negatively, and regardless of the significance of any such impacts. The

EMDF is consequently prepared which will serve as a basis to guide prepare Ethnic Minority

Development Plan (EMDP) for each subproject if ESS7 is triggered.

This EMDF has been prepared in accordance with the applicable PRC laws and regulations, and

ESS7:

- To ensure that the development process fosters full respect for the human rights, dignity,

266 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project aspirations, identity, culture, and natural resource-based livelihoods of ethnic minority

communities.

- To avoid adverse impacts of projects on ethnic minority communities, or when avoidance

is not possible, to minimize, mitigate and/or compensate for such impacts.

- To promote sustainable development benefits and opportunities for ethnic minority

communities in a manner that is accessible, culturally appropriate and inclusive.

- To improve project design and promote local support by establishing and maintaining an

ongoing relationship based on meaningful consultation with the ethnic minority

communities affected by a project throughout the project’s life-cycle.

- To obtain the Free, Prior, and Informed Consent (FPIC) of affected ethnic minority people

in the three circumstances described in this ESS.

- To recognize, respect and preserve the culture, knowledge, and practices of ethnic

minority people, and to provide them with an opportunity to adapt to changing conditions

in a manner and in a timeframe acceptable to them.

2. Preparation and Approval of the EMDP

1) Identification and screening of ethnic minorities

The criteria for identification: An “ethnic minority” means a unique, vulnerable social and cultural group with the following features to varying degrees:

- Self-identification as a member of a unique social and cultural group, and such a feature

is recognized by others;

- Collective attachment to a geographically distinct habitats, ancestral territories, or areas

of seasonal use or occupation, as well as to the natural resources in these areas;

- Customary cultural, economic, social or political institutions that are distinct or separate

from those of the mainstream society or culture;

- A distinct language or dialect, often different from the official language or languages of the

267 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project country or region in which they reside.

Methods of identification: (i) fieldwork—learning local population, ethnic composition and identifying any ethnic minority village or habitat; (ii) data collection and literature review— collecting statistical yearbooks, reports, annuals and other literature reflecting local population, ethnic groups, culture, customs, etc. to learn production and living differences between ethnic minorities and the Han people.

Screening: At the early preparation stage, the PIUs will conduct screening to see if the ethnic minority communities in the project area or if any ethnic minority community is attached collectively to the project area, and then determine the requirements for the preparation of social security documents and report them to the World Bank for recording and spot check.

If, based on the screening, the PIUs concludes that ethnic minority communities are present in, or have collective attachment to, the project area, the PIUs will undertake a social assessment

(as a part of social impact assessment of the subproject) to evaluate the project’s potential positive and adverse effects on the ethnic minority communities, and to examine project alternatives where adverse impacts may be significant. The breadth, depth, and type of analysis in the social assessment are proportional to the nature and scale of the proposed project’s potential impacts on the ethnic minority communities, whether such impacts are positive or adverse.

To promote effective project design, to build local project support or ownership, and to reduce the risk of project-related delays or controversies, the PIUs will undertake an engagement process with affected ethnic minorities, as required in ESS10. This engagement process will include stakeholder analysis and engagement planning, disclosure of information, and meaningful consultation, in a culturally appropriate and gender and inter-generationally inclusive manner.

In addition to the meaningful consultation set out in ESS7 and ESS10, the PIUs should obtain

268 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project FPIC by affected ethnic minorities in the following three circumstances in which the subproject will: (i) have adverse impacts on land and natural resources subject to traditional ownership or in under customary use or occupation; (ii) cause relocation of ethnic minorities from land and natural resources subject to traditional ownership or under customary use or occupation; or (iii) have significant impacts on ethnic minorities’ cultural heritage that is material to the identity and/or cultural, ceremonial, or spiritual aspects of the affected ethnic minorities’ lives.

4) EMDP preparation

If the subproject is located at an ethnic minority area, the PIUs will conduct social assessment to evaluate the potential negative impacts on such ethnic minority and prepare an EMDP as appropriate following the ESS7. The EMDP will document the process of meaningful consultation with as well as free, prior and informed consent with the affected ethnic minorities.

The PIUs will determine whether affected minority communities can provide extensive support to the subproject based on SA, and free, prior and informed consultation. If such support is available, the PIUs should prepare an EMDP. As necessary, the EMDP will include the following:

- An information summary: reviewing a legal and institutional framework suited to ethnic

minority residents on a scale appropriate to the Project; collecting baseline information

on the population, social, cultural and political features of affected ethnic minority

communities, land and estates traditionally owned, used or occupied by them, and natural

resources on which they rely;

- A summary of the results of the meaningful consultation tailored to ethnic minority

community, and if the project involves the three circumstances specified above, then the

outcome of the process of FPIC carried out with the affected ethnic minority community

during project preparation.

269 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project - A framework for meaningful consultation tailored to the affected ethnic minority

communities at the implementation stage;

- An action plan to ensure that ethnic minority residents receive culturally appropriate

social and economic benefits, including measures to improve the capacity of the IAs if

necessary;

- An appropriate action plan to avoid, minimize or compensate for potential negative

impacts on ethnic minority residents;

- The cost estimate, financing plan, schedule and roles and responsibilities for

implementing the EMDP;

- An appropriate and understandable grievance redress procedure for ethnic minority

communities, established by reference to common local judicial recourse and dispute

settlement mechanisms;

- Mechanisms and benchmarks appropriate to the project for monitoring, evaluating, and

reporting on the implementation of the EMDP.

5) EMDP approval

The completed EMDP, after being reviewed and endorsed by the PIUs, will be submitted to the

Bank for review and clearance as part of subproject preparation documents along with other project documents, such as technical report, environmental documents, among others.

The EMDP should be disclosed locally and on Bank’s website and revised in accordance with feedbacks for the disclosure.

3. Prevailing Ethnic Minority Policy Framework

The EMDP should be prepared in accordance with the applicable state and provincial laws and regulations, and ESS7.

Both PRC and Bank policies have the same goal in respect of ethnic minorities, namely fully respecting their dignity, power, economy, and culture, promoting their equality and

270 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project development, and paying special attention in their economic, social and cultural development to protect their rights and interests, and improve their social and economic status.

Both PRC and Bank policies lay stress on the public participation of ethnic minority communities, and the action plan across all stages, the provision of all relevant information in a culturally appropriate manner, and the collection of comments, attitudes and expectations of ethnic minority residents to win their extensive support.

Both PRC and Bank policies emphasize that a series of measures be taken to ensure that affected ethnic minority residents receive social and economic benefits suited to their cultural customs, and measures are taken to avoid, minimize or compensate for negative impacts on ethnic minority residents.

However, there are still some differences between PRC and Bank policies. Differences are identified with mitigation measures in Table 1.

Table 1 Gap Analysis of Ethnic Minority Policy of PRC and WB

Comparison with PRC No ESS7 Gap-filling Measures Policies/Regulations

There is no requirement in PRC to prepare EMDP for a The project implementing agency project. Local government is needs to conduct social impact WB requires that an responsible for assessment with the assistance of ethnic minority implementing some qualified and experienced experts and development plan development projects for that draw on ethnic minorities’ 1 (EMDP) needs to be local ethnic minority people. knowledge and participation by the prepared if ethnic If the project will bring some affected ethnic minority communities. minorities are adversely negative impacts to the local Mitigation measures with sufficient affected. ethnic people, the mitigation fund need to be discussed with local measures also will be government. developed and implemented.

271 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project

Consultation with ethnic minority The project is required to people should be implemented undertake meaningful through the whole progress of the consultations with Subproject. affected ethnic minority In Subproject preparation, Consultation with local communities and implementation and monitoring ethnic minority communities concerned ethnic phases, the subproject enterprise 2 is always commenced after minority organization. needs to actively solicit the views, the project proposal is For special attitudes and expectations of ethnic approved. circumstances, free, prior minorities. The process of meaningful and informed consent of consultation and free, prior and ethnic minorities should informed consent should be carried be obtained. out following the requirements of ESS7 and ESS10 and be documented.

There is no follow-up monitoring to assess whether A regular monitoring and evaluation Monitoring and they (i) receive culturally process, including internal and 3 evaluation on the appropriate social and independent (external) processes implementation of EMDP. economic benefits, (ii) do not needs to be established. suffer adverse impacts as a result of projects.

4. Implementation Process

The EMDP should propose a specific implementation schedule for all required activities, appoint agencies responsibly, and fix funding sources. At the implementation stage, the PIUs will be responsible for the implementation of the EMDP and take appropriate measures to enhance the positive benefits and mitigate its negative impacts.

5. Financial Arrangements

All measures are going to be financed by the PIUs or local government. Based on types of measures, some of them will be financed by existing government program or funds; and some of them will be financed by the subproject budget as part of subproject resettlement program or environment mitigation measures.

6. Public Participation

272 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project The EMDP is the final outcome of a social assessment and consultation process which aims to ensure that ethnic minorities are well informed, consulted and mobilized to participate in the subproject to be supported by the World Bank. Their participation can either provide them the benefits with more certainty or protect them from any potential adverse impacts like land acquisition and resettlement.

In the social assessment, the subproject areas will be visited by the PIUs, relevant county agencies, particularly agencies in charge of ethnic minority and poverty affairs, and consultants. During the visit, the community leaders and other participants will present their views with regards to the subproject. In addition, social consultant will conduct separate group discussions among male and female participants followed by key informants’ interviews and sample household survey. The main purpose of such survey is to develop a social economic profile among ethnic minority beneficiaries, conduct stakeholder analysis and collect their views on both benefits and potential impacts of the project, as well as mitigation measures.

7. Grievance Redress Mechanism

During implementation of EMDP, complaints may arise because there have been some problems or change to the actual subproject implementation activities which had not been foreseen when the EMDP is prepared. In order to ensure that the affected people can voice their concerns during EMDP implementation, an appeal procedure is defined within in EMDP.

The purpose of this appeals procedure is to provide a mutually satisfactory means for rapid response to any complaint, to avoid any likelihood of a complicated legal procedure. The detailed procedure is as follows:

- If any affected person has issue or concern with activities under EMDP, he/she can voice

their complaint to the village/resident committee. The village committee should keep

records, consult with the township government and provide a reply to the affected people.

- If the affected person is not satisfied with the reply, they can appeal to the

273 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project township/subdistrict government, which will take records, consult with local country

government and provide a solution to the affected person.

- If the affected person still does not accept the proposed resolution, then they can appeal

directly to the local district/county government, which is the main organization

responsible for the whole subproject. The county government should make a record of

any appeal and provide a resolution.

- If the dispute still cannot be resolved, then the affected person can go through an

administrative appeal according to the “Administrative Procedure Law of People’s

Republic of China” or go directly to the People’s Court.

APs will be aware of their right to appeal through the participatory meetings and from the resettlement information booklet by following the new provisions in the land administration law and regulations. The project will also publicize information through the mass media and collect the APs opinions and suggestions, which will then be investigated and resolved through all necessary administrative levels in a timely manner. The PIUs will make records of all appeals, and the resultant resolutions.

8. Monitoring and Evaluation

Monitoring and evaluation (M&E) of the EMDP is required to ensure the plan is implemented properly and meets the objectives specified. The final M&E plan will be formulated shortly before project implementation. The World Bank through PMO will provide assistance to the

PIUs in formulating the M&E plan.

274 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Appendix 13 Cultural Relics Chance Find Procedure

1. Introduction

A chance finds procedure is a project-specific procedure which will be followed if previously unknown cultural heritage is encountered during project activities. It will be included in all contracts relating to construction of the project, including excavations, demolition, movement of earth, flooding or other changes in the physical environment.

This chance finds procedure sets out how chance finds associated with the project will be managed. The procedure also includes a requirement to notify relevant authorities of found objects or sites by cultural heritage experts; to fence-off the area of finds or sites to avoid further disturbance; to conduct an assessment of found objects or sites by cultural heritage experts; to identify and implement actions consistent with the requirements of relevant laws and regulations, as well as the World Bank ESS8; and to train project personnel and project workers on chance find procedures.

2. Regulation and Standards

According to Article 2 of the Cultural Relics Protection Law of the PRC (amended in 2013)28, the following cultural relics of historical, artistic or scientific value within the boundaries of the

People's Republic of China are under national level protection:

i ). Sites of ancient culture, ancient tombs, ancient architectural structures, cave temples

and stone carvings that are of historical, artistic or scientific value;

ii ). Buildings, memorial sites and memorial objects related to major historical events,

revolutionary movements or famous people that are highly memorable or are of great

significance for education or for the preservation of historical data;

28 In September 2005, Chongqing disclosed the Implementation Measures for the Cultural Relics Protection Law.

275 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project iii ). Valuable works of art and handicraft articles dating from various historical periods; iv ). Important revolutionary documents as well as manuscripts and ancient or old books

and materials, etc., that are of historical, artistic or scientific value; and

v ). Typical material objects reflecting the social system, social production or the life of

various nationalities in different historical periods.

In addition, Article 3 of the Interim Management Measure for Identification of Cultural Relics

(2009) stipulates that county-level or higher-level cultural relics administration departments are responsible for the assertion of cultural relics. In case of any dispute about the assertion of cultural relics, the provincial level cultural relics authority will make a ruling.

As per the World Bank Environmental and Social Standard 8 (ESS), the term ‘cultural heritage’ encompasses tangible and intangible heritage, which may be recognized and valued at a local, regional, national or global level, as follows:

• Tangible cultural heritage, which includes movable or immovable objects, sites, structures,

groups of structures, and natural features and landscapes that have archaeological,

paleontological, historical, architectural, religious, aesthetic, or other cultural significance.

Tangible cultural heritage may be located in urban or rural settings, and may be above or

below land or under the water;

• Intangible cultural heritage, which includes practices, representations, expressions,

knowledge, skills—as well as the instruments, objects, artifacts and cultural spaces

associated therewith— that communities and groups recognize as part of their cultural

heritage, as transmitted from generation to generation and constantly recreated by them

in response to their environment, their interaction with nature and their history.

3. Objectives

Please below the objectives of this procedure:

276 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project • To protect cultural heritage from the adverse impacts of project activities and support its

preservation.

• To address cultural heritage as an integral aspect of sustainable development.

• To promote meaningful consultation with stakeholders regarding cultural heritage.

• To promote the equitable sharing of benefits from the use of cultural heritage.

4. Applicability

This Cultural Relics Chance-Find Procedure is applicable to all project activities, where archaeological/cultural relics are unexpectedly found and are likely to have risks or impacts on cultural heritage. This will include a project which:

(a) Involves excavations, demolition, movement of earth, flooding or other changes in the physical environment;

(b) Is located within a legally protected area or a legally defined buffer zone;

(c) Is located in, or in the vicinity of, a recognized cultural heritage site; or

(d) Is specifically designed to support the conservation, management and use of cultural heritage.

It is considered possible that cultural relics will be encountered during project construction, site. It is important to ensure that the Project Contractors are properly trained in the importance of recognizing and reporting archaeological/paleontological finds. This is the key to ensuring an effective management plan. The workforce should receive a short and basis awareness training on finds and procedures before commencement of drilling and construction works.

It is recommended that the Project provides relevant training to a social expert or assigns an appropriate archaeological knowledge as a Cultural Heritage Supervisor (CHS). The CHS would be responsible for ensuring compliance with this Cultural Relics Chance-Find Procedure,

277 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project including awareness training prior to construction, documenting chance finds as they arise and acting as the primary contact between the Project and its contractors and the Cultural

Heritage Bureau (CHB).

Graves and tombs identified during asset inventories for impact surveys which are either relocated or compensated are not subject to this Cultural Relics Chance-Find Procedure but the

Resettlement Plan.

5. The Chance Find Procedure

Figure 1 Overview of Cultural Relics Chance-Find Procedure

Filed workers discovering or suspecting that they have discovered unexpected archaeological or paleontological remains should:

• stop work immediately and report to CHS;

• not disturb or remove the finds;

The CHS should then:

278 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project • Identify whether the objects are cultural relics or not. If not, construction activity will

continue under the supervision of CHS. If yes, provide protection measures, including

necessary covering, arranging personnel to supervise the site under the guidance of CHS;

and

• Inform the CHB of the discovery immediately.

The CHB shall determine the necessity of subsequent actions. Where a rescue excavation is deemed necessary, the following shall occur:

• Generally, after receiving the cultural relic discovery report, the CHB will inspect the site

within 24 hours and formulate a salvage plan if deemed necessary. This may include site

surveying and the removal of remains, according to guidelines established by the CHB. If

required, the CRB may inform the local police station to seek help to protect the cultural

relics. Decisions on how to deal with the cultural relics will be made within 7 days by

CHB.

• In order to proceed with major rescue excavation works (to be determined by the CHB),

it may be necessary to submit an Excavation Work Plan, including a map of the area to be

investigated, and methodology to retrieve relics.

• Upon completion of the rescue excavation, a report with an inventory and description of

the finds shall be prepared, and the finds shall be delivered to the CHB. Construction may

then continue in that area.

• All archaeological finds shall be documented by the CHS.

279 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Appendix 14 Guideline of Assessing the Severity of the Incident

The below guideline is adopted from the Bank issued Environmental and Social Incident

Response Toolkit (as of November 2018).

The classification is based on several factors, including the nature and scope of the incident, as well as the urgency in which a response may be required. The following provides a detailed tool with examples and contextual questions to assist in classifying incidents. There are three levels of classification: Indicative, Serious and Severe.

- Indicative -- A relatively minor, small-scale, localized incident that negatively impacts a

small geographical area or a small number of people and does not result in significant or

irreparable harm to people or the environment, or failure to implement required E&S

measures with limited immediate impacts. Although relatively minor and limited in its

immediate effects, this type of incident may be indicative of wider-scale issues or

underlying organizational weaknesses within a project that could lead to serious or severe

incidents if left uncorrected. Criteria for determining when to escalate indicative incidents

to Serious or Severe categories include recurrence of the incident on more than one

occasion within a six-month period despite corrective actions, cumulative impacts of the

incident, or inability or unwillingness of the Borrower to rectify the condition within an

agreed timeframe. The E&S specialist(s) and the TTL should consult with the RSC, E&S

PMs or RSA/ESSA for guidance on upgrading the incident from Indicative to Serious

and/or Severe.

Indicative incidents can be investigated, evaluated, managed, and resolved by the

Contractor or Borrower using existing, project-level resources and with the support of the

Task Team. Indicative incidents can be resolved by the Task Team; however, it would be

good practice for the TTL to inform the project GP PM and E&S PMs of indicative incidents,

depending on the circumstances and country context.

280 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project - Serious -- An incident that caused or may cause significant harm to the environment,

workers, communities, or natural or cultural resources, is complex or costly to reverse and

may result in some level of lasting damage or injury; or failure to implement E&S measures

with significant impacts or repeated non-compliance with E&S policies; or failure to

remedy Indicative noncompliance that may potentially cause significant impacts.

Examples of serious incidents may include injuries to workers that require off-site

medical attention, exploitation or abuse of vulnerable groups, consistent lack of

Occupational Health and Safety (OHS) plans in a civil works project, and large-scale

deforestation. Serious incidents require an urgent response and could pose a significant

reputational risk for the Bank.

There are situations where evaluating and resolving incidents may require additional

Bank support in the form of resources or specialists from outside the Task Team, such as

when a Contractor or Borrower does not have the internal capacity to, is reluctant to, or

refuses to investigate or resolve incidents.

- Severe -- Incidents that caused or may cause great harm to individuals or the environment,

or present significant reputational risks that could hamper the Bank’s ability to operate

in a country or region. The Borrower’s inability or unwillingness to remedy situations that

could result in serious or severe harm would be a factor in classification. A severe incident

is complex and expensive to remedy (if possible), and is likely irreversible. A fatality is

automatically classified as severe, as are incidents of major environmental contamination,

forced or child labor, abuses of community members by project security forces or other

project workers (including GBV) violent community protests a project, kidnapping, and

trafficking in endangered species. Severe incidents’ responses will often exceed the Task

Team’s resources. Resolving the incident will require the notification and engagement of

the Bank’s Senior Management. A severe incident may cause the Bank’s Senior

281 Preliminary Environmental and Social Management Framework of Chongqing Integrated Urban-Rural Plastic Waste Management Project Management to temporarily suspend civil works or the relevant component, depending

on the circumstances and in close consultation with the Legal Department for the specific

grounds under which contractual remedies can be invoked.

Please see the incident classification guide in the box below.

Box 1: Incident Classification Guide

Indicative o Relatively minor and small-scale localized incident that negatively impacts a small geographical areas or small number of people o Does not result in significant or irreparable harm o Failure to implement agreed E&S measures with limited immediate impacts Serious o An incident that caused or may potentially cause significant harm to the environment, workers, communities, or natural or cultural resources o Failure to implement E&S measures with significant impacts or repeated non- compliance with E&S policies incidents o Failure to remedy Indicative non-compliance that may potentially cause significant impacts o Is complex and/or costly to reverse o May result in some level of lasting damage or injury o Requires an urgent response o Could pose a significant reputational risk for the Bank. Severe o Any fatality o Incidents that caused or may cause great harm to the environment, workers, communities, or natural or cultural resources o Failure to remedy serious non-compliance that may potentially cause significant impacts that cannot be reversed o Failure to remedy Serious non-compliance that may potentially cause severe impacts o Is complex and/or costly to reverse o May result in high levels of lasting damage or injury o Requires an urgent and immediate response o Poses a significant reputational risk to the Bank.

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