Shaanxi Mountain Road Safety Demonstration Project (RRP PRC 46042)

Environmental Impact Assessment (Final)

August 2015

PRC: Shaanxi Mountain Road Safety Demonstration Project

Prepared by the Shaanxi Provincial Transport Department for the Asian Development Bank.

This environmental impact assessment is a document of the borrower. The views expressed

herein do not necessarily represent those of ADB’s Board of Directors, Management, or staff, and may be preliminary in nature.

CURRENCY EQUIVALENTS (as of 16 January 2015)

Currency unit – yuan (CNY) CNY1.00 = $0.163417 $1.00 = CNY6.1193

ABBREVIATIONS

AC – asphalt concrete ADB – Asian Development Bank AQG – air quality guideline As – arsenic BOD5 – five-day biochemical oxygen demand C&D – construction and demolition CC – cement concrete Cd – cadmium CN – cyanide CNY – Chinese yuan CO – carbon monoxide CO2 – carbon dioxide CO2eq – carbon dioxide equivalent COD – chemical oxygen demand CPS – country partnership strategy Cr – chromium CRVA – climate risk and vulnerability analysis Cu – copper DO – dissolved oxygen EA – executing agency EHS – environmental health and safety EIA – environmental impact assessment EIR – environmental impact report EIRF – environmental impact registration form EIT – environmental impact table EMP – environmental management plan EMS – Environmental Monitoring Station EPB – Environmental Protection Bureau EPD – Environmental Protection Department ESE – environmental supervision engineer F¯ – fluoride FFPO – Foreign-fund Finance Project Office FSR – feasibility study report FYP – Five-Year Plan GAP – gender action plan GDP – gross domestic product GHG – greenhouse gas GRM – grievance redress mechanism HC – hydrocarbon Hg – mercury 4

IMn – permanganate index IA – implementing agency IUCN – International Union for Conservation of Nature LAS – linear alkylbenzene sulfonate LDI – local design institute LIC – loan implementation consultant LIEC – loan implementation environmental consultant MEP – Ministry of Environmental Protection MV – motor vehicle N – nitrogen NDRC – National Development and Reform Commission NH3-N – ammonia nitrogen NO2 – nitrogen dioxide O&M – operation and maintenance P – phosphorus PAH – poly-aromatic hydrocarbon PAM – polyacryl amide PAM – project administration manual PCR – project completion report pH – a measure of acidity and alkalinity Pb – lead PM – particulate matter PM2.5 – particulate matter with diameter ≤ 2.5 µm PM10 – particulate matter with diameter ≤ 10 µm PME – powered mechanical equipment PMO – project management office 2- PO4 – phosphate PPTA – project preparation technical assistance PRC – People’s Republic of China RR – rural road SDAP – social development action plan Se – selenium SO2 – sulfur dioxide SPS – safeguard policy statement SPTD – Shaanxi Provincial Transport Department SS – suspended solid STI – sustainable transport initiative SWCR – soil and water conservation report TN – total nitrogen TP – total phosphorus TPH – total petroleum hydrocarbon TSP – total suspended particulate USD – United States dollar VOC – volatile organic compound WBG – World Bank Group WHO – World Health Organization Zn – zinc

WEIGHTS AND MEASURES

oC – degree Centigrade cm – centimeter cm/s – centimeter per second dB – decibel g/kg – gram per kilogram h – hour ha – hectare kg – kilogram kg/m3 – kilogram per cubic meter km – kilometer km2 – square kilometer km/h – kilometer per hour L – liter m – meter m2 – square meter m3 – cubic meter m3/s – cubic meter per second mg/kg – milligram per kilogram mg/L – milligram per liter mg/m3 – milligram per cubic meter mm – milliliter t – metric ton t/a – metric ton per annum µg/m3 – microgram per cubic meter µm or µ – micrometer or micron

NOTE In the report, “$” refers to US dollars.

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

CONTENTS EXECUTIVE SUMMARY A. Background ...... i B. Project Design ...... iii C. Project Benefits ...... iii D. Project Impacts and Mitigation ...... iii E. Information Disclosure, Consultation and Participation ...... viii F. Grievance Redress Mechanism ...... viii G. Key EMP implementation Responsibilities ...... ix H. Risks and Key Assurances ...... ix I. Overall Conclusion ...... ix I. POLICY, LEGAL AND ADMINISTRATIVE FRAMEWORK ...... 1 A. Policy Framework ...... 1 B. Legal and Administrative Framework ...... 5 C. Laws, Regulations, Guidelines and Standards ...... 5 D. Evaluation Standards ...... 8 E. Assessment Area (Project Area of Influence), Assessment Period and Evaluation Standards for the Project ...... 12 II. DESCRIPTION OF THE PROJECT ...... 14 A. Project Rationale ...... 14 B. Component 1: Trunk Road Rehabilitation ...... 19 C. Component 2: Rural Road Upgrading ...... 31 D. Component 3: Road Safety ...... 35 E. Component 4: Capacity Building ...... 37 F. Institutional Arrangements for Construction and Operation ...... 38 G. Associated Facility ...... 38 III. DESCRIPTION OF THE ENVIRONMENT (BASELINE DATA) ...... 39 A. Existing Setting of the Project Sites ...... 39 B. Existing Sensitive Receptors ...... 40 C. Physical Setting ...... 48 D. Biological Resources, Ecology and Biodiversity ...... 55 E. Socio-economic Conditions ...... 71 F. Physical Cultural Resources ...... 75 G. Greenhouse Gas Emission and Climate Change ...... 75 IV. ANTICIPATED ENVIRONMENTAL IMPACTS AND MITIGATION MEASURES ...... 77 A. Positive Impacts and Environmental Benefits ...... 77 B. Impacts associated with Project Location, Planning and Design ...... 77 C. Measures during Detailed Design and Pre-construction ...... 81 D. Impacts and Mitigation Measures during the Construction Stage...... 84 E. Impacts and Mitigation Measures on Physical Resources ...... 84 F. Impacts and Mitigation on Biological Resources, Ecology and Biodiversity ...... 94 G. Impact and Mitigation on Socio-economic Resources ...... 101 H. Impacts and Mitigation Measures during the Operation Stage ...... 106 1. Impacts and Mitigation relating to Air Quality ...... 106 2. Impacts and Mitigation relating to Noise ...... 106 I. Impacts and Mitigation relating to Water Quality ...... 119

J. Greenhouse Gas Emissions ...... 121 K. Risk from Traffic Accidents ...... 124 L. Cumulative Impacts ...... 124 M. Indirect and Induced Impacts ...... 124 V. ANALYSIS OF ALTERNATIVES ...... 125 A. No Project Alternative ...... 125 B. Alternatives Considered ...... 125 VI. INFORMATION DISCLOSURE, PUBLIC CONSULTATION AND PARTICIPATION ...... 131 A. Legislative Framework ...... 131 B. Information Disclosure ...... 131 C. Questionnaire Survey ...... 132 D. Discussion Forum ...... 136 E. Future Plans for Public Consultation ...... 139 VII. GRIEVANCE REDRESS MECHANISM ...... 141 VIII.ENVIRONMENTAL MANAGEMENT PLAN 142 A. Objectives ...... 142 B. Organizational Structure for Environmental Management ...... 142 C. Inspection, Monitoring and Reporting ...... 144 IX. CONCLUSION AND RECOMMENDATIONS ...... 146 A. Expected Project Benefits...... 146 B. Adverse Impacts and Mitigation Measures ...... 146 C. Risks and Assurances ...... 148 D. Overall Conclusion ...... 149

APPENDIXES 1. Environmental Management Plan 2. Existing Air and Noise Receptors 3. Climate Change Report 4. Letter from Ankang Municipal Forestry Bureau

LIST OF TABLES

Table 1: Relevant PRC Laws, Regulations, Guidelines and Standards ...... 5 Table 2: Domestic Environmental Documents for the Proposed Project ...... 7 Table 3: International Agreements with the PRC as a Signatory...... 7 Table 4: Comparison of PRC and WBG Ambient Air Quality Standards ...... 9 Table 5: Environmental Quality Standards for Noise (equivalent sound level LAeq: dB) ...... 10 Table 6: Environmental Quality Standards for Surface Water GB 3838-2002 ...... 11 Table 7: GB 8978-1996 Standards for Discharging Wastewater from Construction Sites ...... 12 Table 8: Assessment Area and PRC Evaluation Standards Adopted for this Project ...... 13 Table 9: Summary of Trunk Road Rehabilitation ...... 19 Table 10: Types of Road Works on the Trunk Roads ...... 20 Table 11: Bridge Construction ...... 23 Table 12: Tunnel Construction ...... 27 Table 13: Earthworks Cut and Fill Balance for Trunk Roads ...... 28 Table 14: Borrow Areas for Trunk Roads ...... 28 Table 15: Spoil Disposal Sites for Trunk Roads ...... 28 Table 16: Temporary Land Uses and Locations for the Trunk Roads ...... 29 Table 17: Traffic Demand Forecast for Trunk Roads ...... 30 Table 18: Summary of Rural Road Sections Proposed for Upgrade ...... 31 Table 19: Earth Cut and Fill Balance for Rural Roads ...... 32 Table 20: Spoil Disposal Sites for Rural Roads ...... 32 Table 21: Traffic Demand Forecast for Rural Roads ...... 33 Table 22: List of Roads Subject to Road Safety Interventions ...... 35 Table 23: Summary of ChinaRAP Star Ratings of the Project Roads ...... 36 Table 24: Additional Counter Measures for Road Safety Enhancement ...... 36 Table 25: Summary of Air Quality and Noise Sensitive Receptors along the Project Roads ...... 40 Table 26: Water Quality Sensitive Receptors along the Project Roads ...... 41 Table 27: Hanyin District, Xunyang County and Shangnan County Weather Statistics ...... 49 Table 28: Baseline Ambient Air Quality Monitoring Results for the Trunk Roads ...... 49 Table 29: Baseline Noise Monitoring Results for Trunk Roads G316, S102 and S224 ...... 50 Table 30: Baseline Surface Water Quality Monitoring Results for the Trunk Roads ...... 55 Table 31: Plant Species Recorded in the Project Area of Influence for the Trunk Roads ...... 55 Table 32: Habitats/Vegetation Eco-types in the Project Area of Influence for the Trunk Roads ...... 60 Table 33: Dominant Vegetation Types in the Engineering Land Take Areas for the Trunk Roads ...... 62 Table 34: Fauna recorded in the Project Cities...... 63 Table 35: Population and Population Densities in 2012 ...... 72 Table 36: Gross Domestic Product (GDP) Composition in the Project Areas in 2012 ...... 72 Table 37: Income Levels in 2011 ...... 73 Table 38: Poverty Population in the Project Areas in 2012 ...... 74 Table 39: Distances of Tourism Resources from the Nearest Project Roads ...... 74 Table 40: Existing Land Uses in Permanent and Temporary Land Take Areas for the Trunk Roads ...... 79 Table 41: Permanent and Temporary Land Take Areas for the Rural Roads ...... 79 Table 42: Distances from Construction Noise Source Needed to Meet GB 12523-2011 Standards ...... 86 Table 43: Noise and Vibration Sensitive Receptors for Trunk Road Tunnel Construction ...... 86 Table 44: Soil Erosion during the Construction Stage for the Trunk Roads ...... 92 Table 45: Soil Erosion Protection Measures ...... 93 Table 46: Resettlement due to Land Acquisition for the Trunk Roads and Rural Roads ...... 102 Table 47: Operational Noise Levels at Existing Sensitive Receptors along G316 and Proposed Mitigation Measures...... 108 Table 48: Operational Noise Levels at Existing Sensitive Receptors along S102 and Proposed Mitigation Measures...... 110 Table 49: Operational Noise Levels at Existing Sensitive Receptors along S224 and Proposed Mitigation Measures...... 115 Table 50: Pollutant Levels in Highway Runoff during Rainfall ...... 119 Table 51: Location, Number and Size of Retention/Sedimentation Tanks ...... 119

Table 52: Assumptions and Factors used in Carbon Emission Calculations ...... 121 Table 53: Carbon Dioxide Emissions from Motor Vehicles Travelling on the Project Roads ...... 122 Table 54: Comparison of Alignment Alternatives on Trunk Road G316 ...... 125 Table 55: Comparison of Alignment Alternatives on Trunk Road S102 ...... 127 Table 56: Comparison of Noise Mitigation Measures Considered...... 129 Table 57: Information Disclosure on Government Web-sites for the Trunk Roads ...... 131 Table 58: Questionnaire Surveys for the Trunk Roads ...... 133 Table 59: Questionnaire Surveys for the Rural Roads in June 2014 ...... 134 Table 60: Discussion Forum conducted for the Trunk Roads ...... 137 Table 61: Discussion Forum conducted for the Rural Roads ...... 138

LIST OF FIGURES

Figure 1: Map Showing Ankang and Shangluo Prefecture Cities ...... ii Figure 2: Flow Chart for Assessing Climate Risk of Projects ...... 4 Figure 3 : Map of Trunk Roads G316 and S102 and Seven Rural Roads in Ankang City ...... 14 Figure 4: Map of Trunk Road S224 and One Rural Road in Shangluo City ...... 15 Figure 5: Map of Road Safety Roads in Ankang and Shangluo Cities ...... 16 Figure 6: Illustrations of trunk road conditions ...... 18 Figure 7: Trunk Road Typical Cross Sections ...... 21 Figure 8: Illustrations of Environmental Setting along the Project Roads ...... 40 Figure 9: Distribution of Drinking Water Collection Sumps along Trunk Road S224 ...... 42 Figure 10: Drinking Water Collection Sumps near Trunk Road S224 ...... 43 Figure 11: Sensitive Receptors along Trunk Road G316 ...... 44 Figure 12: Water Quality Sensitive Receptors along Trunk Road 102 ...... 45 Figure 13: Sensitive Receptors along Trunk Road 224 ...... 46 Figure 14: Rural Roads showing nearby Main Villages and Rivers ...... 47 Figure 15: The Han River ...... 52 Figure 16: The Xun River ...... 53 Figure 17: The Qianyou River ...... 53 Figure 18: The Dan River ...... 54 Figure 19: View of the Xian River, Xiang River and Tao River ...... 54 Figure 20: Views of Vegetation Cover on Rural Road 4 New Alignment ...... 66 Figure 21: Planted Woodland within G316 Project Area of Influence ...... 68 Figure 22: Orchards within G316 Project Area of Influence ...... 69 Figure 23: Farmland Lanscape within G316 Project Area of Influence ...... 70 Figure 24: Alignment Alternatives considered for Trunk Road S224 ...... 129 Figure 25: Examples of Web-site Information Disclosure ...... 132 Figure 26: Examples of Public Posting in Affected Communities ...... 132

EXECUTIVE SUMMARY

A. Background

1. This environmental impact assessment (EIA) is for the proposed Shaanxi Mountain Road Safety Demonstration Project in the People’s Republic of China (PRC). This report was prepared based on three Environmental Impact Reports (EIR), eight Environmental Impact Registration Forms (EIRF), three Feasibility Study Reports (FSR), three Soil and Water Conservation Reports (SWCR) and construction drawings prepared for the project roads by local design institutes (LDI), as well as site reconnaissance by the Project Preparation Technical Assistance (PPTA) consultant.

2. The project is located in the prefecture-level cities of Ankang and Shangluo in southeastern Shaanxi Province (Figure 1). Shaanxi, located in northern PRC, is known as one of the cradles of Chinese civilization. Thirteen feudal dynasties established their capitals in the province during a span of more than 1,100 years. Xi’an, the provincial capital city, is one of six great ancient cities of PRC and the start of the famous Northern Silk Road connecting ancient China to the West. It has a total area of 205,600 km2. The terrain in Shaanxi is characterized by the Loess Plateau in the north, Guanzhong Plain in the center of province and Qinba Mountain in the south where the project area is located. The Qinba Mountain area is one of the 11 poorest regions in the PRC targeted for concentrated interventions under the 2011−2020 national poverty reduction strategy.

3. The mountainous nature of Shaanxi reduces the potential for inland waterways transport; relying heavily on road and rail networks. The road network in the province is dominated by county/township roads and village roads, with the national and provincial trunk roads accounting for less than 10% of the total road length in 2013. Village or rural roads in Shaanxi have an economic importance in terms of providing rural communities with access to markets (sale of produce and purchase of agricultural inputs), to collection or processing stations for the sale of cash crops, and to towns and cities for (seasonal) employment opportunities. They also provide an important social service in terms of providing access to schools, health facilities and administrative services. Many of these rural roads are earthen roads and would become impassable or unsafe during inclement weather. Road safety is also an issue due to the mountainous terrain with steep slopes and sharp curves. There is a need to improve road network connectivity, road conditions and road safety, to facilitate socio-economic development and to support poverty reduction.

4. The proposed interventions will involve rehabilitating and upgrading existing trunk roads and rural roads and enhancing road safety in the mountainous area of Shaanxi. All these roads were constructed in accordance with the urban master plans of Ankang and Shangluo cities. Proposed improvements have also been included in the 12th Five-Year Plans (FYP) for Traffic and Transport for Ankang City and Shangluo City. The project is also aligned with ADB’s Sustainable Transport Initiative and commitment to scale up road safety. ADB’s Road Safety Action Plan (April, 2012)1 states that ADB will proactively identify opportunities for improving and scaling up road safety, mainstream and strengthen road safety components in ADB financed projects, and eventually introduce stand-alone road safety interventions.

1 http://www.adb.org/publications/road-safety-action-plan-overview

ii

Figure 1: Map Showing Ankang and Shangluo Prefecture Cities

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B. Project Design

5. The expected impact of the project is that safe and efficient all-weather accessibility is provided in southeast Shaanxi Province. The expected outcome of the project is an improved transport network in southeast Shaanxi Province.

6. The project outputs are: (i) rehabilitation of three trunk roads (G316, S102 and S224) a total of approximately 186.95 km; (ii) upgrading of eight rural roads, a total of approximately 139.66 km; (iii) implementation of road safety measures on the three trunk roads, eight rural roads and an additional 25 roads, a total of 569.66 km; and (iv) capacity building. All the project roads are existing roads located in Ankang and Shangluo Cities in southeastern Shaanxi Province. The three trunk roads were constructed in the 1960’s and 1970’s and have gone through rehabilitation and re-construction several times. The rural roads are earthen roads. Most of the project works will involve rehabilitating and/or widening the existing alignment. New road sections only account for 9% of the trunk roads and 1.8% of the rural roads.

C. Project Benefits

7. The proposed project would benefit populations of approximately 3 million in Ankang and 2.5 million in Shangluo. Within these two cities, the total population of approximately 1.7 million in Hanyin District, Xunyang County and Shangnan County where the project roads are located will directly benefit from the proposed interventions. Of these 1.7 million, approximately 0.52 million are rural poverty population.

8. All three counties/district are poverty counties. The project will improve the accessibility of rural communities to markets, schools, health facilities, and public services and employment opportunities in the county-level towns and cities. This will improve their socio-economic conditions contributing to poverty reduction.

9. The project will improve road safety for motor vehicles, pedestrians and cyclists travelling on the project roads, thereby reducing accidents related injuries, deaths and monetary losses.

D. Project Impacts and Mitigation

10. The project is classified as Category A for environment. Construction and operation of the project would potentially have significant impacts on the environment.

11. Air Quality and Noise. There are existing communities along all the road corridors, including households, schools and health clinics which may be sensitive to air and noise pollution. Dust and noise during the construction stage will need to be mitigated to reduce potential impacts to these sensitive receptors. Night time (from 22:00 to 06:00 hour) construction may be needed from time to time on existing roads to avoid day time traffic congestion, however, night time construction will be kept to a minimum and nearby communities will be notified and consulted in advance. Dust and pollutant suppression and noise reduction measures during construction have been specified in the environmental management plan (EMP). Road works are linear activities. Once a section of road construction is completed, construction activities move on and away. Construction impacts to sensitive receptors is therefore of short duration and temporary.

12. Operational air pollutant emissions and noise from motor vehicles travelling on the

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project roads have been assessed. Air quality would comply with applicable standards. For sensitive receptors that could experience noise exceedances in the future, mitigation measures will be implemented either at source (installation of road side wall and noise barrier) or at the receptor (installation of double glazed windows).

13. With these measures in place, potential air quality and noise impacts during construction and operation would be mitigated to acceptable levels.

14. Water Quality. There are seven major rivers within the project area of influence. The Han River, Xian River, Dan River, Xiang River and Tao River have been assigned Category II water quality; while the Xun River and Qianyou River have been assigned Category III water quality. These rivers have been observed during site reconnaissance to be under the influence of human activities, such as sand dredging on the Han River, Xun River and Dan River, and hydropower dams on the Xun River. Nevertheless discharge of wastewater into Category II water bodies is prohibited. There will be road bridges crossing these rivers, or road alignments running along-side the river and cross gullies draining into these rivers. No wastewater from the construction sites will be allowed to discharge into the Category II water bodies and those discharging into Category III water bodies will be treated to meet the required effluent standard before discharging into the water bodies. Water quality protection measures during bridge construction will include avoiding the rainy season of July to September and positioning sand bags or berms around bore piling locations when necessary.

15. There are two drinking water collection sumps near trunk road S224 alignment. Both are underground concrete tanks located on the upslope side of the alignment. They were installed by local villagers to collect mountain stream runoff for supplying drinking water to nearby villages. Mitigation measures such as road side hoardings and distance separation requirements for material stockpiling have been identified to avoid potential construction impacts on these sumps.

16. To prevent road runoff containing pollutants from entering the five Category II water bodies and the two drinking water sumps, retention/sedimentation tanks (70 for trunk road G316 and 40 for trunk road S224) will be installed. Roadside protective guardrails will be installed near the drinking water collection sumps, as well as a sealed cover for the collection sump in Weijiatai Village.

17. Ankang Municipal Forestry Bureau, the authority responsible for management of the Shaanxi Han River Wetland, have confirmed (letter provided in Appendix 4) that the section of the wetland within the project area is designated for water quality objectives as the Han River supplies water to the South-to-North Water Transfer Scheme. This national programme channels water from the Yangtze River and its tributaries (including the Han River) from southern PRC to the more arid north. The control of construction activities and mitigation measures proposed in the EMP were discussed and agreed with the bureau. The installation of 70 sedimentation tanks along G316 for collection and management of road runoff will have benefits for water quality, as run-off is currently unmanaged.

18. With the above mitigation measures in place, the water quality of Shaanxi Han River Wetland, Category II and III water bodies and the drinking water collection sumps will be adequately protected during construction and operation phases of the project road improvements.

19. Biological Resources. Vegetation types in the project area of influence consist of

v mixed evergreen and deciduous broad-leaf woodland, deciduous broad-leaf woodland, shrubland, grassland and planted vegetation. Of the 228 floral species recorded in the project area of influence, approximately half are planted vegetation (food crops, vegetables, fruits, and economic species such as tea and shrubs and trees for landscaping and gardening).

20. Vegetation types in the permanent and temporary land take areas are dominated by shrub land (55% of vegetated area) and planted species (21% of vegetated area). Deciduous broad-leaf woodland and mixed evergreen and deciduous broad-leaf woodland make up approximately 18% and 6% of the vegetated area respectively. In terms of plant biomass in the permanent and temporary land take areas, shrub land accounts for 40% and deciduous broad- leaf woodland accounts for 36%, mixed evergreen and deciduous broad-leaf woodland and planted species making up the remaining 24%.

21. Five plant species classified on the International Union for Conservation of Nature (IUCN) red list 2 have been identified in the wider project area, including one Endangered species (Dawn Redwood Metasequoia glyptostroboides) and four Vulnerable species (Faber’s Fir Abies fabri, Chinese Douglas-Fir Pseudotsuga sinensis, Phoebe zhennan, and Tall Gastrodia Gastrodia elata) species. Three other species are under national Class II protection: Camphor Tree (Cinnamomum camphora), Horse-eye Bean Tree (Ormosia hosiei) and Lotus (Nelumbo nucifera). None of these species are endemic to the project area. All species are described by Catalog of Life PRC 2013 as having wide distribution in many provinces and autonomous regions in the PRC except the Faber’s Fir that mainly occurs in Sichuan Province.

22. Faunal species recorded in the literature for Ankang and Shangluo Cities have been identified, although this covers a much larger footprint than the project area of influence, there is potential for these species to occur in the project area of influence. Six of the identified mammal species are classified on the IUCN red list. One is Endangered, the Forest Musk Deer (Moschus berezovskii) and five are Vulnerable, the Takin (Budorcas taxicolor), the Sumatran Serow (Capricornis sumatraensis), the Southern Pig-tailed Macaque (Macaca nemestrina), the Siberian Musk Deer (Moschus moschiferus), and the Clouded Leopard (Neofelis nebulosa). Seven other species are on the national protection list, with the Leopard (Panthera pardus) under Class I protection and the Asiatic Golden Cat (Catopuma temminckii), the Tufted Deer (Elaphodus cephalophus), the Eurasian Lynx (Lynx lynx), the Himalayan Goral (Naemorhedus goral), the Large Indian Civet (Viverra zibetha), and the Small Indian Civet (Viverricula indica) under Class II protection. According to IUCN, the Takin sub-species Budorcas taxicolor bedfordi is confined to the Qinling mountains in southern Shaanxi province where distribution records of its occurrence have been collected throughout mountain ranges between elevations of 1,500 to 3,600 m in 17 counties in Shaanxi Province. The project counties/district of Hanyin, Xunyang and Shangnan are not among the 17 counties. Other species recorded are described by Catalog of Life PRC 2013 as having wide distribution in many provinces and autonomous regions in the PRC, and none are endemic to the project area of influence.

23. Five of the bird species identified are classified on the IUCN red list. These include one Endangered species, the Yellow-breasted Bunting (Emberiza aureola) and four Vulnerable species, the Greater Spotted Eagle (Aquila clanga), the Eastern Imperial Eagle (Aquila heliaca), the Dalmatian Pelican (Pelecanus crispus), and the Cabot’s Tragopan (Tragopan caboti). All

2 The IUCN red list classifies species status into six categories in descending order of protection importance: Extinct in the Wild (EW), Critically Endangered (CR), Endangered (EN), Vulnerable (VU), Near Threatened (NT) and Least Concern (LC). Those that are EW, CR, EN and VU are deemed to warrant protection. vi

have been described by Catalog of Life PRC 2013 as widely distributed in many provinces and autonomous regions in the PRC. None of these species are endemic to the project area.

24. One fish species, the Wild Common Carp (Cyprinus carpio) is classified as Vulnerable on the IUCN red list because of slow but continuous decline in its native populations in the Black, Caspian and Aral Sea basins due to river regulation. This species is not native to the project area, and is one of the four most commonly consumed freshwater fish in the PRC and is also widely cultured.

25. All the project roads are existing roads with new road sections accounting for approximately 6% of the total 326.61 km of trunk and rural roads. The project area is dominated by modified habitats already influenced by development and human activities. There is no habitat that is deemed critical to the protected species recorded in this EIA. All protected species have been described as widely distributed and none are endemic to the project area. New road sections include bridges, tunnels and at grade carriageways traversing shrub vegetation and broad-leaved woodland that may be deemed as secondary woodland. The EMP specifies conducting a tree survey prior to construction to avoid damage to protected tree species, and conducting relocation or compensatory tree planting for maintaining local biodiversity. As a precautionary measure, the protected terrestrial animal species are assumed to have the potential to occur in the project area although this is considered unlikely. The proposed management of road run-off may also have biodiversity benefits.

26. The only protected area within the project area of influence is the provincial level Shaanxi Han River Wetland extending along the Han River on both sides. According to the Shaanxi Province Important Wetland List, it is one of 55 important wetlands in the province, extending from Tuguanpu Village’s Tianba in Mian County in Hanzhong City to Baihe County’s Chengguan Town in Ankang City, a distance of approximately 300 km which includes the river, river shoal, flood plain and the artificial wetlands within 1 km on both sides of the river. The Shaanxi Han River Wetland therefore has a total area of approximately 600 km2 along both sides of the Han River. The existing trunk road G316 runs parallel to the north bank of the Han River and within the Shaanxi Han River Wetland. Proposed works to G316 will have an impact on the wetland area along a 34.4 km section, a road width of up to 12 m (see Figure 11) an area which constitutes 0.06% of the total wetland area. An ecological survey was conducted in June 2015 within the G316 project area of influence of the Shaanxi Han River Wetland. Habitat types within the project area of influence were found to consist of planted woodland (Chinese Arbor- vitae, Balck Locust and Moso Bamboo), secondary deciduous broad-leaved mixed woodland, shrubland, orchards, farmland, residential land, and the Han River. Much of these habitats have already been disturbed by human activities on the Han River and on the existing G316. The ecological survey did not reveal the presence of fish spawning ground, concentrated bird breeding, nesting and wintering ground or other features of particular conservation value within the project area of influence associated with the Shannxi Han River Wetland.

27. Mitigation measures to protect the wetland include no siting of temporary land take areas (such as spoil disposal sites) within the wetland and no disposal of wastewater or solid waste in and within 1 km of the wetland boundary. Potential impacts to the wetland would be minimized. In addition, project intervention provides the opportunity to install 70 sedimentation tanks along this stretch of G316 for collecting road runoff during rainfall events, preventing runoff directly into the wetland and the Han River polluting water quality, which is the existing situation. As discussed in paragraph 17, the control of construction activities and mitigation measures proposed in the EMP for Shaanxi Han River Wetland have been discussed and agreed with the responsible authority, Ankang Municipal Forestry Bureau.

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28. There are two nature reserves within the Shaanxi Han River Wetland boundary the Shaanxi Hanzhong Crested Ibis National Nature Reserve and the provincial Shaanxi Han River Wetland Nature Reserve, located approximately 150 km and 110 km respectively upstream of the project area of influence for G316. No potential impact to these nature reserves from this project is anticipated and with effective implementation of the EMP, potential impact on biological resources and biodiversity should be insignificant.

29. Solid Waste. Earth cut and fill balance after accounting for re-use by the project indicates that approximately 4.9 million m3 of earth material will be disposed at 50 spoil disposal sites (21 for the three trunk roads and 29 for the eight rural roads). The spoil disposal sites are mostly uncultivated land with shrubs being the main type of vegetation. Road rehabilitation will also generate solid waste in the form of old asphalt paving, which is deemed a hazardous waste requiring disposal at hazardous treatment centers. The EMP specifies that old asphalt paving should be recycled and reused for road subgrade material to the maximum extent possible to minimize the need for disposal.

30. Soil Erosion. The Soil and Water Conservation Reports (SWCR) estimated that approximately 20,000 tonnes of soil would be eroded from the project during the construction stage without appropriate mitigation measure. Proposed mitigation measures include permanent engineering measures such as installation of drainage ditches, planting measures such as grass seeding of exposed areas and spoil disposal sites, and temporary measures such as the use of hoardings, tarpaulin covers to cover exposed earthen surface.

31. Land Acquisition. Engineering works will require 228.58 ha of permanent land acquisition for road widening and new road sections, and 3.1 ha of temporary land acquisition for construction staging areas, borrow areas, spoil disposal sites, bridge pre-casting yards, asphalt mixing stations and haul roads. These areas are dominated by wooded land and uncultivated land, with major vegetation types being shrubland and planted species. Land acquisition would affect 3,341 households with a population of 12,527 and house demolition of 62,933.6 m2. Compensation will be in accordance with PRC and ADB requirements. All temporary land take areas will be restored by leveling the sites followed by planting of vegetation on completion of construction.

32. Physical Cultural Resources. Assessment undertaken did not reveal the presence of physical cultural resources within the project area of influence. Should buried artifacts of archaeological significance be uncovered during the construction stage within the project areas, construction will be stopped and immediately reported to the local cultural authority in accordance with PRC’s Cultural Relics Protection Law.

33. Climate Change Adaptation. Climate change impact assessment conducted for this project indicates that the key parameter potentially affecting the project roads due to climate change is increase in rainfall intensity. An increase of up to 20% by 2050 and 45% by 2100 with a high scenario (see report in Appendix 3).3 Of the three trunk roads, S102 would be most vulnerable to climate change due to its proximity to the Xun River. For S102, the actual design

3 Given the uncertainty of future greenhouse gas emission rates and climate sensitivity, the study presents projections based on a range of future greenhouse gas scenarios. The median scenario of climate change projections is based on the IPCC Fifth Assessment Report Representative Concentration Pathway (RCP) 6.0 and mid-climate sensitivity. The low scenario projections are based on RCP4.5 with low-climate sensitivity and the high scenario projections are based on RCP8.5 with high-climate sensitivity (see Appendix 3 for a full explanation of RCPs). viii

height of most large and medium bridges is considerably higher than the design flood height, which makes them resilient to future increased flood risk. The two exceptions are the Liangheguan No.1 Road Bridge and the Zhaowan No. 2 Bridge. As a result of the climate change study, Liangheguan Bridge pier height has been raised by 0.3m to increase climate resilience. It was determined during the detailed design of Zhaowan No. 2 bridge that pier height increase is not needed at this stage. Stormwater drainage culverts specified are 1.5 times larger than the required standard with a 50% factor of safety. Projections indicate that this may not be adequate in the event of a high climate change scenario and beyond 2050, however, this could be addressed during future major maintenance. The study also highlighted that more and higher speed flood discharge and debris loads may increase risk of damage of road infrastructure. Additional protection of road slopes, embankments and bridge piers may be needed in high risk areas with erosion prone soil. The area around the Shaanxi Han River has been identified by the government as high priority for ecosystem restoration and environmental protection and there is strict regulation of land use. This would reduce future landslide and flood risk. In addition, it is proposed to improve flood early warning systems.

34. Greenhouse Gas Emissions. Cumulative carbon dioxide emissions from all the project roads are approximately 79,000 tonnes/annum (t/a) in the medium term (year 2023) and 112,000 t/a in the long term (year 2031). The trunk roads contribute more than 90% in both time horizons, totaling approximately 104,000 t/a in the long term. In the long term, total carbon dioxide emissions from all the project roads would exceed ADB’s threshold of 100,000 t/a.

35. Economic analysis shows that a reduction in carbon emissions would be achieved from as a result of project road improvements, although such savings are likely to be off-set by an increase in generated traffic and embodied carbon during construction.

E. Information Disclosure, Consultation and Participation

36. Public participation in the course of preparing the domestic EIRs and this EIA include information disclosure on local government web-sites, posting of project information in affected communities, questionnaire surveys and discussion forums. Almost all the participants in the questionnaire surveys and discussion forums overwhelmingly support the project, and in fact urge the proponent to complete construction as quickly as possible so that the benefits can be realized. Major environmental concerns expressed by the participants were related to dust, noise, water quality, wastewater, solid waste, vegetation damage and soil erosion impacts during the construction stage. Measures to mitigate these impacts were explained to the participants by representatives from the LDI. The participants also expressed concerns related to public security due to influx of construction workers and student safety from construction traffic. It was indicated that hiring of local workforce would be the priority to minimize influx of migrant workers, and that warning and speed limit signs will be erected in school zones. Complaint resolution was also raised and the grievance redress mechanism was explained.

F. Grievance Redress Mechanism

37. This report and the EMP describe a project grievance redress mechanism (GRM) to document and resolve complaints from affected people. The proposed GRM was explained to the attendees of the discussion forum. The GRM will be coordinated by the Foreign-Fund Finance Project Office (FFPO), who will set up a complaint center with hotline for receiving environmental and resettlement grievances which will be accessible to diverse members of the community, including more vulnerable groups such as women and youth. Multiple points of entry and modes of access, including face-to-face meetings, written complaints, telephone

ix conversations, or e-mail, will be available.

G. Key EMP implementation Responsibilities

38. The Shaanxi Provincial Transport Department (SPTD) is the Executing Agency (EA) and has established the Foreign-Fund Finance Project Office (FFPO), who on behalf of the EA will be responsible for the day-to-day management of the project. FFPO will have overall responsibility for supervision of the implementation of environment mitigation measures, coordinate the project level GRM and report to ADB. FFPO will appoint environment specialists on its staff to supervise the effective implementation of the EMP and to coordinate the project level GRM. FFPO will engage the technical engineering design institutes, hire the loan implementation consultants (LIC), and will manage the procurement process. To ensure that the contractors comply with the EMP provisions, FFPO with the help and technical support of a Loan Implementation Environmental Consultant (LIEC) and the tender agent, will prepare and provide the following specification clauses for incorporation into the bidding procedures: (i) a list of environmental management requirements to be budgeted by the bidders in their proposals; (ii) environmental clauses for contractual terms and conditions; and (iii) major items in the EIA and EMP. The FFPO will prepare semi-annual environment progress reports and submit them to ADB.

39. The implementing agencies (IA) will include (i) the Ankang Municipal Transport Bureau for trunk roads G316 and S102, and rural roads (RR) 1 to 7; and (ii) the Shangnan County Government for trunk road S224 and RR8. The IAs are recommended to appoint environmental specialists on their staff to coordinate and ensure the implementation of the EMP. Each IA will engage an external Environmental Supervision Engineer (ESE) for independent compliance monitoring of EMP implementation. For implementing environmental quality monitoring, the IAs will contract the local Environmental Monitoring Stations (EMS) (Ankang EMS and Shangluo EMS).

40. During the operational phase the Operation and Maintenance (O&M) units will be (i) Shaanxi Provincial Highways Bureau for trunk roads G316, S102 and S224; (ii) the Xunyang County Transport Bureau for RR1 to RR4; (iii) the Hanyin District Transport Bureau for RR5 to RR7; and (iv) the Shangnan County Transport Bureau for RR8. The cost of environmental monitoring and mitigation measures in this phase will be borne by the relevant O&M Units.

H. Risks and Key Assurances

41. The main project risks include the low institutional capacity of the FFPO, the IAs, Contractors and O&M units and their failure to implement the EMP effectively during construction and operational stages. These risks will be mitigated by (i) providing training in environmental management and monitoring; (ii) appointing qualified project implementation consultants and qualified environmental staff, (iii) following appropriate project implementation monitoring and mitigation arrangements, and (iv) ADB conducting project implementation review missions.

42. Key assurances cover ADB environmental safeguard requirements during project implementation.

I. Overall Conclusion

43. This EIA shows that potentially significant impacts can be reduced to acceptable levels x

with appropriate mitigation. The EMP has specified mitigation measures to be implemented, assigned responsible parties, and monitoring of impacts during construction and operation. The project will have positive benefits for the population of the mountainous area in southeastern Shaanxi Province by improving the trunk road and rural road condition and safety. Populations in the Hanyin District, Xunyang County and Shangnan County, all poverty counties, will directly benefit. Rural communities will gain better access to markets, schools, health facilities and county level towns and cities for employment opportunities. The project will contribute to improving their quality of life, facilitating socio-economic development and reducing poverty.

I. POLICY, LEGAL AND ADMINISTRATIVE FRAMEWORK

A. Policy Framework

44. Poverty Reduction. The proposed project is in line with PRC’s poverty reduction strategy and local urban master plans. It is located in the prefecture-level cities of Ankang and Shangluo in southern Shaanxi Province within the Qinba Mountain area, which is one of the 11 poorest regions targeted for concentrated interventions under the 2011−2020 national poverty reduction strategy. Three counties (Xunyang County and Hanyin District in Ankang, and Shangnan County in Shangluo) will directly benefit from project interventions, all three have been designated as national poverty counties since the 1990s. The overall poverty incidence of these three counties, using the latest national poverty standard of CNY 2,300 was over 35% as of 2011. The proposed project supports the national poverty reduction strategy by providing residents in these counties better access to markets, schools, health facilities, public services and employment opportunities in the county-level towns and cities. The implementation of the Gender Action Plan (GAP) and Social Development Action Plan (SDAP) will target and benefit the poor. It will also provide employment opportunities for the poor as unskilled labors during the construction stage. The improved roads will provide all weather access so facilitate efficient distribution of relief materials in case of disaster such as flooding and snow in the Qinba Mountain area.

45. Urban Master Plans and Five-Year Plans. All three trunk roads (G316, S102 and S224) and eight rural roads are existing roads, and were built in accordance with the urban master plans of Ankang and Shangluo. The proposed improvements for these roads have been included in the 12th Five-Year Plans (FYP) for Traffic and Transport for Ankang City and Shangluo City. Shaanxi Province, under its 12th Five-Year Plan (FYP), aims to have 100% of Counties (city, district) connected with core cities by equal or better than Class II roads, and all administrative villages, where conditions permit, connected by paved roads (asphalt or cement concrete) by the end of 2015. G316 was among 34 roads listed in the “early stage work plan” by the Shaanxi Province Department of Transport in 2012. G316 is also one of fifteen east-west highways in the nation whose construction planning has been identified as having national emphasis during the 12th FYP period (2011 – 2015). The proposed project involving road rehabilitation, widening, paving and in some sections new alignments to shorten travel time will facilitate the urban development of Ankang and Shangluo by improving road conditions, traffic flow, road safety and accessibility of towns and villages along these roads.

46. Climate Change. The PRC’s National Development and Reform Commission (NDRC) in 2007 issued PRC’s National Climate Change Program. The program describes PRC’s policies and measures to address climate change, with key areas in mitigation, adaptation, science and technology, public awareness and institutional mechanisms. Key areas for climate change adaptation include improvements to agricultural infrastructure, protection of forest and natural ecosystems, and enhanced management of water resources and coastal zones. The NDRC in 2012 issued the PRC’s Policies and Actions for Addressing Climate Change. The document describes PRC’s policies and proposed actions for climate change mitigation and adaptation, but does not specifically address climate change adaptation in the transport sector besides the selection of cities to pilot low carbon transport systems as a means to mitigate climate change.

47. In response to the national climate change program, the Development and Reform Commission of Shaanxi Province issued a Shaanxi Provincial Climate Change Program in June 2008. Adaptation measures described in the program basically follow those in the national program including improvements to agricultural infrastructure, protection of forest and natural

2 ecosystems, and enhanced management of water resources, plus enhanced disaster prevention and response.

48. ADB’s climate change strategy aims to assist developing member countries and project teams to address the increasing challenges posed by climate change and to enhance the climate resilience of vulnerable sectors including the transport sector. The transport sector in Shaanxi would be vulnerable to changes in temperature, extreme weather events, floods and landslide. Changes in temperature, both a gradual increase in temperature and an increase in extreme temperatures, may impact road pavements and bridges resulting in heat induced heaving and buckling of expansion joints. Extreme weather events such as stronger and/or more frequent storm events may affect the capacity of the drainage and overflow systems and road bridge structures to deal with stronger or faster velocity flow and winds. For the transport sector, ADB has published a guideline for climate proofing road infrastructure projects.4.

49. ADB has adopted a rigorous approach to climate risk management as shown in the framework in Figure 2. This framework (Figure 2) was institutionalized in early 2014, as a response to the mandated requirement that exposure and vulnerability to climate change risks be identified and accounted for in the preparation of investment projects. The basic steps of the framework include the following:  Step 1: A preliminary climate risk screening to identify projects that may be at risk. This first step, undertaken at the project concept stage by the project processing team, is embodied in the project’s rapid environmental assessment. This first step aims to provide an initial assessment of the level of sensitivity of the project location and project components to climate variables such as temperature, and rainfall quantity and temporal distribution. This preliminary risk screening will indicate whether further climate risk screening should be undertaken.  Step 2: A detailed risk screening for projects that are considered at medium or high risk. This second step is implemented by the project team at the project concept stage. While still a screening mechanism, this step aims to detail further the specific nature of the climate risks. To support this process, ADB has developed tools and technical guidance materials to support climate risk management at sector and project levels. A rapid risk assessment tool, AWARE™ for Projects, is available to project teams to promote a more harmonized approach to climate risk screening. Operational departments may also apply approaches that suit their needs in conjunction with the in-house knowledge and expertise. A risk rating of medium or high should then lead to the undertaking of the third and final assessment.  Step 3: A Climate Risk and Vulnerability Analysis (CRVA) to quantify climate change risks on the project, and subsequent development of adaptation measures in the project design. This step, undertaken during project preparation, requires analysis of climate data (including model projections); impact assessments on project infrastructure, inputs, and performance; and technical and economic feasibility analyses of adaptation options.  Step 4: Reporting of the climate risk screening and vulnerability assessment. The level of risk identified during concept development and the findings of the CRVA carried out during project preparation are documented in the report and recommendations to the President and other ADB board documents. A

4 Asian Development Bank. 2011. Guidelines for climate proofing investment in the transport sector: road infrastructure project. xiv + 53 pp.

3 supplementary document describing the CRVA, the adaptation measures incorporated in the project design, and associated costs can also be attached to the ADB board documents. The level of risk assigned to the project and the budget allocated to adaptation measures are recorded in the ADB project classification system for monitoring and reporting purposes. 4

Project Preliminary screening

Concept (Rapid Environmental Assessment)

Phase

Checklist

No or low risk Medium or high risk

End Expert Detailed screening OR judgment (Aware for Projects or other ™ detailed screening tool)

Screening Report

No or low risk Medium or high risk

Project Preparation End OR Expert Climate Risk and Vulnerability Phase judgment Assessment (CRVA)

CRVA Report

Evaluation of adaptation options; cofinancing arrangements

Project Integration of climate risk Implementation reduction measures in project Phase design

Figure 2: Flow Chart for Assessing Climate Risk of Projects

5

B. Legal and Administrative Framework

50. The administrative framework for environmental impact assessment in the PRC consists of national, provincial and local (city and county) environmental protection authorities. The national authority is the Ministry of Environmental Protection (MEP), who promulgates laws, regulations and technical guidelines on environmental impact assessment and pollution prevention and control. At the provincial level, Environmental Protection Departments (EPDs) are mandated with control and regulation of environmental impact assessment and pollution prevention and control in the province. They are also often delegated the authority by MEP to approve environmental impact assessment reports for construction projects in the provinces and autonomous regions, except those with national interest and those that cross provincial boundaries that would need MEP approval. The local (city and county) Environmental Protection Bureaus (EPBs) enforce environmental laws and conduct environmental monitoring within city and county limits. Local EPBs could be delegated the authority to approve environmental impact assessments by the provincial EPDs.

51. The PRC Environmental Impact Assessment Public Participation Interim Guideline in 2006 requires that the public are involved in the EIA process. This was further clarified under the Technical Guidelines for Environmental Impact Assessment: Public Participation (public comment version, January 2011). Since August 2012, all domestic environmental impact reports for construction reports submitted for approval must include an abstract for disclosure on the web-site of the approval authority (MEP Order No. [2012] 51).

C. Laws, Regulations, Guidelines and Standards

52. PRC Requirements. Table 1 lists PRC’s environmental laws, regulations, guidelines and standards relevant to this project. These comprehensive requirements cover pollution prevention and control on air, noise, water, ecology and solid waste and are supported by technical guidelines and standards for assessing atmospheric, noise, water and ecological impacts.

Table 1: Relevant PRC Laws, Regulations, Guidelines and Standards

Laws and regulations 1 Environmental Protection Law, December 26, 1989 2 Atmospheric Pollution Prevention and Control Law, September 1, 2000 3 Noise Pollution Prevention and Control Law, March 1, 1997 4 Water Pollution Prevention and Control Law, June 1, 2008 5 Solid Waste Environmental Pollution Prevention and Control Law, April 1, 2005 6 Water Law, October 1, 2002 7 Water and Soil Conservation Law, June 29, 1991, amended December 25, 2010 8 Promotion of Clean Production Law, January 1 2003 9 Environmental Impact Assessment Law, September 1, 2003 10 Energy Conservation Law, January 1, 1998 11 Wild Animal Protection Law, August, 2004 12 Water and Soil Conservation Law, March 1, 2011 13 Cultural Relics Protection Law, October 2002 14 Cultural Relics Protection Implementation Regulation, July 1, 2003 15 Construction Project Environmental Protection and Management Regulation, (State Department Order No. 253), November 29, 1998 Guidelines 6

1 Technical Guidelines for Environmental Impact Assessment of Development Area (HJ/T 131-2003) 2 Directory for the Management of Different Categories of Construction Project Environmental Impact Assessment, (MEP Order No. 2), October 1, 2008 3 Circular on Strengthening the Management of Environmental Impact Assessment for Construction Projects Financed by International Financial Organizations, (MEP Announcement No. [1993]324) 4 Guidelines for Technical Review of Environmental Impact Assessment on Construction Projects (HJ 616- 2011) 5 Technical Guidelines for Environmental Impact Assessment: General Program (HJ 2.1-2011) 6 Guidelines for Environmental Impact Assessment: Atmospheric Environment (HJ 2.2-2008) 7 Technical Guidelines for Noise Impact Assessment (HJ 2.4-2009) 8 Technical Guidelines for Environmental Impact Assessment: Surface Water Environment (HJ/T 2.3-93) 9 Technical Guidelines for Environmental Impact Assessment: Ground Water Environment (HJ 610-2011) 10 Technical Guideline for Environmental Impact Assessment: Ecological Impact (HJ 19-2011) 11 Environmental Impact Assessment Public Participation Interim Guideline, (MEP Announcement No. [2006]28) 12 Technical Guidelines for Environmental Impact Assessment: Public Participation (public comment version), (January 2011) 13 Technical Guideline for Construction Project Environmental Risk Assessment (HJ/T 169-2004) 14 Technical Guideline on Environmental Monitoring Quality Management (HJ 630-2011) 15 Specifications for Road Construction Project Environmental Impact Assessment (JTG B03-2006) 16 Ground Level Traffic Noise Pollution Prevention Technical Policy (MEP Announcement No. [2010]7) 17 Environmental Supervision for Transport Projects (MOT and MEP Announcement No. [2004]314) 18 Environmental Supervision Method (MEP Order No. [2012] 21) 19 Requirements for Preparation of Abstract for Construction Project Environmental Impact Report (MEP Order No. [2012]51) Standards 1 Ambient Air Quality Standard (GB 3095-1996) and Amendment (MEP Announcement No. [2000]1) 2 Ambient Air Quality Standards (GB 3095-2012) [to replace GB 3095-1996 on January 1, 2016] 3 Air Pollutant Integrated Emission Standard (GB 16297-1996) 4 Environmental Quality Standard for Noise (GB 3096-2008) 5 Emission Standard of Environmental Noise for Boundary of Construction Site (GB 12523-2011) 6 Technical Specifications to Determine the Suitable Areas for Environmental Noise of Urban Area, (GB/T 15190-94) 7 Environmental Quality Standards for Surface Water (GB 3838-2002) 8 Quality Standard for Ground Water (GB/T 14848-93) 9 Integrated Wastewater Discharge Standard (GB 8978-1996) 10 Environmental Quality Standard for Soils (GB 15618-1995) 11 Residential Building Sound Proof Design Specification (GB 50118-2010)

53. The Directory for the Management of Different Categories of Construction Project Environmental Impact Assessment classifies environmental impact assessments for construction projects into three categories with different reporting requirements, based on the ‘significance’ of potential environmental impact due to the project and the environmental sensitivity of the project site as described in the Directory. An Environmental Impact Report (EIR) is required for construction projects with potential significant environmental impacts. An Environmental Impact Table (EIT) is required for construction projects with less significant environmental impacts. An Environmental Impact Registration Form (EIRF) is required for construction projects with the least significant environmental impacts. For the proposed project, the required domestic environmental documents and their approval authority and status are shown in Table 2. All domestic environmental reports for the project roads have already been approved. In addition, three soil and water conservation reports (SWCR) for trunk roads G316,

7

S102 and S224, respectively, were also prepared by local design institutes (LDI) and these were approved by the Shaanxi Provincial Soil and Water Conservation Bureau (under the Shaanxi Provincial Water Resource Department) in July 2014.

Table 2: Domestic Environmental Documents for the Proposed Project

Environmental Completion Approval Approval No. Road Preparer Document Date Authority Date 1 G316: Xunyang - Ankang EIR ChangAn University JUL 2013 Ankang EPB 2013.06.20 2 S102: Xunyang – Xiaohe EIR ChangAn University DEC 2011 Ankang EPB 2011.12.08 3 S224: Shangnan - Yunxian EIR ChangAn University JUN 2013 Shangluo EPB 2013.08.19 4 RR1: Shangma - Xiaohe EIRF ChangAn University JUN 2014 Ankang EPB 2014.07.17 5 RR2: Lijiaba - Baigou EIRF ChangAn University JUN 2014 Ankang EPB 2014.07.17 6 RR3: Beigou - Luojia EIRF ChangAn University JUN 2014 Ankang EPB 2014.07.17 7 RR4: Yangpo - Liangheguan EIRF ChangAn University JUN 2014 Ankang EPB 2014.07.17 8 RR5: Yanbo - Dongqiao EIRF ChangAn University JUN 2014 Ankang EPB 2014.07.17 9 RR6: Zaobao – Yousheng EIRF ChangAn University JUN 2014 Ankang EPB 2014.07.17 Village 10 RR7: Zaobao – Wujiashan EIRF ChangAn University JUN 2014 Ankang EPB 2014.07.17 11 RR8: Xianghe - Shuigou EIRF ChangAn University JUN 2014 Shangluo EPB 2014.07.11 Notes: EIR = environmental impact report; EIRF = environmental impact registration form; EPB = Environmental Protection Bureau; RR = rural road

54. ADB Environmental Safeguard Requirements. The proposed project is classified as Category A for environment as it is considered likely to have significant adverse environmental impacts requiring the preparation of an environmental impact assessment (EIA) report and environmental management plan (EMP). ADB’s Safeguard Policy Statement (SPS) 2009 requires a number of considerations that are over and above the domestic EIR requirements. These include, among others: (i) project risks and respective mitigation measures and project assurances; (ii) project level grievance redress mechanism (GRM); (iii) definition of the project area of influence; (iv) consideration of physical cultural resources; (v) climate change mitigation and adaptation; (vi) occupational and community health and safety requirements; (vii) economic displacement that is not part of land acquisition; (viii) consideration of biodiversity conservation and natural resources management requirements; (ix) provision of justification if local environmental quality standards are used; (x) meaningful consultation and participation; and (xi) implementation schedule and (measurable) performance indicators in the EMP.

55. Relevant international agreements. The PRC is a signatory to a number of international agreements relevant to environment protection. Those relevant to the project, along with the date of signing by the PRC, are listed in Table 3.

Table 3: International Agreements with the PRC as a Signatory

No. Name of Agreement PRC Signing Date Agreement Objective 1 Ramsar Convention on 1975.12.21 To stem the progressive encroachment on and loss of Wetlands of International wetlands now and in the future, recognizing the wetlands’ Importance Especially as ecological functions and their economic, cultural, scientific, Waterfowl Habitat and recreational values 2 Montreal Protocol on 1989.01.01 To protect the ozone layer by controlling emissions of Substances That Deplete the substances that deplete it Ozone Layer 3 Convention on Biological 1993.12.29 To develop national strategies for the conservation and 8

No. Name of Agreement PRC Signing Date Agreement Objective Diversity sustainable use of biological diversity 4 United Nations Framework 1994.03.21 To achieve stabilization of greenhouse gas concentrations in Convention on Climate Change the atmosphere at a low enough level to prevent dangerous anthropogenic interference with the climate system 5 United Nations Convention to 1996.12.26 To combat desertification and mitigate the effects of drought Combat Desertification in Those through national action programs that incorporate long-term Countries Experiencing Serious strategies supported by international cooperation and Drought and/or Desertification partnership arrangements 6 Kyoto Protocol to the United 2005.02.23 To further reduce greenhouse gas emissions by enhancing Nations Framework Convention the national programs of developed countries aimed at this on Climate Change goal and by establishing percentage reduction targets for the developed countries

D. Evaluation Standards

56. In PRC, ambient conditions of air, noise and water quality in the project area determine the appropriate category of emissions and effluent standards for the construction and operational phases of built infrastructure. However, the World Bank Group (WBG) Environmental Health and Safety (EHS) guidelines5 (see below) are based on international best practice construction and operational procedures. Both the PRC standards and EHS guidelines are used in the assessments and the PRC standards are used for compliance checking of potential impacts from this project.

57. Air quality. The PRC ranks air quality into three classes according to its Ambient Air Quality Standard (GB 3095-1996 and amendment in 2000), with Class I having the best air quality and Class III the worst air quality. The ambient air quality in the assessment area of this project has been assigned to meet GB 3095-1996 Class II standards. A new standard has been issued in 2012 (GB 3095-2012), which will become effective on January 1, 2016, replacing GB 3095-1996. GB 3095-2012 combines Classes II and III. It also introduces PM2.5 standards and has more stringent NO2 standards. The WBG adopted the World Health Organization (WHO) standards for its EHS standards for air quality.

58. On 10 September 2013, the State Council announced the Air Pollution Prevention Action Plan for the PRC (State Council [2013] No. 37). The action plan sets 2017 targets on reducing PM10 emissions in prefecture level cities by more than 10%; PM2.5 emissions by approximately 25%, 20% and 15% in Beijing-Tianjin-Hebei region, Yangtze River Delta and Pearl River Delta 3 respectively; and controlling annual average PM2.5 levels in Beijing at around 60 μg/m . Among the 35 actions identified and described in the plan, the following are deemed to be applicable to this project:  Strengthen control of aerial sources of pollution including controlling dust pollution during construction;  Strengthen control of point source pollution including traffic management and prioritizing public and non-motorized modes of transportation;  Strictly implement total emission pollution control, with compliance with such controls on SO2, NOx, dust and volatile organics as a pre-requisite in approving construction project EIRs;  Optimize spatial pattern in urban and new district planning to facilitate better air

5 World Bank Group. 2007. Environmental, health and safety guidelines-General EHS guidelines. Washington D.C.

9

pollutant dispersion;  Strengthen laws, regulations and standards on controlling air pollution;  Strengthen capacities in environmental management and supervision system;  Increase environmental regulatory enforcement;  Implement environmental information disclosure;  Strictly enforce accountability;  Establish monitoring warning system;  Develop contingency plan; and  Adopt timely contingency measures for public health protection during serious air pollution events.

59. The WHO established air quality guideline (AQG) standards for various air quality parameters for the protection of public health. Yet recognizing that progressive actions are needed to achieve these standards and the financial and technological limitations of some countries, cities or localities especially in developing countries, the WHO also established interim targets as intermediate milestones towards achieving the AQG.

60. Table 4 compares among the PRC’s GB 3095-1996 Class II standards, GB 3095-2012 standards and the World Bank Group’s EHS standards which have adopted the WHO AQG.

Table 4: Comparison of PRC and WBG Ambient Air Quality Standards

3 6 3 Air Quality PRC Class II (μg/m ) WHO/World Bank Group EHS (μg/m ) Averaging Period Parameter GB 3095-1996 GB 3095-2012 Interim Targets AQG 1-year 60 60 n/a n/a

SO2 24-hour 150 150 50 - 125 20 1-hour 500 500 n/a n/a 1-year 200 200 n/a n/a TSP 24-hour 300 300 n/a n/a 1-year 100 100 30 - 70 20 PM10 24-hour 150 150 75 - 150 50 1-year n/a n/a 15 - 35 10

PM2.5 24-hr n/a 150 37.5 - 75 25 1-hour n/a 350 n/a n/a 1-year 80 40 n/a 40

NO2 24-hour 120 80 n/a n/a 1-hour 240 200 n/a 200 24-hour 4,000 4,000 n/a n/a CO 1-hour 10,000 10,000 n/a n/a Note: n/a = not available

61. The longer averaging period such as 1-year as shown in Table 4 is more applicable to assessing impacts from multiple as well as regional sources; while shorter averaging periods such as 24-hour and 1-hour are more applicable to assessing short term impacts from project related activities, such as from peak hour traffic or daily or peak construction activities.

62. The following observations are made comparing PRC and WBG ambient air quality standards as shown in Table 4:

6 World Bank Group 2007, ibid. 10

3  24-hr SO2: upper limit of EHS interim target (125 μg/m ) is more stringent than both GB Class II standards (150 μg/m3) 3  24-hr PM2.5: the upper limit of the EHS interim target (75 μg/m ) is considerably more stringent than the GB 3095-2012 Class II standard (150 μg/m3) 3  24-hour NO2: the EHS AQG (200 μg/m ) is more stringent than the GB 3095- 1996 Class II standard (240 μg/m3) but is the same as the GB 3095-2012 standard (200 μg/m3) 3  24-hour PM10: the upper limit of the EHS interim target (125 μg/m ) is the same as both GB Class II standards

63. Fugitive emissions of particulate matter (such as dust) and asphalt fumes (during asphalt mixing and road paving) from construction sites are regulated under PRC’s Air Pollutant Integrated Emission Standard (GB 16297-1996). For particulate matter the maximum allowable emission concentration is 120 mg/m3 and the concentration limit at the boundary of construction sites is ≤ 1.0 mg/m3, with no specification on the particulate matter particle diameter. For asphalt fumes, the maximum allowable emission concentration is 75 mg/m3 and the asphalt mixing plant is not allowed to have conspicuous fugitive fume emissions.

64. Noise. According to the Technical Specifications to Determine the Suitable Areas for Environmental Noise of Urban Area (GB/T 15190-94), the area within 200 m on both sides of road or road junction should comply with the corresponding provisions in Environmental Quality Standard for Noise (GB 3096-2008). GB 3096-2008 categorizes five functional areas based on their tolerance to noise pollution: from Category 0 to Category 4. Category 0 is for areas with convalescent facilities that are the least tolerant to noisy environment and therefore has the most stringent day and night time noise standards. Category 1 is for areas predominated by residential areas, hospitals and clinics, educational institutions and research centers. Category 2 is for areas with mixed residential and commercial functions. Category 3 is for areas with industrial production and storage and logistics functions. Category 4 is for regions adjacent to traffic noise sources such as major roads and highways, and is subdivided into 4a and 4b with the former applicable to major road and marine traffic noise and the latter applicable to rail noise. Standards for various functional area categories are compared with the WBG’s EHS guidelines in Table 5, showing that the EHS guidelines have lower noise limits for residential, commercial and industrial mixed areas but higher noise limits for industrial areas. The EHS guidelines do not have separate noise limits for trunk roads but apply the same noise limits based on whether the areas are for residential or industrial uses.

Table 5: Environmental Quality Standards for Noise (equivalent sound level LAeq: dB)

7 Noise WBG EHS GB 3096-2008 Standards Functional Standards Applicable Area Area Day Night Day Night Category 06:00-22:00 22:00-06:00 07:00-22:00 22:00-07:00 Areas needing extreme quiet, such as 0 50 40 convalescence areas Areas mainly for residence, hospitals, cultural 1 and educational institutions, administration 55 45 55 45 offices Residential, commercial and industrial mixed 2 60 50 areas

7 World Bank Group 2007, lbid.

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3 Industrial areas, warehouses and logistic parks 65 55 70 70 4a Area on both sides of trunk road 70 55 55 45

65. PRC’s Emission Standard of Environmental Noise for Boundary of Construction Site (GB 12523-2011) regulates construction noise, limiting construction noise levels at the construction site boundary to 70 dB(A) in the day time (06:00 to 22:00) and 55 dB(A) at night (22:00 – 06:00). The WBG does not have standards for construction noise per se, but applies the same noise standards listed in Table 5 above to the receptors during construction activities.

66. Surface water quality. For water quality assessment, the determining standard is PRC’s Environmental Quality Standards for Surface Water (GB 3838-2002). It defines five water quality categories for different environmental functions. Category I is the best, suitable for head waters and national nature reserves. Category II is suitable for drinking water sources in Class I protection areas, habitats for rare aquatic organisms, breeding grounds for fish and crustaceans, and feeding grounds for fish fry. Category III is suitable for drinking water sources in Class II protection areas, wintering grounds for fish and crustaceans, migration routes, water bodies for aquaculture and capture fishery, and swimming activities. Category IV is suitable for general industrial use and non-contact recreational activities. Category V is the worst which is only suitable for agricultural and scenic water uses. These standards are presented in Table 6. The WBG has guidelines on effluent quality standards but not ambient water quality, and recognizes the use of local ambient water quality criteria for EHS purpose.

Table 6: Environmental Quality Standards for Surface Water GB 3838-2002

Category Parameter I II III IV V pH 6 ~ 9 6 ~ 9 6 ~ 9 6 ~ 9 6 ~ 9 90% Dissolved oxygen (DO) [mg/L] saturation or ≥6 ≥5 ≥3 ≥2 ≥7.5 Permanganate index (IMn) [mg/L] ≤2 ≤4 ≤6 ≤10 ≤15 Chemical oxygen demand (COD) [mg/L] ≤15 ≤15 ≤20 ≤30 ≤40 5-day Biochemical oxygen demand (BOD5) [mg/L] ≤3 ≤3 ≤4 ≤6 ≤10 Ammonia nitrogen (NH3-N) [mg/L] ≤0.15 ≤0.5 ≤1.0 ≤1.5 ≤2.0 Total phosphorus (as P) [mg/L] ≤0.02 ≤0.1 ≤0.2 ≤0.3 ≤0.4 Lakes & reservoirs ≤0.01 ≤0.025 ≤0.05 ≤0.1 ≤0.2 Total nitrogen (lakes, reservoirs, as N) [mg/L] ≤0.2 ≤0.5 ≤1.0 ≤1.5 ≤2.0 Copper (Cu) [mg/L] ≤0.01 ≤1.0 ≤1.0 ≤1.0 ≤1.0 Zinc (Zn) [mg/L] ≤0.05 ≤1.0 ≤1.0 ≤2.0 ≤2.0 - Fluoride (as F ) [mg/L] ≤1.0 ≤1.0 ≤1.0 ≤1.5 ≤1.5 Selenium (Se) [mg/L] ≤0.01 ≤0.01 ≤0.01 ≤0.02 ≤0.02 Arsenic (As) [mg/L] ≤0.05 ≤0.05 ≤0.05 ≤0.1 ≤0.1 Mercury (Hg) [mg/L] ≤0.0005 ≤0.0005 ≤0.0001 ≤0.001 ≤0.001 Cadmium (Cd) [mg/L] ≤0.001 ≤0.005 ≤0.005 ≤0.005 ≤0.01 Chromium (Cr, hexavalent) [mg/L] ≤0.01 ≤0.05 ≤0.05 ≤0.05 ≤0.1 Lead (Pb) [mg/L] ≤0.01 ≤0.01 ≤0.05 ≤0.05 ≤0.1 Cyanide (CN) [mg/L] ≤0.005 ≤0.05 ≤0.2 ≤0.2 ≤0.2 Volatile phenol [mg/L] ≤0.002 ≤0.002 ≤0.005 ≤0.01 ≤0.1 Total petroleum hydrocarbon (TPH) [mg/L] ≤0.05 ≤0.05 ≤0.05 ≤0.5 ≤1.0 Anionic surfactant [mg/L] ≤0.2 ≤0.2 ≤0.2 ≤0.3 ≤0.3 Sulfide [mg/L] ≤0.05 ≤0.1 ≤0.2 ≤0.5 ≤1.0 12

Category Parameter I II III IV V Fecal coliform bacteria [number/L] ≤200 ≤2000 ≤10000 ≤20000 ≤40000

67. Discharge of wastewater from construction sites is regulated under PRC’s Integrated Wastewater Discharge Standard (GB 8978-1996). Class I standards apply to discharges into Category III water bodies under GB 3838-2002. Class II standards apply to discharges into Categories IV and V water bodies. Class III standards apply to discharges into municipal sewers going to municipal wastewater treatment plants (WWTPs) with secondary treatment. No new discharge of wastewater into Categories I and II water bodies is allowed. Table 7 shows these standards.

Table 7: GB 8978-1996 Standards for Discharging Wastewater from Construction Sites

Class I Class II Class III (for discharging into Parameter (for discharging into (for discharging into Categories IV and V Category III water body) municipal sewer) water body) pH no unit 6 ~ 9 6 ~ 9 6 ~ 9 SS mg/L 70 150 400

BOD5 mg/L 20 30 300 COD mg/L 100 150 500 TPH mg/L 5 10 20 Volatile phenol mg/L 0.5 0.5 2.0

NH3-N mg/L 15 25 --- 2- PO4 (as P) mg/L 0.5 1.0 --- LAS (= anionic surfactant) mg/L 5.0 10 20

E. Assessment Area (Project Area of Influence), Assessment Period and Evaluation Standards for the Project

68. The assessment area, or the project area of influence, was determined based on potential impact distances of various environmental parameters, the assessment levels assigned by the local environmental authorities for various environmental media, and guidance provided in PRC’s series of Technical Guidelines for environmental impact assessment (see Table 1, Guideline items 5-10). This project has no associated facility as defined in SPS (2009). Table 8 shows the assessment areas and the PRC evaluation standards adopted for this project. A comparison of PRC standards with internationally accepted standards (as defined in the World Bank’s Environment Health and Safety Guidelines) was conducted for the EIA. The comparison confirmed that PRC standards are either internationally accepted, or have comparable standard limits with most of the international standards.

13

Table 8: Assessment Area and PRC Evaluation Standards Adopted for this Project

Type of Environmental Applicable PRC Standard Project Area of Influence Standard Media

Ambient air quality Class II standards in Ambient Air Quality Within 200 m from both sides of the road Standard (GB 3095-1996 and its revision red line for before 1 January 2016, and GB 3095- 2012 for after 1 January 2016) Noise Environmental Quality Standard for Noise Within 200 m from both sides of the road (GB 3096-2008) red line • Functional Area Category 4a standards for areas within 35 m of trunk road red line • Functional Area Category 2 standards for areas beyond rural road red line and 35 m of trunk road red line Surface water Environmental Quality Standards for Within 200 m from both sides of the road quality Surface Water (GB 3838-2002), red line Categories II and III standards Ecology No applicable standards Within 300 m from the road center line, and “footprint” of the temporary land take areas.

Environmental Quality Standard Physical cultural No applicable standard but controlled “Footprint” of the permanent and resources under PRC’s Cultural Relics Protection temporary land take areas Law Occupational health No applicable standard but controlled Construction sites within the “footprint” of and safety under PRC’s Labor Law the permanent and temporary land take areas Community health No applicable standard Up to 200 m beyond the “footprint” of the and safety permanent and temporary land take areas Air pollutant Air Pollutant Integrated Emission Construction sites within the “footprint” of Standard (GB 16297-1996), Class II and the permanent and temporary land take fugitive emission standards areas Noise Emission Standard of Environmental Construction sites within the “footprint” of Noise for Boundary of Construction Site the permanent and temporary land take (GB 12523-2011) areas Wastewater Integrated Wastewater Discharge Construction sites within the “footprint” of Standard (GB 8978-1996), Class I the permanent and temporary land take standard for discharging into Category III areas water bodies, and no discharge into Pollutant Emission Standard Pollutant Standard Emission Category II water bodies.

69. The assessment period covers both the construction and operation stages of the project. The construction stage for the project roads has been estimated to take two years. The assessment period for the construction stage covers the duration of 2015 to 2017. The operation stage is based on the design horizon of 15 years for the project roads. The assessment period for the operation stage therefore covers 15 years, with commencement of operation in 2017, and years 2023 and 2031 representing mid-term and long-term horizons.

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II. DESCRIPTION OF THE PROJECT

A. Project Rationale

70. Background. The project proposes four components: (i) rehabilitation of trunk roads G316 Xunyang – Ankang (34.357 km), S102 Xunyang – Xiaohe (60.246 km), and S224 Shangnan – Yunxian (92.347 km); (ii) upgrading of eight rural roads totaling 139.656 km; (iii) implementation of road safety on 25 roads totaling 569.66 km; and (iv) capacity building. The project areas are located in Ankang City and Shangluo City in southern Shaanxi Province. Trunk roads G316 and S102, and seven of the eight rural roads are in Ankang City (Figure 3). Trunk road S224 and one rural road are in Shangluo City (Figure 4). The 25 roads where road safety improvements will be made are distributed in Ankang and Shangluo Cities (Figure 5).

Xiaohe

Xunyang

Ankang

Figure 3 : Map of Trunk Roads G316 and S102 and Seven Rural Roads in Ankang City

15

Shangnan County

Yunxian

Figure 4: Map of Trunk Road S224 and One Rural Road in Shangluo City

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Figure 5: Map of Road Safety Roads in Ankang and Shangluo Cities

71. Limitations of Existing Road Network. The mountainous nature of Shaanxi reduces the potential for inland waterways transport; the province is heavily reliant on both the road and rail networks. In 2012, highways in the province carried 174.5 billion ton-kilometers of freight and 48.8 billion passenger-kilometers. There were 3.19 million vehicles in Shaanxi in 2012 (up 16.3% on 2011), comprising passenger vehicles (74%), trucks (14%) and others (12%). In addition, in 2012, there were 2.45 million motorcycles, a decrease of 0.4% from 2011. Vehicle ownership increased in Ankang and Shangluo by 16% and 9% respectively for the same period. The Shaanxi road network had a total length of 161,411 km (in 2012) and 165,249 km (in 2013) and consists primarily of county and township roads (26%) and village roads (65%). National roads (those with “G” prefix such as G316) and provincial roads (those with “S” prefix such as S102) accounted for less than 10% of the road network in 2013. This indicates the need to improve the road network to accommodate traffic growth and to facilitate inter- and intra- provincial trade by either constructing new roads or improving existing roads. Improvement in road network connectivity, road conditions and road safety will facilitate socio-economic development and support poverty reduction.

72. Conditions of Trunk Roads G316, S102 and S224. G316 Xunyang to Ankang section was originally the haul road for constructing the Xiangyu railroad (from Xiangyang in Hubei Province to Chongqing) from the late 1960’s to mid-1970. The road has undergone re- construction and a number of improvements throughout the years and was named G316 in 1997. G316 is the main transport corridor linking Ankang and Xunyang including the towns and villages in between. It is also a key road for disaster relief in the Qinba Mountain area. Most of the road is Class III highway standard with bottlenecks, steep gradients, sharp curves, pavement defects and poor ground conditions, and is not adequate or safe for current needs or demand. Technical due diligence by the PPTA consultants indicated that there were six sections of G316 where the horizontal alignment could not meet Class III highway standard. Rehabilitation of G316 is urgently needed.

17

73. S102, built in the 1970’s, is the major north-to-south trunk road in the area linking G316 in Xunyang with the Baomao Expressway in Xiaohe Town. It is a Class III highway with many zig-zag curves and undulating vertical alignments. Technical due diligence by the PPTA consultant indicated that there were sections where alignment conditions could not meet Class III highway standards. Despite numerous road rehabilitation efforts with the last one occurring in 2009, increasing traffic in recent years has caused severe damage to the pavement. Along much of the existing alignment the pavements have worn out and reduced the road surface to gravel road and even earthen road with cracks and potholes on most portions of the existing alignment. Rehabilitation is urgently needed so that S102 can effectively serve as a major linkage between Xunyang County and Xian.

74. S224 was constructed in the 1960’s. Due to the mountainous terrain, the route has many tight curves, and runs along the riverside in low elevations, which are prone to flood inundation in the summer. Its capacity was improved considerably after the whole section was upgraded to Class III highway between October 2002 and October 2003. The flood in 2010 washed away some of the roadbed, slope protection, bridges and culverts and since then it has not been fully rehabilitated. Many sections of pavement have been damaged and are in very poor condition and exposed subgrade. Road drainage was also inadequate and damaged along some sections. Vehicles travelling on road sections with poor or no pavement were observed to generate dust plumes, causing nuisance to nearby pedestrians and residents. Rehabilitation is urgently needed.

75. Figure 6 illustrates some existing conditions observed on the three trunk roads.

Poor pavement Sharp curve Road safety G Xuag - Akag

Sign indicating sunken sub-grade ahead Poor road surface and landslide Sharp curve S: Xuag - Xiaohe 18

Exposed subgrade Poor road surface and fallen rock Sunken pavement before curve S: Shaga - Yuia

Figure 6: Illustrations of trunk road conditions

76. Importance of Rural Roads. Rural roads in Shaanxi have an economic importance in terms of providing rural communities with access to markets (sale of produce and purchase of agricultural inputs), to collection or processing stations for the sale of cash crops, and to towns and cities for (seasonal) employment opportunities. They also provide an important social service in terms of providing access to schools, health facilities and administrative services. Although in Shaanxi some limited services and facilities are located in or around the administrative villages (clinic, processing stations, some primary schools), most services and facilities are located in the townships (markets, hospitals, primary and middle schools, banks, police, etc.). Some services and facilities are only available at the county town (major markets, large hospitals, secondary schools, marriage certificates, border permits, etc.). A lot of rural transport therefore takes place between the villages and the nearest township(s). During the rainy season, many rural roads become impassable due to landslides and poor road surfaces, leading to perishable crops being lost and reducing access to socioeconomic services and facilities. Upgrading of rural roads would therefore improve accessibility of villagers to the townships and related services, facilities and opportunities.

77. Road Safety. Traffic accidents totaled approximately 6,000 in Shaanxi Province in 2012 according to the Shaanxi Statistical Yearbook 2013, with Ankang and Shangluo together accounting for approximately 9%. The number of deaths from traffic accidents in Ankang and Shangluo was 306 in 2012, almost 17% of the provincial total of 1,804. The resulting monetary losses were estimated to be approximately 40 million CNY and 5.7 million CNY in Ankang and Shangluo respectively. Road safety improvement is needed to reduce the number of accidents, deaths and injuries, and monetary losses.

78. Poverty Reduction. The Qinba Mountain area where Ankang and Shangluo are located is one of the 11 poorest regions in the PRC targeted for interventions under the 2011−2020 national poverty reduction strategy. The main causes of poverty based on group discussions with villagers and interviews with village leaders include (i) disadvantageous position in the labor market due to lack of professional skills; (ii) disability and illness resulting in high health care costs and loss of working capacity; (iii) lack of capital for improving living standards; (iv) high costs for medical expenses and children’s education resulting in expense-driven poverty for some households; (v) harsh mountainous terrain with under-developed transport infrastructure is a huge obstacle to obtaining economic benefits; and (v) poor road conditions limit the farming of high value cash crops and perishable products due to poor access to market and buyers, and the movement of villagers to seek employment opportunities. In summary, remoteness and lack of access are the root causes of poverty and the main constraints to poverty reduction in the project area. The proposed project will contribute to poverty reduction through improved accessibility by rehabilitating trunk roads and upgrading rural roads.

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B. Component 1: Trunk Road Rehabilitation

79. This component proposes to rehabilitate three trunk roads (G316, S102, S224) totaling approximately 186.95 km in the Qinba Mountain area in southern Shaanxi Province (Table 9, see also Figure 3 and Figure 4). G316 and S224 are located in Ankang City with G316 traversing the Hanyin District and Xunyang County, and S102 within the Xunyang County. S224 is located in the Shangnan County in Shangluo City. All three roads will adopt asphalt concrete pavement with the sub-grade constructed with cement stabilized gravel. Road classes will be mostly upgraded to Class II with some sections maintained at Class III due to local physical constraints. Design speed ranges from 30 km/h to 60 km/h depending on the road class and width and type of vehicle.

Table 9: Summary of Trunk Road Rehabilitation

Location Shangluo Road Design Trunk Ankang City Subgrade Pavement City Length Road Class Speed Road width (m) Type Xunyang Hanyin Shangnan (km) (km/h) County District County G316: III (K0+000 – K9+260) 30 7.5-8.5 Asphalt Xunyang – √ √ 34.357 II (K9+260 – K24+460) 40 7.5-8.5 Concrete Ankang II (K24+460 – K34+801) 60 12 S102: III (K28+000-K34+000; 60 8.5 Asphalt Xunyang – √ 60.246 K40+500 – K52+500) Concrete Xiaohe II (except the above) 60 10 S224: II (K0+000 – K6+000) 60 12 Asphalt Shangnan √ 92.347 II (K6+000 – K54+220) 40 10 Concrete – Yunxian III (K54+220 – K92+347) 30 7.5 Note: Despite the edig haiage of G idiates K+, ased o the eistig arriagea, the atual road legth for the projet is . k due to the shorteig of soe road setios e.g. ostrutig ridges to ross gullies Source: EIR.

80. All three trunk roads are existing roads. Road works will total 186.95 km, involving a combination of using the existing carriageway without rehabilitation (4%, 7.215 km), rehabilitating the existing carriageway (35%, 65.431 km), widening the existing carriageway (52%, 97.1981 km), and constructing new carriageway (new bridges and tunnels) on new alignments (9%, 17.2669 km) (Table 10). Figure 7 shows the typical cross sections of the three trunk roads. 20

Table 10: Types of Road Works on the Trunk Roads

Nature of Road Works Trunk Road Chainage Rehabilitate Existing Widen Existing Construct New Carriageway Carriageway Carriageway G316 K0+000 – K4+085 3.2675 km 0.8175 km (5 bridges) Xunyang - Ankang K4+085 – K5+300 1.215 km (use, no rehabilitation) K5+300 – K24+460 18.1006 km 1.0594 km (8 bridges) K24+460 – K34+801 10.341km G316 total: 11.556 km 21.3681 km 1.8769 km S102 K0+000 – K17+400 17.40 km Xunyang - Xiaohe K17+401 – K19+610 2.21 km K19+611 – K23+951 4.34 km K23+952 – K27+872 3.92 km K27+873 – K33+899 6.03 km K33+900 – K34+600 0.70 km K34+601 – K38+000 3.40 km K38+000 – K40+474 2.47 km K40+475 – K52+239 11.76 km K52+240 – K52+926 0.69 km K52+927 – K55+650 2.72 km K55+651 – K58+788 3.14 km K58+789 – K59+832 1.04 km K59+833 – K60+246 0.41 km S102 total: 17.40 km 29.29 km 13.54 km S224 K000 – K6+000 6 km Shangnan - Yunxian (use, no rehabilitation) 1.85 km (bridges & K6+000 – K54+220 46.54 km tunnel) K54+220 – K92+347 37.96 km S224 total: 43.96 km 46.54 km 1.85 km Soure: EIR.

G idth =

21

S idth =

S idth =

S idth = Source: FSR.

Figure 7: Trunk Road Typical Cross Sections

81. Bridges. Table 11 shows the project will involve works on 81 bridges. Due to the mountainous nature of the project area, most bridges are needed for crossing valleys and gullies, while the others (see below) are for river crossing. The construction method for bridge foundation will be bored piling.

82. Of the 46 bridges totaling approximately 4 km for G316, one medium bridge will be demolished and re-constructed, 28 (10 large, 16 medium and 2 small) will be rehabilitated, four (3 medium and 1 small) will be widened, and 13 (7 large and 6 medium) will be newly constructed. G316 runs parallel to the Han River. There are no bridges crossing major rivers or water bodies.

83. Of the 19 bridges totaling approximately 2.2 km for S102, one bridge does not need any engineering works, three (2 medium and 1 small) will be demolished and re-constructed, and 15 (9 large, 2 medium and 4 small) will be newly constructed. Major rivers crossed include the Xun River (crossed six times) and the Qianyou River (crossed four times). 22

84. Of the 16 bridges totally approximately 1 km for S224, one bridge does not need any engineering works, seven (3 medium and 4 small) will be demolished and re-constructed, three (all medium) will be rehabilitated, and five (all medium) will be newly constructed. Major rivers crossed include the Xian River (crossed six times) and the Dan River (crossed once).

23

Table 11: Bridge Construction

Size Bridge Structure L=large No. of Span Bridge Name or No. Chainage M=medium Length (m) & Span Remark Location Substructure S=small Width Super Structure L M S Pier Abutment G316 Xunyang - Ankang K+ Xiatazi Bridge √ .0 4 x 20 m Bo girder Colu Colu Ne K+ Mid-level Bridge √ .0 3 x 20 m Bo girder Colu Colu Ne K+. )ushiiao Bridge √ .0 Bo girder Colu Colu Ne K+. Datagou Bridge √ .0 Bo girder Colu Colu Ne K+. Caojiagou Bridge √ . Bo girder Colu Colu Ne 6 K5+452.4 Yujiagou Bridge √ . T-girder Thi all Colu Rehailitate hollo K+. Mid-level Bridge √ . 4 x 20 m Box girder Column Column New K+ Mid-level Bridge √ .0 4 x 20 m Box girder Column Column New K+ Mid-level Bridge √ .0 4 x 20 m Box girder Column Column New 10 K8+751.2 Laohugou Bridge √ 36.0 1 x 25 m Arch slab --- U-shape Rehabilitate 11 K10+629.1 Lijiahe Bridge √ 90.0 1 x 62 m Double curved arch --- U-shape Rehabilitate 12 K12+315.5 Dazhaigou Bridge √ 42.0 1 x 25 m Arch slab --- U-shape Widen 13 K12+894.1 Dashibangou Bridge √ 44.0 1 x 20 m Arch slab --- U-shape Widen 14 K13+093.4 Xiaoshibangou Bridge √ 30.0 1 x 15 m Arch slab --- U-shape Rehabilitate 15 K13+592.7 Sangshugou Bridge √ 47.0 1 x 25 m Rigid frame arch --- U-shape Demolish & reconstruct 16 K14+889.3 Diangou Bridge √ 71.0 1 x 50 m Arch slab --- U-shape Rehabilitate 17 K15+770.7 Tuqiaogou Bridge √ 40.0 1 x 20 m Arch slab --- U-shape Widen 18 K16+412.6 Jiagou Bridge √ 68.0 1 x 40 m Rigid frame arch --- U-shape Rehabilitate 19 K17+010.2 Zhaigou Bridge √ 91.0 1 x 60 m Rigid frame arch --- U-shape Rehabilitate 20 K17+602.7 Xiangshuigou Bridge √ 80.0 1 x 60 m Double curved arch --- U-shape Rehabilitate 21 K18+201.1 Digou Bridge √ 54.0 1 x 30 m Arch slab --- U-shape Rehabilitate 22 K18+669.0 Chunzaopo Bridge √ 34.0 1 x 20 m Arch slab --- U-shape Rehabilitate 23 K19+056.1 Ligou Bridge √ 56.0 1 x 25 m Arch slab --- U-shape Rehabilitate 24 K20+056.3 Bashang Bridge √ 33.5 1 x 25 m Arch slab --- U-shape Rehabilitate 25 K20+595 Mid-level Bridge √ 66.0 3 x 20 m Box girder Column Column New 26 K20+680.2 Zhaigou Bridge √ 36.8 1 x 16 m Arch slab --- U-shape Rehabilitate 27 K21+350 Zhoujiahe Bridge √ 186.0 9 x 20 m Box girder Column Column New 24

Size Bridge Structure L=large No. of Span Bridge Name or No. Chainage M=medium Length (m) & Span Remark Location Substructure S=small Width Super Structure L M S Pier Abutment 28 K21+496.3 Yuchi Bridge √ 95.0 1 x 60 m Rigid frame arch --- U-shape Rehabilitate 29 K21+968 Yushugou Bridge √ 106.0 5 x 20 m Box girder Column Column New 30 K22+406.0 Erlanggou Bridge √ 50.1 1 x 30 m Arch slab --- U-shape Rehabilitate 31 K23+138 Nianzigou Bridge √ 170.0 4 x 40 m T-girder Thin wall Column New hollow 32 K23+527.2 Aijiahe Bridge √ 273.0 6 x 40 m T-girder Thin wall Column New hollow 33 K25+766.0 Zaoyang Bridge √ 18.7 1 x 8 m Arch slab --- Column Widen 34 K26+406.1 Shentanhe Bridge √ 139.0 4 x 30 m Pre-stressed box girder Thin wall pier Column Rehabilitate 35 K27+442.6 Chenjiagou Bridge √ 116.0 6 x 16 m Hollow slab Column U-shape Rehabilitate 36 K28+909.6 Sanbuliangdu #1 Bridge √ 41.0 1 x 20 m Stone arch --- U-shape Rehabilitate 37 K29+088.4 Sanbuliangdu #2 Bridge √ 101.6 5 x 16 m Hollow slab Column U-shape Rehabilitate 38 K29+469.9 Guntangou #1 Bridge √ 62.98 1 x 45 m Arch slab --- U-shape Rehabilitate 39 K29+550.6 Guntangou #2 Bridge √ 92.5 1 x 50 m Arch slab --- U-shape Rehabilitate 40 K29+971.8 Liujiawan Bridge √ 66.6 3 x 16 m Hollow slab Thin wall U-shape Rehabilitate 41 K30+398.9 Zhujiabian Bridge √ 47.5 1 x 25 m Double curved arch --- U-shape Rehabilitate 42 K30+862.2 Zhujiagou Bridge √ 60.32 3 x 16 m Hollow slab Column U-shape Rehabilitate 43 K31+341.3 Daqiaogou Bridge √ 60.48 3 x 16 m Hollow slab Column U-shape Rehabilitate 44 K31+695.8 Shahekou Bridge √ 65.3 3 x 16 m Hollow slab Column U-shape Rehabilitate 45 K33+090.0 Taozigou Bridge √ 79.0 4 x 16 m Hollow slab Column U-shape Rehabilitate 46 K35+176.6 Guanmiaogou Bridge √ 52.44 3 x 16 m Hollow slab Column Multi-frame Rehabilitate Total: 17 26 3 3990.72 S102 Xunyang - Xiaohe 1 K3+150.0 Lijia’na √ 126.0 6 x 20 m Box girder Column Column Existing 2 K17+647.0 Xun River √ 276.0 9 x 30 m Box girder Column Column New 3 K19+000.0 Yanwogou √ 246.0 12 x 20 m Box girder Column Column New 4 K24+080.0 Xiaohe √ 14.04 1 x 8 m Hollow slab --- Column New 5 K27+546.0 Qiaoxiaogou √ 86.0 4 x 20 m Box girder Column Column New 6 K27+706.0 Lijiaping √ 96.0 3 x 30 m Box girder Column Column New 7 K28+589.0 Shagou √ 26.04 1 x 20 m Hollow slab --- Column Demolish & reconstruct 8 K34+229.0 Hongyangou √ 19.04 1 x 13 m Hollow slab --- Column New

25

Size Bridge Structure L=large No. of Span Bridge Name or No. Chainage M=medium Length (m) & Span Remark Location Substructure S=small Width Super Structure L M S Pier Abutment 9 K35+108.0 Liaojiatan √ 19.04 1 x 13 m Hollow slab --- Column New 10 K38+597.0 Luduba √ 146.0 7 x 20 m Box girder Column Column New 11 K39+176.0 Xun River √ 246.0 8 x 30 m Box girder Column Column New 12 K40+107.0 Yatougou √ 19.04 1 x 13 m Hollow slab --- Column New 13 K45+618.0 Wanggou √ 38.04 2 x 16 m Hollow slab --- Gravity type Demolish & reconstruct 14 K46+796.0 Jiepangou √ 14.04 1 x 8 m Hollow slab --- Column Demolish & reconstruct 15 K52+430.0 Xun River √ 206.0 10 x 20 m Box girder Column Column New 16 K52+684.0 Xun River √ 186.0 9 x 20 m Box girder Column Column New 17 K56+488.0 Qianyou River √ 166.0 8 x 20 m Box girder Column Column New 18 K56+698.0 Xiaohe Town √ 126.0 6 x 20 m Box girder Column Column New 19 K57+110.0 Qianyou River √ 186.0 9 x 20 m Box girder Column Column New Total: 10 4 5 2241.28 S224 Shangnan - Yunxian 1 K6+803.00 Sanjiaochi Middle √ 90.04 4 x 20 m Pre-stressed concrete hollow --- Gravity type Demolish & Bridge slab reconstruct 2 K10+327.0 Ganlugou #1 Bridge √ 65.04 3 x 20 m Pre-stressed concrete hollow Pile Pile cap New slab beam 3 K10+722.0 Ganlugou #2 Bridge √ 85.04 4 x 20 m Pre-stressed concrete hollow Pile Pile cap New slab beam 4 K14+773.0 Yuangou √ 18.04 1 x 8 m Pre-stressed concrete hollow --- Gravity type Demolish & slab reconstruct 5 K17+568.0 Shanghe √ 77.0 4 x 16 m Pre-stressed concrete hollow --- Gravity type Rehabilitate slab 6 K22+463.0 Matidian √ 26.04 1 x 16 m Pre-stressed concrete hollow --- Gravity type Demolish & slab reconstruct 7 K27+440.0 Jiangjiatai √ 78.2 4 x 16 m Pre-stressed concrete hollow --- Gravity type Rehabilitate slab 8 K32+640.0 Xiaoxigou √ 49.04 3 x 13 m Pre-stressed concrete hollow --- Gravity type New slab 9 K33+635.0 Xiaolingguan #1 Bridge √ 58.04 3 x 16 m Pre-stressed concrete hollow --- Gravity type New 26

Size Bridge Structure L=large No. of Span Bridge Name or No. Chainage M=medium Length (m) & Span Remark Location Substructure S=small Width Super Structure L M S Pier Abutment slab 10 K33+705.0 Xiaolingguan #2 Bridge √ 58.04 3 x 16 m Pre-stressed concrete hollow --- Gravity type New slab 11 K36+934.0 Hongyukou √ 26.04 1 x 16 m Pre-stressed concrete hollow --- Gravity type Demolish & slab reconstruct 12 K34+663.0 Yindonggou √ 99.08 4 x 20 m Pre-stressed concrete hollow --- Gravity type Rehabilitate slab 13 K37+537.0 Hongyukou √ 74.08 4 x 16 m Pre-stressed concrete hollow --- Gravity type Demolish & slab reconstruct 14 K38+026.5 Dan River √ 216.0 7 x 30 m Pre-stressed reinforced Column Column Existing concrete girder 15 K51+782.0 Weijiatai √ 26.04 1 x 16 m Pre-stressed concrete hollow --- Gravity type Demolish & slab reconstruct 16 K52+253.0 Liushubian √ 30.04 1 x 20 m Pre-stressed concrete hollow --- Gravity type Demolish & slab reconstruct Total: 1 11 4 1075.8 Sources: FSR, EIR and G316 detailed design.

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85. Tunnels. Road tunnels are a common feature in Shaanxi Province due to the mountainous terrain. Eleven new tunnels will be constructed on the trunk roads, with eight for S102 and three for S224 (Table 12). Most are short tunnels less than 400 m in length, with the longest tunnel being 870 m in length. Tunnel construction will adopt the New Austrian Tunneling Method, which can be described as a "design as you monitor" approach, based on observed convergence and divergence in the lining and mapping of prevailing rock conditions. The procedure involves continual measurements and monitoring of rock conditions, relying on the inherent strength of the surrounding rock mass being conserved as the main component of tunnel support, and using thin shotcrete protection to minimize loosening and excessive rock deformation. If needed, fiber or welded-wire fabric reinforcement, steel arches (usually lattice girders), and sometimes ground reinforcement (e.g. soil nails) will be installed. The tunnel is therefore sequentially excavated and supported, and the excavation sequences can be varied to efficiently address the specific rock conditions being encountered.

Table 12: Tunnel Construction

No. Chainage Name of Tunnel Length (m) S102 Xunyang - Xiaohe 1 K24+090 – K24+215 Dalingdaoban Tunnel 125 2 K26+625 – K26+885 Wangjiaya Tunnel 260 3 K34+020 – K34+210 Hongyantan #1 Tunnel 190 4 K34+250 – K34+515 Hongyantan #2 Tunnel 265 5 K41+930 – K42+176 Qiushuping Tunnel 246 6 K57+240 – K57+510 Wujiaya Tunnel 270 7 K60+155 – K61+025 Yujiawan Tunnel 870 8 K62+680 – K63+300 Goujiashan Tunnel 620 S224: Shangnan - Yunxian 1 K12+020 – K12+225 Shuangmiaoling #1 Tunnel 205 2 K12+900 – K13+150 Shuangmiaoling #2 Tunnel 250 3 K24+745 – K25+090 Baishegou Tunnel 345 Source: EIR & FSR.

86. Culverts. A total of 87 culverts for G316, 270 for S102 and 141 for S224 will be constructed for drainage of road runoff during storm events. They will include reinforced concrete slab cover culverts and stone arch culverts.

87. Earth Cut and Fill. Table 13 shows the cut and fill balance for the earthworks for the three trunk roads. G316 earthworks would generate more than 900,000 m3 of cut material all of which will be disposed, and would require import of approximately 30,000 m3 of back fill material. S102 earthworks would generate nearly 4 million m3 of cut material due to the mountainous terrain and more than 14 km of new road sections. Approximately 40% will be re- used as back fill materials and the remaining 60% (approximately 2.4 million m3) will be disposed. S102 also requires import of approximately 370,000 m3 of back fill material. S224 earthworks would generate approximately 1 million m3 of cut material, re-using 75% and the remaining 25% (approximately 250,000 m3) will be disposed. S224 requires no import of backfill material.

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Table 13: Earthworks Cut and Fill Balance for Trunk Roads

Trunk Road Cut (m3) Fill (m3) Reuse (m3) Borrow (m3) Disposal (m3) G316 Xunyang - Ankang 932,429 32,536 --- 32,536 932,429 S102 Xunyang - Xiaohe 3,962,400 1,941,900 1,570,200 371,700 2,392,200 S224 Shangnan - Yunxian 993,640 746,467 746,467 --- 247,173 Total: 5,888,469 2,720,903 2,316,667 404,236 3,571,802 Source: EIR.

88. Borrow Areas and Spoil Disposal Sites. G316 would obtain gravel and sand materials from existing commercial sources and therefore would not need to set up a specific borrow area for road construction. S102 would acquire 371,700 m3 of backfill material from three borrow areas (Table 14) that are near the alignment. S102 will also establish three temporary storage areas for re-using excavated spoil from tunneling works. Temporary land take for the three borrow areas for S102 would total 4 ha.

Table 14: Borrow Areas for Trunk Roads

Trunk Road Site Identification Near Chainage Relative to Trunk Road Land Take Area (ha) S102 Area #1 K23+200 Left 0.85 Xunyang - Xiaohe Area #2 K35+000 Left 1.42 Area #3 K52+500 Right 1.73 Temporary storage #1 K19+950 50 m Temporary storage of 3 Temporary storage #2 K34+565 50 m 155,567 m excavated Temporary storage #3 K54+390 50 m spoil from tunneling Total: 4.00 Source: Construction Drawings.

89. Twenty disposal sites (4 for G316, 4 for S102 and 12 for S224) have been identified for disposing approximately 3.6 million m3 of cut material (Table 15). The number of sites was determined based on available land and optimization of spoil transport distances. Temporary land take for the disposal sites would total approximately 6.4 ha for G316, 12.75 ha for S102, and 9.3 ha for S224.

Table 15: Spoil Disposal Sites for Trunk Roads

Trunk Road Site Identification Near Chainage Relative to Trunk Road Land Take Area (ha) G316 Site #1 K3+250 143 m 2.77 Xunyang- Ankang Site #2 K18+650 1 m 0.97 Site #3 K21+100 10 m 1.10 Site #4 K21+940 12 m 1.56 Total: 6.40 S102 Site #1 K21+500 1600 m 2.69 Xunyang – Xiaohe Site #2 K24+890 500 m 1.55 Site #3 K35+000 200 m 4.41 Site #4 K54+500 2400 4.10 Total: 12.75 S224 Site #1 K6+850 4 km right 0.50 Shangnan – Yunxian Site #2 K14+780 400 m left 0.83 Site #3 K15+615 1 km left 0.83 Site #4 K22+280 2 km left 1.20 Site #5 K25+850 600 m right 0.75 Site #6 K33+350 500 m right 0.50 Site #7 K40+730 200 m left 1.00 Site #8 K46+880 200 m right 0.70 Site #9 K59+480 15 m right Abandoned quarry

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Trunk Road Site Identification Near Chainage Relative to Trunk Road Land Take Area (ha) Site #10 K72+860 20 m left 0.64 Site #11 K77+250 10 m left 1.50 Site #12 K83+210 15 m right 0.82 Total: 9.27 Source: Construction Drawings.

90. Construction Staging Areas. These areas include tunnel construction staging areas, pre-casting yards for bridge construction, asphalt mixing stations for providing road paving material, and haul roads. Table 16 shows their locations and areas, indicating that the temporary land to be acquired for these activities would total approximately 21.22 ha.

Table 16: Temporary Land Uses and Locations for the Trunk Roads

G316 S102 S224 Construction Activity Chainage Area (ha) Chainage Area (ha) Chainage Area (ha) Tunnel construction K19+900 0.20 staging area K21+550 0.27 K22+450 0.30 K23+800 0.11 K24+950 0.13 K34+650 0.15 K39+560 0.12 K53+560 0.14 K54+550 0.13 K57+100 0.16 K59+400 0.13 K60+000 0.14 Subtotal: 1.98 Bridge pre-casting yard K2+500 0.52 K17+760 1.00 K6+768 0.33 K3+250 0.35 K26+650 0.65 K10+248 0.33 K6+020 0.35 K31+450 0.32 K17+491 0.34 K19+260 0.35 K36+200 1.30 K27+393 0.33 K20+040 0.32 K40+840 0.55 K32+583 0.33 K21+440 0.35 K50+100 0.42 K34+623 0.34 K23+350 0.32 K37+440 0.33 K52+067 0.34 K56+300 0.67 Subtotal: 2.56 4.24 3.34 Asphalt mixing station K12+250 0.35 K13+930 0.75 K79+350 0.67 K18+100 0.32 K50+100 0.96 Subtotal: 0.67 1.71 0.67 Haul road K17+850- At above locations 2.52 0.73 K10+827 0.04 K18+650 K22+350- 1.81 K11+089 0.03 K24+050 K24+880- 0.70 K11+760 0.01 K26+000 K33+530- 0.04 K12+010 0.01 K33+585 K34+600- 0.56 K35+200 30

G316 S102 S224 Construction Activity Chainage Area (ha) Chainage Area (ha) Chainage Area (ha) K35+850- 1.26 K37+800 K50+900- 0.32 K51+100 Subtotal: 2.52 5.42 0.09

TOTAL 5.75 11.37 4.10

Source: Construction Drawings.

91. Traffic Demand Forecast. Based on traffic counts conducted at these trunk roads during the PPTA study, the PPTA consultant carried out traffic demand forecast. Table 17 shows the demand forecast in terms of number of vehicles per day for various types of vehicles in years 2014 (present), 2017 (commissioning of rehabilitated trunk roads), 2024 (medium term) and 2031 (long term). Estimation of day time and night time traffic volume was based on day/night ratio of 85%/15%. Estimation of peak hour traffic volume was based on 9.6%, 8.6% and 7.1% of the annual average daily traffic for G316, S102 and S224, respectively.

92. Substantial increase in traffic volume on all three trunk roads is apparent, not only during the operational stage of the rehabilitated roads from 2017 onwards but also between now till 2017 when the roads are undergoing rehabilitation.

Table 17: Traffic Demand Forecast for Trunk Roads

Trunk Number of Vehicles per Day Vehicle Type Road Year 2014 Year 2017 Year 2024 Year 2031 G316 Motor cycle 371 448 610 739 Xunyang - Small passenger car 841 1152 1850 2578 Ankang Bus 10 14 22 31 Light goods vehicle 308 407 654 911 Mid-size goods vehicle 20 26 42 58 Heavy goods vehicle 35 46 74 104 Trailer truck 201 265 426 593 Annual average daily traffic: 1792 2358 3677 5014 S102 Motor cycle 761 919 1251 1516 Xunyang - Small passenger car 1680 2285 3669 5112 Xiaohe Bus 75 102 164 229 Light goods vehicle 121 160 257 358 Mid-size goods vehicle 135 178 286 398 Heavy goods vehicle 182 240 385 537 Trailer truck 13 17 28 39 Annual average daily traffic: 2967 3902 6040 8189 S224 Motor cycle 758 915 1246 1510 Shangnan - Small passenger car 482 656 1053 1467 Yunxian Bus 30 40 65 91 Light goods vehicle 171 226 362 505 Mid-size goods vehicle 130 171 275 383 Heavy goods vehicle 151 200 321 447 Trailer truck 35 47 75 104 Annual average daily traffic: 1757 2255 3397 4507

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Trunk Number of Vehicles per Day Vehicle Type Road Year 2014 Year 2017 Year 2024 Year 2031 Source: PPTA consultant.

C. Component 2: Rural Road Upgrading

93. Component 2 proposes to upgrade eight rural roads (RR) totaling 139.656 km. Table 18 summarizes the key features of these roads. Of the eight rural roads, seven are in Ankang City (see Figure 3) with four in Xunyang County and three in Hanyin District. The remaining one is in Shangnan County in Shangluo City (see Figure 4). All will adopt cement concrete pavement. Three rural roads will be built to Class IV highway standard with design road speed of 20 km/h and the other five will be underclass8 roads with design road speed of 10-15 km/h. Road width ranges from 4.5 m to 6.0 m, except for 150 m on rural road #2 where the road width will only be 3.5 m due to local physical constraint.

Table 18: Summary of Rural Road Sections Proposed for Upgrade

Location Shangluo Road Design Ankang City Road Subgrade Pavement Pavement Rural Road City Length Speed Class width (m) Width (m) Type Xunyang Hanyin Shangnan (m) (km/h) County District County 6.5 except 6.0 except below below RR1: √ 38.405 IV 20 5.5 from 5.0 from CC Shangma - Xiaohe K68+125 to K68+125 to K69+445 K69+445 5.0 except 4.5 except below below RR2: √ 7.879 U 15 4.0 from 3.5 from CC Lijiaba - Baiguo K4+500 to K4+500 to K4+648.7 K4+648.7 RR3: √ 7.253 U 15 5.0 4.5 CC Beigou - Luojia RR4: Yangpo - √ 16.618 U 15 5.0 4.5 CC Liangheguan RR5: √ 10.697 U 20 6.5 6.0 CC Yanba - Dongqiao RR6: Zaobao – Yousheng √ 4.157 U 10 - 15 5.5 4.5 CC Village RR7: √ 9.335 U 10 - 15 5.5 4.5 CC Zaobao - Wujiashan RR8: √ 45.312 IV 20 6.5 6.0 CC Xianghe - Shuigou Total: 139.656 Notes: CC = cement concrete; RR = rural road; U = underclass Source: EIRF.

8 Underclass roads are roads that are not Classes I to IV. 32

94. All the proposed rural roads are existing earthen roads. Engineering works mainly involve road widening and rehabilitating the road subgrade, pavement and drainage system, except on RR4 Yangpo to Liangheguan where one new section of 2.5 km (1.8% of the proposed 136 km for the eight rural roads) will be constructed at K8+400 – K10+900. Engineering works will also involve the construction of three new small bridges (2 on RR1 and 1 on RR5), demolition and re-construction of one small bridge (RR5), rehabilitation of three existing small and medium bridges (2 on RR1 and 1 on RR8), and construction of 467 culverts on the eight rural roads. The super-structure of all three new small bridges would be pre-stressed concrete hollow slab.

95. Earth Cut and Fill. Table 19 shows that cut earth material from all eight rural roads would total approximately 1.58 million m3. Approximately 280,000 m3 of backfill material will be needed but through re-use of cut material there will be no need for borrow areas for rural road construction. The remaining 1.3 million m3 of excess spoil would need disposal.

Table 19: Earth Cut and Fill Balance for Rural Roads

Rural Road Cut (m3) Fill (m3) Reuse (m3) Borrow (m3) Disposal (m3) RR1: Shangma – Xiaohe 264,490 95,721 95,721 --- 168,769 RR2: Lijiaba - Baiguo 49,706 15,690 15,690 --- 34,016 RR3: Beigou - Luojia 239,175 21,855 21,855 --- 217,320 RR4: Yangpo - Liangheguan 347,762 30,000 30,000 --- 317,762 RR5: Yangba - Dongqiao 210,254 59,014 59,014 --- 151,240 RR6: Zaobao - Yousheng 66,785 1,645 1,645 --- 65,240 RR7: Zaobao - Wujiashan 117,493 7,140 7,140 --- 110,353 RR8: Xianghe-Shuigou 282,139 50,133 50,133 --- 232,006 Total: 1,577,804 281,198 281,198 --- 1,296,606 Source: Construction Drawings.

96. Spoil Disposal Sites. To dispose of approximately 1.3 million m3 of excess cut earth material, 29 spoil disposal sites have been identified on uncultivated land near the eight rural roads (Table 20). Temporary land take for these 28 sites is approximately 16 ha, and most sites are less than 1 ha in size.

Table 20: Spoil Disposal Sites for Rural Roads

Rural Road Site Identification Near Chainage Relative to Trunk Road Land Take Area (ha) RR1 Site #1 K52+120 10 m 0.89 Shangma - Xiaohe Site #2 K55+440 220 m 0.92 Site #3 K60+500 10 m 0.67 Site #4 K62+120 10 m 0.43 Site #5 K66+710 40 m 1.40 Site #6 K73+980 10 m 0.80 Site #7 K76+740 370 m 0.11 Site #8 K82+700 10 m 0.25 Site #9 K85+820 10 m 0.28 Total: 5.75 RR2 Site #1 K2+760 1000 m left 0.17 Lijiaba - Baiguo Total: 0.17 RR3 Site #1 K0+800 20 m left 0.20 Beigou - Luojia Site #2 K2+490 20 m left 0.11 Site #3 K3+810 100 m right 0.24 Site #4 K5+257 1000 m right 0.23 Total: 0.78 RR4 Site #1 K2+555 20 m left 0.53 Yangpo - Liangheguan Site #2 K4+928 20 m left 0.46

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Rural Road Site Identification Near Chainage Relative to Trunk Road Land Take Area (ha) Site #3 K8+225 25 m left 0.18 Site #4 K9+380 20 m right 0.59 Site #5 K11+350 20 m right 0.45 Site #6 K14+050 20 m right 0.47 Total: 2.68 RR5 Site #1 K4+480 100 m left 1.16 Yangba - Dongqiao Site #2 K6+400 200 m right 1.44 Total: 2.60 RR6 Site #1 K3+240 20 m right 0.39 Zaobao - Yousheng Total: 0.39 RR7 Site #1 K2+250 30 m right 0.30 Zaobao - Wujiashan Total: 0.30 RR8 Site #1 K4+000 50 m left 1.31 Xianghe-Shuigou Site #2 K10+100 20 m left 0.35 Site #3 K14+420 20 m left 0.59 Site #4 K28+580 No data 0.55 Site #5 K38+700 150 m right 0.71 Total: 3.51 Source: Construction Drawings.

97. Traffic Demand Forecast. Based on 12-hour traffic counts conducted during the PPTA study and the estimated traffic growth rate for various types of vehicles on rural roads, the PPTA consultant projected the annual average daily traffic on each of the eight rural roads for years 2014 (present), 2017 (commissioning of upgraded rural roads), 2024 (medium term) and 2031 (long term) as shown in Table 21. It could be seen that the traffic growth on rural roads is slower than that on the trunk roads. RR1 and RR8 would have substantially higher traffic volume than the other rural roads, while RR2, RR6 and RR7 would have comparatively lower traffic volume than the others. Despite low traffic volumes, upgrading these rural roads would improve road condition and safety, and would also facilitate better access for disaster relief and emergency services to neighboring villages when needed.

Table 21: Traffic Demand Forecast for Rural Roads

Number of Vehicles per Day Rural Road Vehicle Type Year 2014 Year 2017 Year 2024 Year 2031 RR1: Motor cycle 133 158 229 288 Shangma - Small passenger car 216 254 348 433 Xiaohe Bus 11 13 18 22 Light goods vehicle 53 62 85 106 Mid-size goods vehicle 26 31 42 52 Heavy goods vehicle 145 170 234 290 Trailer truck 0 0 0 0 Annual average daily traffic: 584 688 956 1191 RR2: Motor cycle 23 27 40 50 Lijiaba - Baiguo Small passenger car 3 4 5 6 Bus 0 0 0 0 Light goods vehicle 5 6 8 10 Mid-size goods vehicle 0 0 0 0 Heavy goods vehicle 3 4 5 6 Trailer truck 1 1 2 2 Annual average daily traffic: 35 42 60 74 RR3: Motor cycle 83 99 143 179 Beigou - Luojia Small passenger car 22 26 35 44 34

Number of Vehicles per Day Rural Road Vehicle Type Year 2014 Year 2017 Year 2024 Year 2031 Bus 0 0 0 0 Light goods vehicle 59 69 95 118 Mid-size goods vehicle 0 0 0 0 Heavy goods vehicle 0 0 0 0 Trailer truck 0 0 0 0 Annual average daily traffic: 164 194 273 341 RR4: Motor cycle 50 60 86 108 Yangpo - Small passenger car 13 15 21 26 Liangheguan Bus 0 0 0 0 Light goods vehicle 26 31 42 52 Mid-size goods vehicle 0 0 0 0 Heavy goods vehicle 0 0 0 0 Trailer truck 0 0 0 0 Annual average daily traffic: 89 106 149 186 RR5: Motor cycle 0 0 0 0 Yangba - Small passenger car 39 46 63 78 Dongqiao Bus 7 8 11 14 Light goods vehicle 39 46 63 78 Mid-size goods vehicle 22 26 35 44 Heavy goods vehicle 11 13 18 22 Trailer truck 0 0 0 0 Annual average daily traffic: 118 139 190 236 RR6: Motor cycle 0 0 0 0 Zaobao - Small passenger car 7 8 11 14 Yousheng Bus 0 0 0 0 Village Light goods vehicle 11 13 18 22 Mid-size goods vehicle 5 6 8 10 Heavy goods vehicle 0 0 0 0 Trailer truck 0 0 0 0 Annual average daily traffic: 23 27 37 46 RR7: Motor cycle 0 0 0 0 Zaobao - Small passenger car 11 13 18 22 Wujiashan Bus 0 0 0 0 Light goods vehicle 14 16 23 28 Mid-size goods vehicle 7 8 11 14 Heavy goods vehicle 0 0 0 0 Trailer truck 0 0 0 0 Annual average daily traffic: 32 37 52 64 RR8: Motor cycle 119 142 205 257 Xianghe-Shuigou Small passenger car 252 296 406 505 Bus 5 6 8 10 Light goods vehicle 133 156 215 266 Mid-size goods vehicle 25 29 40 50 Heavy goods vehicle 42 49 68 84 Trailer truck 0 0 0 0 Annual average daily traffic: 576 678 942 1172 Source: PPTA consultant.

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D. Component 3: Road Safety

98. Road safety enhancement is a key output and central theme of the proposed project. This component is spearheaded by ChinaRAP, which is a partnership of the Research Institute of Highway, the Ministry of Transport, and the International Road Assessment Program. This component applies to the three trunk roads, the eight rural roads and an additional 25 township and county roads totaling 569.66 km, with the target of achieving a 3-star road safety rating for the majority of these roads. Table 22 lists the additional roads that will be subject to road safety interventions (see also Figure 5). Nineteen roads are in Ankang City, with five in Hanyin District and 14 in Xunyang County. The remaining six roads are in Shangnan County in Shangluo City.

Table 22: List of Roads Subject to Road Safety Interventions

Road Length (km) County/District No. Name of Road County Township Subtotal Road Road Hanyin District 1 X213 Hengkou-Yeping 43.000 43.000 2 X210 Wucilukou-Dongzhen Town Road 62.67 62.67 3 Y103 Zhangtan-Qingtao Village 40.11 40.11 4 Y201 Aijiahe-Baoheqiao 11.500 11.500 5 Y202 Longtangou-Gongjin Town 9.700 9.700 Hanyin District subtotal: 105.674 61.31 166.98 Xunyang County 6 X304 Shuhe Hanjiang Bridge (North)-Xiaohe Town 50.560 50.560 7 Y201 Shagoukou-Liulitan Road 20.560 20.560 8 Y203 Bailiu Town-Bailiu Nursing Home Road 25.560 25.560 9 Y206 Xiaohe Bei-Shiliwo Road 15.809 15.809 10 Y212 Mogou-Yangshan village Rd 20.200 20.200 11 Y301 Hongjun Town-Dongchuan village Rd 10.500 10.500 12 Y302 Liangheguan-Sanhe Road 10.950 10.950 13 Y303 Shuanghe Bridge-Guochang Village 24.560 24.560 14 Y304 Ganxiqiaotou-Maping Town 22.100 22.100 15 Y305 Luhe Bridge-Lijiaba Road 5.843 5.843 16 Y308 Pingding-Pailou Road 9.378 9.378 17 Y311 Shenhe-Pingan Road 20.900 20.900 18 Y312 Dongchuanhekou-Shengjia road 9.950 9.950 19 Y313 Zongxi-Wuwang Road 8.840 8.840 Xunyang County subtotal: 50.560 205.150 255.710 Shangnan County 20 X313 Bailang Town-Sizhuangzi Road 23.05 23.05 21 X316 Zhaochuan Town-Bailuchu Village Rd 39.100 39.100 22 Y206 Liangjiawen-Shizhuhekou Road 23.000 23.000 23 Y335 Pohekou-Wenhuaping Road 21.42 21.42 24 Y338 Taijihe Town-Xianghe Town Road 30.49 30.49 25 Y339 Xianghe Town-Zijinguan Town Rd 9.447 9.447 Shangnan County subtotal: 62.150 84.816 146.966 TOTAL 218.38 351.28 569.66

99. The mechanism is to first incorporate safety measures in the preliminary design. 36

However, ChinaRAP’s analysis revealed that this could only achieve minor to moderate improvements for vehicle occupants, motorcyclists, pedestrians and bicyclists using the project roads, and in some instances would result in a reduced safety rating for pedestrians on trunk roads and pedestrians and motorcylists on rural roads. ChinaRAP indicated that additional counter measures are needed to “boost” road safety for the majority of the project roads. Table 23 compares the percentages of the project roads that would achieve 3-star road safety rating under the existing condition, at preliminary design and with preliminary design plus implementation of additional counter measures. The benefit of applying additional counter measures is considerable for the trunk roads and the rural roads but only minimal for the roads that are just subject to road safety interventions. Table 24 lists the 41 additional counter measures proposed by ChinaRAP for the project roads. ChinaRAP have reviewed the detailed designs and confirmed the counter measures have been adopted. More information is available in the Report and Recommendation to the President, Supplementary Appendix 18 – Road Safety Demonstration.

Table 23: Summary of ChinaRAP Star Ratings of the Project Roads

Percentage of Road Rated 3-star or Better Preliminary Design Project Road Road User Existing Preliminary Design Plus Additional Counter Measures Trunk roads Vehicle occupants 39% 72% 99% G316, S102, S224 Motorcyclists 19% 51% 89% Pedestrians 31% 25% 70% Bicyclists 42% 44% 67% 8 rural roads Vehicle occupants 23% 28% 92% Motorcyclists 10% 9% 53% Pedestrians 39% 24% 91% Bicyclists 49% 60% 92% 25 additional road Vehicle occupants 9% 19% 25% safety roads Motorcyclists 2% 8% 10% Pedestrians 8% 9% 11% Bicyclists 8% 10% 10% Source: ChinaRAP Interim Report.

Table 24: Additional Counter Measures for Road Safety Enhancement

Trunk Roads 25 Road 8 Rural No. Proposed Counter Measure Safety G316 S102 S224 Roads Roads 1 Bicycle lane (off-road) √ 2 Bicycle lane (on-road) √ 3 Central hatching √ √ √ √ 4 Clear roadside hazards (bike lane) √ √ 5 Clear roadside hazards –driver side √ √ √ 6 Clear roadside hazards – passenger side √ √ √ √ √ 7 Delineation and signing (intersection) √ √ √ √ √

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Trunk Roads 25 Road 8 Rural No. Proposed Counter Measure Safety G316 S102 S224 Roads Roads 8 Footpath provision driver side (adjacent to road) √ √ √ √ √ 9 Footpath provision passenger side (adjacent to road) √ √ √ √ √ 10 Footpath provision driver side (informal path >1 m) √ √ √ √ √ 11 Footpath provision passenger side (informal path >1 m) √ √ √ √ 12 Footpath provision driver side (>3 m from road) √ √ √ √ 13 Footpath provision passenger side (>3 m from road) √ √ √ √ 14 Improve curve delineation √ √ √ √ √ 15 Improve delineation √ √ 16 Lane widening (>0.5 m) √ √ 17 Lane widening (up to 0.5 m) √ √ 18 Parking improvements √ √ √ √ √ 19 Pave road surface √ 20 Pedestrian fencing √ √ 21 Protected turn lane (unsignalized 3 leg) √ √ 22 Refuge island √ 23 Roadside barriers (bike lane) √ 24 Roadside barriers – driver side √ √ √ √ √ 25 Roadside barriers – passenger side √ √ √ √ √ 26 Roundabout √ 27 Shoulder sealing driver side (<1 m) √ √ 28 Shoulder sealing driver side (> 1 m) √ √ 29 Shoulder sealing passenger side (<1 m) √ √ 30 Shoulder sealing passenger side (> 1 m) √ √ √ 31 Side road signalized pedestrian crossing √ 32 Side road unsignalized pedestrian crossing √ √ √ 33 Sight distance (obstruction removal) √ √ √ √ √ 34 Skid resistance (paved road) √ 35 Skid resistance (unpaved road) √ 36 Street lighting (intersection) √ √ √ 37 Street lighting (mid-block) √ 38 Traffic calming √ √ √ √ 39 Unsignalized crossing √ √ √ √ √ 40 Upgrade pedestrian facility quality √ √ 41 Wide centerline √ √ √ Source: ChinaRAP Interim Report.

E. Component 4: Capacity Building

100. The capacity development and institutional strengthening component will consist of: (i) resettlement monitoring, (ii) gender monitoring, (iii) environment monitoring, (iv) project management and road safety support, and (v) capacity building in project implementation, project management and road safety. 38

F. Institutional Arrangements for Construction and Operation

101. The Executing Agency (EA) for the proposed project will be the Shaanxi Provincial Transport Department within the Shaanxi Provincial Government, which has assigned its Foreign-fund Finance Project Office (FFPO) as the project management office (PMO) for the proposed project.

102. The Implementing Agencies (IA) for the proposed project will be (i) the Ankang Municipal Transport Bureau for trunk roads G316 and S102, rural roads (RR) 1 to 7, and the 19 roads in Ankang City proposed for road safety interventions; and (ii) the Shangnan County Government for trunk road S224 and RR8, plus the six roads in Shangnan County proposed for road safety interventions.

103. The Operation and Maintenance (O&M) units for the proposed project will be (i) Shaanxi Provincial Highways Bureau for trunk roads G316, S102 and S224; (ii) the Xunyang County Transport Bureau for RR1 to RR4 and the 14 roads in Xunyang County proposed for road safety interventions; (iii) the Hanyin District Transport Bureau for RR5 to RR7 and the 6 roads proposed for road safety interventions in Hanyin District; and (iv) the Shangnan County Transport Bureau for RR8 and the 6 roads in Shangnan County proposed for road safety interventions.

104. The environmental responsibilities for these organizations are described in the attached environmental management plan (EMP).

G. Associated Facility

105. SPS (2009) defines associated facilities as “facilities that are not funded as part of a project but whose viability and existence depend exclusively on the project, or whose goods or services are essential for successful operation of the project.” In this context, this project has no associated facilities.

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III. DESCRIPTION OF THE ENVIRONMENT (BASELINE DATA)

A. Existing Setting of the Project Sites

106. The environmental setting of the project sites for the trunk roads and rural roads could be described as suburban-rural with mountainous terrain, with these roads passing through remote areas, towns and villages. Figure 8 illustrates typical views showing the environmental setting along the project roads. Figure 8 also shows the poor conditions of the rural roads.

G316: Xunyang - Ankang S102: Xunyang - Xiaohe

S224: Shangnan - Yunxian RR1: Shangma - Xiaohe

RR2: Lijiaba - Baiguo RR3: Beigou - Luojia

RR4: Yangpo - Liangheguan RR5: Yanba - Dongqiao

RR6: Zaobao – Yousheng Village RR7: Zaobao - Wujiashan 40

RR8: Xianghe - Shuigou

Figure 8: Illustrations of Environmental Setting along the Project Roads

B. Existing Sensitive Receptors

107. Based on field surveys, the EIRs and EIRFs identified various types of sensitive receptors that currently exist within the project area of influence as defined in Table 8.

108. Air Quality and Noise. Existing air quality and noise sensitive receptors within the project area of influence 200 m from both sides of the project road alignments are presented in Appendix 2. The noise sensitive receptors are grouped under noise functional area categories 4a and 2. Category 4a applies to noise sensitive receptors located within 35 m from trunk road red line on both sides, except schools and health or medical institutions which are assigned Category 2 regardless of distance from the trunk road red line. Category 2 applies to noise sensitive receptors located between 35 m and 200 m from the trunk road red line on both sides, and those within 200 m from the rural road red line on both sides.

109. Relevant information pertaining to these receptors is summarized in Table 25, showing that there are 265 existing air quality and noise sensitive receptors along the project roads, including 31 schools and institutions and four health clinics. Most of the sensitive receptors are two- to three-storey brick buildings for residential use, some with shops on the ground floor. There are a few mid-rise buildings with six storeys or more, such as Xiaohebei, Petrol Station Staff Dormitory, Fengjingjiayuan, Liuwan and Kanghuayuan along S102, and Xiangnan County Estate and Dongfan Estate along S224. The 265 sensitive receptors include approximately 16,300 households with an estimated population of approximately 65,300. Of the 20 schools and institutions along the three trunk roads, 15 have overnight teachers or students or both. It is not known whether the 11 schools along the rural roads have overnight teachers and/or students.

Table 25: Summary of Air Quality and Noise Sensitive Receptors along the Project Roads

Remarks on Sensitive Receptors No. of No. of Estimated Project Road Sensitive No. of Health Estimated Schools & No. of Receptors Clinics Population Institutions Households G316: Xunyang - Ankang 33 7 3 1,338 5,700 S102: Xunyang – Xiaohe 67 8 --- 7,318 27,719 S224: Shangnan - Yunxian 54 5 1 4,874 19,702 RR1: Shangma – Xiaohe 28 2 --- 1,115 4,945 RR2: Lijiaba - Baiguo 3 ------123 465 RR3: Beigou - Luojia 6 ------143 534 RR4: Yangpo - Liangheguan 18 2 --- 314 1,258 RR5: Yanba - Dongqiao 16 3 --- 140 592 RR6: Zaobao – Yousheng Village 5 1 --- 103 474

41

Remarks on Sensitive Receptors No. of No. of Estimated Project Road Sensitive No. of Health Estimated Schools & No. of Receptors Clinics Population Institutions Households RR7: Zaobao - Wujiashan 4 ------98 400 RR8: Xianghe - Shuigou 31 3 --- 730 3,520 Total: 265 31 4 16,296 65,309 Sources: EIR and ChangAn University.

110. Water Quality. Water quality sensitive receptors along the project roads are shown in Table 26. These include 11 rivers and three sumps near the S224 alignment for collecting runoff from mountain streams upslope of trunk road S224 for potable use by local villages. All three sumps are underground concrete structures with covers and are located on the upslope side of the alignment. Figure 9 shows the locations of these sumps on the S224 alignment. Figure 10 shows some photos of these drinking water collection sumps. The one in Weijiatai Village is only about 3 m from the road.

Table 26: Water Quality Sensitive Receptors along the Project Roads

Name of Sensitive Project Road Remark Receptor G316: Xunyang - Ankang Han River Category II water quality standard applicable. Also designated as provincial wetland reserve to maintain water quality as part of national South-to-North Water Transfer Scheme. No river crossing but G316 runs parallel and close to the river. (see Figure ) S102: Xunyang - Xiaohe Xun River Category III water quality standard applicable. S102 crosses the river 6 times and runs along the river for approximately 25 km. (see Figure ) Qianyou River Category III water quality standard applicable. S102 crosses the river 4 times and runs along the river for approximately 7 km. (see Figure ) S224: Shangnan - Yunxian Xian River Category II water quality standard applicable. S224 crosses the river 6 times. (see Figure ) Dan River Category II water quality standard applicable. S224 crosses the river once by an existing bridge. Back up drinking water source for Xianghe Town. (see Figure ) Xiang River Category II water quality standard applicable. S224 runs alongside the river. Back up drinking water source for Xianghe Town. (see Figure ) Tao River Category II water quality standard applicable. S224 mainly runs alongside the river. (see Figure ) Drinking water collection Located 40 m from the road on the upslope side at sump in Shanghe Village chainage K19+075. Collects runoff from the mountain streams. (see Figures 9 and 10) Drinking water collection Located 400 m from the road on the upslope side at sump in Xianghe Town chainage K47+100. Collects runoff from mountain streams. (see Figures 9 and 10) Drinking water collection Located 3 m from the road on the upslope side at chainage sump in Weijiatai Village K55+150. Collects runoff from the mountain streams. (see Figures 9 and 10) RR1: Shangma - Xiaohe Gongguan River RR1 runs alongside this small river. (see Figure ) 42

Name of Sensitive Project Road Remark Receptor RR3: Beigou - Luojia Luojia River RR3 crosses this small river once then runs alongside for the last 1/6 section of the road. (see Figure ) RR4: Yangpo - Liangheguan Qianyou River A small section of RR4 runs alongside the river. (see Figure ) RR5: Yanba - Dongqiao Yanji River RR5 runs alongside this small river and crosses it once. (see Figure ) RR8: Xianghe - Shuigou Yaoling River RR8 runs alongside this small river for approximately 2/3 of its length and crosses it once. (see Figure ) Dan River Category II water quality standard applicable. RR8 runs alongside this river for its first 1/3 length. (see Figure ) Source: EIR.

Shanghe Village sump

Xianghe Town sump

Dan River

Xiang River Weijiatai Xian River Village sump

S224 River

Village Drinking water collection sump Tao River

Figure 9: Distribution of Drinking Water Collection Sumps along Trunk Road S224

S224 S224

Sump

Sump

Mountain water collection sump in Shanghe Village (chainage K19+075)

43

Sump 400 m from road

Sump

S224

Mountain water collection sump in Xianghe Town (chainage K47+100)

Sump

S224

Sump

Mountain water collection sump in Weijiatai Village (chainage K55+150)

Figure 10: Drinking Water Collection Sumps near Trunk Road S224

111. Ecology. Ecological sensitive receptors include the flora and fauna within the project area of influence that are under international, national or provincial protection status. The only protected area is the Shaanxi Han River Wetland, which is a provincial level protected area for wetland habitats.

112. Figures 11-14 show the sensitive receptors / protection targets for the proposed roads.

44

Air Quality & Noise Sensitive Receptor

Alignment End Alignment Start

Shaanxi Han Duanjiahe Guanmiao River Wetland Town Town

Han River

Sensitive G316 Receptor alignment

Shaanxi Han River River Wetland

Figure 11: Sensitive Receptors along Trunk Road G316

45

Qianyou River

Xun River

S102 alignment

Han River

Figure 12: Water Quality Sensitive Receptors along Trunk Road 102

46

Air Quality & Noise Sensitive Receptors

Alignment Alignment Start Dan River End

Xian River Xiang River

Tao River

S224 River Village Residential estate School Health clinic

Figure 13: Sensitive Receptors along Trunk Road 224

47

Han River

Gongguan River

RR: Shaga - Xiaohe RR: Lijiaa - Baiguo

Luojia River

Qianyou River Gongguan River

RR: Beigou - Luojia RR: Yapo - Liaghegua

Yanji River

Renjia River

RR: Yaa - Dogiao RR: )aoao – Yousheg Village

Renjia River Dan River

Yaoling River

RR: )aoao - Wujiasha RR: Xiaghe - Shuigou

Figure 14: Rural Roads showing nearby Main Villages and Rivers 48

C. Physical Setting

113. Geography and Terrain. The proposed roads are located in Hanyin District (part of G316 and rural roads #5, #6 and #7) and Xunyang County (S102, rural roads #1, #2, #3 and #4, and part of G316) in Ankang City, and Shangnan County (S224 and rural road #8) in Shangluo City.

114. Hanyin District is located at longitude 108o30’–109o23’E and latitude 32o22’-37o17’N in the hilly and gully region of the Qinba Mountain (Qinling Mountain and Ba Mountain) area. The Han River and Yue River run through the middle of the district in a west-east direction. The Yue River divides the Qinling Mountain to the north and the Ba Mountain to the south, resulting in high terrains (up to 2000 m) in the north and south and low terrain in the middle, with elevation difference of 1,900 m.

115. Xunyang County is located at longitude 109o11’–109o48’E and latitude 32o29’-33o13’N, to the east of Hanyin District and bordering Hubei Province. The terrain is similar to that of Hanyin District with the Qinling Mountain to the north and the Ba Mountain to the south and the Han River running through the middle from west to east. Altitude ranges from 185 m to 2,358 m.

116. Shangnan County is located at longitude 110o24’–111o01’E and latitude 33o06’-33o44’N, at the southern foothill of the eastern Qinling Mountain range. Its mountainous terrain is characterized by low hills, with higher altitudes in the southwest and north and lower latitudes in the southeast and central areas. The maximum elevation difference is approximately 1,840 m, with low hills that are less than 1,000 m elevation account for approximately 77% of the total area. The county is bisected by the Dan River flowing from west to east.

117. Geology. Hanyin District exhibits complex geological forms due to influences by the Himalayan orogeny in the Tertiary Period, Neo-tectonics in the Quaternary Period, and many frequent magmatic activities in geological history. The basic geology of landform in the region belongs to two comparatively large tectonic units. The main one is the east-west Qinling geosyncline folded stratum and the other one is the Sichuan syncline edge curved fold.

118. Xunyang County is located in the southern Qinling subzone of the eastern part of the Qinling latitudinal tectonic zone, connecting with the northeastern part of the Ba Mountain arcuate tectonic zone. During the long geological history, the area also experienced Caledonian, hercynian orogeny (variscan), Indo-China, Yanshan and other polycyclic crustal movements. These resulted in compounding, joining and interference of complex tectonic phenomena in various tectonic systems in the area.

119. Shangnan County extends over two tectonic units divided by the Yangxie-Shangnan compound fault, with the Shangwei platform fold of the southern rim of the northwestern part of the North PRC Huai platform to the north, and the eastern Qinling fold system of the Qinli geosycline to the south.

120. Seismicity. According to the PRC Seismic Ground Motion Parameters Zoning Map (GB 18306-2001) Amendment 1, the seismic intensity classes in Hanyin District, Xunyang County and Shangnan County are 7, 6 and 6 respectively. The PRC classifies seismic intensity into 12 classes under the PRC Seismic Intensity Table (GB/T 17742-2008), from Class 1 to Class 12 based on increasing severity of “shaking” of the earth surface and the extent of potential impact. Class 6 is intermediate in severity with most people unable to stand still and furniture falling.

121. Climate. Ankang (including Hanyin District and Xunyang County) and Shangluo (including Shangnan County) are located in the subtropical to temperate transitional zone, with

49 mild climate and distinct seasons under the influence of the continental monsoon. Table 27 shows the weather statistics of Hanyin District, Xunyang County and Shangnan County. Most of the precipitation occurs in the months of July, August and September, accounting for 42.5% (Shangnan County) to 60% (Hanyin District) of the annual precipitation.

Table 27: Hanyin District, Xunyang County and Shangnan County Weather Statistics

Parameter Unit Hanyin District Xunyang County Shangnan County Average annual temperature oC 15.7 13.9 12.2 Highest temperature oC no data 40.2 37.4 Lowest temperature oC no data -11.2 -12.6 Annual average precipitation mm 799.3 943.0 804.4 Lowest annual precipitation mm 540.3 no data no data Highest annual precipitation mm 1109.2 no data no data Annual average frost free period day 263 250 206 Annual average sunshine hours h 1523.5 1523.5 1879.9 Annual average wind speed m/s 1.4 1.4 2.1 Relative humidity % 73 73 67 Source: EIR and Shaanxi Statistical Yearbook 2013.

122. Air Quality. Baseline ambient air quality monitoring for environmental impact assessment for road projects in the PRC generally consists of monitoring of relevant air quality parameters on seven consecutive days. For this project, the Ankang Environmental Monitoring Station (EMS), a subsidiary of the Ankang EPB and an authorized entity for conducting environmental monitoring,9 undertook baseline ambient air quality monitoring for trunk roads G316 (10-16 November 2012) and S102 (3-10 December 2011). The Shangluo EMS, a subsidiary of the Shangluo EPB and an authorized entity for conducting environmental monitoring, undertook baseline ambient air quality monitoring for trunk road S224 (14-20 January 2013). Air quality parameters monitored included NO2, PM10 and total suspended particulates (TSP).

123. Table 28 presents the monitoring results, which represent only a snapshot in time and in space. The results indicate that on the days of monitoring and at the locations of monitoring, all monitored parameters complied with GB 3095-1996 Class II standards. The WBG only have daily average EHS standards on PM10, and all PM10 data complied with the interim targets but failed to meet the AQG.

Table 28: Baseline Ambient Air Quality Monitoring Results for the Trunk Roads

Daily Average Concentration (mg/m3) Trunk Road Monitoring Location NO2 PM10 TSP G316: Xunyang - Ankang 1 Guanmiao Town Government Building 0.028 – 0,032 0.055 -0.061 --- G102: Xunyang - Xiaohe 1 Dangjiaba 0.023 – 0.027 --- 0.076 – 0.086 2 Xiaohe Town 0.023 – 0.027 --- 0.091 – 0.097 S224: Shangnan - 1 Dongfan Estate < 0.005 0.078 – 0.103 --- Yunxian 2 Weijiatai Town < 0.005 0.083 – 0.108 --- GB 3095-1996 Class II standard 0.120 0.150 0.300 WBG EHS standard interim target n/a 0.075 – 0.150 n/a AQG n/a 0.050 n/a Source: EIR.

9 In the PRC, only monitoring data collected by an authorized entity will be recognized by the environmental authority. 50 124. Acoustic Environment. Baseline noise monitoring for environmental impact assessment in the PRC generally consists of noise monitoring on two consecutive days, with noise measurements taken both during the day and night time on each day. For this project, the Ankang EMS conducted noise monitoring on 14 and 15 November 2012 for G316 and on two days in December 2011 for S102. The Shangluo EMS conducted noise monitoring on 17 and 18 January 2013 for S224.

125. Table 29 presents the monitoring results. The WBG EHS noise standards are more stringent than the PRC’s GB 3096-2008 standards and do not take into consideration the setting and influence of existing road traffic. Exceedance of the PRC standards automatically means exceedance of the WBG EHS standards as well. Results presented in Table 29 show that at the 40 monitoring locations along the three trunk roads, exceedance of the PRC standards occurred at three locations: a health clinic close to G316 and two schools close to S224, which are assigned more stringent standards due to their noise sensitive nature. In addition, another 24 locations exceeded the more stringent WBG EHS standards with nine locations showing night time exceedance only and the other 15 locations showing night time and/or day time exceedance. Eleven of the 13 locations in noise functional area category 4a (within 35 m from the road red line) exceeded the WBG EHS standards, and 17 of the 29 locations in noise functional area category 2 (between 35 m to 200 m from the road red line plus all the schools and health clinics) exceeded the WBG EHS standards.

Table 29: Baseline Noise Monitoring Results for Trunk Roads G316, S102 and S224

Noise Level [LAeq in dB(A)] Noise Functional Area No. Monitoring Location Chainage Category 4a Category 2 Day 1 Day 2 Night 1 Night 2 Day 1 Day 2 Night 1 Night 2 G316 on 14-15 Nov 2012 Lijiazhuang 1 K0+200 ------50.5 49.9 45.4 42.4 家庄 Duanjiahe Kindergarten 2 K6+400 ------57.0 57.2 48.9 47.7 段家河幼儿园 Gaobiliang Village 3 K14+200 ------57.0 54.9 45.0 43.9 高鼻梁村 Longquan Village 4 K21+000 58.9 60.1 52.6 51.1 54.3 53.0 48.3 48.4 龙泉村 Yushudian 5 K23+100 ------51.8 52.0 42.8 41.3 榆树店 Zaoyang Town 6 K25+500 ------50.1 49.9 46.7 46.6 早阳镇 Guanmiao Town Central Health 7 Clinic K35+100 ------63.4 60.1 55.6 54.5 关庙镇中心卫生院 Ankang City Children’s Welfare 8 Institute K34+500 ------49.0 44.8 44.4 41.8 安康市儿童福利院 S102 in December 2011 Xiaohebei K0+000 – ------1 小河 K1+200 63.1 63.9 50.8 52.0 Kanghuayuan K1+850 – ------2 康华园 K2+350 51.5 53.2 42.5 45.6 Dangjiaba K3+200 –

3 党家坝 K4+100 57.9 56.1 49.7 51.2 Lido Estate K3+500 – ------4 丽都小区 K3+620 45.0 43.2 41.9 40.6 Caoping Middle School K6+650 – ------5 草坪中学 K6+750 55.5 55.3 43.4 45.5

51

Noise Level [LAeq in dB(A)] Noise Functional Area No. Monitoring Location Chainage Category 4a Category 2 Day 1 Day 2 Night 1 Night 2 Day 1 Day 2 Night 1 Night 2 Liu Village K10+650 – ------6 柳村 K11+700 51.4 49.6 42.7 42.6 Liu Village Primary School K11+620 – ------7 柳村小学 K11+650 50.7 48.7 40.3 42.7 Muzhutan K14+750 – ------8 母滩 K15+600 58.0 58.8 45.3 47.1 Anjiaping K18+120 – ------9 安家坪 K18+300 49.8 46.8 42.8 44.6 Jijiaping K21+150 – ------10 季家坪 K21+870 58.8 57.8 51.5 47.1 Wangjiaya K26+480 – ------11 王家垭 K26+750 43.3 45.7 40.4 40.4 Liangshuiquan K29+850 – ------12 凉水泉 K30+380 57.5 62.3 50.4 51.2 Hongyantan Primary School K34+220 – ------13 红岩滩小学 K34+260 51.6 53.5 47.3 48.0 Zhaowan K38+750 – ------14 赵湾 K40+500 45.6 46.7 38.3 39.8 Zhaowan Primary School K39+380 – ------15 赵湾小学 K39+480 50.2 52.8 44.6 46.7 Zhaowan Junior High School K40+130 – ------16 赵湾初级中学 K40+200 47.5 50.6 37.7 40.2 Tangxing Village K44+900 – ------17 塘兴村 K45+600 53.5 56.4 49.8 51.3 Tangxing Primary School K46+480 – ------18 塘兴小学 K46+550 57.5 57.3 48.6 47.2 Liangheguan K52+650 – ------19 两河关 K52+950 47.4 49.7 47.1 47.6 Liangheguan Primary School K53+650 – ------20 两河关小学 K53+700 52.0 53.1 46.5 46.6 Kangjiaping K54+520 – ------21 康家坪 K54+850 56.3 59.5 50.4 55.1 Xiaohe Town K56+800 – ------22 小河镇 K57+500 53.6 56.4 41.4 46.2 Xiaohe Middle School K57+080 – ------23 小河中学 K57+200 52.6 51.2 49.5 47.2 Pinghuai K64+050 – ------24 坪槐 K64+130 53.9 56.0 51.3 49.4 S224 on 17-18 January 2013 Dongfan Estate ------1 畈小区 K3+700 53.1 53.7 43.6 44.0 Sanjiaochi Primary School ------2 角池小学 K7+700 49.7 52.4 40.1 41.3 Shuangmiaoling #2 tunnel exit 双 3 K13+700 ------45.8 47.4 38.4 41.5 庙岭 2 隧道出口 Qingshan Town Resettlement ------4 Estate 青山镇移民小区 K16+240 57.9 57.4 52.3 49.6 Dagudong Primary School ------5 打鼓洞小学 K31+500 51.5 51.9 41.8 43.0 Xianghe Town Center 6 Kindergarten K37+200 ------60.5 57.7 51.1 54.0 湘河镇中心幼儿园 Xianghe Town Junior High ------7 School 湘河镇初级中学 K37+300 66.4 61.3 41.2 39.8 Weijiatai Town

8 魏家台镇 K54+300 53.1 52.0 50.0 49.6 36.5 38.8 32.4 34.2 GB 3096-2008 standards 70 55 60 50 WBG EHS standards 55 45 55 45 Notes:

52

Noise Level [LAeq in dB(A)] Noise Functional Area No. Monitoring Location Chainage Category 4a Category 2 Day 1 Day 2 Night 1 Night 2 Day 1 Day 2 Night 1 Night 2 Exceed WBG EHS standard Exceed both WBG EHS and GB 3096-2008 standards

Source: EIR.

126. Hydrology and Surface Water Quality. Major rivers in the project area of influence include the Han River, Xun River, Qianyou River, Xian River, Dan River, Xiang River and Tao River (see Table 26). Their locations relative to the trunk roads have been shown in Figures 11, 12 and 13). The Han River flows parallel to trunk road G316. The Xun River and Qianyou River will be crossed by trunk road S102. The Xian River and Dan River will be crossed by trunk road S224 while Xiang River and Tao River flow parallel to S224. The applicable water quality standards are Category II for the Han River along trunk road G316 and the Xian River, Dan River, Xiang River and Tao River along trunk road S224; and Category III for the Xun River and Qianyou River along trunk road S102 (see Table 26).

127. The Han River, which originates from the southern foothills of the Qinlin Mountain in Ningqiang County in Hanzhong City, Shaanxi Province, is the largest tributary of the Yangtze River. It flows from west to east through Hanzhong City (Mian County, Chenggu County and Yang County) and Ankang City (Shiquan County, Ziyang County, Hanyin District, Xunyang County, Baihe County), then into Hubei Province and enters the Yangtze River at Hankou in Wuhan. It is 1,577 km long with a catchment area of 159,000 km2. The section through Shaanxi Province is 652 km long with a catchment area of 54,783 km2 and an annual average runoff of 24.5 billion m3. The present function of the Han River is for agricultural use and there is no drinking water intake within the project area of influence. Commercial fishing on the Han River is also prohibited and fishery activities in the Han River mainly involve cage culture. During site visits in April 2014, major sand dredging activities on the Han River within the project area of influence were observed. Figure 15 shows sand dredging activities on the Han River.

Vie of the Ha Rie Sad Dedgig o the Ha Rie

Figure 15: The Han River

128. The Xun River is a major tributary of the Han River. It originates at Gangounao in ChangAn District in Xian City, Shaanxi Province, flowing through southwestern Shangluo City and northeastern Ankang City, then joining the Han River at Xunyang County in Ankang City. It is 218 km long with a catchment area of 6,307 km2 and an annual average runoff of 2.067 billion m3. Its functions include industrial, agricultural and drinking water uses as well as hydropower generation. Within the project area of influence, there is no drinking water source but two dams on the river for hydropower generation. During site visits in April 2014, sand dredging activities were also observed on this river. Figure 16 shows a view of the Xun River and sand dredging

53 activities on the river.

Vie of the Xu Rie Sad Dedgig o the Xu Rie

Figure 16: The Xun River

129. The Qianyou River is a major tributary of the Xun River. It originates at Zhashui County in Shangluo City. It is 151 km long with a catchment area of 2,510 km2. Its functions include industrial and agricultural uses. There is no drinking water source within the project area of influence. Figure 17 shows views of the Qianyou River.

Qianyou River

Xun River

Vie of the Qiaou Rie Cofluee of Qiaou Rie & Xu Rie

Figure 17: The Qianyou River

130. The Dan River is the longest tributary of the Han River. It originates from the southern foothills of the Qinling Mountain in Shangluo City in Shaanxi Province. It is 390 km long with a catchment area of 17,300 km2, flowing through the provinces of Shaanxi, Henan and Hubei, joining the Han River at Danjiangkou City in Hubei Province. The Dan River section within Shangnan County is 89.5 km long with a catchment area of 1,743 km2. Its functions within the project area of influence include agricultural use and as a backup drinking water source for Xianghe Town in Shangnan County, Shangluo City. During site visits in April 2014, massive sand dredging activities were observed. However, local authorities indicted that these activities would stop in May 2014 because the Dan River water (via the Danjiangkou Reservoir in Hubei Province) will be used in the South-to-North Water Transfer Project for supplying drinking water to Beijing. Figure 18 shows a view of sand dredging activities on the Dan River.

54

Vie of the Da Rie Sad Dedgig o the Da Rie

Figure 18: The Dan River

131. The Xian River is a tributary of the Dan River originating from Caoying Township at the Mangling Mountain in Shaanxi Province. It is 46 km long and its function is agricultural use. The Xiang River is also a tributary of the Dan River. It is formed by the merging of three tributaries: the Lengshui River, the Xiaoxiang River and the Po River. The Lengshui River has the largest flow among the three and is deemed as the main flow of the Xiang River. It is 46 km long with a catchment area of 232 km2. It is a backup drinking water source for Xianghe Town in Shangnan County. The Tao River flows into Hubei Province and its length within Shangnan County is 51 km. Its function within the project area of influence is for agricultural use. Figure 19 shows views of the Xian River, Xiang River and Tao River.

Xia Rier Xiag Rier Tao Rier

Figure 19: View of the Xian River, Xiang River and Tao River

132. Baseline surface water quality monitoring was conducted for the seven rivers. The Ankang EMS carried out monitoring of the Han River on 10 and 11 November, 2012 and the Xun River and Qianyou River on 5 and 6 December, 2011. The Shangluo EMS carried out monitoring of the Xian River, Dan River, Xiang River and Tao River on 19 and 20 January, 2013. Table 30 presents the monitoring results, showing that on the dates of monitoring and at the monitoring locations, the Xun River and the Qianyou River met Category II water quality standards (although they are assigned Category III standards) on all the parameters measured. Exceedance of BOD5 and NH3-N Category II standards occurred at the Guanmiao Town location on the Han River. Exceedance of NH3-N Category II standards, occurred on all the four rivers (Xian River, Dan River, Xiang River and Tao River) related to trunk road S224, with the Xian River and Dan River showing COD exceedance as well. All these exceedances were indicative of pollution from human activities near these rivers.

55 Table 30: Baseline Surface Water Quality Monitoring Results for the Trunk Roads

Water Quality Parameters Name of Monitoring Trunk Road Monitoring Location pH BOD5 COD IMn TPH NH3-N SS River Date -- mg/L mg/L mg/L mg/L mg/L mg/L Guanmiao Town 2012.11.10 7.22 3.1 n/d n/d <0.01 0.70 11 downstream G316: 2012.11.11 7.27 3.3 n/d n/d <0.01 0.71 12 of Guanmiao Bridge Xunyang - Han River Duanjiahe Township 2012.11.10 7.30 2.7 n/d n/d <0.01 0.45 14 Ankang upstream of Lvhe 2012.11.11 7.26 2.9 n/d n/d <0.01 0.47 12 Bridge 2011.12.05 7.03 2.4 n/d 1.7 <0.02 0.12 9 S102: Xun River Chainage K17+647 2011.12.06 7.06 1.8 n/d 1.7 <0.02 0.12 12 Xunyang - Qianyou 2011.12.05 7.12 1.9 n/d 2.0 <0.02 0.09 11 Xiaohe Chainage K57+110 River 2011.12.06 7.10 2.1 n/d 1.8 <0.02 0.10 10 2013.01.19 7.01 1.6 15.5 n/d <0.05 0.61 16 Xian River Chainage K3+700 2013.01.20 7.04 1.5 16.0 n/d <0.05 0.54 18 2013.01.19 6.92 1.7 15.0 n/d <0.05 0.58 14 S224: Dan River Chainage K38+400 2013.01.20 6.94 1.8 15.5 n/d <0.05 0.55 19 Shangnan - 2013.01.19 6.68 1.4 11.0 n/d <0.05 0.52 13 Yunxian Xiang River Chainage 40+800 2013.01.20 6.71 1.5 11.5 n/d <0.05 0.46 19 2013.01.19 6.51 1.4 10.5 n/d <0.05 0.56 21 Tao River Chainage K75+500 2013.01.20 6.52 1.4 10.8 n/d <0.05 0.59 21 GB 3838-2002 Category II: 6-9 ≤3 ≤15 ≤4 ≤0.05 ≤0.5 -- Notes: BOD5 = 5-day biochemical oxygen demand; COD = chemical oxygen demand; IMn = permanganate index;NH3-N = ammonia nitrogen; SS = suspended solids; TPH = total petroleum hydrocarbon; n/d = no data Exceed Category II water quality standard Source: EIR.

D. Biological Resources, Ecology and Biodiversity

133. Vegetation. Baseline surveys of vegetation in the project area of influence for the three trunk roads were conducted by ecologists from ChangAn University. Table 31 presents the list of plant species present in the project area of influence based on survey results supplemented with relevant data from literature review, showing that approximately 230 plant species have been recorded in the project area of influence. Approximately half (113 species) were farmed species (food crops, vegetables, fruits, etc.) and economic (planted) species.

134. Table 31 also identifies the species that have national and/or international conservation value. The EIRs, indicate that none of the plant species are on the Shaanxi Province protection list. The International Union for Conservation of Nature (IUCN) red list classifies protection status into six categories in descending order of protection importance: Extinct in the Wild (EW), Critically Endangered (CR), Endangered (EN), Vulnerable (VU), Near Threatened (NT) and Least Concern (LC). Those that are Extinct in the Wild, Critically Endangered, Endangered and Vulnerable are deemed to warrant protection and are identified in Table 31, if present. Those that are either NT or LC are not identified in Table 31. National protected species are classified as Class I and Class II based on PRC’s List of Wild Flora under Nationally Emphasized Protection – First Batch and its revision.

Table 31: Plant Species Recorded in the Project Area of Influence for the Trunk Roads

Protection Status Vegetation Type Scientific Name Common Name PRC IUCN Trees Abies fabri Faber’s Fir 冷杉 --- VU Acer palmatum Japanese Maple 鸡爪槭 ------56 Protection Status Vegetation Type Scientific Name Common Name PRC IUCN Ailanthus altissima Tree of Heaven 臭椿 ------Albizia julibrissin Persian Silk Tree 合欢 ------Albizia kalkora Kalkora Mimosa 山槐 ------Alnus cremastogyne Chinese Alder 桤木 ------Betula albosinensis Chinese Paper Birch 红桦 ------Betula utilis Himalayan Birch 糙皮桦 ------Buxus sinica Korean Boxwood 小叶黄杨 ------Carpinus turczaninowii Hornbeam 鹅耳枥 ------Castanopsis sclerophylla Hardleaf Oatchestnut 苦槠 ------Cinnamomum camphora Camphor Tree 樟树(香樟) N(II) --- Cinnamomum wilsonii 川 ------Cryptomeria fortunei PRC Cedar 柳杉 ------Cupressus funebris Chinese Weeping Cypress 柏木 ------Cyclobalanopsis glauca Ring-cupped Oak 青冈 ------Cyclobalanopsis gracilis Small-leafed Ring-cupped Oak 细叶青冈 ------Dalbergia hupeana Hubei Rosewood 黄檀 ------Gastrodia elata Tall Gastrodia 天麻 --- VU Juniperus formosana Formosan Juniper 刺 ------Liquidambar formosana Formosa Sweetgum 枫香 ------Metasequoia glyptostroboides Dawn Redwood 水杉 N(I) EN Ormosia hosiei Horse-eye Bean Tree 红豆树 N(II) --- Paliurus hemsleyanus 铜钱树 ------Paulownia tomentosa Empress Tree 泡 ------Phoebe chinensis 山楠 ------Phoebe zhennan 桢楠 N(II) VU Picrasma quassioides Bitterwood 苦木 ------Pinus massoniana Masson’s Pine 马尾松 ------Pinus tabuliformis Chinese Red Pine 油松 ------Pinus thunbergii Japanese Black Pine 黑 ------Pinus yunnanensis Yunnan Pine 云南 ------Pistacia chinensis Chinese Pistache 黄连木 ------Platanus acerifolia London Plane Tree 二球悬铃木 ------Platycarya strobilacea 香树 ------Platycladus orientalis Chinese Arbor-vitae 侧柏 ------Populus 56anadensis Grey Poplar 沙兰杨 ------Populus davidiana Korean Aspen 山杨 ------Populus nigra Black Poplar 钻天杨 ------Populus tomentosa Chinese White Poplar 毛白杨 ------Pseudotsuga sinensis Chinese Douglas-fir 黄杉、汉松 --- VU Pterocarya stenoptera Chinese Wingnut 枫杨 ------Quercus acrodonta Rock Chestnut Oak 岩 ------Quercus baronii Baroni’s Oak 橿子 ------Quercus dolicholepis 匙 ------Quercus engleriana 巴 ------Quercus oxyphylla 尖 ------Quercus phillyreoides Ubame Oak 乌冈 ------Quercus serrata Konara Oak 枹 ------Quercus spinosa 刺 ------Quercus wutaishanica Liaotung Oak 辽 ------Robinia pseudoacacia Black Locust 刺槐 ------Salix babylonica Weeping Willow 垂柳 ------Salix matsudana Peking Willow 旱柳 ------Sophora japonica Japanese Pagoda 槐树 ------

57 Protection Status Vegetation Type Scientific Name Common Name PRC IUCN Tilia tuan Tuft Leaved Lime 椴树 ------Ulmus pumila Siberian Elm 白榆 ------Shrubs Coriaria nepalensis Masuri Berry 马桑 ------Cotinus coggygria Smoke Bush 粉背黄栌 ------Elaeagnus pungens Thorny Olive 胡颓子 ------Grewia biloba Bilobed Grewia 扁担杆 ------Hippophae rhamnoides Sea Buckthorn 沙棘 ------Lespedeza bicolor Shrubby Bush-clover 胡子 ------Ligustrum quihoui Waxyleaf Privet 小叶女贞 ------Lindera aggregata Japanese Evergreen Spicebush 乌药 ------Lindera megaphylla 黑壳楠 ------Myrsine africana African Boxwood 铁 ------Pittosporum pentandrum Taiwanese Cheesewood 七里香 ------Pyracantha fortuneana Firethorn Pyracantha 火棘 ------Rhamnus utilis Chinese Buckthorn 冻绿 ------Rhododendron simsii Rhododendron 杜 ------Rosa spp. Rose 蔷薇 ------Rubus flosculosus Hooker’s Icon 弓茎悬钩子 ------Smilax scobinicaulis Prickly Ivy 短梗葜 ------Viburnum schensianum Chinese Viburnum 陕西荚蒾 ------Vitex negundo Five-leaved Chaste 牡荆 ------Grasses/Vines Artemisia argyi Chinese Mugwort 艾蒿 ------Artemisia carvifolia Cut-leaved Wormwood 青蒿 ------Artemisia japonica Japanese Wormwood 牡蒿 ------Artemisia princeps Japanese Mugwort 魁蒿 ------Aster tataricus Tartarian Aster 紫菀 ------Bambusa blumeana Spiny Bamboo 刺竹 ------Bambusa emeiensis Clumping Bamboo 慈竹 ------Bambusa rutila Bamboo 木竹 ------Campylotropis macrocarpa Chinese Pea Shrub 杭子梢 ------Carex lanceolata Sedge 大披针苔 ------Carex spp. Sedge 薹草 ------Chimonobambusa quadrangularis Square Stem Bamboo 方竹 ------Chrysanthemum indicum Wild Mums 野菊 ------Commelina benghalensis Day Flower 鸭趾草 ------Cyperus alternifolius Umbrella Palm 水竹 ------Fargesia spathacea Common Umbrella Bamboo 竹 ------Imperata cylindrica Cogon Grass 白茅 ------Indocalamus tessellatus Mountain Bamboo 竹 ------Juncus effuses Common Rush 龙须草 ------Oplismenus undulatifolius Basket Grass 求米草 ------Phyllostachys bambusoides Giant Timber Bamboo 斑竹 ------Phyllostachys edulis Moso Bamboo 毛竹 ------Phyllostachys glauca Hedge Bamboo 淡竹 ------Phyllostachys nigra Black Bamboo 紫竹 ------Phyllostachys sulphurea Sulfur Bamboo 金竹 ------Pteris multifida Spider Fern 凤尾蕨 ------Selaginella tamariscina Little Club Moss 卷柏 ------Setaria viridis Green Foxtail 狗尾草 ------Themeda triandra Red Grass 黄背草 ------Verbena officinalis Common Vervain 马鞭草 ------Cultivated or Allium cepa Onion 洋葱 ------planted species Allium fistulosum Green Onion 葱 ------58 Protection Status Vegetation Type Scientific Name Common Name PRC IUCN Allium sativum Garlic 蒜 ------Allium tuberosum Garlic Chives 韭 ------Alnus cremastogyne Alder 桤木 ------Amaranthus tricolor Chinese Spinach 苋菜 ------Amorphophallus konjac Konnyaku Potato 魔芋 ------Amygdalus persica Peach ------Apium graveolens Celery 旱芹 ------Arachis hypogaea Peanut 落花生 ------Asparagus plettuce Asparagus 莴笋 ------Balsam pear Bitter Melon 苦瓜 ------Bambusa oldhamii Green Bamboo Shoot 绿竹 Benincasa hispida Winter Melon 冬瓜 ------Beta vulgaris Beetroot 甜 ------Brassica campestris Field Mustard 油 ------Brassica chinensis Chinese Cabbage 油白 ------Brassica oleracea L. var. botrytis Cauliflower 花椰 ------Brassica oleracea var. capitata Cabbage 莲花白 ------Brassica rapa L. var. glabra Celery Cabbage 白 ------Capsella bursa-pastoris Shepherds Purse 荠菜 ------Capsicum annuum Ornamental Pepper 辣椒 ------Capsicum frutescens Hot Pepper 辣椒 ------Citrullus lanatus Watermelon 西瓜 ------Citrus maxima Pomelo 柚 ------Citrus reticulate Tangerine 柑 ------Citrus sinensis Sweet Orange 甜 ------Cucumis melo var. flexuosis Oriental Pickling Melon 瓜 ------Cucumis sativus Cucumber 黄瓜 ------Cucurbita maxima Squash 笋瓜 ------Cucurbita moschata Crookneck Squash 南瓜 ------Dioscorea zingiberensis Sweet Potato (Yam) 盾叶薯蓣 Diospyros kaki Persimmon 柿子 ------Dolichos lablab Hyacinth Bean 扁豆 ------Eriobotrya japonica Loquat 枇杷 ------Eupatorium fortunei Pink Frost 兰草 ------Ficus carica Common Fig 无花果 ------Foeniculum vulgare Fennel 茴香 ------Fortunella japonica Kumquat 金桔 ------Fragaria ananassa Srawberry 草莓 ------Gardenia jasminoides Common Gardinia 栀子花 ------Glycine max Soybean 大豆 ------Gynura bicolor Okinawan Spinach 红凤菜 ------Helianthus annuus Sunflower 向日葵 ------Helianthus tuberosus Jerusalem Artichoke 菊芋 ------Hibiscus rosa-sinensis Chinese Hibiscus 朱槿 ------Ipomoea batatas Sweet Potato 番薯 ------Jasminum sambac Arabian Jasmine 茉莉花 ------Lagenaria siceraria Bottle Gourd 葫芦 ------Luffa cylindrica Sponge Gourd 瓜 ------Lycopersicon esculentum Tomato 番 ------Magnolia grandiflora Southern Magnolia 洋玉兰 ------Malus asiatica Chinese Pear-leaf Crabapple 沙果 ------Malus pumila Paradise Apple 苹 ------Mollugo stricta Carpet Weed 粟米草 ------

59 Protection Status Vegetation Type Scientific Name Common Name PRC IUCN Nelumbo nucifera Lotus 莲 N(II) --- Nerium orleander Orleander 夹竹 ------Oenothera biennis Common Evening Primrose 月见草 ------Olea europaea Olive 油橄榄 ------Oryza sativa Rice 水稻 ------Osmanthus fragrans Sweet Olive 花 ------Paeonia lactiflora Chinese Peony 芍药 ------Paeonia suffruticosa Tree Peony 牡丹 ------Phaseolus vulgaris String Bean 四季豆 ------Procris crenata 藤麻 ------Prunus armeniaca Apricot ------Prunus cerasifera Cherry Plum 樱李 ------Prunus salicina Japanese Plum ------Prunus serulata Japanese Cherry 梅子 ------Punica granatum Pomegranate 石榴 ------Pyrus spp. Pear 梨 ------Raphanus sativus Radish 萝卜 ------Rhododendron simsii Indian Azalea 杜鹃 ------Ricinus communis Castor Oil Plant 蓖麻 ------Saccharum sinense Chinese Sugarcane 竹蔗 ------Serissa japonica Snow-rose 月雪 ------Sesamum indicum Sesame 芝麻 ------Solanum melongena Eggplant ------Spinacia oleracea Spinach 菠 ------Triticum aestivum Common Wheat 小麦 ------Vitis vinifera Wild Grape 葡萄 ------Zea mays Corn 玉蜀黍 ------Zingiber officinale Ginger 姜 ------Zizania latifolia Manchurian Wild Rice 菰草 ------Ziziphus jujube Chinese Date 枣 ------Economic Broussonetia papyrifera Paper Mulberry 构树 ------Tree Species Camellia oleifera Tea Oil 油茶 ------Camellia sinensis Tea 茶 ------Castanea mollissima Chinese Chestnut 栗 ------Castanea seguinii Chinese Chinquapin 栗 ------Chaenomeles sinensis Quince 木瓜 ------Crataegus pinnatifida Chinese Hawthorne 山楂 ------Fraxinus chinensis Chinese Ash 白蜡 ------Juglans regia Common Walnut 核 ------Morus alba White Mulberry 树 ------Olea europaea Olive 油橄榄 ------Quercus acutissima Sawtooth Oak 麻栎 ------Quercus aliena Oriental White Oak 槲 ------Quercus variabilis Chinese Cork Oak 栓皮栎 ------Rhus chinensis Chinese Sumac 盐肤木 ------Rhus potaninii Potanin Sumac 青麸杨 ------Rhus punjabensis Chinese Sumac 红麸杨 ------Sapium sebiferum Chinese Tallow 乌桕 ------Toxicodendron vernicifluum Chinese Lacquer Tree 漆树 ------Trachycarpus fortunei Chusan Palm 棕榈 ------Vernicia fordii Tung Oil Tree 油 ------Zanthoxylum bungeanum Northern PRC Peppercorn 花椒 ------Notes: IUCN = International Union for Conservation of Nature; PRC = People’s Republic of China; EN = endangered; VU = 60 Protection Status Vegetation Type Scientific Name Common Name PRC IUCN vulnerable; N(I) = under national class I protection; N(II) = under national class II protection Source: EIR.

135. Table 31 shows that five species of trees found within the project area of influence are classified as Endangered or Vulnerable on the IUCN red list. The Dawn Redwood (Metasequoia glyptostroboides) being Endangered and the Faber’s Fir (Abies fabri), Chinese Douglas-Fir (Pseudotsuga sinensis), Phoebe zhennan and Tall Gastrodia (Gastrodia elata) being Vulnerable. The Dawn Redwood and Phoebe zhennan are national protected species, with the former classified as Class I and the latter classified as Class II. In addition, three other species are classified as national Class II protected species: Camphor Tree (Cinnamomum camphora), Horse-eye Bean Tree (Ormosia hosiei) and Lotus (Nelumbo nucifera).

136. Dominant Habitat Types. According to Shaanxi Vegetation, vegetation eco-types in the project area of influence for the trunk roads (and likely to be applicable to the rural roads as well) could be classified into five types: mixed evergreen and deciduous broad-leaf woodland, deciduous broad-leaf woodland, shrub land, grass land, and planted vegetation (which includes the species planted for economic purpose and agricultural species such as food crops, vegetables and fruits). Table 32 summarizes the characteristics of these five habitats, their occurrence and associated species.

Table 32: Habitats/Vegetation Eco-types in the Project Area of Influence for the Trunk Roads

Vegetation Eco- Description Photo type Mixed evergreen Usually distributed in low hill areas and dominated by and deciduous deciduous broad-leaved oak trees in terms of height, broad-leaf abundance and species composition such as Quercus woodland acutissima, Quercus variabilis and Quercus glandulifera, mixing with small numbers of evergreen trees and shrub species. Other common tree species include Quercus baronii, Quercus serrata, Quercus aliena , Platycarya strobilacea, Liquidambar formosana, Ailanthus altissima, Castanea seguinii, Albizia julibrissin, Toxicodendron vernicifluum, Pistacia chinensis, Picrasma quassioides , Acer palmatum, Cinnamomum camphora, Castanopsis sclerophylla, Phoebe zhennan, Phoebe chinensis, and Cinnamomum wilsonii. Common shrubs and vines include Lindera aggregate, Lindera megaphylla, Commelina

benghalensis, Oplismenus undulatifolius and various species of bamboo. Of the above species, Phoebe zhennan (IUCN: VU and national Class II) and Cinnamomum camphora (national Class II) are protected species. Deciduous Main vegetation type covering the vertical belt of the mid- broad-leaf mountain range of the Daba Mountain. Common species woodland include Quercus acutissima, Quercus variabilis, Quercus wutaishanica, Quercus aliena, Quercus acrodonta, Quercus baronii, Quercus serrata, Buxus sinica, Castanea mollissima, Alnus cremastogyne, Toxicodendron vernicifluum, Liquidambar formosana, Sapium sebiferum, Carpinus turczaninowii, Cyclobalanopsis glauca, Paliurus hemsleyanus, Rhus chinensis, Ailanthus altissima and Vernicia fordii. None of the above tree species have protected status. Common shrubs and vines include Sapium sebiferum, Rhamnus utilis,

Pteris multifida and Selaginella tamariscina.

61 Vegetation Eco- Description Photo type Shrub land Land in the foothill areas that has been disturbed by human activities and that cannot be used for agriculture is usually covered with shrub species dominated by Coriaria nepalensis and Vitex negundo. Species of Verbenaceae such as Vitex negundo and Verbena officinalis are relatively widespread in altitudes below 1,050 m, sometimes with ground coverage of up to 70%. Other species include Osmanthus fragrans and Fraxinus chinensis. Common vines include Carex spp., Artemisia spp. and Aster tataricus. Other species recorded include Rhus chinensis, Rubus flosculosus, Rosa spp., Grewia biloba, Pyracantha fortuneana, Myrsine Africana, Ligustrum quihoui, Lespedeza bicolor, Campylotropis macrocarpa, Smilax scobinicaulis, Viburnum schensianum and tree saplings of Quercus acutissima, Quercus variabilis and Broussonetia papyrifera. Grass land Grass land is mainly distributed in river shoal areas, areas being rotated for or withdrawn from farming, and areas after tree and shrub removal. River shoals are usually dominated by Asteraceae (e.g. Artemisia spp.) and Cyperaceae (e.g. Cyperus spp. and Carex spp.). Other areas are usually dominated by Poaceae (such as Setaria viridis, Imperata cylindrical and Themeda spp.). Common species include Juncus effuses, Imperata cylindrical, Themeda triandra, Carex lanceolata, Chrysanthemum indicum, Artemisia japonica, Artemisia argyi, Artemisia princeps, Setaria viridis and Verbena officinalis. Planted Mainly includes economic plantations and agricultural vegetation products. Common economic plantations include Vernicia fordii, Camellia oleifera, Camellia sinensis, Sapium sebiferum, Olea europaea，Toxicodendron vernicifluum and Trachycarpus fortunei. Agricultural products include food No Photo crops, fruits and vegetables etc. Common species are Oryza sativa, Triticum aestivum, Zea mays, Ipomoea batatas, Brassica campestris, Alnus cremastogyne, Citrus reticulate, Citrus maxima, Citrus sinensis, Citrullus lanatus and Eriobotrya japonica. Notes: IUCN = International Union for Conservation of Nature. VU = vulnerable Source: EIR.

137. Table 33 presents the distribution of dominant vegetation types described above and their respective estimated biomass in the permanent and temporary land take areas for the three trunk roads. No data for the grass land was available. Permanent land take for the new road sections and widened road sections would remove approximately 31 ha of planted vegetation, 28 ha of shrub land, 26 ha of deciduous broad-leaf woodland, and 9 ha of mixed evergreen and deciduous broad-leaf woodland. Yet in terms of biomass, permanent land take would remove close to 1,900 t of deciduous broad-leaf woodland, compared to approximately 600-700 t for each of the other three vegetation types. The majority of deciduous broad-leaf woodland (approximately 72%) to be removed for permanent works would be for trunk road S224. No mixed evergreen and deciduous broad-leaf woodland and deciduous broad-leaf woodland would be removed for temporary land take. Temporary land take areas of approximately 55.5 ha are basically all shrub land, with a biomass of approximately 1,400 t, plus less than 1 ha of planted vegetation. Species occurring in these vegetation types have been presented in Table 31.

62 Table 33: Dominant Vegetation Types in the Engineering Land Take Areas for the Trunk Roads

Mixed Evergreen Deciduous & Deciduous Planted Broad-leaf Shrub Land Grass Land Trunk Broad-leaf Vegetation Land Take Land Use Woodland Road Woodland Area Biomass Area Biomass Area Biomass Area Biomass Area Biomass (ha) (t) (ha) (t) (ha) (t) (ha) (t) (ha) (t) G316 Permanent New road section 1.72 120 0.93 65 2.05 32 3.01 58 Xunyang- Widened road section 6.46 450 3.48 243 6.51 102 1.94 38 Ankang Temporary Staging area Haul road 2.50 39 Borrow area 0.96 15 Disposal site 7.96 124 Pre-casting yard 1.00 16 Asphalt mixing station 0.27 4 G316 subtotal: 8.18 570 4.41 308 21.25 332 4.95 96 S102 Permanent New road section 0.52 42 1.65 133 2.27 63 7.13 138 Xunyang- l Widened road section 0.31 25 1.35 109 2.86 80 1.86 36 Xiaohe Temporary Staging area 1.98 55 Haul road 5.42 151 Borrow area 4.00 112 Disposal site 12.75 355 Pre-casting yard 4.24 118 Asphalt mixing station 1.71 48 S102 subtotal: 0.83 67 3.00 245 35.23 982 8.99 174 S224 Permanent New road section 1.00 70 0.82 23 4.70 91 Shangnan Widened road section 18.00 1254 13.40 372 12.80 247 -Yunxian Temporary Staging area Haul road 0.09 3 Borrow area Disposal site 9.27 257 Pre-casting yard 3.34 93 Asphalt mixing station 0.67 19 S224 subtotal: 19.00 1324 26.92 395 18.17 338 Permanent land take subtotal 9.01 637 26.41 1877 27.91 672 31.44 608 Temporary land take subtotal 0 0 0 0 55.49 1390 0.67 19 TOTAL 9.01 637 26.41 1877 83.40 2062 32.11 627 Source: EIR.

138. Fauna. Table 34 lists the species of terrestrial mammals, birds and fish that have been recorded in the cities of Ankang and Shangluo from literature, and therefore represents records for a much larger area than the project area of influence for the proposed trunk roads and the rural roads. As a precautionary measure, it is assumed that the listed fauna could potentially venture into the project area of influence.

139. Of the 41 terrestrial mammals recorded, six are listed on IUCN red list due to rapid or serious population decline in recent years from over exploitation and habitat destruction and degradation. These include one Endangered species, the Forest Musk Deer (Moschus berezovskii) and five Vulnerable species, the Takin (Budorcas taxicolor), the Sumatran Serow (Capricornis sumatraensis), the Southern Pig-tailed Macaque (Macaca nemestrina), the Siberian Musk Deer (Moschus moschiferus), and the Clouded Leopard (Neofelis nebulosa). All six are also nationally protected species. There are seven other species that are nationally protected, the Leopard (Panthera pardus) is classified as Class I and the Asiatic Golden Cat

63 (Catopuma temminckii), the Tufted Deer (Elaphodus cephalophus), the Eurasian Lynx (Lynx lynx), the Himalayan Goral (Naemorhedus goral), the Large Indian Civet (Viverra zibetha), and the Small Indian Civet (Viverricula indica) as Class II.

140. Of the 85 bird species recorded, five species are listed on the IUCN red list. These include one Endangered species, the Yellow-breasted Bunting (Emberiza aureola) and four Vulnerable species, the Greater Spotted Eagle (Aquila clanga), the Eastern Imperial Eagle (Aquila heliaca), the Dalmatian Pelican (Pelecanus crispus), and the Cabot’s Tragopan (Tragopan caboti). All except the Yellow-breasted Bunting are also nationally protected species. Another 10 species are on the national protection list. Golden Eagle (Aquila chrysaetos), Elliot’s Pheasant (Syrmaticus ellioti) and Black-billed Capercaillie (Tetrao parvirostris) are classified as Class I; and the Northern Goshawk (Accipiter gentilis), Besra (Accipiter virgatus), Golden Pheasant (Chrysolophus pictus), Blood Pheasant (Ithaginis cruentus), Eurasian Hobby (Falco subbuteo), Common Crane (Grus grus), and Temminck’s Tragopan (Tragopan temminckii) are classified as Class 2.

141. Of the eight fish species recorded, the Wild Common Carp (Cyprinus carpio) is classified as Vulnerable by IUCN. None of these fish species are subject to national protection status.

Table 34: Fauna recorded in the Project Cities

Protection Status Fauna Type Scientific Name Common Name PRC IUCN Mammals Apodemus agrarius Striped Field Mouse 黑线姬鼠 ------Arctonyx collaris Hog Badger 獾 ------Budorcas taxicolor Takin 羚牛, 扭角羚 N(I) VU Callosciurus erythraeus Pallas’s Squirrel 赤腹鼠 ------Canis lupus Grey Wolf 狼 ------Capricornis sumatraensis Sumatran Serow 苏门羚 N(II) VU Catopuma temminckii Asiatic Golden Cat 原, 金 N(II) --- Cervus sp. Deer 鹿 ------Cricetulus longicaudatus Long-tailed Dwarf Hamster 长尾鼠 ------Elaphodus cephalophus Tufted Deer 毛冠鹿 N(II) --- Erinaceus sp. Hedgehog 刺猥 ------Hystrix brachyuran Malayan Porcupine 豪 ------Lepus capensis Cape Hare 草兔 ------Lynx lynx Eurasian Lynx 猞猁 N(II) --- Macaca nemestrina Southern Pig-tailed Macaque 豚尾猴 N(I) VU Meles meles Eurasian Badger 狗獾 ------Micromys minutus Eurasian Harvest Mouse ------Moschus berezovskii Forest Musk Deer 林麝 N(I) EN Moschus moschiferus Siberian Musk Deer 獐子 N(I) VU Muntiacus reevesi Reeves’ Muntjac 麂 ------Mus musculus House Mouse 小家鼠 ------Myospalax fontanieri Chinese Zokor 中华鼢鼠 ------Myospalax rothschildi Rothschild’s Zokor 氏鼢鼠 ------Naemorhedus goral Himalayan Goral 青羊，斑羚 N(II) --- Neofelis nebulosa Clouded Leopard 云豹 N(I) VU Niviventer coxingi Spiny Taiwan Niviventer 白腹巨鼠 ------Niviventer fulvescens Chestnut White-bellied Rat 针毛鼠 ------Nyctereutes procyonoides Racoon Dog 貉 ------Paguma larvata Masked Palm Civet 花面狸 ------Panthera pardus Leopard 豹(金钱豹) N(I) --- Petaurista elegans Spotted Giant Flying Squirrel 鼯鼠 ------Phaiomys leucurus Blyth’s Vole 田鼠 ------64 Protection Status Fauna Type Scientific Name Common Name PRC IUCN Rattus tanezumi Oriental House Rat 黄胸鼠 ------Rattus norvegicus Brown Rat 褐家鼠 ------Sciurotamias davidianus Pere David’s Rock Squirrel 岩鼠 ------Sciurus vulgaris Eurasian Red Squirrel 鼠 ------Sus scrofa Wild Boar 野 ------Vespertilio sinensis Asian Particolored Bat 蝙蝠 ------Viverra zibetha Large Indian Civet 大灵 N(II) --- Viverricula indica Small Indian Civet 小灵 N(II) --- Vulpes sp. Fox 狐 ------Birds Accipiter gentilis Northern Goshawk 苍鹰 N(II) -- Accipiter virgatus Besra 雀鹰 N(II) --- Acridotheres cristatellus Crested Myna 哥 ------Aegypius monachus Cinereous Vulture 秃 ------Aethopyga sp. Sunbird 阳 ------Anas crecca Common Teal 绿翅鸭 ------Anas formosa Baikal Teal 花脸鸭 ------Anas platyrhynchos Mallard 绿头鸭 ------Anthracoceros albirostris Oriental Pied Hornbill 冠斑犀 ------Anthus hodgsoni Olive-backed Pipit 树鹨 ------Anthus richardi Richard’s Pipit 田鹨 ------Aquila chrysaetos Golden Eagle 金雕 N(I) --- Aquila clanga Greater Spotted Eagle 乌雕 N(II) VU Aquila heliaca Eastern Imperial Eagle 白肩雕 N(I) VU Ardea alba Great White Egret 大白 ------Ardea purpurea Purple Heron 草 ------Ardeola bacchus Chinese Pond Heron 池 ------Asio otus Northern Long-eared Owl 头鹰 ------Bambusicola thoracicus Chinese Bamboo Partridge 灰胸竹 ------Bombycilla garrulus Bohemian Waxwing 平 ------Carduelis sinica Grey-capped Greenfinch 绿雀 ------Carpodacus erythrinus Common Rosefinch 普通朱雀 ------Chrysolophus pictus Golden Pheasant 金 N(II) --- Coccothraustes coccothraustes Hawfinch 锡嘴雀 ------Corvus frugilegus Rook 秃鼻乌鸦 ------Corvus macrorhynchos Large-billed Crow 大嘴乌鸦 ------Corvus monedula Eurasian Jackdaw 寒鸦 ------Corvus torquatus Collared Crow 白颈鸦 ------Coturnix coturnix Common Quail 鹌鹑 ------Cuculus canorus Common Cuckoo 大杜 ------Cuculus poliocephalus Lesser Cockoo 小杜 ------Cyanopica cyanus Azure-winged Magpie 灰喜鹊 ------Dendrocopos canicapillus Grey-capped Woodpecker 红星啄木 ------Dendronanthus indicus Forest Wagtail 山鹡鸽 ------Dicaeum ignipectus Fire-breasted Flowerpecker 啄花 ------Dicrurus leucophaeus Ashy Drongo 灰卷尾 ------Egretta garzetta Little Egret 白 ------Emberiza aureola Yellow-breasted Bunting 黄胸鹀 --- EN Emberiza leucocephalos Pine Bunting 白头鹀 ------Emberiza rustica Rustic Bunting 田鹀 ------Emberiza spodocephala Black-faced Bunting 灰头鹀 ------Eophona migratoria Yellow-billed Grosbeak 黑尾蜡嘴雀 ------Falco subbuteo Eurasian Hobby 燕隼 N(II) --- Ficedula zanthopygia Yellow-rumped Flycatcher 白眉姬鹟 ------

65 Protection Status Fauna Type Scientific Name Common Name PRC IUCN Fringilla montifringilla Brambling 燕雀 ------Garrulax canorus Chinese Hwamei 画眉 ------Glareola maldivarum Oriental Pratincole 普通燕行 ------Grus grus Common Crane 灰鹤 N(II) --- Hirundo daurica Red-rumped Swallow 金腰燕 ------Hirundo rustica Barn Swallow 家燕 ------Ithaginis cruentus Blood Pheasant 血雉 N(II) --- Lanius tigrinus Tiger Shrike 虎纹伯劳 ------Luscinia calliope Siberian Rubythroat 红点颏 ------Luscinia cyane Siberian Blue Robin 蓝歌鸲 ------Melopsittacus undulatus Budgerigar 虎皮鹦哥 ------Motacilla alba White Wagtail 白鹡鸽: ------Muscicapa sibirica Dark-sided Flycatcher 鹟 ------Oriolus chinensis Black-naped Oriole 黑枕黄 ------Oriolus oriolus Eurasian Golden Oriole 黄 ------Oriolus xanthornus Black-hooded Oriole 黑枕黄 ------Parus major Great Tit 大山雀 ------Parus venustulus Yellow-bellied Tit 黄腹山雀 ------Passer montanus Eurasian Tree Sparrow 麻雀 ------Passer rutilans Russet Sparrow 山麻雀 ------Pelecanus crispus Dalmatian Pelican 卷尾鹈鹕 N(II) VU Pericrocotus divaricatus Ashy Minivet 灰山椒 ------Phasianus colchicus Common Pheasant 环颈雉 ------Phoenicurus auroreus Daurian Redstart 红尾鸲 ------Phylloscopus inornatus Inornate Warbler 黄眉柳莺 ------Pica pica Black-billed Magpie 喜鹊 ------Picus canus Grey-faced Woodpecker 啄木 ------Porzana pusilla Baillon’s Crake 小田 ------Pucrasia macrolopha Koklass Pheasant 勺 ------Pluvialis dominica American Golden Plover 金行 ------Riparia riparia Sand Martin 灰沙燕 ------Rostratula benghalensis Greater Painted-snipe 彩 ------Rousettus leschenaulti Leschenault’s Rousette 果蝠(灵子) ------Streptopelia decaocto Eurasian Collared-dove 灰斑 ------Streptopelia turtur European Turtle-dove 珠颈斑 ------Sturnus cineraceus White-cheeked Starling 灰椋 ------Syrmaticus ellioti Elliot’s Pheasant 白颈长尾稚 N(I) --- Tetrao parvirostris Black-billed Capercaillie 细嘴松 N(I) --- Tragopan caboti Cabot’s Tragopan 黄腹角雉 N(I) VU Tragopan temminckii Temminck’s Tragopan 红腹角雉 N(II) --- Tringa glareola Wood Sandpiper 林 ------Fish Aristichthys nobilis Bighead Carp 鳙鱼 ------Carassius auratus Goldfish 鲫鱼 ------Ctenopharyngodon idellus Grass Carp 草鱼 ------Cyprinus carpio Wild Common Carp 鲤鱼 --- VU Hypophthalmichthys molitrix Silver Carp 鲢鱼 ------Ochetobius elongatus 鳤鱼 ------Silurus asotus Amur Catfish 鲶鱼 ------Xenocypris argentea Yellow Tail 鲴鱼 ------Notes: IUCN = International Union for Conservation of Nature; PRC = People’s Republic of China; EN = endangered; VU = vulnerable; N(I) = under national class I protection; N(II) = under national class II protection Source: EIR.

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142. Rural Roads. The proposed rural road upgrades mainly involve widening of existing roads with sub-grade, pavement and drainage rehabilitation, except for two new sections (K8+400 – K10+900 and K12+520 – K13+700) on RR4 Yangpo to Dongqiao totaling 3.68 km. No vegetation survey was conducted for the rural roads except for the two new sections. However, vegetation types and flora and fauna described for the trunk roads are likely to be applicable to the rural roads. Existing environmental setting of the rural roads is illustrated in the photos in Figure 8. Typical roadside habitats are grass land, shrub land and scattered trees.

143. Vegetation surveys for the new section of RR4 were conducted in July 2014. Dominant vegetation types were found to be shrubland and grassland, with patches of scattered deciduous broad-leaf woodland and planted (agriculture) vegetation. The dominant species associated with these vegetation types are described in Tables 31 and 32. Figure 20 shows the views of vegetation cover in the vicinities of the proposed new alignment for RR4.

Chainage K8+400 – K10+900

Figure 20: Views of Vegetation Cover on Rural Road 4 New Alignment

144. Protected Area. The only protected area within the project area of influence is the provincial level Shaanxi Han River Wetland extending along the Han River on both sides. It is listed by the Shaanxi Province as one of 55 important wetlands in the province, and is protected under the Shaanxi Province Wetland Protection Regulation promulgated in 2006. According to the Shaanxi Province Wetland List, it extends from Tuguanpu Village’s Tianba in Mian County in Hanzhong City to Baihe County’s Chengguan Town in Ankang City, a distance of approximately 300 km and including the river, river shoal, flood plain and the artificial wetlands within 1 km on both sides of the river. The Shaanxi Han River Wetland therefore has a total area of approximately 600 km2 along both sides of the Han River. The existing trunk road G316 runs parallel to the north bank of the Han River (see Figure 11) and within the Shaanxi Han River Wetland. The project area of influence for G316 is approximately 22 km2 (road length of 34.4 km with 300 m project area of influence on each side of the road center line), constituting approximately 3.7% of the total wetland area. The “footprint” of G316, based on information on road length for this project and the road sub-grade widths provided in Table 9, would be approximately 0.36 km2, accounting for 0.06% of the Shaanxi Han River Wetland total area.

145. The Shaanxi Han River Wetland is administered by the provincial forestry authority for wetland protection, maintaining wetland ecology and biodiversity, and ensuring the sustainability of wetland resources. The Ankang Municipal Forestry Bureau administer the section of the river that is within the project area of influence, they have confirmed that the protection objective for this section of the Shaanxi Han River Wetland is water quality to supply water for the South-to- North Water Transfer Scheme, and that there is no critical habitat within this section of the Shaanxi Han River Wetland (see letter from Ankang Municipal Forestry Bureau in Appendix 4). According to the Shaanxi Wetland Protection Regulation, sand extraction, mineral mining and creation of ponds are prohibited within the wetland boundary. Disposal of solid waste in the wetland area and also within 1 km from the wetland boundary is also prohibited. The regulation promotes the designation of nature reserves within the wetland area for protection of biodiversity, species that are rare or endangered, and wintering and breeding grounds of nationally protected bird species within the wetland area. There are two nature reserves

67 established within the Shaanxi Han River Wetland: the Shaanxi Hanzhong Crested Ibis National Nature Reserve and the provincial Shaanxi Han River Wetland Nature Reserve, located approximately 150 km and 110 km, respectively, upstream of the project area of influence for G316.

146. According to the Shaanxi Wetland Protection Regulation, temporary land use within the wetland area could be permitted, provided that the proponent provides a feasible wetland restoration plan approved by the forestry authority at provincial level or above, and that the temporary use is restricted to no more than one year with immediate wetland restoration in a timely manner according to the approved restoration plan.

147. Two spoil disposal sites for trunk road G316 were originally planned within the wetland area. These are now relocated outside the wetland boundary as a result of the domestic environmental impact assessment.

148. Since the 34 km project section of G316 is within the Shaanxi Han River Wetland, an ecological survey was conducted within this project section in June 2015 to assess potential ecological impacts on this protected area. Survey results indicate that this section of the Shaanxi Han River Wetland was dominated by six habitat types: woodland, shrub land, orchard, farmland, water body and residential land. These are described below. (i) Woodland: Two types of woodland patches were found in the mountainous terrains to the north of G316, in the gullies and in areas surrounding the residential land. The first type as shown in Figure 21 consisted of planted species dominated by the Chinese Arbor-vitae Platycladus orientalis (mainly occurred between chainages K19+831 to K22+074), the Black Locust Robinia pseudoacacia (mainly occurred between chainages K2+049 to K2+625, K6+301 to K8+942, and K12+100 to K12+300), and the Moso Bamboo Phyllostachys edulis (widely distributed along the whole G316 but concentrated in areas surrounding residential land and some gullies). The second type was the secondary deciduous broad-leaved mixed woodland dominated by Populus tomentosa, Broussonetia papyrifera, Robinia pseudoacacia, Platycladus orientalis, Cinnamomum camphora, Ginkgo biloba, Sapium sebiferum, Ailanthus altissima, Rhus chinensis, Pistacia chinensis, Quercus engleriana, Ligustrum lucidum, Firmiana platanifolia, Vernicia fordii, Acer, Metasequoia glyptostroboides, and Phyllostachys heterocycle; as well as some fruit trees, such as Juglans regia, Cerasus pseudocerasus, Citrus reticulate, Diospyros kaki, Morus alba and Amygdalus persica.

Planted Chinese Arbor-vitae woodland 68

Planted Black Locust woodland

Planted Moso Bamboo woodland

Figure 21: Planted Woodland within G316 Project Area of Influence

(ii) Shrub land: This widely distributed habitat has been disturbed by human activities and was found to mostly occur within the secondary deciduous broad-leaved mixed woodland. Dominant species included Rosa spp., Lespedeza bicolor, Buddleja lindleyana, Artemisia argyi and Viburnum dilatatum. The vine plants mainly included Vitex negundo and Dalbergia dyeriana. The herbaceous species mainly included Ampelopsis grossedentata, Artemisia argyi, Commelina communis, Imperata cylindrical and Setaria viridis. (iii) Orchards: Orchards growing Common Walnut (Juglans regia), Cherry Plum (Prunus cerasifera) and Tangerine (Citrus reticulate) were found (Figure 22). Common Walnut orchards mainly occurred between chainages K1+518 to K2+049. Cherry Plum orchards mainly occurred between chainages K2+625 to K3+250 in Duanjiahe Township in Xunyang County. Tangerine orchards mainly occurred between chainages K17+440 to K19+030 in Zaoyang Township in Hanbin District. These orchards were also found to occur in small patches in the farmland and in areas surrounding residential land.

69

Common Walnut

Cherry Plum

Tangerine

Figure 22: Orchards within G316 Project Area of Influence

(iv) Farmlands: These included rice fields and farmland growing other crops (Figure 23). Rice fields were found to occur only between chainages K19+407 to K19+438 in the gully of Shangba Bridge. The other farmlands were found to grow corn and vegetables, such as, Sweet Potato (Dioscorea zingiberensis). Most of the farmlands were also mixed with some fruit trees, such as Juglans regia, Cerasus pseudocerasus, Citrus reticulate, Diospyros kaki, Morus alba and Amygdalus persica. 70

Rice Field Crops mixed with orchard

Crops mixed with orchard Crops mixed with orchard

Figure 23: Farmland Lanscape within G316 Project Area of Influence

(v) Water body: This included the river shoal, flood plain and water course of the Han River to the south of G316 (see Figure 15). Residential land: This mainly included the Guanmiao Township and Zaoyang Township in Hanbin District and Duanjiahe Township in Xunyang County, and other villages along G316 (see Figure 8).

149. Fauna within the project section of the Shaanxi Han River Wetland were also investigated based on literature review, and are summarized as follows: (i) Mammal: According to Gong, Zeng, Wang, Zhao and Zhang (2009), 10 the following eight nationally protected mammal species could potentially occur in the project area of influence: Asiatic Black Bear, Sumatran Serow, Asiatic Golden Cat, Forest Must Deer, Himalayan Goral Leopard, Large Indian Civet and Small Indian Civet. Wang and Zhang (2006)11 described that the wild population of Forest Musk Deer used to be widely distributed in the 1950’s but has been decreasing rapidly due to over-exploitation for economic benefit since the 1970’s resulting in a rare wild population presently.

10 Gong H.S., Z. G Zeng, X. F. Wang, K. H. Zhao and Q. Zhang. 2009. Current status and analysis of national protected animal species in Shaanxi Province of PRC. Journal of Shaanxi Normal University (Natural Science Edition), 37(1): 52-59. 11 Wang K. F and S. W. Zheng. 2006. Historical flux of the class 1 protected wild animals in Shaanxi Province Journal of Shaanxi Normal University (natural Science Edition), 34 sup: 178-182.

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(ii) Birds: Although the population of the protected Crested Ibis is concentrated in the Shaanxi Hanzhong Crested Ibis National Nature Reserve approximately 150 km upstream (northwest) of the G316 project section, Wang, Liu, Qing, Ding, Cui, Ye, Lu, Yan, Ke and Ding (2014)12 described that due to conservation efforts, the population of the Crested Ibis has increased considerably in the past 30 years with expansion of its distribution range towards the southwest and individuals have recently been recorded to occur in Zhaigou Village of Chengguan Township in Ningshan County, approximately 100 km northwest of Ankang City. The Crested Ibis forages mainly in the winter-flooded rice fields, rivers and reservoirs for frogs, loaches, eels and winkles prior to and during the breeding season from March to June (Ding 2010).13 With continual expansion of its distribution range towards the southwest, the Han River and nearby rice fields between Ankang and Xunyang could provide potential wintering and foraging habitats for the Crested Ibis in the future. (iii) Fish: Wang, Luo and Zhao (2011)14 described the first discovery of Leptobotia tientaiensis hansuiensis in April 2014, a species of loach that is endemic to the PRC (occurring in Sichuan, Fujian and Zhejiang Provinces according to Catalog of Life PRC 2014 Annual Checklist) with this subspecies mainly distributed in the tributaries of the Han River.

150. The ecological survey did not reveal the presence of fish spawning ground, concentrated bird breeding, nesting and wintering grounds within the G316 project area of influence of the Shaanxi Han River Wetland.

E. Socio-economic Conditions

151. Demographic Profile. The proposed project is located in Ankang City and Shangluo City in southern Shaanxi Province. Ankang City administers one district (Hanyin District) and nine counties (Hanming, Shiquan, Ningshan, Ziyang, Langao, Pingli, Zhenping, Xunyang and Baihe). Shangluo City administers one district (Shangzhou) and six counties (Luonan, Danfeng, Shangnan, Shanyang, Zhen’an and Zhashui). The proposed three trunk roads and eight rural roads are located in Hanyin District and Xunyang County in Ankang City, and in Shangnan County in Shangluo City (see Tables 9 and 10).

152. The project is located in the Han ethnic concentrated area with 99% being Han. Table 35 presents the population and population density of the two cities and the three district/counties where the project roads are located. In 2012, there were 1,708,778 people in the three project counties. Of these 1,328,771 people were rural population (77.8%), 799,032 people were women (46.8%) and 99.8% were Han nationality. The population density in Hanyin was significantly higher than the prefecture and provincial levels, reaching 277.9 persons per km2, followed by Xunyang (135.4 persons per km2) and Shangnan (104.9 persons per km2). Per capita farming land area in the three project counties was lower than the provincial average, in particular, per capita farming land area in Shangnan and Hanyin were 0.04 ha and 0.05 ha respectively.

12 Wang C, D. P. Liu, B. P. Qing, H. H. Ding, Y. Y. Cui, Y. X. Ye, J. Lu, L. Yan, L. Ke and C. Q. Ding. 2014. The current population and distribution of wild Crested Ibis Nipponia nippon. Chinese Journal of Zoology, 49(5): 666-671. 13 Ding, C. Q. 2010. Crested Ibis, Chinese Birds, 1(2): 156-162. 14 Wang Q. J, L. Luo and H. Zhao. 2011. The first discovery of Leptobotia tientaiensis hansuiensis in the branch Xishui River of Han River. Hebei Fishery, 11: 36. 72 Table 35: Population and Population Densities in 2012

Per Capita Province/ Population Total area Farming Household Municipal/ Population Rural Urban Male Female density (km2) Land s County capita/km2 Area (ha) Shaanxi 0.10 13,905,8 205,600 12,249,020 39,086,765 25,180,91 20,217,274 18,869,49 190.1 53 2 1 Ankang 23,536 0.08 1,005,444 3,050,703 2,423,780 626,923 1,639,280 1,411,423 129.6 Shangluo 19,292 0.07 747,666 2,478,733 1,559,611 919,122 1,307,404 1,171,329 128.5 Xunyang 3,554 0.09 143,831 454,170 396,326 57,844 243,859 210,311 135.4 Hanyin 3,644 0.05 325,110 1,012,605 790,042 222,563 538,853 473,752 277.9 Shangnan 2,307 0.04 83,798 242,003 142,403 99,600 127,034 114,969 104.9 Source: PPTA Social and Poverty Assessment Report.

153. Economic Profile. Table 36 presents the gross domestic product (GDP) composition in the project areas. In 2012, the total GDP in Shaanxi Province reached CNY 1251.23 billion. GDP composition ratios for the primary, secondary, and tertiary sectors were 9.76%, 55.43%, and 34.81% respectively.

154. Xunyang County produced a total GDP of CNY 6.78 billion, or CNY 15879 per capita, which was lower than the Ankang average of CNY 18,878. The proportion of the agriculture sector in the overall economy, which is an important indicator of the level of economic development, was 14.25% in Xunyang in 2012, which was lower than the prefecture average. The proportion of the secondary sector was 50.32% in Xunyang, which was higher than the prefecture average. The proportion of the tertiary sector was 35.42%, which was slightly lower than the prefecture average.

155. In the same year, the per capita GDP in Hanyin District and Shangnan County was CNY 15,735 and CNY 15,582 respectively, which were lower than the Xunyang County average. In 2012, GDP composition ratios for the primary, secondary, and tertiary sectors were 13.39%, 34.60%, and 52.01% respectively in Hanyin District. The percentage of primary industry in Shangnan was 23.46%, which has the biggest portion of GDP of the three project counties. Cultivated species in the project area of influence that are of economic importance have been presented in Table 31.

Table 36: Gross Domestic Product (GDP) Composition in the Project Areas in 2012

Province/Municipal/ GDP Primary Secondary Tertiary Per Capita County (100 Million Yuan) Industry (%) Industry(%) Industry (%) GDP (CNY) PRC 471564 10.12 46.78 43.10 38,448 Shaanxi 12512.30 9.76 55.43 34.81 38,557 Ankang 407.17 17.69 44.98 37.33 18,878 Shangluo 362.95 19.45 44.92 35.63 18,097 Xunyang 67.77 14.26 50.32 35.42 15,879 Hanyin 136.95 13.39 34.60 52.01 15,735 Shangnan 47.39 23.46 42.84 33.70 15,582 Source: PPTA Social and Poverty Assessment Report.

156. Table 37 compares the income levels in the project areas. The average annual disposable income of urban residents was CNY 17,697 per capita and CNY 18,710 in Xunyang and Hanyin respectively, which was higher than the Ankang level but lower than the provincial

73 average of CNY 18,245. Similarly, the average annual net income of farmers was CNY 5,096 per capita and CNY 5,099 per capita in Xunyang and Hanyin respectively, which were higher than the prefecture and provincial average. The resident income levels both for urban and rural people in Shangnan were lower than prefecture and provincial average. The annual increase of farmer income was lower (an increase of 18.2% over the previous year) compared to the other two project counties where the increase was 26%).

Table 37: Income Levels in 2011

Per Capita Annual Per Capita Annual Province/Municipal/ % increase over % increase over Disposal Income of Net Income of Rural County 2010 2010 Urban Resident (CNY) Resident (CNY) PRC 24,565 13.5 7,917 17.9 Shaanxi 18,245 16.2 5,028 22.5 Ankang 17,365 18.6 5,009 26.0 Shangluo 17,344 17.1 4,586 27.2 Xunyang 17,697 19.5 5,096 26.9 Hanyin 18,710 19.3 5,099 26.8 Shangnan 17,327 15.8 4,678 18.2 Source: PPTA Social and Poverty Assessment Report.

157. Social Facilities. Social facilities such as health institutions and schools have been improving in the project area to meet basic needs of the local population for medicine and education. There is one hospital in each town/township. Some towns with bigger population may have two hospitals, e.g. Hanyin. There is one clinic in each village committee with at least one doctor in each village clinic. Each county has one maternity and child center to serve women and infants at county cities.

158. In terms of education, primary schools can be fully accessed by children in the project area. Over 80% students can finish their ninth grade and graduate from junior schools. However, the rate of student graduate both from junior and senior schools in the project area was lower than the prefecture and provincial average in 2012. Higher education above secondary school level at the prefecture and county level is very limited as higher education is heavily concentrated in the provincial level.

159. Poverty Status. There were 77 poverty counties in Shaanxi Province in 2012, of which 50 counties are designated as national poverty counties. In 2012, Shaanxi provincial government revised the provincial rural poverty line from annual net income CNY 2,700 per capita up to CNY 2,785, which was higher than the national rural poverty line (annual farmer net income CNY 2,300 per capita). According to official statistics, 7,561,937 rural people in Shaanxi were poor in 2012, which was 30% of the total rural population in Shaanxi. The rural poverty ratio in Shaanxi Province was much higher than the nation-wide level (14.9%).

160. In 2012, there were 795,609 rural poor in Ankang, about 32.8% of the total rural population in Ankang; and 483,479 rural people in Shangluo (31% of the prefecture). The three project counties of Xunyang, Hanyin and Shangnan are national poverty counties. By the end of 2012, total rural poverty population was 158,530 in Xunyang, 304,956 in Hanyin and 48,804 in Shangnan. The rural poverty ratio was 40% in Xunyang, 38.6% in Hanyin and 34.3% in Shangnan were higher than the prefecture and provincial average (Table 38).

74 Table 38: Poverty Population in the Project Areas in 2012

Region Total Rural Population Rural Poverty Population As % of Rural Population

Nation-wide 674,149,546 99,976,378 14.9 Shaanxi 25,180,912 7,561,937 30.0 Ankang 2,423,780 795,609 32.8 Shangluo 1,559,611 483,479 31.0 Xunyang 396,326 158,530 40.0 Hanyin 790,042 304,956 38.6 Shangnan 142,403 48,804 34.3 Source: PPTA Social and Poverty Assessment Report.

161. Road Network. Ankang’s road network consists of two expressways (Xikang and Shitian), two national trunk roads (G210 and G316), four provincial trunk roads (S102, S207, S308 and S310), and county and village roads. Most roads are classes II, III and IV with low road density and poor road conditions. Total road length is approximately 5,600 km with approximately 1.2% class II roads and 82% class III roads.

162. Shangluo’s road network consists of three expressways (Baomao, Fuyin and Hushaan) totaling approximately 350 km, one national trunk road (G316) of approximately 170 km, six provincial trunk roads (S101, S102, S202, S203, S307 and S312) totaling approximately 690 km, plus over 3,000 county and village roads totaling 14,165 km.

163. Tourism. Ankang is located in the Qinba Mountain area and is rich in natural scenic areas and tourist attractions. There are five National Forest Parks (Nangong Mountain, Guiguling, Qianjiaping, Tianhua Mountain, and Shangba River), several provincial forest parks (such as the Leigutai Forest Park), and two National Nature Reserves (Tianhua Mountain and Hualong Mountain). The Tianhua Mountain National Nature Reserve is located within the Tianhua Mountain National Forest Park. Shangnan County in Shangluo City also has a number of natural scenic and historic sites. These include the Jinsi Grand Canyon with karst landform which is a National Forest Park and also a Provincial Geological Park, provincial forest parks (Chuangwangzhai, Yuhuang Mountain and Shangcangfang), and the Fenghuang Historic Town. Table 39 shows the distance separation of these tourism resources with the nearest project road. None of these is within the project area of influence of the project roads.

Table 39: Distances of Tourism Resources from the Nearest Project Roads

Name of Tourism Resource Distance Separation Nearest Project Road (km) Nangong Mountain National Forest Park 南宫山国家森林公园 RR5: Yanba-Dongqiao 34 Guiguling National Forest Park 鬼谷岭国家森林园 G316 24 Qianjiaping National Forest Park 千家坪国家森林园 RR5: Yanba-Dongqiao 66 Tianhua Mountain National Forest Park 华山国家森林园 G316 52 Shangba River National Forest Park 坝河国家森林公园 G316 41 Leigutai Forest Park 擂鼓台森林园 G316 7 Hualong Mountain National Nature Reserve 龙山自然保护区 RR5: Yanba-Dongqiao 69 Jinsi Grand Canyon National Forest Park 商南金大峡谷国家森 S224 22 林公园 Chuangwangzhai Provincial Forest Park 闯王寨省级森林公园 S224 8 Yuhuang Mountain Provincial Forest Park 玉皇山省级森林公园 RR3: Beigou-Luojia 67 Shangcangfang Provincial Forest Park 苍坊森林公园 S224 11 Fenghuang Historic Town 凤凰古镇 RR4: Yangpo-Liangheguan 61

75 Name of Tourism Resource Distance Separation Nearest Project Road (km) Source: ChangAn University.

164. Mineral Resource. Ankang City is rich in mineral resources, with 65 minerals that have been discovered and explored. Ankang leads the province and the nation in the production of mercury ore, clay slate, barite, antimony and zinc. In addition, Ankang has proven reserves of 244 million tons (t) of limestone at 28 sites for cement manufacturing, 750,000 t of rutile ores at two sites, sulfur iron ores at five sites with one site having a reserve of 33.5 million t, cobalt reserve of 4,000 t, and titanium and ferromagnetic ore reserves of 400 million t. Approximately 270 mineral resources have been discovered in Shangnan County, with considerable reserves of magnesium olivine, rutile ore, potassium and sodium feldspar, and quartz crystal. Shangluo City leads the province in 17 mineral reserves including iron, vanadium, titanium and silver.

F. Physical Cultural Resources

165. The project EIRs have reviewed the status of cultural heritage within the project area of influence and concluded that no physical cultural resources occur within the project area of influence. This was also confirmed by local cultural bureaus. Should buried artifacts of archaeological significance be uncovered during the construction stage within the project areas, construction will be stopped and immediately reported to the Ankang and Shangluo Cultural Bureaus in accordance with the PRC’s Cultural Relics Protection Law (2002).

G. Greenhouse Gas Emission and Climate Change

166. Climate change is defined as any change in global temperatures and precipitation over time due to natural variability or to human activity. Global warming is the increase in Earth’s average surface temperature due to rising levels of greenhouse gases (GHGs) (e.g. carbon dioxide, methane) and is a sub-set of global climate change. Natural factors causing climate change include oceanic processes, solar radiation received by Earth, plate tectonics, and volcanic eruptions. Examples of human activity affecting the climate are burning fossil fuels, which emits GHGs into the atmosphere, and construction of impervious surfaces using materials such as asphalt and concrete which tend to increase the ambient temperature (heat island effect) as well as increase the volume of storm water runoff. Climate change analysis suggests that the severity of existing weather patterns will intensify, with wet areas getting wetter, and dry and arid areas becoming more so. Much climate change research addresses flood risk. Climate change may invalidate traditional assumptions that historical flood records may predict future conditions.

167. According to the Shaanxi Provincial Climate Change Program15, the annual average temperature in Shaanxi Province has increased from 11.5 oC in the 1980’s to 13.1 oC in 2006, resulting in milder winters especially in the northern part of the province. Precipitation on the other hand shows a decreasing trend especially in the 1990’s. Annual precipitation during 1991- 1999 showed a 10-20% reduction compared to annual precipitation from 1960-1990. The frequency and intensity of extreme weather events show increasing trends. These included extreme hot weather in the summer of 2002, 2005 and 2006. In June 2006, temperature in Xian reached 42.9oC. Droughts and floods have also been more frequent. The recurrent frequency of droughts in the northern, central and southern part of Shaanxi Province in the last 50 years was 1.1, 1.2 and 1.6 years. There were several regional severe storms from 1998 to 2005, resulting in significant economic loss and deaths in several counties. The Program predicted that based on climate change modelling, annual average temperature would increase by 1.15-2.10 oC in

15 Shaanxi Provincial Government. 2008. Shaanxi Provincial Climate Change Program. Issued in June 2008. 76 the next 50 years; annual precipitation would increase from 2011-2035 then would decrease from 2036-2050; the frequency and intensity of extreme weather events would increase; and desertification would also become more serious. Adaptation measures described in the Program basically follow those in the national program and include improvements to agricultural infrastructure, protection of forest and natural ecosystems, and enhanced management of water resources, plus enhanced disaster prevention and response.

168. The Program describes that Shaanxi Province emitted 135 million t carbon dioxide (CO2) in 2005 from the burning of fossil fuels, equivalent to 3.63 t per capita. The estimated emissions in 2010 were 175 million t CO2, equivalent to 4.57 t per capita. Reductions in both total CO2 emissions and per capita CO2 emissions are a major and difficult challenge for the provincial and local governments.

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IV. ANTICIPATED ENVIRONMENTAL IMPACTS AND MITIGATION MEASURES

A. Positive Impacts and Environmental Benefits

169. Beneficiaries. The populations of approximately 3 million in Ankang City and 2.5 million in Shangluo City will benefit from improving the three trunk roads and the eight rural roads proposed. Of these, populations of approximately 1 million in Hanyin District, 450,000 in Xunyang County, and 240,000 in Shangnan County where these proposed roads are located will directly benefit from improved accessibility and road conditions; among these, approximately 520,000 are rural poverty population. The Shaanxi Han River Wetland is also a beneficiary of the project. The existing alignment of G316 is already located within the wetland, running along the north bank of the Han River. The existing road runoff during rainfall events drains directly into the wetland. The proposed rehabilitation of 36.4 km of G316 provides the opportunity to install sedimentation tanks along this section of G316 to collect road runoff during rainfall events, thereby removing the discharge of pollutants into the wetland.

170. Poverty Reduction. The three project counties/district of Hanyin, Xunyang and Shangnan are poverty counties/district with poverty population accounting for 38.6%, 40.0% and 34.3% of rural population respectively (see Table 28). The proposed upgrading of eight rural roads would improve rural communities’ access to markets (sale of produce and purchase of agricultural inputs), to collection or processing stations for the sale of cash crops, and to towns and cities for (seasonal) employment opportunities. The rural roads would also improve access to schools, health facilities and administrative services. This would contribute to improving the socio-economic status of rural communities, leading to poverty reduction.

171. Road Safety. Interventions proposed by ChinaRAP would improve road safety for motor vehicles, pedestrians and cyclists travelling on the project roads, thereby reducing accidents, related injuries, deaths and monetary losses. With road safety features incorporated into the preliminary design plus implementation of additional safety measures proposed by ChinaRAP, the percentages of the three trunk roads that would achieve 3-star road safety rating would increase from 39% to 99% for vehicle occupants, 19% to 89% for motorcyclists, 31% to 70% for pedestrians, and 42% to 67% for bicyclists (see Table 23). Similarly for the eight rural roads, improvements would be from 23% to 92% for vehicle occupants, 10% to 53% for motorcyclists, 39% to 91% for pedestrians, and 49% to 92% for bicyclists. The project serves as an important demonstration project on how to implement road safety measures and the benefits of implementing these measures.

B. Impacts associated with Project Location, Planning and Design

172. The proposed project will involve permanent and temporary land take. Land will be taken up permanently for the widened portions of the existing road alignments and for the road sections of the new alignments. Of the total 186.95 km of trunk roads, approximately 94 km (50%) will be widened and 16.6 km (9%) will involve construction of new alignments (see Table 10). The remaining 78.4 km (41%) will involve rehabilitating the sub-grade and pavement on existing alignments, or directly using the existing alignment with no need to rehabilitate and thus would not take up land permanently. Land will be taken up temporarily during construction for staging construction activities, such as construction camps, bridge pre-casting yards, asphalt mixing stations, borrow areas, spoil disposal sites and haul roads. Temporary land take areas will be restored and planted with vegetation after completion of construction.

173. Table 40 and 41 present the permanent and temporary land take areas for the project 78 and their existing land uses, a total of approximately 252 ha would be taken up for the proposed project, with approximately 192 ha to be taken up permanently and the remaining 60 ha temporarily. Of the 192 ha of permanent land take, approximately 33% will be for new alignment and the remaining 67% for widening existing alignment. Existing land uses on permanent land take areas are dominated by wooded areas (%) and uncultivated (22%) and cultivated (18%) land. Temporary land take areas are dominated by wooded land (50%) and uncultivated land (46%) (see Table 16 on their locations). Uncultivated land is defined as land that is suitable for cultivation but presently is under rotation or is unused.

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Table 40: Existing Land Uses in Permanent and Temporary Land Take Areas for the Trunk Roads

Existing Land Use (ha) Total Land Cultivated Land Uncultivated Plantation & Land Wooded Land River Bank River Residential Take (ha) Project Use Irrigated Dry Land Orchard Take G31 S10 S22 G31 S10 S22 G31 S10 S22 G31 S10 S22 G31 S10 S22 G31 S10 S22 G31 S10 S22 G31 S10 S22 G31 S10 S22 6 2 4 6 2 4 6 2 4 6 2 4 6 2 4 6 2 4 6 2 4 6 2 4 6 2 4 Permane New alignment area 18.7 2.50 3.60 2.15 3.72 1.10 1.49 0.76 0.86 0.92 2.64 4.44 1.00 0.56 5.17 0.06 0.27 2.01 7.97 6.52 nt 6 Road widening area 18.0 20.4 13.6 48.7 7.40 0.35 1.86 5.40 5.27 9.80 1.59 9.95 4.51 1.25 5.89 3.60 2.02 1.38 4.50 0 3 4 0 Temporar Construction staging 1.98 1.98 y area Haul road 2.52 0.09 5.42 2.52 5.42 0.09 Borrow area 4.00 1.28 1.28 4.00 Spoil disposal site 12.7 12.7 7.96 9.27 7.96 9.27 5 5 Bridge pre-casting yard 1.02 3.34 4.24 1.02 4.24 3.34 Asphalt mixing station 0.27 0.67 1.71 0.27 1.71 0.67 Trunk road sub-total: 18.5 23.9 12.5 39.0 19.0 11.0 41.4 62.5 68.5 2.50 11.0 2.50 5.58 6.50 2.45 0.92 0 3.09 0 0 0 3.66 2.29 3.39 4.50 3 3 9 5 0 6 5 0 9 Land take sub-total: 13.50 14.58 42.46 3.37 70.64 14.15 3.66 10.18 172.54 Sources: EIR and Construction Drawings.

Table 41: Permanent and Temporary Land Take Areas for the Rural Roads

Existing Land Use (ha) Land Cultivated Land Total Land Take Rural Road (RR) Uncultivated Plantation / Take Irrigated / Wooded Land River Bank Residential (ha) Dry Land Orchard Paddy Permane RR1: Shangma-Xiaohe 18.60 8.12 0.60 0.08 27.40 nt RR2: Lijiaba-Baiguo 0.22 3.00 3.22 RR3: Beigou-Luojia 0.91 6.47 7.38 RR4: Yangpo-Liangheguan 3.20 13.64 16.84 RR5: Yanba-Dongqiao 1.66 0.91 0.05 8.44 0.20 0.14 11.40 RR6: Zaobao-Yousheng 1.56 0.55 1.02 3.13 Village RR7: Zaobao-Wujiashan 1.65 0.45 0.91 0.01 3.02 80

Existing Land Use (ha) Land Cultivated Land Total Land Take Rural Road (RR) Uncultivated Plantation / Take Irrigated / Wooded Land River Bank Residential (ha) Dry Land Orchard Paddy RR8: Xianghe-Shuigou 1.69 0.39 1.11 0.07 3.26 Total: 1.66 4.33 24.41 1.44 42.71 0.80 0.30 75.65 Temporar RR1: Shangma-Xiaohe 1.57 0.05 1.62 y (Haul RR2: Lijiaba-Baiguo 0.24 0.24 roads and RR3: Beigou-Luojia 0.24 0.24 staging areas) RR4: Yangpo-Liangheguan 0.50 0.50 RR5: Yanba-Dongqiao 0.50 0.06 0.56 RR6: Zaobao-Yousheng 0 Village RR7: Zaobao-Wujiashan 0 RR8: Xianghe-Shuigou 0.80 0.80 Total: 0 1.24 2.67 0 0 0.05 0 3.96 Source: Construction Drawings.

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C. Measures during Detailed Design and Pre-construction

174. Measures during Detailed Design. One important aspect is the need to consider climate change adaptation measures in road design, in particular, road pavement and drainage systems that could withstand higher frequencies and intensities of extreme weather events. Ye (2014) conducted a climate change impact assessment for the project roads (see Appendix 3). Extreme temperature increases due to climate change were found to have minimal effect on the project roads. Extreme rainfall due to climate change was found to affect trunk road S102 the most, as it is at risk from flooding from the Xun River and land slide. Increased flood discharge increases potential damage to roads and bridges. Ye (2014) indicated that because of the cascade developments on the Xun River, the actual flood water level on the Xun River could become higher than the natural flood level due to backwater effect. The Liangheguan No. 1 Bridge on S102 was analysed and it was found that at the bridge location there would be on average 0.41 m and 0.77 m flood water level increase for the median scenario projection by 2050 and 2100, respectively. However, the actual design height of the Liangheguan No. 1 Bridge is just 0.57 m higher than the design flood. Though the current height may be adequate for median and low emissions scenarios, it may become inadequate for high emission scenarios by 2050. Ye (2014) reviewed the elevations of all the bridges on S102, the majority would have adequate buffer for flood height increases projected due to climate change. The study recommended that Liangheguan No. 1 Bridge and Zhaowan No. 2 Bridge are reassessed to take account of climate change impacts. During the detailed design, the pier height of Liangheguan No.1 Bridge was increased by 0.3m and it was determined that there was no need to increase the height of Zhaowan No.2 Bridge.

175. The following environmental measures will permanently become part of the infrastructure and need to be included in the detailed design of the proposed roads by the design institutes. i. Technical design of roads must minimize loss of land and top soil, and risks of soil erosion: - Minimize permanent and temporary land take for development; - Retain/incorporate landscape features of interest in design; - Optimize balance between cut and fill and avoid deep cuts and high embankments to minimize earthworks; - Maximize reuse of spoil and old asphalt paving material within the construction or adjacent construction works; - Agree spoil disposal sites, management and rehabilitation plan with local Environmental Protection Bureau; - Specify removal and storage of topsoil (10-30 cm) for restoration works prior to main earthworks; - Specify vegetation that serves specific bioengineering functions and is of local provenance; and - Design appropriate drainage systems for slopes to reduce soil erosion.

ii. Technical design of the roads must adopt efficient use of materials and resources - Specify energy efficient lighting systems; - Specify materials that are recycled, have recycled content or are from sustainable sources, particularly for street furniture and fixtures/fittings; - Specify the use of renewable energy (such as photovoltaic panels) for signs, lighting, where appropriate; and - Specify the recycling and reuse of existing asphalt pavement for rehabilitating road sections. 82

iii. Technical design of roads must consider adaptation to extreme weather events due to climate change such as road surface cracking due to extreme hot or cold weather and landslide and flooding due to torrential rainfall: - Consider potential impacts from extreme weather events due to climate change in designing road subgrade, pavement, road-side slopes, deainage system, bridges and culverts; and - Adopt appropriate protective measures such as vegetation cover, geotextiles, settling basins, permeable paving, infiltration ditches, stepped slopes, riprap, crib walls, retaining walls and intercepting ditches to reduce the speed of surface run-off.

iv. For conservation of protected plant species, conduct a tree survey along the project road alignments to identily the locations of tree species that are under international, national and provincial protection. Mark and fence off the protected trees.

v. Technical design of new road sections must minimize loss of vegetation: - Avoid intact mixed evergreen and deciduous broad-leaf woodland and deciduous broad-leaf woodland, as well as any trees that are on the international, national and provincial protection list; and - If avoidance is not possible, design replanting schemes for compensation.

vi. Technical design of roads must ensure public health and safety, especially pedestrians and school zones.

vii. Technical design of road construction must minimize air emissions: - Specify local materials from licensed providers that minimize transport distance; and - Locations for borrow areas, asphalt mixing and concrete batching stations must be at least 300 m downwind of the nearest household.

viii. Technical design of road drainage must minize risk of polluted run-off into water bodies: - Technical design of road drainage must ensure that drainage design and discharge locations minimize risk of polluting nearby water bodies. Need for pollution interceptors and treatment should be considered; and - Locations of borrow areas and spoil disposal sites must be at least 300 m from the nearest water body.

ix. Technical design of road G316 must include the following: - No spoil disposal site and construction staging area shall be located within the Shaanxi Han River Wetland boundary; and - Environmental protection measures in the approved EIR to install 70 retention/sedimentation tanks along the alignment to protect and maintain Category II water quality in the Han River in accordance with the sizes and locations specified in the approved EIR and this EIA (see Table 51).

x. Technical design of trunk road S102 must include the following: - Raise Liangheguan Bridge by 0.3 m to increase climate change resilience; and

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- Environmental protection measures in the approved EIR on the installation of road-side noise barriers for protecting Tangxing Primary School at chainage K46+480 – K46+550 and Liangheguan Primary School at chainage K53+650 – K53+700 against road traffic noise (see Table 48).

xi. Technical design of trunk road S224 must include environmental protection measures in the approved EIR on the installation of 40 retention/sedimentation tanks and road-side guardrails for protection of Category II water quality in the Xian River, Dan River, Xiang River and Tao River as well as two drinking water collection sumps at the Shanghe Village and the Weijiatai Village (see Table 51). For the collection sump at Weijiatai Village, technical design will also include a sealed cover over the collection sump.

176. Measures during Pre-construction. A number of environmental management measures will be implemented in the pre-construction phase to ensure project’s environment management readiness. These include: i. Institutional strengthening: including (a) appointment of one qualified environment specialist within the FFPO; (b) hiring of loan implementation environmental consultant (LIEC) as an external monitor within loan implementation consultant (LIC) services by the FFPO. ii. Ankang Municipal Transport Bureau to contract (a) the Ankang Environmental Monitoring Station to conduct environment quality monitoring for trunk roads G316 and S102 and rural roads RR1 – RR7; and (b) an external environmental supervision engineer (ESE) to conduct independent monitoring and verification of EMP implementation. iii. Shangnan County Government to contract (a) the Shangluo Environmental Monitoring Station to conduct environment quality monitoring for trunk road S224 and rural road RR8; and (b) an external ESE to conduct independent monitoring and verification of EMP implementation. iv. Updating the EMP: Mitigation measures defined in the EMP will be updated based on final technical design. This will be the responsibility of the FFPO, with support from the LIEC. v. Land-take confirmation: The Resettlement Plan will be updated with final inventory. This will be the responsibility of FFPO, using the local design institute. vi. Contract documents: Environmental issues can potentially arise if the bidding documents are prepared without access to or use of this project EIA, particularly the EMP. As such, no bid documents will be prepared without the authors having incorporated a copy of the EMP (translated into Chinese), which shall be included in the safeguard clauses of the Technical Specifications in the contracts. This will be the responsibility of the FFPO with the support of the tender agent. vii. Contractors’ site-specific EMPs and method statements. Contractors shall prepare site-specific EMPs which will include method statement for each key construction activity and associated mitigation measures. These site-specific EMPs shall be submitted to the ESE and the LIEC for review and approval. viii. Environmental protection training: The loan implementation consultant services (mainly but not exclusively through the LIEC) will provide training on preparation of site-specific EMPs, implementation and supervision of environmental mitigation and monitoring measures to relevant staff of contractors, FFPO, Ankang Municipal Transport Bureau and Shangnan County Government.

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D. Impacts and Mitigation Measures during the Construction Stage

177. Impact Screening. Potential impacts during road construction will include air quality, noise, water quality, ecology, solid waste, soil erosion and occupational health and safety. Potential air quality impacts could occur due to fugitive dust generated on the construction site from stockpiles of uncovered earth materials and vehicles travelling on unpaved haul roads; as well as fumes from asphalt mixing plants. The use of powered mechanical equipment (PME) during construction activities will generate noise. The use of explosives for tunnel construction will generate noise and vibration. Construction activities will generate process wastewater and construction workers will produce wastewater. Bridge construction will affect water quality and aquatic ecology. Permanent and temporary land take will result in loss of vegetation and habitats for wildlife and increase the potential for soil erosion. Construction works will produce construction and demolition (C&D) wastes including the old road pavements and excavated earth materials especially from tunneling works. Workers will face occupational health and safety issues working on construction sites, such as during road paving when workers are near the asphalt mixing plant and exposed to fumes from the plant during excavation and tunneling works and working near water. These potential impacts are assessed and addressed below. Land contamination would not be an issue in this project since there has been no industrial activity within the construction footprint of the proposed project roads.

E. Impacts and Mitigation Measures on Physical Resources

178. Air Quality. Main air pollutants during the construction stage in this project include (i) fugitive emissions of dust during earth works and (ii) fumes from asphalt mixing during road paving and exhaust from movements of construction vehicles and machinery. The EIRs predicted that fugitive dust impact from the mixing of road sub-grade and paving materials, including asphalt, would be confined to within 200 m downwind of the mixing activities, and ambient air quality Class II standard would be achieved beyond 200 m. Fugitive dust during earth works, on haul roads and from uncovered stockpiles was estimated to affect a downwind distance of up to 50 m. Of the 265 air quality sensitive receptors (total 16,296 households, 31 schools and 4 health clinics) for the three trunk roads and the eight rural roads, all are located within 200 m of the road alignment (see Table 25 and Appendix 1). Of the 154 air quality sensitive receptors for the three trunk roads, 138 (90%) are the first row of buildings within 50 m of the alignment. Of the 111 air quality sensitive receptors for the eight rural roads, 110 are the first row of buildings within 50 m of the road alignment. Mitigation measures will be needed to suppress fugitive dust emissions.

179. Asphalt paving will produce fumes containing small quantities of toxic and hazardous chemicals such as volatile organic compounds (VOC) and poly-aromatic hydrocarbons (PAH). Concrete batching for bridge structures will produce TSP. Air Pollutant Integrated Emission Standard (GB 16297-1996) controls the emission of air pollutants from these activities. Asphalt fumes generated during road paving would be considerably less than fumes generated during mixing, and once the paved asphalt is cooled to <82o C, asphalt fumes would be reduced substantially and then totally when the asphalt is solidified. The impact from asphalt fumes during road paving is therefore of short duration. Based on monitoring of α-benzopyrene, a constituent of asphalt fume, on similar road projects, the EIR indicated that its concentration would meet GB 3095-1996 Class II standard at a distance of 100 m downwind of the asphalt mixing station. However, asphalt fumes could affect construction workers doing the road paving and personal protective equipment is needed for their occupational health and safety.

180. The Contractor shall include all necessary mitigation measures to reduce air pollution

85 and dust and asphalt fume development that would impact public health, by implementing the following air quality control measures. Some of these measures are generic measures that are applicable to all construction sites and construction activities. Yet these are effective measures and are also described in WBG’s EHS guidelines. i. Provide dust masks to operating personnel. ii. Spray water regularly on hauling and access roads (at least once a day but frequency to be responsive to season and local conditions) to suppress dust; and erect hoarding around dusty activities. iii. Minimize the storage time of construction and demolition wastes on site by regularly removing them off site. iv. Equip asphalt, hot mix and batching plants with fabric filters and/or wet scrubbers to reduce the level of dust emissions. In addition, site asphalt mixing stations at least 300 meters downwind of the nearest household. v. Trucks which transport material that could generate dust to use protective covers. vi. Build access and haulage roads at sufficient distances from residential areas, in particular, local schools and hospitals. vii. Assign haulage routes and schedules to avoid transport occurring in the central areas, traffic intensive areas or residential areas. Vehicle speed on unpaved haul roads will be restricted to 10 km/h or less. viii. Keep construction vehicles and machinery in good working order, regularly service and turn off engines when not in use. ix. Vehicles with an open load-carrying case, which transport potentially dust- producing materials, shall have proper fitting sides and tail boards. Dust-prone materials shall not be loaded to a level higher than the side and tail boards, and shall always be covered with a strong tarpaulin. x. Install wheel washing equipment or conduct wheel washing manually at each exit of the works area to prevent trucks from carrying muddy or dusty substance onto public roads. xi. In periods of high wind, dust-generating operations shall not be permitted within 200 m of residential areas. Special precautions need to be applied in the vicinity of sensitive areas such as schools, kindergartens and hospitals. xii. Equip material stockpiles and concrete mixing equipment with dust shrouds. For the earthwork management for backfill, measures will include surface press and periodical spraying and covering. The extra earth or dreg should be cleared from the project site in time to avoid long term stockpiling. xiii. Unauthorized burning of construction and demolition waste material and refuse shall be subject to penalties for the Contractor, and withholding of payment. xiv. Keep the public informed of construction schedules, dusty and noisy activities, and access to the grievance redress mechanism. Post the complaint hotline number at all work site and construction camp entrances.

181. These measures are defined in the EMP. Contractors will be required to ensure compliance with relevant PRC emission standards. Air quality monitoring will be carried out by contractors (internal) and a licensed environmental monitoring entity (external) during the construction period.

182. Potential air quality impacts during the construction stage would be of short duration. Road construction is a linear activity. When a road section is constructed and paved the construction activities move on and away from nearby sensitive receptors. Potential sensitive receptors will therefore be exposed to short term, localized impacts. With the above mitigation 86 measures in place, potential air quality impacts during the construction stage would be reduced to acceptable levels.

183. Noise. Noise is emitted by PME used during construction. Based on the cumulative power levels of PMEs used for different construction activities, Table 42 presents the EIR assessment of how noise levels decrease with increasing distances from the notional noise source16 based on acoustic principle on how sound travels, showing where the day time and night time noise limits in GB 12523-2011 would be met. The results show that piling for bridge foundations would be the noisiest activity affecting an area within a 270-m radius in the day time and 700-m radius at night. The impact distances range from 40 m or less for road paving and bridge super structure works to 80 m for road sub-grade works in the day time. Night time construction would impact a minimum distance of 200 m and up to 700 m. Night time (between 22:00 and 06:00 hours) construction is therefore not recommended. However, recognizing that night time road construction might be needed from time to time especially on existing roads so as to avoid causing traffic congestion during day time, road construction during night time if needed should minimise use of high sound equipment and nearby residents should be notified of the time, duration and nature of the night time construction activities in advance and made aware of GRM. Night time construction should not be allowed on new road sections and new bridges.

Table 42: Distances from Construction Noise Source Needed to Meet GB 12523-2011 Standards

Cumulative Sound Distances to meet GB 12523-2011 Standard Construction Activity Power Level [dB(A)] Day Time 70 dB(A) Night Time 55 dB(A) Road sub-grade work 95 80 m 400 m Road paving work 87 35 m 200 m Bridge foundation work (piling) 105 270 m 700 m Bridge super structure work 88 40 m 230 m Source: EIR.

184. Tunnel construction using explosives would generate noise and vibration during blasting. A total of 12 tunnels will be constructed for the three trunk roads using the New Austrian Tunneling Method (see Table 12) and drill and blast technique. Boreholes will be drilled for placing the charges for each blast. Table 43 presents the villages and towns nearest to the tunnel openings, showing that their distances range from 20 m to over 1 km. None of these villages or towns is located above the tunnel alignment.

Table 43: Noise and Vibration Sensitive Receptors for Trunk Road Tunnel Construction

Shortest Trunk Road Name of Sensitive Receptor Distance to Name of Tunnel Tunnel Opening G316 Xunyang - Ankang Zaoyang Town 150 m Aijiahe Tunnel Dalingdaoban 260 m Dalingdaoban Tunnel Wangjiaya 110 m Wangjiaya Tunnel Hongyantan #1 Tunnel S012 Xunyang - Xiaohe Hongyantan 30 m Hongyantan #2 Tunnel Sanchatan 1,100 m Qiushuping Tunnel Xiaohe Town 20 m Wujiaya Tunnel

16 Notional noise source is an assumption in construction noise impact assessment that all PME items are considered to be grouped at a position mid-way between the approximate geographic center of the construction site and its boundary nearest to the noise sensitive receptor.

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Shortest Trunk Road Name of Sensitive Receptor Distance to Name of Tunnel Tunnel Opening Yujiawan 25 m Yujiawan Tunnel Goujiashan 40 m Goujiashan Tunnel Shuangmiaoling #1 Tunnel Huayuan Village 575 m S224 Shangnan - Yunxian Shuangmiaoling #2 Tunnel Sanguanmiao Village Baishegou Group 235 m Baishegou Tunnel Source: EIR.

185. Blasting is an intermittent pulsating noise. The sound power level for each blast depends on the size of explosive used but generally ranges from 110-120 dB(A) for road tunnel construction. The EIR indicated that based on noise monitoring during blasting for the construction of the Liangshan Tunnel on Baohan Expressway, noise levels at 60 m and 120 m distances from the blast site were 91.5 dB and 86.8 dB respectively. Noise impact from blasting would therefore be confined to within 200 m of the blast site, potentially affecting six of the above 10 locations. The energy from blasting attenuates quickly and the noise impact would be of short duration.

186. The energy released from blasting also causes ground vibration that could be transmitted to nearby structures. According to PRC’s Blasting Safety Code (GB 6722-2011), the allowable vibration velocity for road tunnel constructing by blasting is 10-20 cm/s. The EIR indicated that based on monitoring data collected during blasting for construction of the Dongyan Tunnel on the Hurong Highway in Hubei Province, the vibration velocity was found to decrease to 0.5 cm/s at a distance of 30 m from the blast, to 0.24 cm/s at a distance of 48 m, and to 0.15 cm/s at a distance of 68 m. The allowable standard for ordinary residential buildings prescribed in GB 6722-2011 is 1.5-3.0 cm/s, and for stone or rubble houses 0.15-1.5 cm/s. Using the average of 0.15 m/s, vibration from blasting could affect buildings within 70 m from the blast site. Table 42 shows that there are four villages/towns with houses that are within 70 m from the tunnel opening and blasting at or near the tunnel opening could have vibration impact on some houses especially those built with stone or rubble. Mitigation measures will include noise and vibration monitoring at these four locations during blasting, and if necessary reduction of the charges for each blast to reduce noise and vibration impact.

187. Contractors will be required to implement the following mitigation measures for construction activities to meet PRC construction site and WBG recommended noise limits and to protect sensitive receptors. Some measures are generic and are applicable to all construction sites and activities: i. During daytime construction, the contractor will ensure that: (i) noise levels from equipment and machinery conform to the PRC standard for Noise Limits for Construction Sites (GB12523-2011) and the WBG EHS Standards; (ii) equipment with high noise and high vibration are not used near village or township areas and only low noise machinery or the equipment with sound insulation is employed; (iii) sites for asphalt-mixing plants and similar activities will be located at least 300 m away from the nearest sensitive receptor; and (iii) temporary anti- noise barriers or hoardings will be installed around the equipment to shield residences when there are residences within 80 m of the noise source. ii. For all new road sections including new tunnels and new bridges, there will be no night time (between 22:00 and 06:00 hours) construction. iii. For existing road sections, night time construction shall be avoided. Yet, recognizing that construction occasionally would require some works to be conducted at night to take advantage of less road traffic or to avoid worsening 88

day time traffic conditions, night time construction work if needed should prevent using high sound power level equipment and nearby residents should be notified of such night time activities well beforehand. iv. Regularly monitor noise at sensitive areas (refer to the monitoring plan). If noise standards are exceeded by more than 3 dB, equipment and construction conditions shall be checked, and mitigation measures shall be implemented to rectify the situation. v. Provide the construction workers with suitable hearing protection (ear muffs) according to the worker health protection law of the PRC. vi. Control the speed of bulldozer, excavator, crusher and other transport vehicles travelling on site, adopt noise reduction measures on equipment, ensure regular equipment repair and maintenance to keep them in good working condition. vii. Limit the speed of vehicles travelling on construction sites and haul roads (less than 8 km/h), forbid the use of horns unless absolutely necessary, minimize the use of whistles. viii. Monitor noise and vibration at Hongyantan, Xiaohe Town, Yujiawan and Goujiashan during blasting for the construction of tunnels Hongyantan #1, Hongyantan #2, Yujiawan and Goujiashan on S102. Based on monitoring results, reduce the charge for each blast if necessary. ix. Maintain continual communication with the villages and communities along the road alignments, particularly in respect of construction activities that may result in disturbance or inconvenience and ensure GRM is accessible and effective.

188. The WBG’s EHS guideline also provides the following guidance to mitigate noise and vibration impacts caused by the operation of pile drivers, earth moving and excavation equipment, concrete mixers, cranes and the transportation of equipment, materials and people during construction and decommissioning activities: i. Plan activities in consultation with local communities so that activities with the greatest potential to generate noise and vibration are planned during periods of the day that will result in least disturbance. ii. Use noise control devices, such as temporary noise barriers and deflectors for impact and blasting activities, and exhaust muffling devices for combustion engines. iii. Avoid or minimize project transport through community areas.

189. For mitigating potential impacts from blasting: i. Conduct a pre-construction dilapidation survey of properties within the blasting zone of influence (area to be determined by contractor based on level of charge) to confirm existing structural condition. All prominent defects in the form of cracks, settlement, movement, water seepage, spalling concrete, distortion, subsidence and other building defects should be recorded in photographs and supporting notes. ii. Monitor noise and vibration at Hongyantan, Xiaohe Town, Yujiawan and Goujiashan during blasting for the construction of tunnels Hongyantan #1, Hongyantan #2, Yujiawan and Goujiashan on S012. Based on monitoring results, reduce the charge for each blast if necessary.

190. Noise and vibration impacts during the construction stage would be of short duration. Potential sensitive receptors will be exposed to short term, localized impacts. With the above mitigation measures in place, potential noise and vibration impacts during the construction stage would be reduced to acceptable levels.

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191. Water Quality. Uncontrolled wastewater and muddy runoff from construction sites and work camps could potentially pollute nearby water bodies and clog up drains. Construction of the foundations for river crossing bridges by bored piling could disturb river sediment and increase suspended solid (SS) concentration in the rivers. Bridge works at some locations would also involve earth works on the river bank. Major rivers within the project area of influence include the Han River (which runs parallel to but does not cross trunk road G316); Xun River (crossed six times by trunk road S102); Qianyou River (crossed four times by trunk road S102), Xian River (crossed six times by trunk road S224), Dan River (crossed once by existing bridge on trunk road S224), and the Xiang River and Tao River running parallel to trunk road S224 on some sections (see Table 26). Site reconnaissance revealed that these rivers are subject to substantial disturbance by human activities, such as sand dredging on the Han River, Dan River and Xun River (see Figures 15, 16 and 18). Nevertheless, The Han River, Xian River, Dan River, Xiang River and Tao River are assigned Category II water quality standard and direct discharge of untreated wastewater into these water bodies is prohibited. Wastewater from construction sites and bridge pre-casting yards near these water bodies will be installed with wastewater treatment facilities for treating process wastewater and wastewater from the construction workers. During bridge foundation construction, barriers such as sand bags, silt curtains or earth bunds will be placed to surround the piling locations to contain and minimize the dispersion of SS.

192. Tunneling will also result in seepage of large quantities of pore water from the rock crevices where the water, usually containing high levels of SS, will need to be treated (e.g. by sedimentation) prior to discharge. The use of the New Austrian Tunneling Method should minimize pore water seepage during tunneling.

193. There are three drinking water collection sumps near trunk road S224 alignment (see Table 26 and Figure 10). These sumps collect mountain stream runoff for supplying drinking water to nearby villagers. All sumps are underground and are on the upslope/upstream side of the road alignment. Appropriate measures will be needed to protect these drinking water sources from water quality pollution by road runoff, discharge of process wastewater, spillage of chemicals, deposition of excavated spoil and illegal dumping of refuse during the construction of trunk road S224 near these locations.

194. The contractors will implement the following mitigation measures to prevent water pollution: i. Portable toilets and small package wastewater treatment plants and/or septic tanks will be provided on construction sites and construction camps for the workers. If there are nearby public sewers, interim storage tanks and pipelines will be installed to convey wastewater to public sewers. Construction sites and camps shall also have drainage provisions to collect and treat site runoff. ii. Sedimentation tanks will be installed on construction sites (including tunneling sites) to treat process water (e.g. concrete batching for bridge construction) and muddy runoff with high concentrations of suspended solids. If necessary, flocculants such as polyacryl amide (PAM) will be used to facilitate sedimentation. iii. Construction of river crossing road bridge foundations will avoid the rainy season from May to October to minimize potential water quality impact. Mitigation measures such as placement of sandbags or berms around foundation and shoreline works to contain muddy water runoff will be adopted. Slurry from pile drilling in the river bed will be pumped to shore and properly disposed of. This will reduce the disturbance of sediments and the impact on water quality. 90

iv. Construction machinery will be repaired and washed at designated locations. No onsite machine repair and washing shall be allowed. v. Storage and refueling facilities for fuels, oil, and other hazardous materials will be within secured areas on impermeable surfaces, and provided with bunds and cleanup kits. If refueling in the field is required, it will be done from road-licensed fuel trucks away from watercourses or other environmentally sensitive areas. vi. The contractors’ fuel suppliers must be properly licensed, follow proper protocol for transferring fuel, and must be in compliance with Transportation, Loading and Unloading of Dangerous or Harmful Goods (JT 3145-88). vii. Material stockpiles will be protected against wind and runoff waters which might transport them to surface waters. There shall be no storage of materials and equipment in river channels or close to sensitive receptors. Temporary storage of materials and equipment on river banks, if necessary, shall be short-term and protected to prevent run-off polluting river water. viii. Any spills are to be cleaned up according to PRC norms and codes within 24 hours of the occurrence, with contaminated soils and water treated according to PRC norms and codes. Records must be handed over without delay to the FFPO and local EPB. An emergency spill contingency plan shall be prepared by the Contractors as part of the SEMP and personnel will be trained in its use. ix. Mitigation of water quality impact during river crossing bridge construction will be based on water quality monitoring results. At each river crossing bridge construction location, upstream and downstream monitoring stations will be set up and SS levels monitored. When the SS levels at the downstream impact station is 130% higher than the SS levels at the upstream control station, the contractor shall adopt alternative construction methods or additional mitigation measures until the downstream SS level is less than 130% above the upstream SS level. x. Road side hoarding will be placed at the three locations of drinking water collection sumps on trunk road S224 as barriers to prevent contamination of these drinking water sources by construction materials and wastes. No stockpiling of construction materials and aggregates is permitted within 300 m of these sumps. All wastewater generated from road construction within 300 m of these sumps will be treated and diverted to downstream of these sumps for discharge. Cut-off and diversion drains will be installed at these locations and other sensitive receptors, as required, to divert run-off away. The need for additional temporary covers for sumps to prevent ingress of pollutants will also be considered. No wastewater from the construction sites shall be discharged into the Xian River, Dan River, Xiang River and Tao River during construction on S224.

195. Solid Waste and Earth Works. Solid waste generated during construction will include refuse generated by construction workers on construction sites, refuse generated by construction workers on construction sites, and C&D waste dominated by excavated spoil during earth works for the project roads. If not properly disposed, such wastes will create community health and sanitation problems. The EIRs estimated that approximately 1 kg/day of refuse would be generated on each construction site by the construction workers. The EIRs also recommended that all the asphalt waste from old road paving should be recycled and re-used for road sub-grade rehabilitation. Asphalt waste is deemed hazardous waste that is subject to licensed disposal at designated hazardous waste treatment centers and cannot be disposed at sanitary landfill.

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196. After reusing approximately 2.3 million m3 of earth cut material as backfill, an excess of approximately 3.6 million m3 of earth cut material (see Table 13) will be disposed of at 21 spoil disposal sites (see Table 20 for the three trunk roads. Rural road upgrade will reuse approximately 280,000 m3 of earth cut material as backfill, and the excess of approximately 1.3 million m3 (see Table 19) will be disposed of at 29 spoil disposal sites (see Table 20). Other C&D wastes also include materials from demolition of buildings and old bridge structures and drainage culverts. Since the C&D waste is common solid waste without toxic or harmful content, it can be used for filling and foundations of other construction works specified by the municipal and planning departments. Generally, C&D waste including disposal is not anticipated to have adverse environmental impacts.

197. The following mitigation measures will be implemented to manage spoil disposal and borrow areas: i. Strip and store topsoil in a stockpile for reuse in restoration. ii. Use spoil disposal sites and borrow areas approved by AEPB and SEPB and manage in accordance with approved plans. The contractors will only use material from borrow pits that have been licensed and approved. iii. Avoid side casting of spoil on slopes. iv. Co-ordinate with water resources bureau monitoring stations on effectiveness of soil erosion prevention measures and any need for remedial action. v. Spoil disposal sites and borrow areas shall be at least 300 m from any water body. Borrow areas should be sited at least 500m from residential areas so as to reduce dust and noise from these areas. vi. Borrow areas and spoil disposal sites with long, steep slopes, susceptible to erosion should be avoided and should include small level cut-off drains to break up and redirect run-off. vii. The contractors should plan their work in borrow areas and spoil disposal sites so that the open area is minimised and rehabilitation can be completed progressively. viii. Restoration of spoil disposal sites and borrow areas will follow the completion of works in full compliance with all applicable standards and specifications, and will be required before final acceptance and payment under the terms of contracts. ix. Conduct project completion audit to confirm that spoil disposal site and borrow area rehabilitation meets required standard, contractor liable in case of non- compliance.

198. The following mitigation measures will be implemented to manage construction site refuse and construction and demolition (C&D) wastes: i. Temporary storage and permanent disposal of C&D wastes at designated sites only. These sites shall be at least 300 m from any water body. ii. Attempts shall be made to maximize the re-use of earth cut materials and C&D wastes on the project, including the re-use of old asphalt or concrete road pavements. Asphalt waste must be disposed of at approved hazardous waste treatment center. iii. Transport C&D waste in enclosed containers. iv. Establish enclosed waste collection points on site, with separation of domestic, construction and recyclable waste streams. v. Set up centralized domestic waste collection point and transport offsite for disposal regularly by sanitation department.

199. To prevent soil contamination on construction sites, the following mitigation measures 92 shall be implemented: i. Develop spill response plan. Keep a stock of absorbent materials (e.g. sand, earth or commercial products) on site to deal with spillages and train staff in their use. ii. If there is a spill take immediate action to prevent entering drains, watercourses, unmade ground or porous surfaces. Do not hose the spillage down or use any detergents. Use oil absorbents and dispose of used absorbents at a waste management facility. iii. Record any spill events and actions taken in environmental monitoring logs and report to LIEC. iv. Properly store petroleum products, hazardous materials and waste in clearly labeled containers on an impermeable surface in secure and covered areas, preferably with a containment tray for any leaks.

200. Soil erosion. Runoff from construction sites is one of the largest sources of sediment in urban areas under development. If uncontrolled, eroded sediment from construction sites creates adverse impacts on water quality, drainage and recreational activities. Table 44 shows that it is estimated that approximately 30,600 t of soil would be eroded during the construction stage for the three trunk roads without mitigation. Approximately two-thirds of this total (20,200 t) could be attributed to the project while the other one-third would be due to background loss. Approximately 55% of erosion would occur on permanent land take sites and the other 45% on temporary land take sites. Of the three trunk roads, soil erosion would be highest on S224 since it is the longest of the three, accounting for 61% of the total erosion and 69% of soil erosion due to the project. No information on soil erosion for the rural roads is available since the PRC deems soil erosion impact on class IV roads to be minimal and therefore does not require any assessment. The paving of the eight rural roads some of which are earthen roads will in fact reduce future soil erosion on these roads.

Table 44: Soil Erosion during the Construction Stage for the Trunk Roads

Soil Erosion Quantity (t) Project Sites Background Erosion Project Erosion Total Erosion Permanent land take sites 6309 11039 17348 G316 439 431 870 S102 1973 3118 5091 S224 3897 7490 11387 Temporary land take sites 4062 9163 13225 G316 472 335 807 S102 2741 2405 5146 S224 849 6423 7272 G316 total 911 766 1677 S102 total 4714 5523 10237 S224 total 4746 13913 18659 TOTAL 10371 20202 30573 Source: SWCR.

201. Soil erosion protection measures including engineering, planting and temporary measures as described in the SWCRs are summarized in Table 45. The most effective erosion control will be interception drainage to protect disturbed surfaces from surface flows, and sedimentation ponds to remove silt and sand from construction site runoff. The SWCRs also contain soil erosion monitoring programs for implementation during the construction stage. The

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EMP will not include the details on mitigation and monitoring of soil erosion, but will require that all the SWCR requirements on mitigation and monitoring of soil erosion be included in all tender documents and works contracts.

Table 45: Soil Erosion Protection Measures

Project Site Engineering Measure Planting Measure Temporary Measure Permanent land take sites  Road embankment slope  Road side shrub planting  Storage and reuse of protection for slope protection topsoil during  Road subgrade drainage  Road side tree buffer reinstatement works planting  Temporary hoarding  Top soil and earth  Grass seeding of top soil around top soil temporary material removal temporary storage area storage areas  Tarpaulin cover of stripped top soil storage areas  Temporary hoarding or berm around earth cut and mud slurry storage areas for bridge, tunnel and culvert works  Tarpaulin cover on trucks transporting earth material Construction staging areas  Top soil removal  Planting of vegetation  Storage and reuse of  Planting of vegetation on topsoil during backfill earth material reinstatement

Haul roads  Plant grass sod  Storage and reuse of topsoil during reinstatement Spoil disposal sites and  Perimeter berm  Vegetation planting on  Storage and reuse of borrow areas  Perimeter drainage/ leveled site topsoil during interception ditch  Vegetation planting on reinstatement  Site leveling and side slopes backfilling Source: SWCR.

202. The following mitigation measures shall be adopted to minimize soil erosion: i. Ensure contractors are aware of all soil erosion requirements as set out in the approved plan in the SWCR and have developed appropriate method statements and management proposals. ii. Avoid rainy season. If necessary, construct berms to direct rainwater runoff away from exposed surface. iii. Install drainage ditches and sedimentation tanks in temporary construction areas to prevent soil erosion and to manage run-off. iv. Stabilize all cut slopes, embankments and other erosion-prone working areas while works are ongoing. Implement permanent stabilization measures as soon as possible, at least within 30 days. v. Pay close attention to drainage provision and establishment of vegetation cover on backfilled areas to prevent soil erosion. vi. If restoration is carried out during periods of hot or extreme weather, ensure adequate aftercare to maximize survival. 94

F. Impacts and Mitigation on Biological Resources, Ecology and Biodiversity

203. Vegetation. This project will involve the rehabilitation of approximately 326.06 km of trunk roads and rural roads. The majority of these roads will involve rehabilitating and/or widening the existing alignment, with new alignments accounting for only 19 km (6%) of the total length, half of which will be bridges and tunnels. Widened and new road sections will result in permanent loss of vegetation and habitats from approximately 192 ha of land. Staging of construction will result in temporary loss of vegetation and habitat from 61 ha of land. Temporary land take areas will be re-vegetated and landscaped after completion of construction works. Dominant vegetation types in permanent and temporary land take areas for the three trunk roads have been presented in Table 33, which indicates that the wooded areas are dominated by shrub land (approximately 55% of the wooded areas), followed by planted vegetation (including food crops and economic species) (21%) and deciduous broad-leaf woodland (17%). In terms of biomass, these wooded areas are dominated by shrub land (40%) and deciduous broad-leaf woodland (36%). The 2.5 km new section of RR4 is dominated by shrub land, grass land and cultivated species. These vegetation types have been described (see Table 32) and species present have also been presented in Table 31. No shrub species recorded in the project area of influence are under international, national or provincial protection. Based on information gathered and presented, the project area of influence is dominated by the existing road alignments, followed by common habitats and flora many of which were planted and subject to anthropogenic influence.

204. Eight protected (IUCN and/or national protection status) plant species have been recorded in the project area of influence. These include the Dawn Redwood (Metasequoia glyptostroboides), Faber’s Fir (Abies fabri), Chinese Douglas-Fir (Pseudotsuga sinensis), Phoebe zhennan, Tall Gastrodia (Gastrodia elata), Camphor Tree (Cinnamomum camphora), Horse-eye Bean Tree (Ormosia hosiei) and Lotus (Nelumbo nucifera).

205. The Dawn Redwood Metasequoia glyptostroboides is a fast growing deciduous tree. It is the sole living species of the genus Metasequoia and is one of three species of conifers known as redwoods. According to IUCN it is endemic to central PRC: Chongqing (Shizhu), Hubei (Lichuan, Zhonglu), and Hunan (Longshan, Sangzhi). This species is classified as Endangered as there has been a recent decline in the quality of its natural habitat and number of mature individuals. Other than being native to Chongqing, Hubei and Henan, Catalogue of Life PRC 2013 Annual Checklist describes that its distribution includes cultivation in Anhui, Fujian, Guangdong, Guangxi Zhuang Autonomous Region, Guizhou, Hebei, Henan, Hubei, Hunan, Jiangsu, Jiangxi, Liaoning, Shaanxi, Shandong, Shanxi, Sichuan, Yunnan, Zhejiang. The Dawn Redwood is not native to Ankang and Shangluo and is widely distributed in the PRC due to cultivation.

206. The Faber’s Fir Abies fabri is endemic to Western Sichuan Province in the PRC occurring at elevations of 2,000 – 3,100 m. It is classified as Vulnerable by IUCN due to continuing population decline in its natural habitat in Western Sichuan due to acid rain from industrial emissions in Chengdu. The Catalogue of Life PRC 2013 Annual Checklist also describes that this species is mainly distributed in Sichuan Province. The Fabler’s Fir is not native to Ankang and Shangluo.

207. The Chinese Douglas-Fir Pseudotsuga sinensis is native to the PRC and is widely distributed in the provinces and autonomous regions of Anhui, Fujian, Guangxi Zhuang Autonomous Region, Guizhou, Hubei, Hunan, Jiangxi, Shaanxi, Sichuan, Yunnan, Zhejiang according to IUCN and Catalogue of Life PRC 2013 Annual Checklist, occurring in low to

95 medium high mountains at various elevations with the highest record at 3,300 m. The timber is extracted extensively for construction, bridge building, furniture and wood fiber throughout the species' range and particularly in accessible areas. Trees are also being lost through habitat destruction for expansion of agricultural activities. Very large trees are rare as they have been extensively logged in the past; hence the economic value of this species has diminished as it appears not very suitable for plantation forestry. The species is very rare in cultivation as an amenity tree and is virtually restricted to a few arboreta and botanic gardens.

208. The Phoebe zhennan is a large tree that could be up to 30 m tall. It is native to the PRC mostly occurring in the provinces of Guizhou, Hubei, Hunan and Sichuan mainly confined to semi-natural forests and threatened by habitat loss. The wood of P. zhennan is very valuable especially when it is semi-fossilized and becomes what is referred to as “black wood”.

209. The Tall Gastrodia Gastrodia elata is native to the PRC and according to the Catalogue of Life PRC 2013, occurs in the provinces and autonomous regions of Guizhou, Yunnan, Tibet Autonomous Region, Jilin, Liaoning, Inner Mongolia Autonomous Region, Hebei, Shanxi, Shaanxi, Gansu, Jiangsu, Anhui, Zhejiang, Jiangxi, Henan, Hubei, Hunan and Sichuan. It is a saprophytic perennial herb of the orchid family, usually growing at elevations of 400–3200 meters at the edge of forest. The herb is used in traditional Chinese medicine and Sichuan cuisine.

210. The Camphor Tree Cinnamomum camphora is native to the PRC south of the Yangtze River, southern Japan, Korea and Vietnam, and has been introduced to many other countries. Catalogue of Life PRC 2013 describes that it is widely distributed in the southern and southwes tern provinces in the PRC. It is a large evergreen tree that grows up to 20-30 m tall. The tree is also cultivated for camphor and timber production. Camphor is a white crystalline substance obtained from the tree and has been used for many centuries as a culinary spice, a component of incense, and as a medicine.

211. The Horse-eye Bean Tree Ormosia hosiei is native to the PRC, occurring in the provinces of Fujian, Gansu, Guangxi Zhuang Autonomous Region, Guizhou, Hubei, Hunan, Jiangsu, Jiangxi, Shaanxi, Sichuan, Yunnan and Zhejiang according to Catalogue of Life PRC 2013. The natural habitat of this species is in low-elevation broadleaved forest. Habitat conversion to agriculture and overexploitation of the species for its timber are the main causes of population declines.

212. The Lotus Nelumbo nucifera is distributed all over the country according to Catalogue of Life PRC 2013. The plant is an aquatic perennial and is commonly cultivated in water gardens. It is recorded as a cultivated species in the project area of influence.

213. The above protected plant species are widely distributed in many provinces and autonomous regions in the PRC according to Catalog of Life PRC 2013, except the Faber’s Fir which is endemic to western Sichuan Province. None of the species is native to Ankang and Shangluo Cities. To protect these species during project implementation, a tree survey will be carried out prior to commencement of construction and the protected species within the project area of influence will be marked and fenced off to avoid destruction of these species. If avoidance is not possible or practical, transplant of these species to another location will be carried out.

214. Fauna. The composition of fauna described in this EIA was based on information from literature for Ankang and Shangluo Cities therefore covering a considerably larger area than the 96 project area of influence for the trunk roads and the rural roads. Since these species have been recorded in the two cities where the project roads are located, the probability of them occurring in or wandering through the project area of influence cannot be ruled out.

215. Of the fauna species recorded, 12 species are under IUCN protection status and another 17 species are under national protection status. The 12 faunal species that are classified by IUCN as under threat are due to rapid or serious population decline from over exploitation and/or habitat destruction and degradation. Two species, the Forest Musk Deer Moschus berezovskii and the Yellow-breasted Bunting Emberiza aureola are classified as Endangered, and the other 10 species are classified as Vulnerable.

216. The Endangered Forest Musk Deer Moschus berezovskii is native to the PRC and Vietnam. According to IUCN, It is widely distributed in central and southern PRC (Shaanxi, Gansu and Henan, south to southeastern Tibet Autonomous Region, Yunnan, Guangxi Zhuang Autonomous Region, Guangdong and Jiangxi; extending to the eastern Himalayas and into northeastern Viet Nam, and perhaps northern Lao PDR. It is listed as Endangered due to serious population decline from over exploitation (hunted for their scent glands) and habitat destruction and degradation. This species inhabits coniferous or broad-leaved forests, or mixed forests and shrublands at high elevations (2,000-3,800 m). Catalog of Life PRC 2013 also describes its wide distribution in the provinces and autonomous regions of Sichuan, Guangdong, Hunan, Guizhou, Shaanxi, Henan, Tibet Autonomous Region, Anhui, Guangxi Zhuang Autonomous Region, Hubei, Gansu, Ningxia Hui Autonomous Region, Shanxi, Yunnan and Qinghai.

217. The Yellow-breasted Bunting Emberiza aureola was recently upgraded from Vulnerable to Endangered by the IUCN because it has undergone a very rapid population decline owing mainly to trapping on wintering grounds. Hunting of this species was banned in 1997 but it is still considered a delicacy, particularly in southern PRC. Habitat loss is not one of the cited reasons for this bird’s decline. It breeds in wet meadows with tall vegetation and scattered scrub, riverside thickets and secondary scrub. It winters in large flocks in cultivated areas, rice fields and grasslands, preferring scrubby dry-water rice fields for foraging and reedbeds for roosting. Roosting flocks in reed beds are disturbed and then caught in mist-nets, they are cooked and sold as "sparrows" or "rice-birds"; this practice was formerly restricted to a small area of southern PRC, but has now become more widespread and popular owing to increasing affluence, and hunters now have to travel widely to find sufficient birds. Catalogue of Life PRC 2013 states that the Yellow-breasted Bunting is distributed in Jilin, Tianjin, Xinjiang Uyghur Autonomous Region, Guangxi Zhuang Autonomous Region, Heilongjiang, Fujian, Guangdong, Sichuan, Hubei, Inner Mongolia Autonomous Region, Hunan, Liaoning, Shandong, Ningxia Hui Autonomous Region, Shaanxi, Shanxi, Macau, Shanghai, Zhejiang, Henan, Qinghai, Hebei, Gansu, Anhui, Yunnan, Hong Kong,PRC, Guizhou, Beijing, Hainan, Jiangxi, Jiangsu and Chongqing.

218. The Takin Budorcas taxicolor occurs in Bhutan, PRC (southeastern Gansu, Sichuan, Shaanxi, southeast Tibet Autonomous Region, and northwestern Yunnan), and northeast India and northern Myanmar. According to IUCN, the sub-species Budorcas taxicolor bedfordi is confined to the Qinling mountains in southern Shaanxi province where distribution records of its occurrence have been collected throughout mountain ranges between elevations of 1,500 to 3,600 m. The area covers 17 counties of Shaanxi Province, west from Mount Ziboshan in Liuba County, as far east as Niubeiliang in Zashui County. The current distribution covers the 18 counties of Shaanxi province: Foping, Yangxian, Ningqiang, Liuba, Mianxian, Chenggu, Ningshan, Shiquan, Fengxian, Zashui, Zhen’an, Danfeng, Taibai, Meixian, Zhouzhi, Liantian,

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Chang’an, and Huxian. The project counties Hanyin, Xunyang and Shangnan are not within the recorded distribution ranges of the Takin.

219. The Sumatran Serow Capricornis sumatraensis is native to Indonesia, Malaysia and Thailand. It inhabits steep mountain slopes between 200 and 3,000 m, covered by both primary and secondary forests. Catalog of Life PRC 2013 describes its distribution range in the PRC includes the provinces and autonomous regions of Sichuan, Fujian, Guangdong, Hunan, Zhejing, Guizhou, Shaanxi, Jiangxi, Anhui, Tibet Autonomous Region, Guangxi Zhuang Autonomous Region, Hubei, Gansu, Yunnan and Qinghai.

220. The Southern Pig-tailed Macaque Macaca nemestrina is native to Brunei, Indonesia, Malaysia and Thailand. It occupies lowland primary and secondary forest, as well as coastal, swamp and montane forest. It prefers dense rainforest at all elevations, but is equally at home in agricultural land. Catalog of Life PRC 2013 describes its main distribution range in the PRC is in Yunnan Province.

221. The Siberian Musk Deer Moschus moschiferus, according to IUCN, occurs widely in the Russian Federation (Siberia and the Far East), extreme eastern Kazakhstan, northeastern and northwestern PRC, Mongolia, Republic of Korea and Democratic People's Republic of Korea. They inhabit mountainous broadleaf and needle forest, and are typically found in forests of dense birch (Betula spp.) and larch (Larix spp.), and shrub-covered slopes in sub-alpine zones. Catalog of Life PRC 2013 describes that this species occurs in the provinces and autonomous regions of Jilin, Anhui, Hebei, Heilongjiang, Gansu, Liaoning, Shanxi and Inner Mongolia Autonomous Region. Illegal, unsustainable hunting for musk is the principal threat to this species.

222. The Clouded Leopard Neofelis nebulosa is found from the Himalayan foothills in Nepal through mainland Southeast Asia into the PRC. There are high levels of illegal trade in its skin and bones. They are strongly associated with forest habitat, particularly primary evergreen tropical rainforest, but there are also records from dry and deciduous forest, as well as secondary and logged forests. They have been recorded in the Himalayas up to 2,500 m and possibly as high as 3,000 m. Less frequently, they have been found in grassland and scrub, dry tropical forests and mangrove swamps. Catalog of Life PRC 2013 describes the distribution range of the Clouded Leopard to include the provinces and autonomous regions of Sichuan, Fujian, Guangdong, Hunan, Zhejiang, Guizhou, Shaanxi, Henan, Jiangxi, Hainan, Tibet Autonomous Region, Anhui, Guangxi Zhuang Autonomous Region, Hubei, Gansu and Yunnan.

223. The Greater Spotted Eagle Aquila clanga is widely distributed in the PRC and according to the Catalog of Life PRC 2013, in the provinces and autonomous regions of Guangdong, Henan, Jiangxi, Jilin, Anhui, Hebei, Shanxi, Jiangsu, Sichuan, Fujian, Hunan, Zhejiang, Liaoning, Shandong, Xinjiang Uyghur Autonomous Region, Inner Mongolia Autonomous Region, Tibet Autonomous Region, Guangxi Zhuang Autonomous Region, Hong Kong,PRC, Hubei, Heilongjiang, Yunnan and Qinghai. It is a migratory species, with birds leaving their breeding grounds in October and November to winter in southern Europe, southern Asia and north-east Africa. It occurs in lowland forests near wetlands, nesting in different types of (generally tall) trees, depending on local conditions. Key threats to this species are habitat destruction and disturbance, also poaching and electrocution can be considered important. Suitable habitat mosaics have been lost as a result of afforestation and wetland drainage.

224. The Eastern Imperial Eagle Aquila heliaca, according to IUCN, has a small global population, and is likely to be undergoing continuing decline, primarily as a result of habitat loss 98 and degradation, adult mortality through persecution and collision with power lines, nest robbing and prey depletion. This is a lowland species that has been pushed to higher altitudes by persecution and habitat loss, and breeds from southeastern Europe to western and central Asia. Most populations are migratory and winter in northeastern Africa, and southern and eastern Asia. These birds make their southward migration between September and November, returning between February and May. Wetlands are apparently preferred on the wintering grounds. Catalog of Life PRC 2013 describes that this species is distributed in the provinces and autonomous regions of Sichuan, Fujian, Guangdong, Zhejiang, Guizhou, Shaanxi, Henan, Liaoning, Shangdong, Jilin, Xinjiang Uyghur Autonomous Region, Inner Mongolia Autonomous Region, Hong Kong,PRC, Hebei, Hubei, Gansu, Yunnan, Qinghai, Guangxi Zhuang Autonomous Region, Jiangsu, Inner Mongolia Autonomous Region Autonomous Region and Hong Kong,PRC.

225. The Dalmatian Pelican Pelecanus crispus has a scattered distribution in Europe, migratory status in Asia, and breeds in eastern Europe and east-central Asia. It occurs mainly at inland, freshwater wetlands but also at coastal lagoons, river deltas and estuaries. Catalog of Life PRC 2013 describes its distribution range to include the provinces and autonomous regions of Guangdong, Shaanxi, Henan, Jiangxi, Hainan, Anhui, Hebei, Gansu, Ningxia Hui Autonomous Region, Shanxi, Jiangsu, Fujian, Hunan, Zhejiang, Liaoning, Shandong, Xinjiang Uyghur Autonomous Region, Inner Mongolia Autonomous Region, Hong Kong,PRC, Guangxi Zhuang Autonomous Region, Hubei and Qinghai.

226. The Cabot’s Tragopan Tragopan caboti is endemic to southeastern PRC, where it is known from many widely scattered localities in the mountain ranges in the provinces and autonomous regions of Zhejiang, Fujian, Jiangxi, Hunan, Guangxi Zhuang Autonomous Region and Guangdong. It inhabits subtropical, evergreen broadleaved forest and mixed deciduous- coniferous forest at 600-1,800 m, and open areas above the tree-line, nesting in large trees found near ridge tops. The main threat is habitat loss and modification, particularly where this leads to habitat fragmentation. Its recorded limited ability to disperse across gaps in forest cover greater than 500 m means the species is highly susceptible to fragmentation and forest clearance as a result of the demands for agricultural land and timber, as well as the development of urban areas, roads and railways.

227. The Wild Common Carp Cyprinus carpio is deemed Vulnerable by IUCN because of slow but continuous decline in its native populations in the Black, Caspian and Aral Sea basins due to river regulation. Hybridization with domesticated introduced stocks, East Asian congeners and their hybrids, is also a serious long term threat for the species. Although the wild populations are considered Vulnerable, the species has been domesticated and introduced into environments worldwide in lakes and large rivers in Europe and Asia. The fish is also commonly cultured in the PRC, constituting one of four important freshwater fish species for human consumption.

228. The 17 faunal species that have national protection status in the PRC but are not included on the IUCN red list have been described by the Catalog of Life PRC 2013 as having wide ranges of distribution in many provinces, autonomous regions and municipalities in the PRC.

229. It could be concluded that all the above protected faunal species have been described by Catalog of Life PRC 2013 as widely distributed in many provinces and autonomous regions in the PRC, except the Southern Pig-tailed Macaque Macaca nemestrina that is mainly found in Yunnan Province and the Takin with a sub-species Budorcas taxicolor bedfordi being confined

99 to the Qinling mountains in southern Shaanxi Province where distribution records of its occurrence have been collected throughout mountain ranges between elevations of 1,500 to 3,600 mm and in areas covering 17 counties in the province. The project counties/district of Hanyin, Xunyang and Shangnan are not among the 17 counties. The project counties/district are therefore not native to any of the above protected fauna. The project area of influence is dominated by urban-suburban-rural settings that are unlikely to provide natural habitats for these species and significant impact to these species during project implementation is unlikely. However, as a precautionary measure, it is assumed that these protected faunal species and other wildlife could venture into the project area of influence. To mitigate potential impacts to wildlife during project implementation, the EMP specifies that the construction workers are forbidden to capture wildlife on construction sites.

230. Bore piling of river crossing bridge piers could potentially affect aquatic fauna in the rivers. These rivers include the Xun River (crossed six times by trunk road S102); Qianyou River (crossed four times by trunk road S102), Xian River (crossed six times by trunk road S224), and Dan River (crossed once by existing bridge on trunk road S224). Benthic species at the pier locations will be lost during these activities. Increase in SS levels in the water column near the bridge construction site could reduce light intensity in the water column affecting primary production (by photosynthesis) of phytoplankton, which is preyed upon by the zooplankton and higher trophic levels. Although no survey was conducted on the planktonic and benthic species, these species are mostly ubiquitous in river systems. Bridge piers only occupy a minute area over the entire river bed and should therefore not cause significant impact to the benthic species colonizing the river beds. With mitigation measures for water quality protection implemented as described above, potential impacts are expected to be temporary and confined to the immediate vicinity of bridge construction works. The fish species are all common species. The Common Wild Carp Cyprinus carpio is listed on the IUCN red list for its declining population in the wild in its native habitats in the Black, Caspian and Aral Sea basins, which is not applicable to the rivers listed above. These rivers have been influenced by human activities, such as sand dredging (on the Han, Xun and Dan Rivers, see Figures 15, 16 and 18), hydropower generation (on the Xun River and Han River) and extraction for irrigation water and therefore are unlikely to have high ecological value and biodiversity. With mitigation measures for water quality protection implemented as described above, potential impacts are expected to be temporary and confined to the immediate vicinity of bridge construction works.

231. Protected Area. The existing alignment of G316 is already located within the Shaanxi Han River Wetland, which is deemed by Shaanxi Province as an “important wetland” protected by the Shaanxi Wetland Protection Regulation. It extends over a distance of 300 km from Hanzhong City to Ankang City. The project footprint of 34.4 km of G316, as described earlier, accounts for approximately 0.06% of the total area of the Shaanxi Han River Wetland, within which approximately 52% would involve rehabilitation works on the existing alignment, 45% rehabilitation with road widening, and 3% new alignment construction which is a bridge crossing over a gully (see Table 10). During consultation with the Ankang Municipal Forestry Bureau, the responsible authority for the wetland, it was confirmed that there is no critical habitat within the section of the Shaanxi Han River Wetland that runs through the project area. The scale of potential impact to the wetland is not considered significant.

232. An ecological survey within the G316 project section of the Shaanxi Han River wetland was carried out in June 2015. Survey results as described earlier indicate that the project area of influence was mainly composed of planted landscape consisting of planted woodland, orchards, farmland and residential land, and semi-natural landscape consisting of secondary deciduous broad-leaved mixed woodland, shrubs and wetland of the Han River. These habitats 100 have been influenced by human disturbance. The planted woodlands of Chinese Arbor-vitae, Black Locust and Moso Bamboo were concentrated in small mountain areas. The orchards were dominated by economic species such as Cherry Plum, Common Walnut and Tangerine. The secondary woodland and shrub land were widely distributed in the surrounding areas of G316. The farmland consisted of one patch of rice field and others growing economic crops mixed with orchards. The shoals and flood plain of the Han River would be important habitats for water birds when exposed in the dry season. In the wet season, water level is relatively high and water flow is fast, and is unlikely to provide feeding and breeding habitats for water birds. In addition, the river shows substantial human disturbance already, there is significant sand dredging activity on the river and more than 20 sand and gravel factories on both sides of the Han River. Of the approximately 41.5 ha of permanent and temporary land take areas (see Table 40), approximately 60% were planted or mixed woodland, 31% farmland, 5% residential land and 4% orchards.

233. The ecological survey did not reveal the presence of fish spawning ground, concentrated bird breeding, nesting and wintering grounds in the project area of influence of the Shaanxi Han River Wetland. Protected plants found within the project section of the Shaanxi Han River Wetland included Gingko and Camphor Trees. A few Gingko Trees were found distributed in the gully of the proposed bridges between chainage K6+215 and K6+301. The Camphor Trees were found distributed on both sides of G316 from Guanmiaogou Bridge (chaingage zK33+560) to the end point (chainage K34+801), where construction works would only involve sub-grade rehabilitation and road paving and therefore would be unlikely to cause damage to the Camphor Trees.

234. For wild fauna, key protected species within the project section of the Shaanxi Han River Wetland include the Forest Musk Deer and in the rice fields, the Yellow Breasted Bunting. In the future, the Crested Ibis could warrant protection should its distribution range continue to extend southwest towards the rice fields in the project area of influence.

235. There are two nature reserves (one national and one provincial) associated with the river that are located more than 100 km from the project area and would not be affected by this project. The EMP specifies that no spoil disposal sites will be located and no solid waste disposal will be carried out within the Shaanxi Han River Wetland during the construction of G316 to prevent pollution of the wetland during project implementation. This project will improve the water quality of the Han River as this project provides the opportunity to install 70 sedimentation tanks along G316 during its rehabilitation, for collection of road runoff and removal of pollutants during storm events, thus preventing their discharge directly into the wetland, which is the situation at present. This would benefit the water quality of Han River and its tributaries, and their inhabitants such as the endemic loach Leptobotia tientaiensis hansuiensis.

236. Critical, Natural and Modified Habitats. There is no habitat within the project area of influence that would meet the ADB SPS definition of critical habitat. The majority of the project footprint is on existing road sections, with approximately 9% of the trunk roads footprint and 2.6% of the rural road footprint being new alignments. Approximately 20 ha of deciduous broad- leaf woodland that will be permanently lost due to road widening or new road sections could be deemed as natural habitats but they are not critical to the survival of the protected species listed in this report. New road sections will be landscaped. Temporary land take areas will be restored and vegetated so that no net loss of biodiversity would be anticipated. Based on the environmental setting and the species recorded, these are secondary woodlands that have already been subjected to disturbance by human activities. Modified habitats in the project area

101 of influence are dominated by farmland followed by constructed land for village inhabitants and municipal public facilities.

237. Most of the construction activities would involve widening or rehabilitating existing alignments through already disturbed environments, and permanent and temporary land take areas are dominated by shrub land and planted vegetation that are not critical or natural habitats for the protected flora and fauna. The EMP will specify that the construction workers are prohibited from capturing wildlife on construction sites, for protection of wildlife that might venture into the construction sites.

238. The following mitigation measures will be implemented for protection of biological resources during project construction: i. Conduct a tree survey along the road alignments and mark and fence off all the protected tree species within the project area of influence. Avoid damage to the protected tree species during construction. If unavoidable, transplant these trees to safe location. ii. Construction workers are prohibited from capturing any wildlife during construction; iii. Preserve existing vegetation where no construction activity is planned; iv. Protect existing trees and grassland during construction; where a tree has to be removed or an area of grassland disturbed, replant trees and re-vegetate the area after construction in particular existing mountain gullies underneath the project bridges; v. Remove trees or shrubs only as the last resort if they impinge directly on the permanent works or necessary temporary works.

G. Impact and Mitigation on Socio-economic Resources

239. Land Acquisition and Resettlement. Table 46 presents the affected households, population and buildings due to land acquisition for the three trunk roads and the eight rural roads. 102

Table 46: Resettlement due to Land Acquisition for the Trunk Roads and Rural Roads

Xunyang Hanyin Shangnan Xunyang Hanyin Road Item/Component Name Unit Trunk Trunk Trunk Village Village Safety Total Road Road Road Road Road Component Affected county/District nos 1 2 1 1 1 3 3 Affected township nos 4 4 5 2 1 14 10 Affected village nos 22 11 19 7 3 59 121 Affected enterprise nos 0 0 0 0 0 0 0 Permanent mu 1162.29 464.0 1563.5 169 70 0 3428.76 Collective land land including: farmland mu acquisition 453.53 132.9 217.7 34.2 3.3 0 841.59 Temporary land occupation mu NA 29 NA NA NA NA 29 Housing demolition* ㎡ 31441.6 11887 18543 882 180 0 62933.6 Affected HH 1139 599 1177 50 48 0 3013 by LA only person 3905 2234 4644 196 193 0 11172 Affected Affected HH 153 59 114 0 2 0 328 village by LA and HD person 607 251 488 0 9 0 1355 HH 1292 658 1291 50 50 0 3341 Subtotal person 4512 2485 5132 196 202 0 12527 Directly Affcted HH 0 0 0 0 0 0 0 affected by LA persons only person 0 0 0 0 0 0 0 Affected HH 0 0 0 0 0 0 0 Enterprise by LA and HD person 0 0 0 0 0 0 0 HH 0 0 0 0 0 0 0 Subtotal person 0 0 0 0 0 0 0 HH 1292 658 1291 50 50 0 3341 Total person 4512 2485 5132 196 202 0 12527 0,000 Resettlement budget Yuan 9357.2 3577.1 5614 285.6 52.2 0 18886.1

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Xunyang Hanyin Shangnan Xunyang Hanyin Road Item/Component Name Unit Trunk Trunk Trunk Village Village Safety Total Road Road Road Road Road Component Notes: LA=Land Acquisition, HD=House Demolition, HH=household Affected Person is the same as Displaced Person. ADB Safeguard Policy Statement (2009) trigger for involuntary resettlement changed the terminology of “affected person” to “displaced person”, which is defined as a person who is physically or economically displaced as a result of involuntary acquisition of land or involuntary restrictions on land use or on access to legally designated parks and protected areas. In the PRC, the resettlement plans maintain the original terminology of “affected person” and the definition is equivalent to ADB’s definition of “displaced person”. Since this Project is in the PRC, this Report uses the term Affected Person. * Xunyang village road will not involve residential house demolition but simple ground attached structures such as fences, shelters with 19 affected HH 77 APs 104

240. This project would permanently acquire 228.58 ha of land, temporarily acquire 3.10 ha of land, demolish 62,933.6 m2 of buildings, and affect 3,341 households and 12,527 persons in Hanyin District, Xunyang County and Shangnan County. No ethnic minority population would be affected by this project. Land acquisition and resettlement will be in accordance with PRC and ADB policies.

241. Physical Cultural Resources. Assessment undertaken did not reveal the presence of physical cultural resources within the project area of influence. Should buried artifacts of archaeological significance be uncovered during the construction stage within the project areas, construction will be stopped and immediately reported to the Ankang Cultural Bureau or the Shangluo Cultural Bureau in accordance with PRC’s Cultural Relics Protection Law.

242. Occupational Health and Safety. Due to its nature the construction industry is considered to be one of the most hazardous industries where a number of potentially hazardous operations are carried out. This project involves tunneling, bridge works and a challenging terrain. The civil works contractors will implement adequate precautions to protect the health and safety of construction workers. Contractors will appoint environmental, health and safety (EHS) officers to manage occupational health and safety risks on construction sites by applying the following measures: i. Construction site sanitation: (i) Each contractor shall provide adequate and functional systems for sanitary conditions, toilet facilities, waste management with waste separation, labor dormitories and cooking facilities. Effectively clean and disinfect the site. During site formation, spray with phenolated water for disinfection. Disinfect toilets and refuse bins and ensure timely removal of solid waste; (ii) Exterminate rodents on site at least once every 3 months, and exterminate mosquitoes and flies at least twice each year; (iii) Provide public toilets in accordance with the requirements of labor management and sanitation departments in the living areas on construction site, and appoint designated staff responsible for cleaning and disinfection; (iv) Work camp wastewater shall be discharged into the municipal sewer system or treated on-site using a portable system. ii. Occupational safety: (i) Provide personal protective equipment (safety hats and shoes and high visibility vests) to all construction workers; (ii) Provide safety goggles and respiratory masks to workers doing asphalt road paving; (iii) Provide ear defenders to workers operating and working near noisy PME; (iv) Prepare and obtain approvals of method statements for hazardous activities such as blasting, tunnel works, excavation and working near water. iii. Food safety: (i) Inspect and supervise food hygiene in canteens on site regularly. Canteen workers must have valid health permits. If food poisoning is discovered, implement effective control measures immediately to prevent it from spreading. iv. Disease prevention, health services: The following disease prevention measures and health services will be undertaken: (i) All contracted labor shall undergo a medical examination which should form the basis of an (obligatory) health/accident insurance and welfare provisions to be included in the work contracts. The contractors shall maintain records of health and welfare conditions for each person contractually engaged; (ii) Establish health clinic at location where workers are concentrated, which should be equipped with common medical supplies and medication for simple treatment and emergency treatment for accidents; (iii) Specify (by the IA and contractors) the person responsible for health and epidemic prevention and education and training on food hygiene and disease prevention to raise the awareness of workers and ; (iv) Provide induction

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and training by local health departments on prevention and management of communicable diseases v. Social conflict prevention: No major social risks and/or vulnerabilities are anticipated as a result of the project. The project construction workers will be engaged locally. Civil works contracts will stipulate priorities to (i) employ local people for works, (ii) ensure equal opportunities for women and men, (iii) pay equal wages for work of equal value, and to pay women’s wages directly to them; and (iv) not employ child or forced labor.

243. Community Health and Safety. Temporary traffic diversions, continual generation of noise and dust on haulage routes, and general hindrance to local access and services are common impacts associated with construction works within or nearby local settlements.

244. The project may also contribute to road accidents, for example, through the use of heavy machinery on existing roads and temporarily blocking pavements for pedestrians. The potential impacts on community health and safety will be mitigated through a number of activities defined in the EMP.

245. The contractors will implement the following measures: i. Traffic management: A traffic control and operation plan will be prepared together with the local traffic police prior to any construction. The plan shall include provisions for diverting or scheduling construction traffic to avoid morning and afternoon peak traffic hours, regulating traffic at road crossings with an emphasis on ensuring public safety through clear signs, controls and planning in advance. ii. Information disclosure: Residents and businesses will be informed in advance of the road improvement activities, given the dates and duration of expected disruption and made aware of the Project GRM. iii. Construction sites: Clear signs will be placed at construction sites in view of the public, warning people of potential dangers such as moving vehicles, hazardous materials, excavations etc. and raising awareness on safety issues. Heavy machinery will not be used after day light, where possible, and all such equipment will be returned to its overnight storage area/position before night. All sites will be made secure, discouraging access by members of the public through appropriate fencing, signage and/or security personnel, as appropriate. Alert local communities of the time and location of hazardous and noisy activities such as blasting. iv. Overall disturbance to communities: Contractors will identify and adhere to struct schedule for completion of each road section and to avoid prolonged construction and disturbance to nearby communities.

246. Utilities Provision Interruption. Construction may require relocation of municipal utilities such as power, water, communication cables. Temporary suspension of services (planned or accidental) can affect the economy, industries, businesses and residents’ daily life. Mitigation of impacts on utilities provision will be through a number of activities defined in the EMP, to be incorporated in the tender documents and construction contracts: i. Contractors will assess construction locations in advance and identify potential for disruption to services and risks before starting construction. Any damage or hindrance/disadvantage to local businesses caused by the premature removal or insufficient replacement of public utilities is subject to full compensation, at the full liability of the contractor who caused the problem. ii. If temporary disruption is unavoidable the contractor will, in collaboration with 106

relevant local authorities such as power company, water supply company and communication company, develop a plan to minimize the disruption and communicate the dates and duration in advance to affected persons. iii. Construction billboards, which include construction contents, schedule, responsible person and complaint phone number, will be erected at each construction site.

H. Impacts and Mitigation Measures during the Operation Stage

247. Impact Screening. Operation of the trunk roads will have potential impacts on physical resources such as air quality and noise; water quality; socio-economic conditions such as public safety due to traffic accidents and climate change due to GHG emissions from motor vehicles. Operation of the rural roads would have similar impacts but the extent of impact is expected to be minor due to the low and intermittent traffic volume. The carbon dioxide emissions from motor vehicles travelling on the rural roads are included in the calculation of total carbon dioxide emissions from all project roads.

248. Main impacts to air quality will be from the exhaust fumes emitted by motor vehicles travelling on the project roads. Air pollutants in the exhaust include NO2, CO, hydrocarbon (HC) and PM. Of these, the critical air pollutant is NO2, if NO2 complies with the applicable standard, other pollutants such as CO, HC and PM should also comply with their respective standards. Vehicle exhaust emissions contain GHGs which contribute to climate change. Vehicles travelling on roads also generate noise and vibration. Runoff from the roads into the road drainage system during rainfall and spillage of fuel and other hazardous materials from traffic accidents could potentially affect the water quality of the receiving water bodies, in particular the Category II rivers in the vicinities of trunk roads G316 (Han River) and S224 (Xian River, Dan River, Xiang River and Tao River). Traffic accidents on roads and bridges also have social issues related to public safety. These potential impacts are assessed and mitigation measures described below.

249. Operation of the project components are not anticipated to have adverse impacts on ecology and biodiversity and physical cultural resources with implementation of the EMP.

1. Impacts and Mitigation relating to Air Quality

250. For this project, the Shangluo Environmental Monitoring Station conducted monitoring of NO2 and TSP at Heilongkou along the Lantian – Xiaoshangyuan Class II trunk road in Shangluo City, which has similar traffic volume compared to the three proposed trunk roads. The 24-hr 3 average NO2 levels at 20 m from road side ranged from 0.039 to 0.072 mg/m , showing that GB 3 3095-2012 Class II standard for 24-hr average NO2 (0.08 mg/m ) could be met within 20 m from the road alignment. The 24-hr TSP levels at 20 m from road side ranged from 0.114 to 0.343 mg/m3, showing that GB 3095-2012 Class II standard for 24-hr average TSP (0.300 mg/m3) could be met at approximately 20 m from the road alignment. There is no specific mitigation required. The Shaanxi Provincial Government, the Ankang Municipal Government and the Shangluo Municipal Government are all committed to improving air quality in accordance with the State Council’s Air Pollution Prevention Action Plan for the PRC (State Council [2013] No. 37) (see Chapter II under D: Evaluation Standards).

2. Impacts and Mitigation relating to Noise

251. Tables 47, 48 and 49 present the predicted road traffic noise, based on acoustic

107 principle of how sound travels, attenuated at the existing sensitive receptors in the near term, medium term and long term time horizons on trunk roads G316, S102 and S224 respectively, and the proposed noise mitigation measures which are based on the extent of exceedance in the medium term since there are too many uncertainties between now and the long term horizon relating to land use changes, urbanization, household mobility and other factors. For those receptors that show slight noise exceedance in the medium term or compliance in the medium term but exceedance in the long term, follow up monitoring by the O&M units are proposed to determine whether noise mitigation would be needed in the future.

252. One aspect that is common to all three trunk roads is that noise exceedance happens mainly at night and especially within 35 m from the road alignment (noise functional area Category 4a). For trunk road G316, day time noise exceedance also occurs in noise functional area Category 2 where there is no building in front in Category 4a area to shield the road noise.

253. Proposed mitigation measures presented in Tables 47, 48 and 49 include replacing the road facing windows at the affected premises with double-glazed windows, which could reduce noise levels by approximately 20 dB, noise barriers which could reduce noise levels by approximately 10 dB, and boundary walls which could reduce noise levels by approximately 3 dB. Double glazed windows are proposed for all the affected facades on all three trunk roads except at two locations on trunk road S102 where a 150-m long, 3-m high noise barrier is proposed for the Liangheguan Primary School and a 100-m long, 3-m high barrier wall is proposed for the Tangxing Primary School.

254. The estimated cost for double glazed window installation totals approximately 20.6 million CNY (approximately $3.35 million), with G316, S102 and S224 accounting for approximately 26%, 45% and 29% respectively. The costs for the noise barrier and boundary wall will be part of the civil works for S102 and therefore will not be double counted here.

255. With these mitigation measures in place, operational noise impacts would be reduced to levels that comply with the relevant PRC noise standards and WBG’s EHS standards.

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Table 47: Operational Noise Levels at Existing Sensitive Receptors along G316 and Proposed Mitigation Measures

Time of Day Day Night Noise Functional Category 4a 2 4a 2 Mitigation Year Existing 2017 2023 2031 2017 2023 2031 Existing 2017 2023 2031 2017 2023 2031 No. Sensitive Receptor Chainage dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) Lijiazhuang K0+000 – 49.9 – 42.4 – 1 59.7 60.8 61.6 52.7 53.3 53.8 52.6 53.7 54.4 46.0 46.5 47.0 李家庄 K0+300 50.5 45.4 Xuejiawan Ninth Group K1+400 – ------2 53.1 53.7 54.2 46.4 46.9 47.4 薛家湾九组 K2+000 Xuejiawan Sixth Install 225 m2 double- K2+940 – 3 Group --- 63.4 64.6 65.4 53.7 54.5 55.0 --- 56.2 57.4 58.2 46.9 47.6 48.1 glazed windows at 15 K3+300 薛家湾六组 households Xuejiawan Tenth Group K3+300 – ------4 60.1 61.2 62.0 52.4 52.9 53.3 53.0 54.1 54.9 45.8 46.2 46.6 薛家湾十组 K5+300 Xuejiawan First Install 225 m2 double- K5+300 – 5 Group --- 61.6 62.7 63.5 52.5 53.1 53.6 --- 54.4 55.6 56.4 45.9 46.4 46.8 glazed windows at 15 K5+600 薛家湾组 households Install 975 m2 double- Duanjiahe Town K5+600 – 6 --- 61.5 62.6 63.5 52.5 53.0 53.5 --- 54.3 55.5 56.3 45.9 46.4 46.8 glazed windows at 65 段家河镇 K6+350 households Duanjiahe Town Install 300 m2 double- 7 Health Clinic K5+800 ------69.2 70.4 71.2 ------61.9 63.1 64.0 glazed windows at 20 段家河镇卫生院 rooms Duanjiahe Junior 8 High School K6+200 ------50.4 50.5 50.6 ------44.2 44.3 44.4 段家河初级中学 Mingde Primary 9 School K6+250 ------54.6 55.5 56.1 ------47.8 48.6 49.2 明德小学 Duanjiahe Town Install 90 m2 double- 57.0 – 47.7 – 10 Kindergarten K6+350 ------63.4 64.6 65.4 ------56.2 57.4 58.2 glazed windows at 6 57.2 48.9 段家河镇幼儿园 classrooms Xuejiawan Second Install 75 m2 double- K6+850 – 11 Group --- 61.4 62.5 63.4 52.9 53.5 54.0 --- 54.3 55.6 56.3 46.3 46.9 47.4 glazed windows at 5 K8+000 薛家湾二组 households Install 150 m2 double- Lijiahe K10+600 – 12 --- 67.2 68.3 69.1 58.7 59.3 59.8 --- 60.8 62.0 62.8 50.4 51.4 52.0 glazed windows at 10 李家河 K10+900 households Gaobiliang K14+000 – 54.9 – 43.9 – 13 57.2 57.6 57.8 56.1 56.1 56.2 47.8 48.5 49.0 44.9 45.0 45.1 高鼻梁 K14+360 57.0 45.0 Install 360 m2 double- Yangjiawan K18+650 – 14 --- 66.1 67.2 68.1 57.0 57.7 58.2 59.9 61.1 61.9 51.2 51.9 52.4 glazed windows at 24 杨家湾 K19+100 households

109

Time of Day Day Night Noise Functional Category 4a 2 4a 2 Mitigation Year Existing 2017 2023 2031 2017 2023 2031 Existing 2017 2023 2031 2017 2023 2031 No. Sensitive Receptor Chainage dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) Install 750 m2 double- Longquan Village K19+900 – 53.0 – 48.3 – 15 65.8 67.0 67.8 56.6 57.2 57.7 59.7 60.8 61.6 50.9 51.5 51.9 glazed windows at 50 龙村 K21+000 60.1 52.6 households Longquan Village Install 225 m2 double- 16 Health Clinic K20+900 ------69.2 70.4 71.2 ------62.0 63.2 64.0 glazed windows at 15 龙村卫生院 rooms Install 300 m2 double- Zhoujiahe K21+900 – 17 --- 66.6 67.8 68.7 56.7 57.6 58.2 --- 60.4 61.6 62.4 49.6 50.6 51.4 glazed windows at 20 周家河 K22+350 households Install 75 m2 double- Yushudian K23+000 – 51.8 – 41.3 – 18 64.8 66.0 66.8 55.5 56.3 56.9 58.5 59.7 60.6 48.1 49.1 49.8 glazed windows at 5 榆树店 K23+150 52.0 42.8 households Install 75 m2 double- Zaoyang Village K23+700 – 19 --- 64.2 65.4 66.2 55.2 55.9 56.4 --- 57.9 59.1 60.0 47.7 48.6 49.3 glazed windows at 5 早阳村 K24+000 households Install 75 m2 double- Aijia’ao K24+000 – 20 --- 64.2 65.4 66.2 55.2 55.9 56.4 --- 57.9 59.1 60.0 47.7 48.6 49.3 glazed windows at 5 艾家凹 K24+300 households Install 525 m2 double- Zaoyang Town K25+500 – 49.9 – 46.6 - 21 67.1 68.3 69.2 56.6 57.6 58.3 61.0 62.2 63.0 51.2 52.0 52.7 glazed windows at 35 早阳镇 K25+700 50.1 46.7 households Install 150 m2 double- Dongwan Village K25+900 – 22 --- 63.9 65.1 65.9 54.6 55.4 56.1 --- 57.9 59.0 59.8 49.6 50.3 50.8 glazed windows at 10 东湾村 K26+500 households Install 225 m2 double- Liuwan Village K29+450 – 23 --- 69.4 70.6 71.5 ------62.2 63.4 64.3 ------glazed windows at 15 刘湾村 K30+000 households Install 75 m2 double- Zaoshu Village K32+500 – 24 --- 68.3 69.5 70.2 60.1 60.6 61.1 --- 61.0 62.1 62.9 52.0 52.7 53.2 glazed windows at 5 皂树村 K32+650 households Dongzhan Village K32+800 – First Group ------25 58.5 58.7 58.8 58.0 58.1 58.1 50.0 50.2 50.5 49.3 49.4 49.5 东站村组 K33+850 Chuangxin No exceedance at Vocational Training ------26 School K33+000 58.1 59.1 59.9 51.7 52.6 53.2 dormitory 25m from

创新职业培训学校 road red line Dongzhan Village Install 1050 m2 double- K33+850 – 27 Second Group --- 67.8 68.9 69.7 59.9 60.4 60.8 --- 60.5 61.6 62.4 51.8 52.4 52.8 glazed windows at 70 K34+750 东站村二组 households Ankang City Children’s Welfare 44.8 – 41.8 – 28 K34+500 ------48.5 48.9 49.2 ------43.9 44.1 44.3 Institute 49.0 44.4 安康儿童福利院 110

Time of Day Day Night Noise Functional Category 4a 2 4a 2 Mitigation Year Existing 2017 2023 2031 2017 2023 2031 Existing 2017 2023 2031 2017 2023 2031 No. Sensitive Receptor Chainage dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) Guanmiao Town Install 720 m2 double- 60.1 – 54.5 – 29 Central Health Clinic K34+850 ------67.6 68.7 69.5 ------60.3 61.4 62.2 glazed windows at 48 63.4 55.6 庙镇中心卫生院 rooms Install 1275 m2 double- Jinxing Village K35+000 – 30 --- 67.5 68.6 69.4 60.0 60.5 60.9 --- 60.1 61.2 62.2 51.9 52.5 53.0 glazed windows at 85 金星村 K36+000 households Tuanjie Primary No one overnight. 31 School K35+750 ------59.7 60.2 60.6 ------51.6 52.2 52.7 Adopt speed control in 团结小学 day time. Install 450 m2 double- Shashichang K36+225 – 32 --- 68.2 69.4 70.2 62.0 62.8 63.4 --- 60.9 62.0 62.8 54.2 55.1 55.8 glazed windows at 30 沙石场 K36+425 households Hualian Vocational Install 150 m2 double- 33 Training School K36+370 ------68.2 69.4 70.2 ------60.9 62.0 62.8 glazed windows at 10 华联职业培训学校 rooms GB 3096-2008 standards 70 60 55 50 Noise mitigation cost (unit cost = CNY600/m2 double-glazed window): CNY 5,367,000. Note: Exceed GB 3096-2008 standard

Source: EIR.

Table 48: Operational Noise Levels at Existing Sensitive Receptors along S102 and Proposed Mitigation Measures

Time of Day Day Night Noise Functional Category 4a 2 4a 2 Existing Existing Mitigation Year (2011) 2014 2020 2028 2014 2020 2028 (2011) 2014 2020 2028 2014 2020 2028 No. Sensitive Receptor Chainage dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) Install double-glazed Xiaohebei K0+000 – 63.1 – 50.8 – 1 63.7 65.4 66.8 ------57.1 58.9 60.2 ------window at 60 小河北 K1+200 63.9 52.0 households Petrol Station Staff Install double-glazed K0+050 – 2 Dormitory --- 64.0 65.8 67.1 ------57.4 59.2 60.5 ------window at 40 K0+100 加油站家属区 households Install double-glazed Fengjingjiayuan K1+200 – 3 --- 63.8 65.6 66.9 ------57.2 59.0 60.3 ------window at 300 枫景家苑 K1+600 households Install double-glazed Liuwan K1+850 – 4 --- 64.1 65.8 67.1 54.5 55.0 55.6 --- 57.4 59.2 60.5 47.2 47.9 67.1 window at 60 刘湾 K2+550 households Install double-glazed Kanghuayuan K1+850 – 51.5 – 42.5 – 5 64.3 66.1 67.4 55.8 56.8 57.6 57.7 59.5 60.8 48.7 49.8 50.7 window at 400 康华园 K2+350 53.2 45.6 households

111

Time of Day Day Night Noise Functional Category 4a 2 4a 2 Existing Existing Mitigation Year (2011) 2014 2020 2028 2014 2020 2028 (2011) 2014 2020 2028 2014 2020 2028 No. Sensitive Receptor Chainage dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) Install double-glazed Lijia’na K2+550 – 6 --- 64.3 66.1 67.4 56.0 56.9 57.8 --- 57.7 59.5 60.7 48.9 50.0 50.9 window at 20 李家那 K3+050 households Install double-glazed Dangjiaba K3+200 – 56.1 – 49.7 – 7 63.3 65.2 66.6 52.2 53.7 55.0 56.9 58.8 60.1 46.6 47.9 48.9 window at 20 党家坝 K4+100 57.9 51.2 households Install double-glazed Lido Estate K3+500 – 43.2 – 40.6 – 8 63.3 65.2 66.6 52.5 54.1 55.4 56.9 58.8 60.1 46.8 48.2 49.3 window at 20 丽都小区 K3+620 45.0 41.9 households Install double-glazed Wangpo K5+350 – 9 --- 62.6 64.4 65.8 52.7 53.3 53.9 --- 56.0 57.9 59.2 44.7 45.5 46.2 window at 20 王坡 K5+700 households Install double-glazed Liangjiazui K5+700 – 10 --- 62.6 64.3 65.7 52.8 53.4 54.0 --- 55.9 57.8 59.1 44.8 45.6 46.4 window at 45 梁家嘴 K6+250 households Install double-glazed Caoping Village K6+350 – 11 --- 62.1 63.8 65.2 52.7 53.3 53.9 --- 55.4 57.3 58.6 44.7 45.5 46.2 window at 100 草坪村 K7+250 households Caoping Middle School K6+650 – 55.3 – ------43.4 – ------12 55.6 55.7 55.8 45.8 46.0 46.1 草坪中学 K6+750 55.5 45.5 Install double-glazed Qingniwan K7+650 – 13 --- 62.6 64.2 65.5 56.1 56.3 56.6 --- 55.6 57.4 58.7 46.7 47.2 47.7 window at 65 清泥湾 K9+600 households Install double-glazed Liu Village K10+650 – 49.6 – 42.6 – 14 62.2 63.9 65.3 52.7 53.3 53.9 55.5 57.4 58.7 44.7 45.6 46.3 window at 45 柳村 K11+700 51.4 42.7 households Liu Village Primary K11+620 – 48.7 – 40.3 – No noise exceedance School ------15 55.5 56.8 58.0 48.5 50.0 51.2 柳村小学 K11+650 50.7 42.7 at dormitory. Install double-glazed Wujiazui K11+900 – 16 --- 62.6 64.3 65.7 52.8 53.4 54.0 --- 55.9 57.8 59.1 44.8 45.6 46.3 window at 12 吴家嘴 K12+100 households Install double-glazed Zhoujiawan K12+850 – 17 --- 62.5 64.2 65.6 ------55.8 57.7 59.0 ------window at 6 周家湾 K13+000 households Install double-glazed Leijiawan K13+420 – 18 --- 62.3 63.4 64.5 59.3 59.5 59.8 --- 54.2 55.8 57.0 48.5 49.2 49.7 window at 4 雷家湾 K13+510 households Install double-glazed Zhongjiaping K13+720 – 19 --- 63.3 64.6 65.7 59.1 59.2 59.4 --- 55.5 57.2 58.5 47.9 48.3 48.7 window at 12 钟家坪 K14+000 households Install double-glazed Muzhutan K14+750 – 58.0 – 45.3 – 20 63.2 64.5 65.6 59.1 59.2 59.3 55.4 57.1 58.4 47.9 48.3 48.7 window at 15 母猪 K15+600 58.8 47.1 households 112

Time of Day Day Night Noise Functional Category 4a 2 4a 2 Existing Existing Mitigation Year (2011) 2014 2020 2028 2014 2020 2028 (2011) 2014 2020 2028 2014 2020 2028 No. Sensitive Receptor Chainage dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) Install double-glazed Xiangjiaping K16+220 – 21 --- 63.8 65.1 66.3 59.1 59.2 59.4 --- 56.2 57.9 59.2 48.0 48.4 48.8 window at 10 向家坪 K16+400 households Danjiawan K17+150 – Minor exceedance. 22 ------54.9 56.3 57.5 ------48.9 50.2 51.2 单家湾 K17+350 Follow up monitoring Install double-glazed Anjiaping K18+120 – 46.8 – 42.8 – 23 60.4 62.1 63.5 51.5 52.1 52.8 54.0 55.7 57.0 42.2 42.9 53.6 window at 3 安家坪 K18+300 49.8 44.6 households Binhuxiaozhen K18+450 – 24 ------51.1 51.6 52.2 ------45.6 46.0 46.4 湖小镇 K18+550 Install double-glazed Ganxitang K19+250 – 25 --- 62.9 64.7 66.1 51.8 52.5 53.3 --- 56.5 58.3 59.6 46.1 46.8 47.4 window at 50 甘溪淌 K19+520 households Install double-glazed Luojiapo K19+850 – 26 --- 65.3 67.1 68.4 54.5 55.8 56.9 --- 58.8 60.6 61.8 48.5 49.7 50.6 window at 6 罗家坡 K20+020 households Install double-glazed Jijiaping K21+150 – 57.8 – 47.1 – 27 63.9 65.7 67.0 52.1 53.0 53.8 57.4 59.2 60.5 46.4 47.2 47.8 window at 15 季家坪 K21+870 58.8 51.5 households Install double-glazed Yuansigou K23+380 – 28 --- 67.9 69.7 71.0 53.1 54.6 55.7 --- 61.3 63.2 64.4 46.7 48.2 49.2 window at 6 院沟 K23+650 households Dalingdaoban K24+350 – 29 ------50.5 50.8 51.1 ------46.7 48.2 49.2 大领道班 K24+570 Cuijiawan K25+110 – 30 ------51.0 51.5 52.0 ------45.5 45.9 46.3 崔家湾 K25+780 Wangjiaya K26+480 – 43.4 – 31 ------51.9 53.4 54.5 40.4 ------45.7 47.1 48.1 王家垭 K26+750 45.7 Install double-glazed Yangtianwan K27+220 – 32 --- 65.8 67.6 68.9 54.5 56.1 57.3 --- 59.2 61.1 62.3 48.1 49.7 50.8 window at 3 秧田湾 K27+380 households Install double-glazed Shagoutang K28+550 – 33 --- 64.4 66.2 67.6 50.4 51.7 52.8 --- 57.9 59.7 61.0 44.3 45.5 46.5 window at 8 沙沟塘 K29+000 households Install double-glazed Liangshuiquan K29+850 – 57.5 – 50.4 – 34 65.1 66.9 68.2 53.2 54.3 55.2 58.6 60.4 61.6 47.3 48.3 49.0 window at 9 凉水 K30+380 62.3 51.2 households Install double-glazed Shijiaping K31+950 – 35 --- 63.0 64.8 66.2 52.1 53.0 53.8 --- 56.6 58.4 59.7 46.4 47.2 47.8 window at 18 史家坪 K32+450 households Install double-glazed Hongyantan K34+050 – 36 --- 63.4 65.3 66.7 49.8 51.0 52.1 --- 57.0 58.8 60.2 43.8 44.9 45.9 window at 4 红岩 K34+400 households

113

Time of Day Day Night Noise Functional Category 4a 2 4a 2 Existing Existing Mitigation Year (2011) 2014 2020 2028 2014 2020 2028 (2011) 2014 2020 2028 2014 2020 2028 No. Sensitive Receptor Chainage dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) Hongyantan Primary School K34+220 – 51.6 – ------47.3 – ------37 54.2 54.6 54.9 48.6 48.9 49.2 红岩小学 K34+260 53.5 48.0 Install double-glazed Liaojiatan K35+150 – 38 --- 64.6 66.5 67.8 51.5 52.8 53.9 --- 58.1 59.9 61.2 44.8 46.2 47.2 window at 15 廖家 K35+900 households Install double-glazed Luduba K37+250 – 39 --- 65.3 67.2 68.5 52.2 53.6 54.7 --- 58.8 60.6 61.9 45.7 47.0 48.1 window at 16 碌碡坝 K37+650 households Install double-glazed Sunjiazhuang K38+050 – 40 --- 63.1 64.9 66.3 50.2 51.3 52.3 --- 56.5 58.4 59.8 43.5 44.7 45.6 window at 15 孙家庄 K38+250 households Install double-glazed Zhaowan K38+750 – 45.6 – 38.3 – 41 62.2 64.0 65.4 50.3 51.5 52.5 55.6 57.5 58.8 43.6 44.9 45.8 window at 40 赵湾 K40+500 46.7 39.8 households Jinping K39+050 – 42 ------53.0 54.5 55.7 ------46.4 48.0 49.1 金坪 K39+200 Zhaowan Primary K39+380 – 50.2 – 44.6 – 43 ------52.9 53.0 53.1 ------46.8 46.9 47.0 School 赵湾小学 K39+480 52.8 46.7 Zhaowan Junior K40+130 – 47.5 – 37.7 – High School ------44 51.4 51.8 52.1 42.0 42.7 43.3 赵湾初级中学 K40+200 50.6 40.2 Install double-glazed Sanchawan K43+300 – 45 --- 63.6 65.4 66.8 ------57.0 58.9 60.3 ------window at 6 岔 K43+500 households Install double-glazed Tangxing Village K44+900 – 53.5 – 49.8 – 46 64.5 66.3 67.7 52.0 52.9 53.7 58.2 60.0 61.3 48.6 49.1 49.5 window at 15 塘村 K45+600 56.4 51.3 households Tangxing Primary Construct boundary K46+480 – 57.3 – 47.2 – 47 School ------58.8 59.3 59.8 ------50.6 51.4 52.0 wall 100 m long, 3 m K46+550 57.5 48.6 塘小学 high Install double-glazed Dingjiapo K46+400 – 48 --- 64.4 66.2 67.6 52.0 52.9 53.7 --- 58.2 59.9 61.2 48.6 49.0 49.5 window at 4 家坡 K46+550 households Install double-glazed Duiwo Village K48+850 – 49 --- 63.8 65.7 67.1 ------57.6 59.4 60.6 ------window at 5 窝村 K48+950 households Install double-glazed Luojiayan K51+480 – 50 --- 62.4 64.2 65.6 52.8 53.9 54.8 --- 56.3 58.0 59.3 49.0 49.6 50.2 window at 7 罗家岩 K51+550 households Install double-glazed Dianwan K51+980 – 51 --- 63.2 65.0 66.4 ------57.0 58.8 60.0 ------window at 8 殿湾 K52+100 households 114

Time of Day Day Night Noise Functional Category 4a 2 4a 2 Existing Existing Mitigation Year (2011) 2014 2020 2028 2014 2020 2028 (2011) 2014 2020 2028 2014 2020 2028 No. Sensitive Receptor Chainage dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) Install double-glazed Liangheguan K52+650 – 47.4 – 47.1 – 52 62.9 64.7 66.1 51.7 52.5 53.2 56.8 58.5 59.8 48.4 48.8 49.2 window at 10 两河 K52+950 49.7 47.6 households Liangheguan K53+650 – 52.0 – 46.5 – Construct noise barrier Primary School ------53 63.3 65.0 66.4 56.8 58.5 59.8 两河小学 K53+700 53.1 46.6 150 m long, 3 m high Install double-glazed Zhujiawan K53+470 – 54 --- 63.1 64.9 66.3 51.7 52.5 53.3 --- 56.9 58.6 59.9 48.4 48.9 49.2 window at 12 朱家湾 K53+780 households Yechanggou K54+250 – 55 ------51.3 52.0 52.6 ------48.3 48.6 48.9 叶长沟 K54+320 Install double-glazed Kangjiaping K54+520 – 56.3 – 50.4 – 56 63.3 65.2 66.5 51.9 52.7 53.4 57.1 58.9 60.1 48.5 48.9 49.3 window at 26 康家坪 K54+850 59.5 55.1 households Install double-glazed Youfangwan K55+680 – 57 --- 63.6 65.2 66.4 56.9 57.2 57.4 --- 56.6 58.4 59.7 47.3 47.8 48.3 window at 13 油房湾 K56+250 households Install double-glazed Xiaohejie K56+580 – 58 --- 63.3 64.9 66.1 56.9 57.2 57.5 --- 56.3 58.0 59.3 47.3 47.9 48.3 window at 15 小河街 K56+940 households Install double-glazed Xiaohe Town K56+800 – 53.6 – 41.4 – 59 63.6 65.2 66.4 56.9 57.2 57.4 56.6 58.4 59.7 47.3 47.8 48.3 window at 20 小河镇 K57+500 56.4 46.2 households Xiaohe Middle No exceedance at K57+080 – 51.2 – 47.2 – 60 School ------54.9 58.8 56.6 ------50.7 51.2 51.7 dormitory. Follow up K57+200 52.6 49.5 小河中学 monitoring Install double-glazed Xiaojinping K58+090 – 61 --- 63.9 65.5 66.7 56.9 57.2 57.5 --- 56.9 58.7 60.0 47.4 47.9 48.4 window at 20 小金坪 K58+250 households Install double-glazed Dajinping K58+600 – 62 --- 63.0 64.5 65.8 56.9 57.1 57.4 --- 55.9 57.7 59.0 47.3 47.8 48.2 window at 30 大金坪 K59+650 households Yujiawan K60+150 – 63 ------57.9 58.5 59.1 ------49.1 50.1 51.0 Follow up monitoring 俞家湾 K60+250 Install double-glazed Dianzihe K61+200 – 64 --- 64.0 65.6 66.8 57.0 57.2 57.5 --- 57.0 58.8 60.1 47.4 47.9 48.4 window at 8 店子河 K61+350 households Install double-glazed Huodigou K61+650 – 65 --- 63.3 64.9 66.1 56.9 57.1 57.4 --- 56.3 58.0 59.3 47.3 47.8 48.2 window at 7 火地沟 K62+350 households Install double-glazed Goujiashan K62+480 – 66 --- 63.5 65.1 66.4 56.9 57.1 57.4 --- 56.5 58.3 59.6 47.3 47.8 48.3 window at 15 苟家山 K62+650 households

115

Time of Day Day Night Noise Functional Category 4a 2 4a 2 Existing Existing Mitigation Year (2011) 2014 2020 2028 2014 2020 2028 (2011) 2014 2020 2028 2014 2020 2028 No. Sensitive Receptor Chainage dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) Install double-glazed Pinghuai K64+050 – 53.9 – 49.4 – 67 62.4 63.9 65.1 57.5 58.1 58.6 55.2 56.9 58.2 48.5 49.4 50.2 window at 10 坪槐 K64+130 56.0 51.3 households GB 3096-2008 standards 70 60 55 50 Noise mitigation cost (unit cost = CNY5000 per household for double-glazed windows) CNY 9,300,000. [Noise barrier and boundary wall are part of civil works & costs are not included here] Note: Exceed GB 3096-2008 standard

Source: EIR.

Table 49: Operational Noise Levels at Existing Sensitive Receptors along S224 and Proposed Mitigation Measures

Time of Day Day Night Noise Functional Category 4a 2 4a 2 Mitigation Year Existing 2017 2023 2031 2017 2023 2031 Existing 2017 2023 2031 2017 2023 2031 No. Sensitive Receptor Chainage dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) Install 2700 m2 double Xiangnan County K0+100 – 1 --- 59.1 61.0 63.1 57.1 58.6 60.4 --- 54.0 56.1 58.3 51.5 53.4 55.4 glazed windows at 180 Estate 商南县小区 K0+400 households Erdaohe Village K0+500 – 2 --- 56.9 58.4 60.2 54.8 55.5 56.6 --- 51.3 53.1 55.2 48.4 49.5 51.0 Follow up monitoring 二道河村 K1+100 Erdaohe Primary K0+800 – 3 ------54.3 54.9 55.7 ------47.6 48.5 49.7 School 二道河小学 K0+900 Install 105 m2 double Hetaoyuan Village K1+200 – 4 ------55.8 57.0 58.4 ------49.8 51.4 53.2 glazed windows at 7 核园村 K1+400 households Install 1305 m2 double Dongfan Estate K3+700 – 53.1 – 43.6 – 5 61.2 63.2 65.4 55.0 55.9 57.1 56.3 58.5 60.8 48.8 50.0 51.6 glazed windows at 87 东畈小区 K3+800 53.7 44.0 households Install 1080 m2 double Resettlement Estate K4+000 – 6 --- 61.3 63.4 65.6 ------56.4 58.7 60.9 ------glazed windows at 72 移民小区 K4+100 households Zhangjiagang Village Install 225 m2 double K4+700 – 7 Dongtou Group ------55.5 56.5 57.9 ------49.4 50.8 52.6 glazed windows at 15 K4+800 张家岗村东头组 households Install 225 m2 double Nanwan Village K5-100 – 8 ------56.2 57.5 59.2 ------50.5 52.1 54.1 glazed windows at 15 南湾村 K5+700 households Zhangjiagang Village Xiahe Group K6+460 – ------9 55.3 57.8 60.3 50.8 53.3 55.8 Follow up monitoring 张家岗村河组 K6+520 116

Time of Day Day Night Noise Functional Category 4a 2 4a 2 Mitigation Year Existing 2017 2023 2031 2017 2023 2031 Existing 2017 2023 2031 2017 2023 2031 No. Sensitive Receptor Chainage dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) Zhangjiagang Village First Group K7+360 – ------10 55.1 57.6 60.1 50.7 53.1 55.6 Follow up monitoring 张家岗村组 K7+510 Sanjiaochi Village K7+640 – 11 --- 53.8 56.3 58.8 46.7 49.0 51.3 --- 49.4 51.8 54.3 42.6 44.7 47.0 角池村 K8+100 Sanjiaochi Primary K7+700 – 49.7 – 40.1 – 12 ------52.2 52.9 54.1 ------44.5 46.2 48.3 School 角池小学 K7+800 52.4 41.3 Install 75 m2 double Ganlugou K8+530 – 13 --- 59.3 61.9 64.4 46.4 48.6 51.0 --- 54.8 57.4 59.9 42.3 44.4 46.7 glazed windows at 5 甘露沟 K10+180 households Install 120 m2 double Huayuan Village K13+600 – 14 --- 58.0 60.4 62.9 ------53.3 55.8 58.4 ------glazed windows at 8 花园村 K13+800 households Huayuan Village Install 105 m2 double K4+570 – 15 Second Group --- 61.7 64.2 66.8 50.3 52.0 54.0 --- 57.1 59.7 62.3 45.0 47.0 49.1 glazed windows at 7 K14+740 花园村二组 households Qingshan Town Resettlement Estate K16+100 – 57.4 – 49.6 – 16 55.4 57.7 60.0 48.6 49.7 51.2 50.6 53.0 55.4 42.9 44.3 46.0 Follow up monitoring 青山镇移民小区 K17+950 57.9 52.3 Shanghe Village Install 60 m2 double K18+610 – 17 Fifth Group --- 58.6 61.1 63.6 48.7 49.9 51.4 --- 54.0 56.5 59.0 43.0 44.4 46.3 glazed windows at 4 K18+800 河村五组 households Shanghe Village Third Group K19+390 – ------18 53.7 55.9 58.3 47.5 48.1 49.1 48.9 51.2 53.6 41.3 42.2 43.5 河村组 K19+540 Shanghe Village Install 150 m2 double K19+780 – 19 Second Group --- 58.8 61.2 63.7 48.5 49.6 51.1 --- 54.2 56.7 59.2 42.8 44.2 45.9 glazed windows at 10 K19+940 河村二组 households Shanghe Village Install 60 m2 double K20+480 – 20 First Group --- 60.0 62.5 65.0 50.3 50.3 52.0 --- 55.4 57.9 60.5 45.0 45.0 46.9 glazed windows at 4 K21+000 河村组 households Install 150 m2 double Matidian Fifth Group K22+500 – 21 --- 61.8 64.3 66.9 48.1 50.4 52.9 --- 57.2 59.8 62.4 43.7 46.0 48.4 glazed windows at 10 马蹄店五组 K23+100 households Matidian Seventh K23+600 – 22 --- 59.3 59.3 64.4 46.8 46.8 51.3 --- 54.8 54.8 59.9 42.4 42.4 46.8 Follow up monitoring Group 马蹄店七组 K24+620

Sanguanmiao 2 Village Baishegou Install 60 m double K25+340 – ------23 Group 61.3 63.9 66.5 48.4 50.7 53.2 56.8 59.4 62.0 44.0 46.3 48.7 glazed windows at 4 K25+560 官庙村白蛇沟组 households

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Time of Day Day Night Noise Functional Category 4a 2 4a 2 Mitigation Year Existing 2017 2023 2031 2017 2023 2031 Existing 2017 2023 2031 2017 2023 2031 No. Sensitive Receptor Chainage dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A)

Sanguanmiao 2 Village Jiangjiatai Install 60 m double K27+310 – ------24 Group 60.0 62.6 65.2 47.4 49.6 52.0 55.5 58.1 60.7 43.0 45.2 47.5 glazed windows at 4 K28+100 官庙村姜家台组 households Sanguanmiao Village K28+280 – 25 --- 56.9 59.4 61.9 44.6 46.5 48.6 --- 52.4 54.9 57.4 40.3 42.1 44.2 Follow up monitoring Sanguanmiao Group K28+870 官庙村官庙组 Sanguanmiao Install 900 m2 double Village Sanlibian K30+300 – ------26 Group 59.9 62.4 65.0 50.7 53.2 55.7 55.4 57.9 60.5 46.3 48.7 51.2 glazed windows at 6 K30+600 官庙村里碥组 households Dagudong Village K31+000 – 27 ------45.5 47.5 49.8 ------41.1 43.1 45.3 打鼓洞村 K31+760 Dagudong Primary K31+100 – 51.5 – 41.8 – 28 ------52.3 52.8 53.5 ------44.1 45.1 46.5 School 打鼓洞小学 K31+200 51.9 43.0 Xiaolingguan Install 105 m2 double Shangwucheng K32+280 – 29 --- 58.4 60.9 63.4 ------53.9 56.4 58.9 ------glazed windows at 7 Group KK33+200 小岭观屋程组 households Xiaolingguan Install 225 m2 double K35+400 – 30 Yindonggou Group --- 57.5 60.0 62.5 45.8 47.9 50.1 --- 52.9 55.5 58.0 41.4 43.5 45.7 glazed windows at 15 K35+900 小岭观银洞沟组 households Hongyu Village First K36+500 – 31 --- 56.3 58.7 61.3 44.1 45.9 48.0 --- 51.8 54.2 56.7 39.9 41.6 43.6 Follow up monitoring Group 红鱼村组 K36+900 Hongyu Village Install 195 m2 double K37+100 – 32 Second Group --- 57.6 60.1 62.6 45.4 47.4 49.6 --- 53.0 55.6 58.1 41.1 43.0 45.2 glazed windows at 13 K37+850 红鱼村二组 households Xianghe Town Install 30 m2 double K37+200 – 57.7 – 51.1 – 33 Center Kindergarten ------60.5 61.6 63.0 ------52.1 54.3 56.7 glazed windows on K37+260 60.5 54.0 湘河镇中心幼儿园 road facing facade Xianghe Town Junior K37+300 – 61.3 – 39.8 – Middle School ------34 52.0 54.4 56.9 47.5 49.9 52.4 Follow up monitoring 湘河镇初级中学 K37+400 66.4 41.2 Lianhua Estate K39+340 – 35 --- 55.0 57.5 60.1 ------50.5 53.0 55.6 ------Follow up monitoring 莲花小区 K39+400 Install 1140 m2 double Xianghe Village K39+180 – 36 --- 60.7 63.2 65.8 46.6 48.8 51.1 --- 56.2 58.7 61.3 42.2 44.4 46.7 glazed windows at 76 湘河村 K39+900 households Xianghe Central Install 270 m2 double K39+510 – 37 Health Clinic ------60.2 62.8 65.3 ------55.7 58.2 60.8 glazed windows on K39+560 湘河中心卫生院 road facing facade 118

Time of Day Day Night Noise Functional Category 4a 2 4a 2 Mitigation Year Existing 2017 2023 2031 2017 2023 2031 Existing 2017 2023 2031 2017 2023 2031 No. Sensitive Receptor Chainage dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) dB(A) Xianghejie Group K40+000 – 38 --- 57.0 59.5 62.1 ------52.5 55.0 57.5 ------Follow up monitoring 湘河街组 K40+300 Xiabohe Group K44+000 – 39 ------47.9 50.3 52.7 ------43.4 45.8 48.2 河组 K44+530 Shangbohe Group K47+300 – 40 --- 49.0 51.4 53.8 39.8 40.9 42.5 --- 44.5 46.9 49.3 35.4 36.5 38.0 河组 K49+800 Sizhuangzi K50+080 – 41 --- 53.9 56.3 58.8 43.2 45.1 47.3 --- 49.3 51.8 54.3 38.7 40.7 42.8 庄子 K51+260 Liushubian K52+320 – 42 ------50.6 53.0 55.5 ------46.1 48.5 51.0 Follow up monitoring 柳树边 K52+410 Weijiatai Town K53+900 – 52.0 – 49.6 – 43 54.8 57.3 59.8 ------50.2 52.8 55.3 ------Follow up monitoring 魏家台镇 K54+720 53.1 50.0 Gaomiaoling Village K59+780 – 44 ------47.9 50.3 52.8 ------43.4 45.8 48.3 高庙岭村 K61+500 Songshuya Village K62+260 – 45 --- 53.3 55.8 58.3 ------48.8 51.3 53.8 ------松树垭村 K65+240 Dongyuepo Village K67+230 – 46 --- 53.7 56.3 58.8 42.3 44.1 46.3 --- 49.2 51.7 54.3 37.8 39.7 41.8 东岳坡村 K69+300 Shiyanhe Village K70+890 – 47 --- 54.1 56.6 59.1 41.8 43.6 45.6 --- 49.6 52.1 54.6 37.4 39.1 41.1 石堰河村 K72+100 Qianchuan Village K77+400 – 48 --- 51.5 54.3 56.8 42.3 44.1 46.3 --- 49.2 51.7 54.3 37.8 39.7 41.8 前川村 K79+100 Dayuan Group K79+730 – 49 --- 52.6 55.1 57.6 41.5 43.2 45.1 --- 48.1 50.6 53.1 37.0 38.7 40.6 大园组 K82+050 Bujiagou Village K82+420 – Nongtai Group ------50 55.0 57.5 60.1 42.6 44.5 46.6 50.5 53.0 55.6 38.1 40.0 42.1 Follow up monitoring 家沟村弄台组 K83+120 Bujiagou Village K83+400 – Tudiling Group ------51 55.4 57.9 60.5 43.3 45.3 47.5 50.9 53.4 56.0 38.8 40.8 43.0 Follow up monitoring 家沟村土地岭组 K84+300 Install 75 m2 double Laofuwan Fourth K85+080 – 52 --- 58.9 61.5 64.1 45.0 47.2 49.6 --- 54.4 57.0 59.6 40.5 42.7 45.1 glazed windows at 5 Group 老付湾四组 K86+600 households Laofuwan Fifth K87+000 – 53 ------47.8 50.2 52.6 ------43.3 45.6 48.1 Group 老付湾五组 K88+100 Jiepaiya K90+400 – 54 --- 52.6 55.1 57.7 ------48.1 50.6 53.1 ------界牌垭 K91+520 GB 3096-2008 standards 70 60 55 50 Noise mitigation cost (unit cost = CNY800/m2 double glazed window) CNY 5,950,500 Note: Exceed GB 3096-2008 standard

Source: EIR.

119

I. Impacts and Mitigation relating to Water Quality

256. The project roads provide a surface for the deposition of pollutants, which could come from the exhaust, fuel and lube oil leakage of motor vehicles, wear and tear of auto-parts, dust deposition, debris and chemical spills from traffic accidents. During rainy days, these pollutants could be washed from the road surface, enter the road drainage system and nearby water bodies. Table 50 presents road runoff monitoring results during rainfall events for the Xilin Expressway in Xian City, indicating relatively high levels of pollutant in highway runoff during rainfall events.

Table 50: Pollutant Levels in Highway Runoff during Rainfall

Concentration (mg/L) Parameter First Flush Average Suspended solids (SS) 126 - 813 347 Chemical oxygen demand (COD) 58 - 412 167 Total lead (Pb) 0.05 – 0.77 0.23 Total zinc (Zn) 0.15 – 1.34 0.45 Source: EIR.

257. Although it may not be directly applicable, the standards for discharging wastewater from construction sites into Category III water bodies under GB 8978-1996 are 70 mg/L for SS and 100 mg/L for COD. The average concentrations for these two parameters shown in Table 50 exceed these standards and there are Category II rivers in the project area of influence. In addition, the requirement to collect rain water for preventing discharge into Category II water bodies from bridge runoff has been specified in Ministry of Environmental Protection (the then State Environmental Protection Administration) document [2007] No. 184 Announcement on Strengthening Highway Planning and Construction Project Environmental Impact Assessment. Both trunk road G316 (Han River) and S224 (Xian River, Dan River, Xiang River, Tao River) have Category II water quality rivers within the project area of influence. Although G316 does not cross the Han River, it has several bridges that cross tributaries and gullies flowing into the Han River and they will be crossed by G316 at locations very close to the Han River.

258. To mitigate potential impact to the water quality of these rivers as well as the drinking water collection sumps along S224, the EIRs have recommended the installation of retention/sedimentation tanks at bridge crossings and near two drinking water collection sumps on G316 and S224 as shown in Table 51. The total numbers for these tanks are 70 for G316 and 40 for S224. The size and number of tanks were based on the multiple year annual average precipitation of 938 mm in the project area, one-hour maximum rainfall of 37 mm, and a runoff coefficient of 0.9 for asphalt pavement. In addition to these tanks, the EIR also recommends road side guardrails along sections of S224 near the two drinking water collection sumps and near the Xiang River and the Tao River (see Table 51)

Table 51: Location, Number and Size of Retention/Sedimentation Tanks

Sedimentation Road To Protect Chainage Tank Remark Size (m3) No. G316 Han River K4+193.2 12 1 Gully crossing Xunyang - K4+440.9 12 1 Gully crossing Ankang K5+452.4 12 2 Gully crossing 120

Sedimentation Road To Protect Chainage Tank Remark Size (m3) No. K8+751.2 12 1 Gully crossing K8+994.8 12 2 Gully crossing K9+265.9 12 2 Gully crossing K9+536.2 12 1 Gully crossing K9+875.7 12 1 Gully crossing K10+629.1 12 1 Gully crossing K10+716.2 12 1 Gully crossing K10+956.2 12 1 Gully crossing K11+196.2 12 1 Gully crossing K12+106.2 12 1 Gully crossing K12+315.5 12 1 Gully crossing K12+894.1 12 1 Gully crossing K13+093.4 12 1 Gully crossing K13+592.7 12 1 Gully crossing K13+626.2 12 4 Gully crossing K14+606.2 12 2 Gully crossing K14+889.3 12 1 Gully crossing K15+770.7 12 1 Gully crossing K16+036.2 12 1 Gully crossing K16+226.2 12 1 Gully crossing K16+412.6 12 1 Gully crossing K16+546.2 12 1 Gully crossing K17+010.2 12 1 Gully crossing K17+602.7 12 1 Gully crossing K18+201.1 12 1 Gully crossing K18+669.0 12 1 Gully crossing K19+056.1 12 1 Gully crossing K20+056.3 12 1 Gully crossing K20+680.2 12 1 Gully crossing K21+496.3 12 1 Gully crossing K22+114.8 12 1 Gully crossing K22+235.0 12 1 Gully crossing K22+406.0 12 1 Gully crossing K22+598.7 12 1 Gully crossing K22+829.7 12 2 Gully crossing K23+323.3 12 1 Gully crossing K23+683.0 12 1 Gully crossing K24+904.0 12 2 Gully crossing K25+520.0 12 3 Gully crossing K25+766.0 12 1 Gully crossing K26+406.1 12 2 Gully crossing K27+442.6 12 2 Gully crossing K28+909.6 12 1 Gully crossing K29+088.4 12 2 Gully crossing K29+469.9 12 1 Gully crossing K29+550.6 12 1 Gully crossing K29+971.8 12 1 Gully crossing K30+398.9 12 1 Gully crossing

121

Sedimentation Road To Protect Chainage Tank Remark Size (m3) No. K30+862.2 12 1 Gully crossing K31+341.3 12 1 Gully crossing K31+695.8 12 1 Gully crossing K33+090.0 12 1 Gully crossing K35+176.6 12 1 Gully crossing Total 70 S224 Xian River --- 20 12 6 river crossing bridges, 2 on each end of each Shangnan - bridge Yunxian Shanghe Village K19+650 20 1 Chainage is 100 m downstream of drinking water drinking water collection sump at K19+750 collection sump Also install 2000-m long, 1.2-m high barrier guardrail from K19+500 to K21+500 K20+250 20 1 Chainage is 500 m upstream of drinking water collection sump at K19+750 Dan River K38+400 40 2 River crossing Xiang River K50+250 20 1 Gully crossing K52+190 20 1 Gully crossing K54+320 20 1 Gully crossing Weijiatai Village K55+200 20 1 Install on road right side downstream of the drinking water drinking water collection sump collection sump Also install 100-m long, 1.2-m high barrier guardrail on the collection sump side of the road Tao River K78+330 40 1 River crossing Xiang River area K40+200 – 20 14 River side. One tank for each kilometer K54+300 Also install 14,200 m road side reinforced guardrail Tao River area K73+100 – 20 5 River side. One tank for each kilometer. K78+500 Also install 5,500 m road side reinforced guardrail Total 40 Source: EIR.

J. Greenhouse Gas Emissions and Climate Change Impact

259. The project EIRs calculated carbon emissions for 2017 (commissioning of rehabilitated roads), 2023 (medium term) and 2031 (long term) using the methodology described in IPCC (2006),17 based on fuel consumption from traveling distances of various vehicle types on the project trunk and rural roads. Assumptions and conversion factors shown in Table 52 were used in calculating CO2 equivalent (CO2eq) emissions.

Table 52: Assumptions and Factors used in Carbon Emission Calculations

Fuel Type Factors & Assumptions Gasoline (#93) Diesel (#0) Fuel consumption (L/100 km)

17 IPCC. 2006. 2006 IPCC guidelines for national greenhouse gas inventories. This is based on the current PRC fuel standards, more stringent standards in the future or more advanced fuel technologies may reduce GHG emissions further. This represents the worst case. 122

Fuel Type Factors & Assumptions Gasoline (#93) Diesel (#0) Motor cycle 3.0 --- Small vehicle 11.5 10.5 Mid-size vehicle 22.0 14.0 Large vehicle --- 24.0 Fuel density (kg/m3) 725 835

CO2 emission factor (g/kg) 3070.0 3186.3 Source: EIR.

260. Table 53 presents the results, showing that the total emission of CO2eq from all project roads would total approximately 50,000 t/a when the rehabilitation completes in 2017, 79,000 t/a in the medium term (2023) and 112,000 t/a in the long term (2031), with the trunk roads contributing more than 90% of CO2eq emission in all time horizons. CO2eq emission from all project roads in the long term would exceed the ADB threshold of 100,000 t/a.

Table 53: Carbon Dioxide Emissions from Motor Vehicles Travelling on the Project Roads

Carbon Dioxide Emissions in t/a Project Road Year 2017 Year 2023 Year 2031 G316 Xunyang - Ankang 6,564 9,762 14,423 S102 Xunyang - Xiaohe 22,735 36,164 50,042 S224 Shangnan - Yunxian 18,305 27,063 39,748 RR1 Shangma – Xiaohe 2,420 3,204 4,142 RR2 Lijiaba – Baiguo 14 18 24 RR3 Beigou – Luojia 45 61 79 RR4 Yangpo – Liangheguan 29 39 51 RR5 Yanba – Dongqiao 133 175 226 RR6 Zaobao – Yousheng Village 9 11 15 RR7 Zaobao - Wujiashan 11 14 18 RR8 Xianghe - Shuigou 1,865 2,461 3,184 Trunk road subtotal: 47,604 72,989 104,213 Rural road subtotal: 4,526 5,983 7,739 PROJECT ROAD TOTAL 52,130 78,972 111,952 Sources: EIR and ChangAn University.

261. Among the rural roads, RR1 Shangma-Xiaohe and RR8 Xianghe-Shuigou would contribute considerably more CO2eq emissions than the other six rural roads. These two rural roads would account for approximately 95% of the total CO2eq emission from the rural roads.

262. Of the CO2eq emissions from the three trunk roads, S102 would contribute the most (48- 50%) followed by S224 (approximately 38%). CO2eq emission from the trunk roads in the long term (around 2030) would exceed the ADB threshold of 100,000 t/a. Besides the above calculation on total CO2eq emissions from generated traffic, economic benefit analysis undertaken by the PPTA consultant also examined potential carbon savings as the road upgrade should improve fuel efficiency and therefore carbon emissions, although this could be off-set by increased traffic volume and embodied carbon during construction. The analysis results show that the total carbon savings from 2017 to 2036 would amount to 42,370 t for G316, 109,610 t for S102, and 403,380 t for S224.

263. Climate Change. A climate change impact assessment has been conducted for this

123 project (Ye 2014)18. Key parameters affecting project design and operation are temperature and rainfall, especially extreme events related to these parameters. Projections due to climate change are summarized below and the full report (Ye, 2014) is presented in Appendix 3.

264. Temperature. The annual temperature in the project area is between 15oC to 17oC. Predictions show that it is likely to increase 1.4°C and 2.7°C by 2050 and 2100, respectively, under the median scenario projection. The minimum and maximum temperatures, which are - 16.4°C and 42°C, respectively, historically, would have a similar increase rate as the mean temperature changes. There are little changes in the difference between the maximum and minimum temperature, as both temperatures are projected to increase. Along with the temperature increase, heat wave will likely become more intensified and frequent. Under the high scenario projection, extreme temperature could reach 46.7°C to 48.5°C in the project area by 2100.

265. Annual Rainfall. Rainfall in the project area is characterized by considerable temporal and spatial variability. Annual average precipitation ranges from 750 mm to 802 mm historically, with minimum precipitation ranging from 467 mm to 526 mm and maximum precipitation ranging from 1085 mm to 1244 mm. Another distinctive rainfall feature is seasonality, with approximately 50% of the annual total occurring in the months of July to September. In general July is the wettest month in a year. The median scenario projection indicates the annual rainfall change in the area would likely be small, with an average increase across the area of 2.5 to 4.8% by 2050 and 4.5 to 9.5% by 2100. The monthly rainfall change is also predicted to be small. A slight increase of rainfall is projected for all months except September and October. In summary, the rainfall change in the project area will be noticeable under climate change. The annual rainfall may increase slightly in the future.

266. Extreme Rainfall. Flood has been a consistent historical threat to the local community, and the damage to transport infrastructure from flood has resulted in significant economic loss. The 2010 flood in Ankang damaged nine national and provincial roads, including the S102 between Ankang and Xunyang, and caused serious transport disruption. Ye (2014) reviewed the project roads and determined that trunk road S102 would be most vulnerable to extreme rainfall because it is located near the Xun River and will have the most new infrastructure (new road alignment and bridges) compared to the G316, S224 and the rural roads which mostly involve upgrade of the existing alignments. Ye (2014) further determined that the annual maximum 2-day rainfall event would be most relevant to flooding of the Xun River. The current 1:50 year event of the annual maximum 2-day rainfall is 149.01 mm. The median scenario projection for such an event is 163.14 mm by 2050 and 176.67 mm by 2100, which represents a 9.5% and 18.6% increase in rain intensity. The high projected change, shown by the high scenario, could reach 178.15 mm and 215.93 mm for 2050 and 2100 respectively, or a rain intensity increase of 19.6% at 2050 and 44.9% at 2100. The change in heavy rainfall is much more significant than the change in normal rainfall, which implies an increased flood risk in the future for trunk road S102.

267. Ye (2014) indicated that the height of two bridges on S102 crossing the Xun River (Liangheguan No. 1 Bridge and Zhaowan No. 2 Bridge) might not have enough buffer capacity to stay above the Xun River water level during extreme rainfall events by 2050 under the high climate change scenario. Due to development of cascading reservoirs along the Xun River, Ye (2014) suggested that the S102 operators should coordinate with the reservoir operators during

18 YE, Wei. 2014. Climate change impact assessment on Shaanxi Mountain Road Safety Demonstration Project in PRC. Prepared for the Asian Development Bank. iv+36 pp. 124 such events to control the water level in the reservoirs to prevent flooding of the road.

K. Risk from Traffic Accidents

268. This impact can be mitigated to some extent through strict enforcement of traffic laws and regulations, especially speed limits, overloading of trucks and trucks carrying hazardous materials. Risk assessments undertaken by the EIRs indicate that the number of traffic accidents involving vehicles carrying chemicals on trunk road sections near water bodies range from 0.04 – 0.06 per year on G316, 0.22 – 0.56 per year on S102, and less than 0.01 per year on S224. This project includes a road safety component that will be included in the preliminary design of all project roads, as well as 41 additional counter measures that will further significantly improve safety on all project roads (see Table 24).

L. Cumulative Impacts

269. Cumulative impacts could arise from other projects in the vicinity particularly other road projects and buildings being constructed concurrently with the construction stage of this project. At this time no information is available on potential construction works from other projects that could overlap with the construction stage of this project.

270. Construction related cumulative impacts will be effectively minimized by adopting proper mitigation measures, including: (i) coordination between all project components and other projects in the area of influence in terms of construction schedule, possible access road and borrow/disposal sites and spoil sharing; (ii) contractors will develop material transport plan with consultation of local road management authority and local community; (iii) enforcement of good construction management to minimize dust, noise and waste generation; (iv) education of construction workers to minimize social disturbance and cultural conflict; (vi) provision of temporary access to local traffic; (vii) proper maintenance of the access roads and timely restoration/strengthening upon completion. With effective implementation of good construction management measures, these common construction-related cumulative impacts can be adequately mitigated to acceptable levels.

M. Indirect and Induced Impacts

271. It has been described earlier that Ankang and Shangluo Cities are rich in mineral resources and tourist attractions. Induced impacts would therefore include more frequent use of the project roads, especially the trunk roads for the transport of extracted minerals and the transportation of tourists, although the three trunk roads do not lead directly to the mines and the tourism sites. Traffic demand forecasts undertaken for this project already take into consideration traffic growth from these activities, and the road safety component in this project aims to improve road safety despite traffic growth. Negative indirect and induced impacts from this project are not expected.

125

V. ANALYSIS OF ALTERNATIVES

A. No Project Alternative

272. This project will improve the conditions of the trunk roads (by rehabilitating the sub-grade and pavement with widening at some sections) and road safety (by re-aligning some sections to reduce sharp curves and implementing road safety measures). Rehabilitation of G316 provides the opportunity to install sedimentation tanks to collect road runoff and pollutants along 36.4 km of trunk road G316, resulting in improved protection of the Shaanxi Han River Wetland. By implementing the measures proposed by ChinaRAP, safety on approximately 940 km of roads in Ankang City and Shangnan County will be improved. The percentages of roads that would achieve the 3-star rating would also be substantially increased as already described under the section on Positive Impacts and Environmental Benefits in Chapter V. These benefits would not be realized without the proposed project. The traffic volume will continue to increase and without the project, the trunk roads are likely to deteriorate faster creating worse road and safety conditions for the travelers. Road runoff containing pollutants from G316 during rainfall events will continue to discharge into the Shaanxi Han River Wetland.

273. Without the rural roads, villagers living in these poverty counties will be limited in their access to the market to sell their farm products and to purchase agricultural inputs; and access to schools, health facilities and administrative services in the townships, especially during inclement weather when the rural roads become impassable. These factors constrain socio- economic development of these villages and poverty reduction efforts. Without this project, travelling conditions on the earthen rural roads will be more vulnerable to increasing frequencies and intensities of storm events due to climate change.

274. The populations of approximately 3 million in Ankang City and 2.5 million in Shangluo City would not benefit from having better and safer travelling conditions on the three trunk roads and the eight rural roads.

B. Alternatives Considered

275. Trunk Road G316 Alignment. According to the topography and existing road conditions on G316, the FSR considered several alignment alternatives for three sections along the trunk road, the Duanjiahe Town section, the Duanjiahe to Zaoyang Township section, and the Aijiahe section. Comparisons of alternatives considered for these three sections are presented in Table 54. Option A was selected for all three sections based on the comparison of the pros and cons described in Table 54.

Table 54: Comparison of Alignment Alternatives on Trunk Road G316

Alternatives Considered Alignment Section Option A Option B Option C Duanjiahe Town Upgrade the existing Use a bridge to cross the (K3+650 – K6+460) alignment of 2.81 km to town on the south side, Class II highway standard, avoiding the busy streets in with 8.5 m road width the town. Length 2.172 km, width 10 m. Pros: use the existing road completely, lower cost, less Pros: higher technical land acquisition and standard and road safety resettlement, less vegetation damage, easier construction Cons: more land acquisition 126

Alternatives Considered Alignment Section Option A Option B Option C and resettlement due to the Cons: lower technical need to lower the slope to standard and road safety the south of town to reduce elevation difference, needs to build two bridges and thus cost about 38 million CNY more Option A selected Duanjiahe – Zaoyang Mainly upgrade the existing Widen the road on terrace Township alignment of 16.92 km, with land on the left of alignment. (K7+460 – K24+380) 8.5 m road width Length 16.92 km, width 10 m. Pros: maximize use of existing alignment, lower Pros: wider road width cost, less land acquisition beneficial to future regional and resettlement, less economic development vegetation damage, easier construction Cons: More land take and cost 69 million CNY more. Cons: road width of only 8.5 Some sections are difficult to m might constrain future widen and require more regional economic bridges. More difficult to development construct. Poor geotechnical property on terrace land. Option A selected Aijiahe Use bridges and tunnels to Build two bridges over the Build one large bridge to (K22+760 – K24+215) cross gullies and to stay Xiangyu Railroad. One of cross above the Xiangyu away from the railroad the bridges is only 10 m Railroad. Road length 1.258 tunnel. Road length 1.455 from the railroad tunnel. km, width 8.5 m. km, width 8.5 km Road length 1.29 km, width 8.5 m. Pros: high horizontal and Pros: further away from vertical technical standards. railroad, thus less potential Pros: mainly use the existing construction impact on the alignment, resulting in Cons: Small inter-crossing railroad. shorter bridges. Bridge angle with the railroad which height less than Option C. might be subject to Cons: lower horizontal About 8.7 million CNY less agreement with the railroad technical standard than Option C. authority. Bridge needs special structural features Cons: about 6 million CNY and tall piers. Difficult more than Option A. Need to construction and most excavate above the railroad costly. tunnel for one bridge with construction difficulty. Option A selected Source: FSR.

276. Trunk Road S102 Alignment. Alternatives were considered for nine road sections along S102 as shown in Table 55. Figure 24 shows the alignment alternatives for the Daling section.

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Table 55: Comparison of Alignment Alternatives on Trunk Road S102

Alignment Alternatives Road Section Option A Option B Option C Ganxi Town Chainage: K17+401-K19+610 Chainage: K17+401-K19+704 Chainage: K17+401-K19+449 Length: 2.209 km Length: 2.303 km Length: 2.048 Land take: 1.87 ha Land take: 1.93 ha Land take: 1.28 ha Building demolition: 2390 m2 Building demolition: 4760 m2 Building demolition: 2400 m2 Cost: 41 million CNY Cost: 35 million CNY Cost: 69 million CNY 2 bridges crossing the Xun 2 bridges without crossing the 2 bridges crossing the Xun River Xun River River More households affected by air and noise than Options A & C Option C has the longest bridge with the alignment bisecting the Liujiayuanzi community and most expensive. Option B though cheapest, has the highest land take, building demolition and number of air and noise sensitive receptors. Option A was selected Jijiaping Chainage: K20+058-K23+058 Chainage: K20+058-K21+103 Length: 3.00 km Length: 1.045 km Land take: 2.02 ha Land take: 0.80 ha Building demolition: 3404 m2 Building demolition: 264 m2 Cost: 48 million CNY Cost: 52 million CNY No bridge, no tunnel No bridge, one tunnel Option A was selected due to considerably lower cost per km than Option B, despite more land take and house demolition. Daling Chainage: K23+952-K27+872 Chainage: K23+952-K29+172 Length: 3.92 km Length: 5.22 km Land take: 4.26 ha Land take: 1.71 ha Building demolition: 2010 m2 Building demolition: 6095 m2 Cost: 79 million CNY Cost: 43 million CNY Option A was selected despite its higher cost and more land take because Option B is longer and winding with bottle necks along the alignment (see Figure 24) and with more building demolition Chengjiagou Chainage: K34+980-K37+280 Chainage: K34+980-K36+225 Length: 2.30 km Length: 1.245 km Land take: 1.90 ha Land take: 0.72 ha Building demolition: 4445 m2 Building demolition: 300 m2 Cost: 35 million CNY Cost: 71 million CNY Option B costs considerably more due to one long tunnel. Option A was selected for its lesser cost despite more land take and building demolition. Zhaowan Town Chainage: K38+000-K40+474 Chainage: K38+000～K40+673 Length: 2.544 km Length: 2.742 km Land take: 3.75 ha Land take: 1.22 ha 2 Building demolition: 2130 m Building demolition: 6208 m2 Cost: 54 million CNY Cost: 40 million CNY Option A was selected for its shorter length, better alignment layout and less house demolition than Option B, despite its slightly higher cost and more land take. (Option B mainly uses the existing road with winding alignment requiring more house demolition). Liangheguan Chainage: K52+240-K52+926 Chainage: K52+240-K53+400 Length: 0.70 km Length: 1.16 km Land take: 1.06 ha Land take: 0.20 ha Building demolition: 456 m2 Building demolition: 3159 m2 Cost: 25 million CNY Cost: 31 million CNY Option A was selected due to its shorter length (by shortcutting a curved section on the existing alignment), less house demolition and lower cost than Option B. Xiaohe Town Chainage: K55+651-K58+788 Chainage: K55+651-K58+616 Chainage: K55+651-K58+182 Length: 3.137 km Length: 2.965 km Length: 2.531 km Land take: 1.79 ha Land take: 0.63 ha Land take: 1.18 ha Building demolition: 1740 m2 Building demolition: 950 m2 Building demolition: 3943 m2 Cost: 72million CNY Cost: 77 million CNY Cost: 72 million CNY 128

Alignment Alternatives Road Section Option A Option B Option C Option B has a long tunnel to avoid the town, resulting in the highest cost and also does not benefit the town in terms of road access. Option C has the most house demolition and resettlement. Option A was selected. Hongyantan Chainage: K33+900-K34+600 Chainage: K33+900-K34+668 Length: 0.7 km Length: 0.768 km Building demolition: 400 m2 Building demolition: 4400 m2 Cost: 43 million CNY Cost: 38 million CNY Option A was selected for its shorter length and less house demolition despite its slightly higher cost Yujiawan Chainage: K59+833-K61+070 Chainage: K59+833-K61+618 Length: 1.237 km Length: 1.785 km Building demolition: 650 m2 Building demolition: 400 m2 Cost: 71 million CNY Cost: 64 million CNY Option A is a tunnel option to shortcut the curving existing alignment and thus avoiding air quality and noise impact to a number of sensitive receptors. Option A was selected despite its higher cost. Source: EIR.

Option A (selected)

Option B Option C

Shuagiaolig Setio

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Option B

Option A (selected)

Baishegou Setio

Figure 24: Alignment Alternatives considered for Trunk Road S224

277. Road Pavements for the Trunk Roads. Both asphalt concrete (AC) and cement concrete (CC) road paving were considered. AC paving was selected for all three trunk roads based on the moist climate in the Qinba Mountain area, the volume of traffic and construction cost.

278. Traffic Noise Mitigation Measures. A number of measures were considered for mitigating noise from road traffic as shown in Table 56. These included direct measures that would be applied at the noise source, such as noise barriers, boundary walls and woodland buffers, as well as indirect measures that would be applied at the sensitive receptors such as regular or ventilated double glazed windows. Factors governing the application of these measures include the distance between the road and the sensitive receptor and the extent of noise exceedance.

Table 56: Comparison of Noise Mitigation Measures Considered

Measure Suitability Noise Reduction Pros Cons Noise barrier Concentrated sensitive 8 - 15 dB(A) Effective with wide Expensive and has receptors near carriageway applicability and easy visual impact and with serious implementation exceedance Wall Low rise sensitive 3 – 5 dB(A) Moderately effective Limited noise receptors near carriageway and lower cost reduction and with slight exceedance suitability Regular double Scattered sensitive >15 dB(A) Effective with No ventilation. glazed window receptors farther away from moderate cost, good Sometimes difficult to carriageway and with suitability with little implement especially serious exceedance impact on residents in villages Ventilated Scattered sensitive >15 dB(A) Effective, reduces Sometimes difficult to 130

Measure Suitability Noise Reduction Pros Cons double glazed receptors farther away from noise and provides implement especially window carriageway and with ventilation at the same in villages. serious exceedance time, moderate cost Noise reduction Concentrated sensitive 20 m wide buffer with Reduces noise and at Application limited due woodland buffer receptors with minor high plant density the same time to large land take and exceedance could reduce 2 – 3 provides additional limited effectiveness in dB(A) landscape features. reducing noise Resettlement Sensitive receptors near No longer relevant Completely solve the Relatively high cost carriageway and with noise problem with potential impact serious exceedance that to residents from cannot be mitigated with relocation. other measures Source: EIR.

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VI. INFORMATION DISCLOSURE, PUBLIC CONSULTATION AND PARTICIPATION

A. Legislative Framework

279. Meaningful participation and consultation in the evaluation of project planning, feasibility study, design and implementation is an important environment safeguards requirement. It can directly reflect the public’s perceptions of environmental quality in the project’s area of influence.

280. Relevant provisions in the Environmental Protection Law of PRC and the Regulations on the Administration of Construction Project Environmental Protection (Order of the State Council, No. 253) require that the “Environmental Impact Report formulated by the construction unit shall be in accordance with relevant laws to solicit the opinions of units concerned and inhabitants of project construction site". In January 2011, the MEP circulated the draft Technical Guidelines for Environmental Impact Assessment: Public Participation for public commenting, which specifies the requirements of information disclosure and stakeholder opinion survey. Since 2012, MEP also requires that abstracts of EIRs should be posted on the web-sites of local EPBs during the approval process (MEP Order No. [2012]51).

281. ADB Safeguard Policy Statement (2009) requires meaningful participation, consultation and information disclosure. ADB Public Communications Policy: Disclosure and Exchange of Information (2011) requires that the borrower shall provide safeguard information to affected people in a timely manner, in an accessible place, and in a form and language(s) understandable to them.

282. Information disclosure and public consultation have been conducted during preparation of the domestic EIRs for the trunk roads, the EIRFs for the rural roads, and this EIA. Information disclosure and consultation included: disclosure on the internet, public posting, informal communication with key stakeholders which include residents, local authorities and sector specific institutions and authorities; questionnaire survey; and discussion forum attended by affected people and other concerned stakeholders. The consultation processes for this project follow both the PRC and ADB requirements.

B. Information Disclosure

283. Disclosure of project information and related environmental issues was conducted twice on government web-sites for each of the three trunk roads during the domestic EIR preparation (Table 57). The first time was at the commencement of EIR preparation and the second time was when the draft EIR was completed. The duration of each web-site disclosure was ten working days. Figure 25 shows examples of web-posting. Project information was also publicly posted in affected communities Figure 26). The rural roads are not subject to disclosure on government web-sites.

Table 57: Information Disclosure on Government Web-sites for the Trunk Roads

Disclosure Dates Trunk Road Web-site Name First Time Second Time G316 Xunyang - Ankang Ankang Municipal Transport Bureau 2012.10.25 2012.11.26 S102 Xunyang – Xiaohe Xunyang County Government 2011.11.01 2011.12.15 PRC EIA (first time) S224 Shangnan - Yunxian 2012.12.24 2013.02.27 Shangnan News (second time) Source: EIR.

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G S S

Figure 25: Examples of Web-site Information Disclosure

G S S

Figure 26: Examples of Public Posting in Affected Communities

C. Questionnaire Survey

284. Questionnaire surveys were conducted for the three trunk roads and eight rural roads targeting the residents of affected communities in the project area of influence. The questionnaire focused on the project and its potential environmental impacts. Tables 58 and 59 presents the questionnaire survey information and results for the trunk roads and the rural roads respectively.

285. For the trunk roads, 100% of the respondents deemed the component to be necessary and agreed to have the component, whilst the majority viewed the existing road conditions to be not good and inconvenient and identified the main existing environmental problem as traffic noise. Most viewed environmental concerns during construction as dust and noise, and during operation as noise, traffic emissions, dust and vegetation damage. Most chose road side greening as the preferred noise mitigation measure [note: alternative analysis in Chapter VI indicated that road side greening does not provide effective noise mitigation compared to road side noise barriers], followed by sound proof windows and noise barriers. Most felt that the trunk roads would be advantageous to local socio-economic development and would improve their quality of life. Most deemed no or minimal adverse impact on agricultural production, and that the trunk roads would in fact be advantageous to their production activities and vocational development. Most agreed to the land acquisition and resettlement for the trunk roads and the majority preferred monetary compensation.

286. For the rural roads, the majority was unsatisfied or very unsatisfied with the present traffic condition with the major environmental and social problems being inconvenience, dust and vehicle emissions, and thus agreed to have the rural roads component. However, most are rather satisfied with the present environmental condition. Most viewed major environmental

133 concerns during construction as dust, noise and wastewater, and during operation as noise, traffic congestion and water quality. Road side greening was the preferred traffic noise mitigation measure. The majority deemed the rural road component to be advantageous to agricultural production activities and local socio-economic development. On land acquisition and resettlement, the majority either probably understood or did not understand the policy, but would accept or conditionally accept what would be offered.

Table 58: Questionnaire Surveys for the Trunk Roads

Trunk Roads G316 S102 S224 Xunyang - Ankang Xunyang - Xiaohe Shangnan - Yunxian Date Nov-Dec 2012 Dec 2011 Mar 2013 No. participants 106 102 195 Opinion surveyed % % % Agree 100 100 100 Attitude towards the Conditionally agree 0 0 0 trunk road component No opinion 0 0 0 Disagree 0 0 0 Relatively good --- 16 --- Average --- 27 --- Existing road condition Not good, --- 58 --- inconvenient Noise --- 51 --- Existing environmental Ecological damage --- 15 --- problems related to Air pollution --- 26 --- the road Water pollution --- 8 --- Very necessary --- 81 --- Need for the project Necessary --- 19 --- Unnecessary --- 0 --- Environmental Noise 32 --- 45 concern during Vehicle exhaust 12 --- 14 construction (can Dust 47 --- 68 select more than one) Vibration 15 --- 16 Noise 68 32 74 Environmental Vehicle exhaust 13 7 33 concerns during Dust 26 --- 32 operation (can select Vegetation damage --- 57 --- more than one) Water pollution --- 4 --- Other 9 --- 2 Impact of road project Advantageous 45 93 --- on your production Average 13 0 --- activities and Disadvantageous 8 0 --- vocational No impact 34 7 --- development Road side greening 53 75 55 Preference on traffic Moving alignment noise mitigation 6 4 14 away from villages measures (can select Soundproof windows 17 5 34 more than one) Noise barriers 28 17 9 Impact of project on Advantageous 100 100 99 local socio-economic No impact 0 0 0 134

Trunk Roads G316 S102 S224 Xunyang - Ankang Xunyang - Xiaohe Shangnan - Yunxian Date Nov-Dec 2012 Dec 2011 Mar 2013 No. participants 106 102 195 Opinion surveyed % % % development Disadvantageous 0 0 0 No opinion 0 0 1 Increase --- 83 --- Impact of project on Decrease --- 10 --- local quality of life No impact --- 7 --- Serious impact --- 0 9 Impact of project on Average impact --- 22 18 agricultural production Minimal or no impact --- 78 42 Positive impact ------31 Serious impact --- 37 --- Impact of project on Average impact --- 39 --- ecology Minimal or no impact --- 24 --- Monetary 74 --- 71 compensation Preferred resettlement Resettle locally 19 --- 13 compensation Change occupation 5 --- 14 Other 2 --- 3 Differing opinion on No 40 --- 83 land acquisition and Yes 3 --- 13 resettlement Do not know 5 --- 4 compensation Conditionally accept 52 ------Agree 100 --- 100 Agreement with road Disagree 0 --- 0 alignment No opinion 0 --- 0 Note: blanks represent those questions were not included in the survey questionnaires for the respective roads. Source: EIR.

Table 59: Questionnaire Surveys for the Rural Roads in June 2014

Rural Roads 1 2 3 4 5 6 7 8 Shangm Lijiaba - Yangpo - Yanba - Zaobao - Zaobao - Beigou – Shuigou a - Baiguos Liangheg Dongqia Youshen Wujiash Luojiahe - Balipo Xiaohe hu uan o g an No. participants 98 22 21 33 41 13 22 95 Opinion surveyed % % % % % % % % Agree 94 100 100 88 95 92 100 98 Attitude towards Conditionally 3 0 0 12 5 8 0 0 the rural road agree component No opinion 3 0 0 0 0 0 0 2 Disagree 0 0 0 0 0 0 0 0 Degree of Very satisfied 0 0 0 0 0 0 0 1 satisfaction with Rather 7 5 19 16 27 8 14 5 the present traffic satisfied condition Unsatisfied 55 68 48 45 63 54 82 58

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Rural Roads 1 2 3 4 5 6 7 8 Shangm Lijiaba - Yangpo - Yanba - Zaobao - Zaobao - Beigou – Shuigou a - Baiguos Liangheg Dongqia Youshen Wujiash Luojiahe - Balipo Xiaohe hu uan o g an No. participants 98 22 21 33 41 13 22 95 Opinion surveyed % % % % % % % % Very 38 27 33 39 10 38 4 36 unsatisfied Major Inconvenient 66 96 76 91 51 85 100 84 environmental Noise 26 9 14 7 39 0 5 7 and social Dust & 62 9 33 9 44 8 0 73 problems related exhaust to traffic (can Others select more than 0 0 0 3 0 23 0 1 one) Very satisfied 8 18 14 15 12 39 45 6 Satisfaction with Rather 40 73 48 58 66 31 55 64 present local satisfied environmental Unsatisfied 38 9 28 24 15 15 0 22 quality Very 14 0 10 3 7 15 0 8 unsatisfied Noise 60 27 52 55 73 85 77 23 Environmental Dust 68 14 48 64 76 62 32 84 concerns during Wastewater 33 68 19 6 10 8 9 6 construction (can Soil erosion 23 23 24 42 7 23 5 12 select more than Groundwater 13 27 10 0 7 15 0 2 one) Solid waste 10 5 0 0 7 0 9 2 Noise 63 50 29 58 80 62 100 21 Environmental Vehicle concerns during 9 0 0 15 7 8 0 27 exhaust operation (can Traffic select more than 58 9 3 36 22 38 0 26 congestion one) Water quality 12 50 43 9 5 8 0 40 Impact of road Advantageous 76 64 52 91 73 85 91 48 project on Average 12 14 43 6 7 8 0 45 agricultural Disadvantageo 3 18 0 3 15 7 9 0 production us activities No impact 9 4 5 0 5 0 0 7 Road side 92 91 91 91 100 85 100 20 greening Away from Preference on 2 0 0 0 0 0 0 0 villages traffic noise Soundproof mitigation 5 0 5 3 0 15 0 6 windows measures Noise barriers 1 0 0 0 0 0 0 4 Walls 0 0 0 0 0 0 0 66 Resettlement 0 9 4 6 0 0 0 4 Impact of project Advantageous 95 100 91 97 100 100 100 --- on local socio- No impact 3. 0 9 3 0 0 0 --- economic Disadvantageo 2 0 0 0 0 0 0 --- development us 136

Rural Roads 1 2 3 4 5 6 7 8 Shangm Lijiaba - Yangpo - Yanba - Zaobao - Zaobao - Beigou – Shuigou a - Baiguos Liangheg Dongqia Youshen Wujiash Luojiahe - Balipo Xiaohe hu uan o g an No. participants 98 22 21 33 41 13 22 95 Opinion surveyed % % % % % % % % Fully 7 0 5 9 2 15 41 12 Understanding of understand compensation Probably 30 18 48 39 17 16 0 63 policy on understand resettlement Do not 63 82 47 52 80 69 59 25 understand Differing opinion No 53 64 48 67 39 31 59 96 on land Conditionally 46 36 52 33 61 69 41 1 acquisition and accept resettlement Do not accept 1 0 0 0 0 0 0 3 Agree 88 100 86 91 85 100 100 97 Agreement with Disagree 4 0 5 6 0 0 0 0 road alignment No opinion 8 0 9 3 15 0 0 3 Source: ChangAn University.

D. Discussion Forum

287. Discussion forums with local village representatives were conducted for the trunk roads G316, S102 and S224. Issues discussed are summarized in Table 60. The main concerns raised by the attendees during these forums were related to environmental impacts during construction and resettlement compensation. Representatives from the ChangAn University explained the environmental protection measures in the EIRs for mitigating dust, construction noise and water quality impacts. The representative from the project proponent explained that land acquisition and resettlement would comply with applicable policies. The attendees also emphasized the importance of good engineering and quality of work on rehabilitating the trunk roads so that these roads would not have to be repaired frequently. All the environmental concerns raised during these discussion forums have been addressed in this EIA and EMP.

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Table 60: Discussion Forum conducted for the Trunk Roads

Date of Trunk Road Issues Raised Responses Given Forum G316 Xunyang - 2014.06.05  Questions on road alignment & width  Concerns were noted. Ankang  Questions related to land acquisition  Road alignment and width compensation amount and construction information explained worker wages  Mitigation measures to prevent  How to deal with wastewater, solid river pollution by wastewater, waste and bridge construction to solid waste and bridge prevent river pollution. construction were explained, as  How to restore vegetation damaged well as vegetation restoration during construction requirements.  What are the road safety measures for  Land acquisition policy explained. pedestrians in populated town centers Worker wages to be decided by during operation stage the contractors  Road safety measures such as warning signs, speed limits will be installed in populated town centers S102 Xunyang - 2014.06.05  Questions on road alignment and  Concerns were noted. Xiaohe construction duration Environmental mitigation  Will the project take up much farmland measures for dust, noise, solid  What are the mitigation measures for waste and construction of river dust, noise, solid waste and constructing crossing bridges were explained. river crossing bridges  Compensation policy for land  Compensation on land acquisition and acquisition and resettlement was resettlement explained  Public security during construction from  Will hire local workforce as a inflow of construction workers priority to minimize inflow of  Pedestrian safety during construction migrant workers  Construction traffic management to protect pedestrians S224 Shangnan - 2014.04.17  Ensure the quality of work  Concerns were noted Yunxian  What are the measures for mitigating  Environmental mitigation construction impact measures for construction impact  Compensation on land acquisition and and compensation policy for land resettlement acquisition and resettlement were explained. Source: ChangAn University.

288. Discussion forums with local village representatives were also conducted for each of the eight rural roads. Issues discussed are summarized in Table 61. Upgrading of the rural roads was overwhelmingly supported by the participants. Concerns raised include compensation policy on land acquisition, public security due to inflow of construction workers into the areas, pedestrian and student safety regarding construction traffic, mitigation measures for dust, noise and water quality, and complaint resolution. Most participants would like to see the rural roads upgraded as soon as possible. Their concerns were noted, mitigation measures for construction impacts and compensation policy for land acquisition were explained. All the environmental concerns raised during the discussion forums have been addressed in this EIA and EMP.

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Table 61: Discussion Forum conducted for the Rural Roads

Date of Rural Road Issues Raised Responses Given Forum RR1 Shangma-Xiaohe 2014.06.04  Public security during construction  Will hire local workforce as  Road safety during construction priority to minimize outside especially for students migrant workers  Noise from construction traffic  Set up school zone, speed limit  Pollution cleanup during construction and no honking signs near  Liaise with village representative to schools resolve complaints  Construction temporary traffic management  Timely cleanup of construction waste to avoid pollution.  Have project grievance redress mechanism to deal with complaints RR2 Lijiaba-Baiguo 2014.06.01  Minimize vegetation damage and soil  Concerns were noted and erosion during construction relevant mitigation measures  Cleanup pollution quickly confirmed.  Implement project quickly so that  Timely cleanup of construction villagers could benefit sooner waste to avoid pollution.  Avoid affecting the drinking water pipes  The villagers will be requested to show the contractors the drinking water pipe locations so that they could be avoided during construction. RR3 Beigou-Luojia 2014.06.03  Minimize damage to vegetation and  Concerns were noted. agricultural products during construction  Timely cleanup of construction  Cleanup pollution quickly waste to avoid pollution.  Implement project quickly so that  Have project grievance redress villagers could benefit sooner mechanism to deal with  Liaise with village representative to complaints resolve complaints RR4 Yangpo- 2014.06.02  Prefer the alignment to be close to  The alignment will be about 170 Liangheguan Caoling Primary School for convenience m from the school to the students  Concerns noted, new pavement  Prevent damage to road side houses will be applied to the road during construction  Have project grievance redress  Will the road be repaired mechanism and regular liaison  How to resolve complaints with village representatives to resolve complaints

139

Date of Rural Road Issues Raised Responses Given Forum RR5 Yanba-Dongqiao 2014.05.29  Construction vehicles should reduce  Concerns were noted and speed to reduce noise mitigation measures for  Public security and student safety during construction dust and noise were construction explained.  Cleanup pollution quickly  Will hire local workforce as a  What are the construction dust and priority so as to minimize outside noise mitigation measures. migrant workers  Liaise with village representative to  Strengthen construction traffic resolve complaints and road safety management  Have project grievance redress mechanism to deal with complaints and regular liaison with village representatives. RR6 Zaobao- 2014.05.30  Concern with student safety due to  Will set up speed zone and Yousheng Village construction traffic near schools reduce construction traffic speed  Minimize damage to road side near schools vegetation  Mitigation measures for  Implement project quickly so that construction dust were explained villagers could benefit sooner  Other concerns noted  How to mitigate construction dust RR7 Zaobao- 2014.05.30  How will land acquisition be  Compensation policy was Wujiashan compensated explained  Clean up pollution quickly  Other concerns noted  Implement project quickly so that  Have project grievance redress villagers could benefit sooner mechanism to deal with  Liaise with village representative to complaints and regular liaison resolve complaints with village representatives. RR8 Xianghe-Shuigou 2014.05.29  What are the measures to deal with  Concerns were noted and dust, noise and solid waste pollution measures to mitigate construction during construction stage impacts were explained.  How to protect rivers and water bodies  Measures such as road signs, during construction speed limits, barriers etc. will be  How to protect pedestrian safety during set up to assure pedestrian construction safety.  Ensure work quality to avoid constant  Compensation policy was road repair in the future explained.  How will land acquisition be  Work will be subject to quality compensated controls. Source: ChangAn University.

E. Future Plans for Public Consultation

289. Meaningful consultation to safeguard the environment and local residents will continue throughout construction and operation phases consisting of information disclosure on project proponent and relevant government department web sites, posting of project information on community notice boards, and discussion forums. The FFPO and the IAs will be responsible for organizing the public consultations, with the support of the LIEC appointed through the loan implementation consultancy services. The contractors will be required to communicate and consult with the communities in the project area of influence, especially those near road alignments. Clearly visible public notice boards will be set at each work site to provide information on the purpose of the project activity, the duration of disturbance, the responsible 140 entities on-site (contractors, IAs), and the project level Grievance Redress Mechanism (GRM). Contact information of all GRM entry points and the FFPO complaint center hotline will be disclosed on the construction site information boards. Consultation will focus on public nuisances from construction and operation activities, such as noise, asphalt fume nuisance, dust, traffic disturbance, as well as public concerns about the environment and resettlement.

290. Future consultation and participation will also include (i) involvement of affected people in discussion forums during inspection and monitoring of EMP implementation during construction and operation phases; (ii) participatory evaluation on the environmental and social- economic benefits and impacts in these forums; and (iii) consultation with the public after the project completion. The EMP provides plans for future public participation. The EMP for this project is included in Appendix 1 of this report.

291. As this project has been classified as ADB environment category A, the project environmental information will be disclosed by ADB as follows: (i) the draft EIA was posted at www.adb.org more than 120 days before ADB Board consideration; (ii) this final EIA and any subsequent updates will also be posted; (iii) copies of the domestic EIRs for the trunk roads and EIRFs for the rural roads (all in Chinese) are available on request at the FFPO; and, (iv) environment progress will be reported in the quarterly project progress reports and the semi- annual environmental monitoring reports which will be posted on ADB’s project website (http://adb.org/projects/details?proj_id=46042-002&page=overview).

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VII. GRIEVANCE REDRESS MECHANISM

292. Public participation, consultation and information disclosure undertaken as part of the local EIR process, assessment and development of resettlement plans, and consultations undertaken by the project consultants have discussed and addressed major community concerns. Continued public participation and consultation have been emphasized as a key component of successful project implementation. As a result of this public participation and safeguard assessment during the initial stages of the project, major issues of grievance are not expected. However, unforeseen issues may occur. To settle such issues effectively, a transparent grievance redress mechanism (GRM) for lodging complaints and grievances has been defined for environment related issues.

293. The GRM has been designed to help achieve the following objectives: (i) open channel for effective communication, including the identification of new environmental issues of concern arising from the project; (ii) prevent and mitigate any adverse environmental impacts on communities caused by project construction and operations; (iii) improve mutual trust and respect and promote productive relationships with local communities; and (iv) build community acceptance of the project.

294. The FFPO will establish a complaints center with hotline for receiving both environmental and resettlement grievances. The details of the GRM are described in the EMP (Appendix 1), and were also explained during public consultation with the participants of the public forum. The GRM will be operational prior to commencement of construction works.

295. In addition to the project GRM, ADB's overall accountability mechanism (2012) applies.19 This mechanism provides opportunities for people adversely affected by ADB-financed projects to express their grievances; seek solutions; and report alleged violations of ADB’s operational policies and procedures, including safeguard policies. ADB’s accountability mechanism comprises two separate, but related, functions: (i) consultation, led by ADB’s special project facilitator, to assist people adversely affected by ADB-assisted projects in finding solutions to their problems; and (ii) providing a process through which those affected by projects can file requests for compliance review by ADB’s Compliance Review Panel.

19 The revised accountability mechanism became effective on 24 May 2012. 142

VIII. ENVIRONMENTAL MANAGEMENT PLAN

A. Objectives

296. An environmental management plan (EMP) has been prepared for the project. It will provide the mechanism to implement mitigation measures and monitoring programs. The full EMP is presented in Appendix 1. It will also be included as an Appendix to the Project Administration Manual (PAM) for the project and as part of the contract requirements. The EMP defines mitigation measures and describes the involved institutions and mechanisms to monitor and ensure compliance with environmental regulations and implementation of the mitigation measures. Such institutions and mechanisms will seek to ensure continuous improvement of environmental protection activities during preconstruction, construction, and operation of the project in order to prevent, reduce, or mitigate adverse impacts. The EMP draws on the domestic EIRs and EIRFs, this project EIA, and on the PPTA discussions and agreements with the relevant government agencies, at the same time making reference to the soil and water conservation reports on soil erosion. The plan to mitigate and monitor soil erosion during construction is comprehensive and very lengthy so is not included in the EMP, it has an estimated cost of over $2.36 million excluding engineering costs that have already been included in the major works, and with its implementation to be enforced by the Shaanxi Provincial Water Resource Bureau. The EMP will be reviewed and updated at the end of the detailed design in order to be consistent with the final detailed design, and will further be revised during implementation if determined that measures need to be amended or new measures needed. The updated EMP will be disclosed on ADB’s project website.

B. Organizational Structure for Environmental Management

297. As Executing Agency (EA), the Shaanxi Provincial Transport Department (SPTD) will be responsible for the overall implementation and compliance with loan assurances and the EMP (including Environmental Monitoring Plan). The EA has established the Foreign-Fund Finance Project Office (FFPO), who will be responsible, on behalf of the EA, for the day-to-day management of the project. The FFPO will have the overall responsibility to supervise the implementation of environment mitigation and monitoring measures, coordinate the project GRM and report to ADB. FFPO will (i) appoint at least one environmental specialist on its staff to coordinate and manage EMP implementation, (ii) engage the loan implementation consultants (LIC) services, and (iii) supervise the procurement process. The FFPO environmental specialist will (i) supervise contractors and their compliance with the EMP; (ii) conduct regular site inspections; (iii) act as local entry point for the project GRM; (iv) submit environmental quality monitoring results provided by the IAs to the FFPO for verification. FFPO will prepare quarterly project progress reports and semi-annual environment monitoring reports and submit them to ADB.

298. Implementing Agencies (IA) for the project will consist of (i) the Ankang Municipal Transport Bureau (AMTB) for trunk roads G316 and S102, and rural roads (RR) 1 to 7, and (ii) the Shangnan County Government (SCG) for trunk road S224 and RR8. They will implement project components, administer and monitor contractors and suppliers, and be responsible for construction supervision and quality control. To ensure that the contractors comply with the EMP provisions, the IAs will ensure that the environmental specification clauses listed in the EMP are incorporated into all bidding documents. Each IA will (i) contract the local Environmental Monitoring Station (EMS) to conduct environmental impact monitoring during the construction stage (in this case the Ankang EMS and Shangluo EMS), and (ii) contract an external Environmental Supervision Engineer (ESE) to conduct independent verification of EMP

143 implementation and environmental impact monitoring results during the construction stage of the project. Each IA is recommended to have at least one environmental specialist on its staff to (i) supervise contractors and their compliance with the EMP, (ii) conduct regular site inspections, and (iii) submit environmental quality monitoring results provided by the EMS to the FFPO and local Environmental Protection Bureau (EPB) (in this case the Ankang EPB and Shangluo EPB) for verification and confirmation.

299. Under the loan implementation consultancy (LIC) services contracted by FFPO, a Loan Implementation Environmental Consultant (LIEC) will be included to support the project. Terms of reference for this external environmental consultant is provided in the Project Administration Manual. The LIEC, as an external monitor, will:  assess the project components’ environmental readiness prior to implementation based on the readiness indicators defined in the EMP;  support FFPO in updating the EMP including environmental monitoring plan as necessary to revise or incorporate additional environmental mitigation and monitoring measures, budget and institutional arrangements, that may be required based on the detailed design; submit to ADB for approval and disclosure; ensure compliance with the PRC’s environmental laws and regulations, ADB’s Safeguard Policy Statement (2009) and Public Communications Policy (2011);  if required, update the EIA and EMP reports for changes in the project during detailed design or project implementation (for example if there is a minor or major scope change) that would result in adverse environmental impacts not within the scope of the approved EIA/EMP;  assist FFPO to establish a GRM;  conduct regular EMP compliance assessments, undertake site visits as required, identify any environment-related implementation issues, and propose and oversee implementation of necessary corrective actions;  assist FFPO to prepare quarterly project progress reports and semi-annual environmental monitoring reports for ADB;  provide training to FFPO, IAs, O&M units and contractors on environmental laws, regulations and policies, SPS 2009, EMP implementation, and GRM in accordance with the training plan defined in the EMP; and  assist FFPO and IAs in conducting consultation meetings with relevant stakeholders as required, informing them of imminent construction works, updating them on the latest project development activities and GRM.

300. Each IA will contract an independent Environmental Supervision Engineer (ESE) to verify environmental performance during construction and whether the implementation of EMP items complies with the plan. The ESE will review EMP implementation, monitoring activities and results, assess EMP implementation performance, visit the project sites and consult potentially affected people, discuss assessment with the FFPO and the respective IA; and suggest corrective actions. The ESE will prepare monthly reports for submission to the IA which will be submitted to and reviewed by FFPO during the preparation of the quarterly project progress reports for ADB and by the LIEC during the preparation of the semi-annual environment monitoring reports for ADB.

301. Construction contractors will be responsible for implementing the mitigation measures during construction under the supervision of the IAs (through the ESE) and FFPO. In their bids, contractors will be required to respond to the environmental specifications in the bidding documents. Each contractor will be required to develop site specific EMPs and will assign a person responsible for environment, health and safety. After project completion, environmental 144 management responsibilities will be handed over to the operation and maintenance units.

302. Operation and maintenance (O&M) Units for this project will consist of (i) Shaanxi Provincial Highways Bureau (SPHB) for trunk roads G316, S102 and S224; (ii) Xunyang County Transport Bureau (XCTB) for RR1 to RR4; (iii) Hanyin District Transport Bureau (HDTB) for RR5 to RR7; and (iv) Shangnan County Transport Bureau (SCTB) for RR8. During the operational phase, the IAs, Ankang EPB and Shangluo EPB will periodically verify and monitor (through a licensed monitoring entity) the environmental management and implementation of mitigation measures by the O&M Units. The O&M units for the three trunk roads will be responsible for follow-up monitoring of medium term (year 2013) traffic noise impacts to sensitive receptors to determine if noise mitigation measures will be needed and to implement the measures if needed.

C. Inspection, Monitoring and Reporting

303. Internal environmental quality monitoring will include monitoring of air quality, noise, water quality and other parameters described in the EMP. Internal environmental monitoring during construction and operation will be conducted by the Ankang Environmental Monitoring Station (AEMS) and the Shangluo Environmental Monitoring Station (SEMS) contracted by the IAs for the construction stage and the O&M units for the operational stage. The monitoring results will be submitted to the IAs and FFPO, and will be reported in the quarterly project progress reports and the semi-annual environmental monitoring reports prepared by the FFPO and submitted to ADB.

304. External environmental quality monitoring will be periodically conducted by the local environmental authorities in the framework of their legal mandate to check compliance with applicable environmental regulations. They will be responsible for undertaking regular and random environmental monitoring and inspection activities before, during, and after construction as well as in the event of emergencies.

305. Independent evaluation (also known as compliance monitoring) of EMP implementation will be undertaken by the ESE and LIEC. FFPO will report the LIEC’s independent evaluation to ADB on the project’s adherence to the EMP, information on project implementation, environmental performance of the contractors, and environmental compliance through quarterly project progress reports and semi-annual environmental monitoring reports (Table EMP-6). The LIEC will support FFPO in developing the semi-annual environmental monitoring reports. The reports should confirm the project’s compliance with the EMP and local legislation (including the PRC’s EIA requirements), the results of independent evaluation (both contractor compliance with the EMP and the results of environmental quality monitoring by AEMS and SEMS), identify any environment related implementation issues and necessary corrective actions, and reflect these in a corrective action plan. Operation and performance of the project GRM, environmental institutional strengthening and training, and compliance with all covenants under the project will be included in the report.

306. Moreover, within three months after each component completion, or no later than one year with permission of the Ankang and Shangluo EPBs, environmental acceptance monitoring and audit reports of each component completion shall be: (i) prepared by a licensed environmental monitoring station in accordance with the PRC Regulation on Project Completion Environmental Audit (SEPA, 2001)20, (ii) reviewed for approval by environmental authorities

20 State Environmental Protection Administration. 2001. Acceptance inspection of environmental

145 prior to the official commencement of component operation, and (iii) finally reported to ADB. The environmental acceptance reports for completed components will indicate the timing, extent, effectiveness of completed mitigation and of maintenance, and the needs for additional mitigation measures and monitoring during operation. These environmental acceptance reports will be provided to the LIEC who is responsible for preparing an environmental completion report and inputs for the Project Completion Report for ADB.

307. After construction completion, environmental management responsibilities will be handed over to Operation and Maintenance units.

protection on completion of construction projects. 146

IX. CONCLUSION AND RECOMMENDATIONS

A. Expected Project Benefits

308. This project will directly benefit a total population of approximately 1.7 million in the poverty counties of Hanyin District, Xunyang County and Shangnan County, of which 0.52 million is rural poverty population. Indirectly, it will benefit the populations of approximately 3 million in Ankang City and 2.5 million in Shangluo City.

309. The project will improve road conditions and road safety to the travelers and pedestrians in the southeastern Shaanxi mountainous area, providing the rural communities with better access to markets, schools, health facilities and employment opportunities in county level towns and cities. This project thus contributes to improving the quality of life, facilitating socio- economic development, and reducing poverty. With road safety features incorporated into the preliminary design plus implementation of additional safety measures proposed by ChinaRAP, the percentage of the three trunk roads that would achieve 3-star road safety rating would increase from 39% to 99% for vehicle occupants, 19% to 89% for motorcyclists, 31% to 70% for pedestrians, and 42% to 67% for bicyclists (see Table 23). Similarly for the eight rural roads, improvements would be from 23% to 92% for vehicle occupants, 10% to 53% for motorcyclists, 39% to 91% for pedestrians, and 49% to 92% for bicyclists. The project serves as an important demonstration project on how to implement road safety measures and the benefits of implementing these measures.

B. Adverse Impacts and Mitigation Measures

310. Shaanxi Province would be subject to climate change impacts including temperature and precipitation increase, with increased probability of encountering higher frequencies and intensities of severe storms, floods and droughts. Design of the project roads therefore must take into consideration climate change adaption measures, especially severe storms and floods on bridge and road drainage design.

311. This project would acquire 228.58 ha of land permanently and 3.1 ha of land temporarily. These areas are mostly wooded land and uncultivated land with shrubs and planted species being the main vegetation type. Approximately 3515 households will be affected, with a population of 13,238 and house demolition of 62,965 m2. Compensation will be in accordance with PRC and ADB requirements.

312. During construction, potential impacts mainly relate to earthwork, road paving, and construction of road bridges. The project may have soil erosion, air quality, noise, water quality, ecology, solid waste and occupational health and safety impacts. Potential air quality impact may occur due to fugitive dust generated on the construction site from stockpiles of uncovered earth materials and vehicles travelling on unpaved haul roads, as well as fumes from asphalt cement during road paving. The use of powered mechanical equipment and blasting for tunnel construction during construction activities will generate noise and vibration. Construction activities will generate process wastewater and construction workers will produce wastewater. Bridge construction will stir up and re-suspend sediment, affecting water quality as well as aquatic biota. Earthworks and construction activities will remove vegetation and ecological habitats, causing disruption and disturbance to nearby biota. Construction works will produce C&D wastes including old asphalt paving material. Workers will face occupational health and safety issues working on construction sites. Good housekeeping and effective mitigation measures will be implemented to reduce these impacts to acceptable levels. The temporary

147 land take areas will be vegetated and landscaped upon completion of the construction stage.

313. Biological resources are dominated by common species. There is no critical or natural habitat within the project area of influence. Floral and faunal species that are under IUCN and/or national protection status have been shown to distribute widely in many provinces and autonomous regions in the PRC. None of the species are endemic to the project area, although a subspecies of the Takin Budorcas taxicolor bedfordi is confined to the Qinling Mountains in southern Shaanxi province, with distribution recorded in 17 counties and the project counties/district of Hanyin, Xunyang and Shangnan are not among the 17 counties. The EMP specifies that the construction workers are prohibited from capturing wildlife on construction sites.

314. The Shaanxi Han River Wetland is the only protected area within the project area of influence. The protection objective for the section within the project area of influence is water quality, as the Han River water is being conveyed to the South-to-North Water Transfer Scheme. The existing alignment of trunk road G316 is within the wetland area, running parallel and along the Han River. Mitigation measures have been identified and will be implemented to provide protection to the sections of the Han River and the Shaanxi Han River Wetland within the project area of influence during construction and operation of the project. This project will in fact provide an opportunity to improve the protection of water quality in the Shaanxi Han River Wetland, through installation of sedimentation tanks along G316 during road rehabilitation to collect road runoff during storm events. At present, road runoff from G316 drains directly into the Shaanxi Han River Wetland.

315. Operation of the project roads will generate traffic noise from the motor vehicles travelling on these roads. Mitigation measures consisting of installation of road side wall and noise barrier, and double glazed windows would adequately protect the nearby sensitive receptors from road noise impact. Carbon dioxide emissions from motor vehicles travelling on all the project roads would exceed the ADB threshold of 100,000 t/a in the long term (year 2031), amounting to approximately 112,000 t/a, with the three trunk roads contributing 93% of this total. However, upgrading of the trunk roads would facilitate better traffic flow and improve fuel efficiency, thereby reducing carbon emissions. Economic benefit analysis indicate that substantial carbon savings could be achieved, especially on S102 and S224 although such savings would potentially be off-set by increase in generated traffic and embodied carbon during construction.

316. Road runoff during rainfall events could pollute five rivers that are assigned Category II water quality especially at bridge crossings and sections near these rivers, as well as two drinking water collection sumps along trunk road S224. Retention/sedimentation tanks with specifications of their sizes, numbers and locations, will be installed along trunk roads G316 and S224 to mitigate this potential impact. The collection sumps will further be protected by installation of guard rails and also a sealed cover for one collection sump that is by the roadside of S224.

317. Based on information gathered and assessments performed by the domestic environmental design institutes, it is concluded that environmental impacts during the construction and operational stages of the project would be acceptable and in compliance with PRC regulations and standards and ADB’s SPS (2009) if the prepared EMP is implemented and monitored diligently. The EMP defines mitigation measures and monitoring requirements for the design, construction, and operational stages of the project. Appropriate environmental safeguards for the planned works are proposed and form part of a comprehensive set of project 148 management documents.

C. Risks and Assurances

318. The project has no unusual technical risks and conventional engineering designs with proven reliability and performance will be adopted for all the components. From an environment safeguards point of view, the main risk relates to the failure of the FFPO, the IAs and O&M units to monitor environmental impacts and implement the EMP during construction and operational stages. This risk will be mitigated by (i) providing training in environmental management under the project; (ii) appointing qualified project implementation consultants, (iii) following appropriate project implementation monitoring and mitigation arrangements, (iv) ADB conducting regular project reviews; and (v) project assurances covenanted in the loan and project agreement with ADB.

319. General and specific environmental project assurances are required to ensure that the project can achieve its envisaged outcome. The following sections define the assurances that will be included in the loan and project agreements.

320. General Environmental Assurances. SPTD will ensure and cause the IA to ensure that the preparation, design, construction, implementation, operation, maintenance, monitoring and decommissioning of the project and project facilities comply with (i) all applicable laws and regulations of the Government environment, health, and safety; (ii) the Environmental Safeguards (i.e. principles and requirements set forth in ADB's Safeguard Policy Statement (2009); and (iii) all measures and requirements set forth in the domestic environmental impact reports (EIR), the environmental impact registration forms (EIRF), the soil and water conservation report (SWCR), this EIA and environmental management plan (EMP) for the project; and any corrective or preventive actions (a) set forth in a safeguards monitoring report, or (b) which are subsequently agreed between ADB and the Government. SPTD will cause the IA to prepare, at the outset of component implementation, detailed internal monitoring programs to be implemented by the contractors during construction and operation phases, and to incorporate such mitigation and monitoring measures into the design of components, relevant bidding documents and construction contracts. Throughout project implementation, SPTD and the IA will review any changes to the project design that may potentially cause negative environmental impacts, and in consultation with ADB, update EIA and EMP by revising mitigation measures as necessary to ensure full environmental compliance.

321. SPTD, FFPO and the IAs will ensure that sufficient resources and full time personnel are provided for monitoring EMP implementation and making appropriate use of external independent environmental monitoring stations. SPTD will ensure that the IAs are obliged to provide semi-annual environmental monitoring reports throughout the construction period to FFPO, which will in turn prepare and submit to ADB semi-annual environmental monitoring reports in a format acceptable to ADB.

322. Specific Environmental Assurances. SPTD will ensure that within 60 days from the loan effectiveness, FFPO establishes the project grievance redress mechanism relating to safeguards in line with the EMP and Resettlement Plan and establishes a task force functioning effectively to: (a) review and document eligible complaints of project stakeholders; (b) proactively address grievances; (c) agree with the complainants the chosen mechanism for redress; and (d) prepare periodic reports to summarize the number of complaints received and resolved, and final outcomes of the grievances and chosen actions and make these reports available to ADB on request. Eligible complaints include those related to the project, any of the

149 service providers, any person responsible for carrying out the project, complaints on misuse of funds and other irregularities and grievances due to any safeguard issues, including resettlement, environment, and gender.

323. SPTD will ensure that all temporary land take areas for construction of trunk road G316 will be located outside the boundary of the Shaanxi Han River Wetland, and that no solid waste from the project will be disposed within the wetland boundary and also within 1 km from the boundary of the wetland.

324. SPTD will ensure that all excavated spoil and construction and demolition waste generated during construction will be temporarily stored or permanently disposed of at designated locations only and that these locations shall be at least 300 m from any water body.

325. SPTD will ensure that measures described in the approved EIRs and this EIA and EMP for traffic noise mitigation will be implemented. These measures include the provision of double glazed windows at sensitive receptors along all three trunk roads as identified in the approved EIRs and this EIA, and for trunk road S102 installation of barrier wall at Tangxin Primary School and noise barrier at Liangheguan Primary School.

326. SPTD will ensure that measures described in the approved EIRs and this EIA and EMP for protection of five Category II rivers and two drinking water collection sumps will be implemented. These measures include the installation of 70 retention/sedimentation tanks along trunk road G316 and 40 retention/sedimentation tanks along trunk road S224.

D. Overall Conclusion

327. The domestic EIRs, EIRFs and this EIA conclude that all identified environmental impacts can be mitigated to acceptable levels if the measures defined in the EMP and assurances are carefully implemented and monitored. The project is feasible from an environmental safeguards point of view and will contribute to poverty reduction in the mountainous southern Shaanxi Province.

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APPENDIX 1: ENVIRONMENTAL MANAGEMENT PLAN

August 2015

PRC: Shaanxi Mountain Road Safety Demonstrati Project

Prepared by the Shaanxi Provincial Government for the Asian Development Bank

2

A. Introduction

1. This Environmental Management Plan (EMP) is developed for the Shaanxi Mountain Road Safety Demonstration Project (the project). It identifies the potential project environmental impacts and defines mitigation measures and monitoring requirements for the design, construction, and operational stages of the project. It also defines the institutional arrangements and mechanisms, the roles and responsibilities of different institutions, procedures and budgets for implementation of the EMP. The EMP seeks to ensure environmental protection activities during preconstruction, construction, and operation continuously improve in order to prevent, reduce, or mitigate adverse environmental impacts and risks. The EMP draws on the findings of the project EIA, the domestic Environmental Impact Reports (EIR) and Environmental Impact Registration Forms (EIRF), Soil and Water Conservation Report (SWCR), the Project Preparation Technical Assistance (PPTA) reports, and discussions and agreements with relevant government agencies and the Asian Development Bank (ADB).

2. This EMP is based on proposed project designs as of July 2014. Detailed engineering designs are yet to be finalized and may require subsequent impact assessment and/or revisions to this EMP. The Shaanxi Provincial Transport Department (SPTD) will provide the detailed designs to ADB for review to determine if the EMP requires revision. The final EMP will be disclosed on the ADB website (www.adb.org) and included in the Project Administration Manual (PAM). The final EMP will also be included as a separate annex in all bidding and contract documents. The contractors will be informed of their obligations to implement the EMP, and to include EMP implementation costs in their bids for project works. The contractors are required to prepare site specific EMPs (SEMP) containing method statements for implementing environmental mitigation measures for each individual works package. These SEMPs will be submitted to the Implementing Agencies (IA) and Environmental Supervision Engineers (ESE) for approval.

3. This EMP consists of six components: (i) institutional arrangements and environmental responsibility, (ii) environmental mitigation measures, (iii) environmental monitoring, (iv) institutional strengthening and training, (v) public consultation, and (vi) grievance redress mechanism (GRM). Environmental monitoring consists of two types of monitoring: (i) environmental quality monitoring for assessing the extent and severity of impact and (ii) compliance monitoring by independent entities for verifying EMP implementation. This EMP also presents a section on contract clauses for environmental safeguards, which will be incorporated in all tender documents.

B. Institutional Arrangements and Responsibilities for EMP Implementation

4. Executing Agency. Shaanxi Provincial Transport Department (SPTD) will be the executing agency (EA) responsible for overall implementation and compliance with loan assurances and the EMP.

5. Project Management Office. The EA has established the Foreign-Fund Finance Project Office (FFPO), who will be responsible, on behalf of the EA, for the day-to-day management of the project. The FFPO will have the overall responsibility to supervise the implementation of environment mitigation and monitoring measures, coordinate the project GRM and report to ADB. FFPO will (i) appoint at least one environmental specialist on its staff to coordinate and manage EMP implementation, (iii) engage the loan implementation

3 consultants (LIC) services, and (iii) supervise the procurement process. The FFPO environmental specialist will (i) supervise contractors and their compliance with the EMP; (ii) conduct regular site inspections; (iii) act as local entry point for the project GRM; (iv) submit environmental quality monitoring results provided by the IAs to the FFPO for verification. FFPO will prepare quarterly project progress reports and semi-annual environment monitoring reports and submit them to ADB.

6. Implementing Agency. Implementing Agencies (IA) for the project will consist of (i) the Ankang Municipal Transport Bureau (AMTB) for trunk roads G316 and S102, and rural roads (RR) 1 to 7, and (ii) the Shangnan County Government (SCG) for trunk road S224 and RR8. They will implement project components, administer and monitor contractors and suppliers, and be responsible for construction supervision and quality control. To ensure that the contractors comply with the EMP provisions, the IAs will ensure that the environmental specification clauses listed in the EMP are incorporated into the bidding documents. Each IA will (i) contract the local Environmental Monitoring Station (EMS) to conduct environmental impact monitoring during the construction stage (in this case the Ankang EMS and Shangluo EMS), and (ii) contract an external Environmental Supervision Engineer (ESE) to conduct independent verification of EMP implementation and environmental impact monitoring results during the construction stage of the project. Each IA is recommended to have at least one environmental specialist on its staff to (i) supervise contractors and their compliance with the EMP, (ii) approval of contractors’ SEMPs; (iii) conduct regular site inspections, and (iv) submit environmental quality monitoring results provided by the EMS to the FFPO and local Environmental Protection Bureau (EPB) (in this case the Ankang EPB and Shangluo EPB) for verification and confirmation.

7. Construction contractors will be responsible for implementing the mitigation measures during construction under the supervision of the IAs (through the ESE) and FFPO. In their bids, contractors will be required to respond to the environmental specifications in the bidding documents. Each contractor will be required to develop site specific EMPs and will assign a person responsible for environment, health and safety. After project completion, environmental management responsibilities will be handed over to the operation and maintenance units.

8. Operation and maintenance (O&M) Units for this project will consist of (i) Shaanxi Provincial Highways Bureau (SPHB) for trunk roads G316, S102 and S224; (ii) Xunyang County Transport Bureau (XCTB) for RR1 to RR4; (iii) Hanyin District Transport Bureau (HDTB) for RR5 to RR7; and (iv) Shangnan County Transport Bureau (SCTB) for RR8. During the operational phase, the IAs, Ankang EPB and Shangluo EPB will periodically verify and monitor (through a licensed monitoring entity) the environmental management and implementation of mitigation measures by the O&M Units. The O&M units for the three trunk roads will be responsible for follow-up monitoring of medium term (year 2013) traffic noise impacts to sensitive receptors to determine if noise mitigation measures will be needed and to implement the measures if needed. The cost of monitoring and implementing mitigation measures in this phase will be borne by the relevant O&M Units.

9. Loan Implementation Environmental Consultant (LIEC). Under the loan implementation consultancy (LIC) services contracted by FFPO, a LIEC will be included to support the project. Terms of reference for this external environmental consultant is provided in the Project Administration Manual. The LIEC, as an external monitor, will:  assess the project components’ environmental readiness prior to implementation based on the readiness indicators defined in Table EMP-3 in the EMP;  support FFPO in updating the EMP including environmental monitoring plan as 4

necessary to revise or incorporate additional environmental mitigation and monitoring measures, budget and institutional arrangements, that may be required based on the detailed design; submit to ADB for approval and disclosure; ensure compliance with the PRC’s environmental laws and regulations, ADB’s Safeguard Policy Statement (2009) and Public Communications Policy (2011);  if required, update the EIA and EMP reports for changes in the project during detailed design or project implementation (for example if there is a minor or major scope change) that would result in adverse environmental impacts not within the scope of the approved EIA/EMP;  assist FFPO to establish a GRM;  conduct regular EMP compliance assessments, undertake site visits as required, identify any environment-related implementation issues, and propose and oversee implementation of necessary corrective actions;  assist FFPO to prepare quarterly project progress reports and semi-annual environmental monitoring reports for ADB;  provide training to FFPO, IAs, O&M units and contractors on environmental laws, regulations and policies, SPS 2009, EMP implementation, and GRM in accordance with the training plan defined in the EMP (Table EMP-7); and  assist FFPO and IAs in conducting consultation meetings with relevant stakeholders as required, informing them of imminent construction works, updating them on the latest project development activities and GRM.

10. Environmental Supervision Engineer (ESE). Each IA will contract an independent ESE to verify environmental performance during construction and whether the implementation of EMP items complies with the plan. The ESE will review and approve the contractors’ SEMPs, review EMP implementation, monitoring activities and results, assess EMP implementation performance, visit the project sites and consult potentially affected people, discuss assessment with the FFPO and the respective IA; and suggest corrective actions. The ESE will prepare monthly reports for submission to the IA which will be submitted to and reviewed by FFPO during the preparation of the quarterly project progress reports for ADB and by the LIEC during the preparation of the semi-annual environment monitoring reports for ADB.

11. Table EMP-1 outlines the overall environmental responsibilities.

C. Summary of Potential Impacts and Mitigation Measures

12. Potential environmental issues and impacts during pre-construction, construction and operation phases, and corresponding mitigation measures, are summarized in Table EMP-2, separated into those that are common to all project roads and those that are road specific. There are two types of mitigation measures:  Measures that will permanently become part of the infrastructure such as landscape planting, road signage, road side noise barrier and retention/sedimentation ponds should be included within the main civil work contract costs, and are not double-counted as part of the EMP costs. The only exception for this project is the cost for installing double glazed windows at households affected by traffic noise on the three trunk roads (G316, S102 and S224).  Temporary measures during the construction stage (e.g. dust suppression by watering, use of quiet / low noise powered mechanical equipment, flocculants used to facilitate sedimentation of suspended solids in construction site runoff,

5 etc) will need to be included in the tender documents to ensure that contractors include for them in their budgets.

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Table EMP-1: Environmental Responsibility Project Stage and Environmental Responsibility Responsible Entity Engineering Detailed Project Preparation Tendering & Pre-construction Construction Operation Design SPTD The Executing Agency (EA) for the project responsible for overall implementation and compliance with loan assurances and the EMP. Established by the EA to be responsible for the day-to-day management of the project. Has overall responsibility delegated by the EA for supervising the FFPO implementation of environment mitigation measures, coordinating the project level GRM and reporting to ADB  Engage LDI to  Engage LDI  Appoint at least one  Supervise EMP  Instruct the O&M units on prepare FSR,  Review updated EMP environmental specialist on implementation to ensure environmental management EIR, RP and  Confirm that mitigation staff effectiveness requirements SWCR measures have been  Incorporate EIA/EMP  Inspect implementation of  Prepare quarterly project included in engineering clauses in tender mitigation measures. progress reports and semi- detail design documents and contracts  Operate the project annual environmental  Manage the procurement complaint center and monitoring reports until a PCR process coordinate the project is issued  Establish the project environment GRM.

complaint center with hot-  Prepare quarterly project line progress reports and semi-  Engage LIEC as part of the annual environment Loan Implementation monitoring reports and Consulting Services submit them to ADB  Conduct information disclosure and public consultation  The Implementing Agency (IA) for the Project to implement project components, administer and monitor contractors and suppliers, and take responsibility for AMTB construction supervision and quality control. Will ensure that the EMP is implemented proactively and will respond to any adverse impact beyond those SCG foreseen in the EIA and ensure that if there are any changes in scope the EIA/EMP will be updated, as needed. Will also attend to requests from relevant agencies and ADB regarding the mitigation measures and environmental monitoring program.  Incorporate EIA/EMP  Supervise contractors and  Coordinate environmental clauses in tender ensure compliance with the monitoring according to the documents and contracts EMP approved EMP until a PCR is  Appoint at least one  Approve contractors’ SEMPs issued environmental specialist on and method statements staff (recommendation)  Coordinate construction  Engage AEMS and SEMS supervision and quality for environmental control monitoring  Coordinate environmental  Engage ESE for monitoring according to the independent compliance environmental monitoring monitoring program in the approved EMP

7 Project Stage and Environmental Responsibility Responsible Entity Engineering Detailed Project Preparation Tendering & Pre-construction Construction Operation Design  Act as a local entry point for the project GRM  Submit monthly monitoring results to FFPO, AEPB and SEPB  Prepare project  Incorporate mitigation FSRs, EIRs, measures defined in the RPs, SWCRs approved EIRs and this  Conduct public EMP into engineering Design institutes consultation detailed designs  Update the EMP in cooperation with the LIEC  Review and  Review project approve the environmental quality AEPB project EIRs monitoring results SEPB  Conduct mandated inspection and monitoring  Provide technical assistance  Review EIRs PPTA consultant and other relevant documents  Prepare EIA report and EMP  Review updated EMP,  Review bidding documents  Advise on mitigation  Conduct EMP compliance confirm that mitigation to ensure that the EIA/EMP measures review measures have been clauses are incorporated  Provide technical support to  Support FFPO in instructing included in engineering  Confirm project’s readiness FFPO, AMTB and SCG for O&M units on environmental detailed design in respect of environmental environmental management management requirements management.  Conduct environmental  Support FFPO in preparing LIEC training quarterly project progress  Conduct semi-annual EMP reports and semi-annual compliance review environmental monitoring  Support FFPO in preparing report until a PCR is issued quarterly project progress  Coordinate environmental reports and semi-annual monitoring until a PCR is environmental monitoring issued 8

Project Stage and Environmental Responsibility Responsible Entity Engineering Detailed Project Preparation Tendering & Pre-construction Construction Operation Design reports.  Review domestic environmental acceptance reports  Prepare environmental completion report.  Ensure sufficient funding  Appoint an environment, and human resources for health and safety (EHS) officer proper and timely to oversee EMP implementation of required implementation related to mitigation and monitoring environmental, occupational measures in the EMP health and safety on throughout the construction construction site phase  Ensure health and safety  Implement mitigation measures Contractors  Prepare site specific EMP (SEMP) containing method statements on the implementation of pollution control and mitigation measures listed in Table EMP-2, and submit to AMTB or SCG, and ESE for review and approval  Act as a local entry point for the project GRM  Undertake environmental  Undertake environmental quality monitoring according monitoring until a PCR is to the environmental issued (contracted by the O&M monitoring program in the units) AEMS approved EMP (contracted  Submit monitoring results to SEMS by AMTB and SCG) the O&M units  Report monitoring data to ESE, AMTB and SCG monthly  Conduct independent ESE verification of project’s

9 Project Stage and Environmental Responsibility Responsible Entity Engineering Detailed Project Preparation Tendering & Pre-construction Construction Operation Design environment performance and compliance with the EMP (contracted by AMTB and SCG)  Review monthly monitoring data submitted by AEMS and SEMS, and conduct compliance checking against applicable environmental standards  Provide advice to contractors for resolving on-site environmental problems when monitoring data shows non-compliance.  Submit quarterly compliance monitoring results to FFPO, AMTB and SCG  Ensure proper operation of component facilities according O&M units: to design standards SPHB  Conduct follow up medium XCTB term (2023) noise monitoring HDTB to determine need for

SCTB mitigation  Implement mitigation measures if needed  Review and  Approve updated EMP  Review bidding documents  Review quarterly project  Review and approve approve the EIA and disclose on ADB  Confirm project’s readiness progress reports, semi- environmental monitoring and EMP and website  Review, approve and annual environmental reports and disclose on ADB disclose on disclose environmental monitoring reports and website ADB website assessment reports for project completion report  Undertake project completion ADB 120 days before replacement rural roads  Undertake review missions review mission and prepare Board  Advise on compliance Project Completion Report for consideration. issues, as required approval by Board and  Disclose semi-annual disclosure on ADB website. environmental monitoring reports on ADB website. Notes: ADB = Asian Development Bank; AEMS = Ankang Environmental Monitoring Station; AEPB = Ankang Environmental Protection Bureau; AMTB = Ankang Municipal Transport 10

Project Stage and Environmental Responsibility Responsible Entity Engineering Detailed Project Preparation Tendering & Pre-construction Construction Operation Design Bureau; EA = Executing Agency; EHS = Environmental, Health & Safety; EIA = Environmental Impact Assessment; EIR = Environmental Impact Report; EMP = Environmental Management Plan; ESE = Environmental Supervision Engineer; FFPO = Foreign-fund Finance Project Office; FSR = Feasibility Study Report; GRM = Grievance Redress Mechanism; HDTB = Hanyin District Transport Bureau; IA = Implementing Agency; LDI = local design institute; LIEC = Loan Implementation Environmental Consultant; PCR = Project Completion Report; PPTA = Project Preparation Technical Assistance; O&M = Operation and Maintenance; RP = Resettlement Plan; SCG = Shangnan County Government; SCTB = Shangnan County Transport Bureau; SEMP = site specific environmental management plan; SEMS = Shangluo Environmental Monitoring Station; SEPB = Shangluo Environmental Protection Bureau; SPTD = Shaanxi Provincial Transport Department; SPHB = Shaanxi Provincial Highways Bureau; SWCR = Soil and Water Conservation Report; XCTB = Xunyang County Transport Bureau

11 Table EMP-2: Summary of Potential Impacts and Mitigation Measures Potential Impact Implementing Supervising Source of Item Impact Factor Mitigation Measures and/or Issues Entity Entity funds A: Mitigation measures common to all project roads (both trunk roads and rural roads) A.1: Detailed Design Stage Conservation Soil resources Loss of land and topsoil  Minimize permanent and temporary land take for development. Design Institute FFPO Included in of natural and increased risk of  Retain/incorporate landscape features of interest in design. design resources erosion  Optimize balance between cut and fill and avoid deep cuts and high contract embankments to minimize earthworks.  Maximize reuse of spoil and old asphalt paving material within the construction or adjacent construction works.  Agree spoil disposal sites, management and rehabilitation plan with local Environment Protection Bureau  Specify removal and storage of topsoil (10-30cm) for restoration works prior to main earthworks.  Specify vegetation that serves specific bioengineering functions and is of local provenance.  Design appropriate drainage systems for slopes to reduce soil erosion. Materials Efficient use of  Specify energy efficient lighting systems. Design Institute FFPO Included in resources  Specify materials that are recycled, have recycled content or are from design sustainable sources, particularly for street furniture and fixtures/fittings. contract  Specify the use of renewable energy (such as photovoltaic panels) for signs, lighting, where appropriate.  Specify the recycling and reuse of existing asphalt pavement for rehabilitating road sections. Design of Extreme Road surface cracking  Consider potential impacts from extreme weather events due to climate Design Institute FFPO Included in road weather event due to extreme hot or change in designing road subgrade, pavement, road-side slopes, design alignment, due to climate cold weather, landslide drainage system, bridges and culverts. contract road surface, change and flooding due to  Adopt appropriate protective measures such as vegetation cover, drainage, torrential rainfall geotextiles, settling basins, permeable paving, infiltration ditches, flood control, stepped slopes, riprap, crib walls, retaining walls and intercepting ditches lighting and to reduce the speed of surface run-off. construction Ecology Protected plant species  Conduct a tree survey along the project road alignments to identify the Botanist/Landsc FFPO FFPO staging areas locations of those tree species that are under international, national and ape Architect provincial protection. Mark and fence off the protected trees Loss of vegetation  Technical design of new road sections will avoid intact mixed evergreen Design Institute FFPO Included in and deciduous broad-leaf woodland and deciduous broad-leaf woodland, design as well as any trees that are on the international, national and provincial contract protection list.  If avoidance is not possible, design replanting schemes for compensation Health and Protection of vulnerable  Design must ensure public health and safety, especially pedestrians and Design Institute FFPO Included in 12

Potential Impact Implementing Supervising Source of Item Impact Factor Mitigation Measures and/or Issues Entity Entity funds safety road users school zones design contract Air emissions Construction emissions  Specify local materials from licensed providers that minimize transport Design Institute FFPO Included in distance. design  Locations for borrow areas, asphalt mixing and concrete batching contract stations must be at least 300 m downwind of the nearest household. Water quality Polluted run-off into  Technical design of road drainage to ensure that drainage design and Design Institute FFPO Included in water bodies discharge locations minimize risk of polluting nearby water bodies. Need design for pollution interceptors and treatment should be considered. contract  Technical design of road drainage must include in the construction drawings the sedimentation tanks on G316 and S224 (see Table 49 of the EIA) specified in the approved domestic Environmental Impact Reports.  Locations of borrow areas and spoil disposal sites must be at least 300 m from the nearest water body. A.2: Pre-construction Stage Institutional - Lack of environmental  Appoint qualified environment specialist on staff within FFPO FFPO ADB SPTD strengthening management capacities  Contract loan implementation environment consultant (LIEC) within loan within FFPO, AMTB, implementation consultant (LIC) services within three months after loan SCG and O&M units approval; Conduct environment management training. - Lack of environmental  Contract Ankang Environmental Monitoring Station (AEMS) and AMTB, SCG ADB AMTB, SCG monitoring capability Shangluo Environmental Monitoring Station (SEMS) to conduct and qualification environmental quality monitoring during construction.  Contract AEMS and SEMS upon acceptance approval of the project road O&M units FFPO O&M units to conduct environmental quality monitoring during the operational stage. EMP Update - -  Review mitigation measures defined in this EMP, update as required to FFPO, LIEC ADB FFPO, Loan reflect detailed design, disclose updated EMP on project website. implementati on TA Tender Environmental  Put into tender documents the environmental clauses listed in Section J Design Institute FFPO; LIEC Included in documents safeguard contract of this EMP tendering clauses agency contract Estimated cost for Design and Pre-construction stage: Included in detailed design and contract tender fees A.3: Construction Stage

Construction Soil resources Spoil disposal and  Strip and store topsoil in a stockpile for reuse in restoration. Contractors AMTB, SCG, Included in site good borrow area  Use spoil disposal sites approved by AEPB and SEPB and manage in ESE, LIEC the practice accordance with approved plan. The contractors will only use material implementati from borrow pits that have been licensed and approved. on of the

13 Potential Impact Implementing Supervising Source of Item Impact Factor Mitigation Measures and/or Issues Entity Entity funds  Avoid side casting of spoil on slopes. approved  Co-ordinate with water resources bureau monitoring station on SWCR effectiveness of soil erosion prevention measures and any need for remedial action.  Spoil disposal sites and borrow areas shall be at least 300 m from any water body. Borrow areas should be sited at least 500m from residential areas so as to reduce dust and noise from these areas.  Borrow areas and spoil disposal sites with long, steep slopes, susceptible to erosion should be avoided and should include small level cut-off drains to break up and redirect run-off.  The contractors should plan their work in borrow areas and spoil disposal sites so that the open area is minimised and rehabilitation can be completed progressively  Restoration of spoil disposal sites and borrow areas will follow the completion of works in full compliance with all applicable standards and specifications, and will be required before final acceptance and payment under the terms of contracts.  Conduct project completion audit to confirm that spoil disposal site and borrow area rehabilitation meets required standard, contractor liable in case of non-compliance. Soil erosion  Ensure contractors aware of all soil erosion requirements as set out in Contractor AMTB, SCG, Included in the approved plan in the Soil and Water Conservation Report (SWCR) ESE, LIEC the and have developed appropriate method statements and management implementati proposals. on of the  Avoid rainy season. If necessary, construct berms to direct rainwater approved runoff away from exposed surface. SWCR  Install drainage ditches and sedimentation tanks in temporary construction areas to prevent soil erosion and to manage run-off.  Stabilize all cut slopes, embankments and other erosion-prone working areas while works are ongoing. Implement permanent stabilization measures as soon as possible, at least within 30 days.  Pay close attention to drainage provision and establishment of vegetation cover on backfilled areas to prevent soil erosion.  If restoration is carried out during periods of hot or extreme weather, ensure adequate aftercare to maximize survival. Soil contamination  Develop spill response plan. Keep a stock of absorbent materials (e.g. Contractor AMTB, SCG, Included in sand, earth or commercial products) on site to deal with spillages and ESE, LIEC the train staff in their use. implementati  If there is a spill take immediate action to prevent entering drains, on of the watercourses, unmade ground or porous surfaces. Do not hose the approved spillage down or use any detergents. Use oil absorbents and dispose of SWCR 14

Potential Impact Implementing Supervising Source of Item Impact Factor Mitigation Measures and/or Issues Entity Entity funds used absorbents at a waste management facility.  Record any spill events and actions taken in environmental monitoring logs and report to LIEC.  Properly store petroleum products, hazardous materials and waste in clearly labeled containers on an impermeable surface in secure and covered areas, preferably with a containment tray for any leaks. Air quality Dust (TSP) during  Provide dust masks to operating personnel. Contractor AMTB, SCG, $279,000 construction  Spray water regularly on hauling and access roads (at least once a day ESE, LIEC (contractor dependent on local conditions, increase/decrease frequency as required) bid) to suppress dust; and erect hoarding around dusty activities.  Minimize the storage time of construction and demolition wastes on site by regularly removing them off site.  Mount protective canvasses on all trucks which transport material that could generate dust.  Build access and haulage roads at sufficient distances from residential areas, in particular, from local schools and hospitals.  Assign haulage routes and schedules to avoid transport occurring in the central areas, traffic intensive areas or residential areas. Vehicle speed on unpaved haul roads will be restricted to 10 km/h or less.  Keep construction vehicles and machinery in good working order, regularly service and turn off engines when not in use.  Vehicles with an open load-carrying case, which transport potentially dust-producing materials, shall have proper fitting sides and tail boards. Dust-prone materials shall not be loaded to a level higher than the side and tail boards, and shall always be covered with a strong tarpaulin.  Install wheel washing equipment or conduct wheel washing manually at each exit of the works area to prevent trucks from carrying muddy or dusty substance onto public roads.  In periods of high wind, dust-generating operations shall not be permitted within 200 m of residential areas. Special precautions need to be applied in the vicinity of sensitive areas such as schools, kindergartens and hospitals.  Equip material stockpiles and concrete mixing equipment with dust shrouds. For the earthwork management for backfill, measures will include surface press and periodical spraying and covering. The extra earth or dreg should be cleared from the project site in time to avoid long term stockpiling.  Unauthorized burning of construction and demolition waste material and refuse shall be subject to penalties for the Contractor, and withholding of

15 Potential Impact Implementing Supervising Source of Item Impact Factor Mitigation Measures and/or Issues Entity Entity funds payment.  Keep the public informed of construction schedules, dusty and noisy activities, and access to the grievance redress mechanism. Post the complaint hotline number at all work site and construction camp entrances. Fumes and particulate  Site asphalt mixing stations at least 300 meters downwind of the nearest matter from asphalt household. mixing plant, concrete  Equip asphalt, hot mix and batching plants with fabric filters and/or wet batching plant and scrubbers to reduce the level of dust emissions. other equipment and  Regularly inspect and certify vehicle and equipment emissions and machinery maintain to a high standard. Noise and Noise from PME and  During daytime construction, the contractor will ensure that: (i) noise Contractor AMTB, SCG, $45,700 vibration vehicles levels from equipment and machinery conform to the PRC standard for ESE, LIEC (contractor Noise Limits for Construction Sites (GB12523-2011) and the WBG EHS bid) Standards, and properly maintain machinery to minimize noise; (ii) equipment with high noise and high vibration are not used near village or township areas and only low noise machinery or the equipment with sound insulation is employed; (iii) sites for asphalt-mixing plants and similar activities will be located at least 300 m away from the nearest sensitive receptor; and (iii) temporary anti-noise barriers or hoardings will be installed around the equipment to shield residences when there are residences within 80 m of the noise source.  For all new road sections including new tunnels and new bridges, there will be no night time (between 22:00 and 06:00 hours) construction.  For existing road sections, night time construction shall be avoided. Yet, recognizing that construction occasionally would require some works to be conducted at night to take advantage of less road traffic or to avoid worsening day time traffic conditions, night time construction work if needed should prevent using high sound power level equipment and nearby residents should be notified of such night time activities well beforehand.  Regularly monitor noise at sensitive areas (refer to the monitoring plan). If noise standards are exceeded by more than 3 dB, equipment and construction conditions shall be checked, and mitigation measures shall be implemented to rectify the situation.  Provide the construction workers with suitable hearing protection (ear muffs) according to the worker health protection law of the PRC.  Control the speed of bulldozer, excavator, crusher and other transport vehicles travelling on site, adopt noise reduction measures on equipment, ensure regular equipment repair and maintenance to keep them in good working condition. 16

Potential Impact Implementing Supervising Source of Item Impact Factor Mitigation Measures and/or Issues Entity Entity funds  Limit the speed of vehicles travelling on construction sites and haul roads (less than 8 km/h), forbid the use of horns unless absolutely necessary, minimize the use of whistles.  Maintain continual communication with the villages and communities along the road alignments and ensure GRM is accessible and effective. Blasting  A pre-construction dilapidation survey of properties within blasting zone of influence (area to be determined by contractor based on level of charge) should be carried out to confirm existing structural condition. All prominent defects in the form of cracks, settlement, movement, water seepage, spalling concrete, distortion, subsidence and other building defects should be recorded in photographs and supporting notes.  Monitor noise and vibration at Hongyantan, Xiaohe Town, Yujiawan and Goujiashan during blasting for the construction of tunnels Hongyantan #1, Hongyantan #2, Yujiawan and Goujiashan on S102. Based on monitoring results, reduce the charge for each blast if necessary. Water quality Construction site runoff  Portable toilets and small package wastewater treatment plants and or Contractor AMTB, SCG, $32,800 and wastewater septic tanks will be provided on construction sites for the workers. If ESE, LIEC (contractor discharge there are nearby public sewers, interim storage tanks and pipelines will bid) be installed to convey wastewater to public sewers. Construction sites and construction camps shall also have drainage provisions to collect and treat site runoff.  Sedimentation tanks will be installed on construction sites (including tunneling sites) to treat process water (e.g. concrete batching for bridge construction) and muddy runoff with high concentrations of suspended solids. If necessary, flocculants such as polyacryl amide (PAM) will be used to facilitate sedimentation.  Construction of river crossing road bridge foundations will avoid the rainy season from July to September to minimize potential water quality impact. Mitigation measures such as placement of sandbags or berms around foundation and shoreline works to contain muddy water runoff will be adopted. Slurry from pile drilling in the river bed will be pumped to shore and properly disposed of. This will reduce the disturbance of sediments and the impact on water quality.  Construction machinery will be repaired and washed at designated locations. No onsite machine repair and washing shall be allowed. Storage and refueling facilities for fuels, oil, and other hazardous materials will be within secured areas on impermeable surfaces, and provided with bunds and cleanup kits. If refueling in the field is required, it will be done from road-licensed fuel trucks away from watercourses or other environmentally sensitive areas.

17 Potential Impact Implementing Supervising Source of Item Impact Factor Mitigation Measures and/or Issues Entity Entity funds  The contractors’ fuel suppliers must be properly licensed, follow proper protocol for transferring fuel, and must be in compliance with Transportation, Loading and Unloading of Dangerous or Harmful Goods (JT 3145-88).  Material stockpiles will be protected against wind and runoff waters which might transport them to surface waters. There shall be no storage of materials and equipment in river channels or close to sensitive receptors. Temporary storage of materials and equipment on river banks, if necessary, shall be short-term and protected to prevent run-off polluting river water.  Any spills are to be cleaned up according to PRC norms and codes within 24 hours of the occurrence, with contaminated soils and water treated according to PRC norms and codes. Records must be handed over without delay to the FFPO and local EPB. An emergency spill contingency plan shall be prepared by the Contractor as part of the SEMP and personnel will be trained in its use.  Mitigation of water quality impact during river crossing bridge construction will be based on water quality monitoring results. At each river crossing bridge construction location, upstream and downstream monitoring stations will be set up and SS levels monitored. When the SS levels at the downstream impact station is 130% higher than the SS levels at the upstream control station, the contractor shall adopt alternative construction methods or additional mitigation measures until the downstream SS level is less than 130% above the upstream SS level. Solid waste Construction site refuse  Temporary storage and permanent disposal of C&D waste at designated Contractor AMTB, SCG, $20,000 and construction and sites only. These sites shall be at least 300 m from any water body. ESE, LIEC (contractor demolition (C&D) waste  Attempts will be made to maximize the re-use of earth cut materials and bid) disposal C&D wastes on the project, including the re-use of old asphalt or concrete road pavements. Asphalt waste must be disposed of at approved hazardous waste treatment center.  Transport construction waste in enclosed containers;  Establish enclosed waste collection points on site, with separation of domestic, construction and recyclable waste streams;;  Set up centralized domestic waste collection point and transport offsite for disposal regularly by sanitation department. Ecology Destruction of  Conduct a tree survey along the road alignments and mark and fence off Contractor AMTB, SCG, $245,000 vegetation all the protected tree species within the project area of influence. Avoid ESE, LIEC (contractor damage to the protected tree species during construction. If unavoidable, bid) transplant these trees to safe location.  Construction workers are prohibited from capturing any wildlife during 18

Potential Impact Implementing Supervising Source of Item Impact Factor Mitigation Measures and/or Issues Entity Entity funds construction;  Preserve existing vegetation where no construction activity is planned;  Protect existing trees and grassland during construction; where a tree has to be removed or an area of grassland disturbed, replant trees and re-vegetate the area after construction in particular existing mountain gullies underneath the project bridges;  Remove trees or shrubs only as the last resort if they impinge directly on the permanent works or necessary temporary works. Physical Destruction of buried  Contractor must comply with PRC's Cultural Relics Protection Law and Contractor AMTB, SCG, None cultural cultural relics Cultural Relics Protection Law Implementation Regulations if such relics ESE, LIEC resources are discovered, stop work immediately and notify the local cultural authority, adopt measures to protect the site. Overall Excessive disturbance  Contractors to identify and adhere to strict schedule for completion of Contractor AMTB, SCG, Covered in disturbance to to communities due to each section and to avoid prolonged construction, disturbance ESE, LIEC above costs communities prolonged construction times Health and Occupational Construction site  Effectively clean and disinfect the site. During site formation, spray with Contractor AMTB, SCG, $26,000 Safety health and sanitation phenolated water for disinfection. Disinfect toilets and refuse piles and ESE, LIEC (contractor safety timely remove solid waste; bid)  Exterminate rodents on site at least once every 3 months, and exterminate mosquitoes and flies at least twice each year;  Minimise the risk of fly- or mosquito-borne diseases by maintaining well- drained and hygienic project sites;  Remove standing water bodies and cover drums and other containers to avoid formation of stagnant water;  Ensure personnel are aware of potential disease risks;  Enforce on-site hygiene regulations to prevent litter;  Provide public toilets in accordance with the requirements of labor management and sanitation departments in the living areas on construction site, and appoint designated staff responsible for cleaning and disinfection.  Work camp wastewater shall be discharged into the municipal sewer system or treated on-site with portable system to the required standard. Occupational safety  Provide safety hats and shoes to all construction workers and enforce Contractor AMTB, SCG, $10,000 their use by the workers; ESE, LIEC (contractor  Provide appropriate ear defenders to workers working near noisy PME bid) and blasting activities

Food safety  Inspect and supervise food hygiene in cafeteria on site regularly. Contractor AMTB, SCG, None

19 Potential Impact Implementing Supervising Source of Item Impact Factor Mitigation Measures and/or Issues Entity Entity funds Cafeteria workers must have valid health permits. ESE, LIEC  If food poisoning is discovered, implement effective control measures immediately to prevent it from spreading. Disease prevention and  Construction workers must have physical examination before start Contractor AMTB, SCG, $10,000 safety awareness working on site. If infectious disease is found, the patient must be ESE, LIEC (contractor isolated for treatment to prevent the disease from spreading. From the bid) 2nd year onwards, conduct physical examination on 20% of the workers every year.  Establish health clinic at location where workers are concentrated, which should be equipped with common medical supplies and medication for simple treatment and emergency treatment for accidents.  Specify the persons responsible for health and epidemic prevention, education on food hygiene, and disease prevention, to raise the awareness of workers. Community Temporary traffic  A traffic control and operation plan will be prepared together with the Contractor, local AMTB, SCG, Local traffic health and management local traffic management authority prior to any construction. The plan traffic police ESE, LIEC police safety shall include provisions for diverting or scheduling construction traffic to department avoid morning and afternoon peak traffic hours, regulating traffic at road crossings with an emphasis on ensuring public safety through clear signs, controls and planning in advance. Information disclosure  Residents and businesses will be informed in advance through media Contractor AMTB, SCG, None and community posting of the construction activities, given the dates and ESE, LIEC duration of expected disruption. Access to construction  Clear signs will be placed at construction sites in view of the public, Contractor AMTB, SCG, None sites warning people of potential dangers such as moving vehicles, hazardous ESE, LIEC materials, excavations etc and raising awareness on safety issues.  All sites will be made secure, discouraging access by members of the public through appropriate fencing whenever appropriate. Utility services  Assess construction locations in advance for potential disruption to Contractor, local AMTB, SCG, None interruptions services and identify risks before starting construction. service ESE, LIEC  If temporary disruption is unavoidable, develop a plan to minimize providers disruption with relevant authorities e.g. power company, water supply company, communication company, and communicate dates and duration in advance to all affected people. Grievance Social & Handling and resolving  Establish a GRM, appoint a GRM coordinator within FFPO Contractor, AEPB, SEPB FFPO redress environmental complaints on  Brief and provide training to GRM access points (FFPO, AMTB, FFPO, AMTB, budget, Loan mechanism contractors contractors). SCG, ESE, LIEC implementati  Disclose GRM to affected people before construction begins at the main on consulting entrance to each construction site. service  Maintain and update a Complaint Register to document all complaints. 20

Potential Impact Implementing Supervising Source of Item Impact Factor Mitigation Measures and/or Issues Entity Entity funds Estimated cost for the Construction Stage: $668,500 A.4: Operational Stage Project roads Climate Increased flood risk Co-ordinate with reservoir operators on flood storage to help ensure road SPHB, XCTB, FFPO O&M Unit’s change infrastructure is protected during periods of heavy rainfall. HDTB, SCTB operation budget Traffic Road and drainage Regularly inspect and maintain the road surface and drainage system. SPHB, XCTB, FFPO O&M Unit’s condition HDTB, SCTB operation budget Road safety and traffic Strictly enforce traffic law to improve road safety and reduce traffic accidents. Local traffic FFPO O&M Unit’s accidents police operation budget Estimated cost for the Operational Stage: $5,000 B: Trunk Road G316 Xunyang - Ankang B.1: Detailed Design Stage Design of Protected area Impact on Shaanxi Han No spoil disposal site and construction staging area shall be located within the Design Institute FFPO Included in spoil disposal River Wetland Shaanxi Han River Wetland boundary. design sites and contract construction staging areas Design of Water quality Road runoff during Detailed design to include 70 retention/sedimentation tanks along the Design Institute FFPO Included in retention/ rainfall event polluting alignment in accordance with the sizes and locations specified in the design sedimentatio Category II Han River approved EIR for trunk road G316 and this EIA (Table 51). contract n tanks (construction cost to be included in the civil works contract) B.2: Construction Stage Disposal of Protected area Impact on Shaanxi Han No solid waste generated during construction shall be disposed of within the Contractor AMTB None solid waste River Wetland boundary and up to 1 km from the boundary of the Shaanxi Han River Wetland Wastewater Water quality Impact on Category II No wastewater from the construction sites and temporary land take areas Contractor AMTB None discharge Han River shall be discharged into Category II Han River Ecology Habitat Tree planting using  Road side tree planting shall use local species such as Black Locust, Contractor AMTB Included in protection and local species fruit trees and plants in accordance with the surrounding plant contractor restoration community, with the exception of areas located within the towns. bid  Plant shrubs and trees in nearby empty land to attract bird species such as the Yellow Breasted Bunting and Red-billed Blue Magpie. These include the Chinese Pistache Pistaca chinensis, Caprifoliacease plants such as the Linden Viburnum Viburnum dilatatum and Amur Honeysuckle Lonicera maackii, and Shrubby Bush-clover Lespedeza bicolor. Crops such as grains and corns are also favorite food for these two bird species.

21 Potential Impact Implementing Supervising Source of Item Impact Factor Mitigation Measures and/or Issues Entity Entity funds Restoration of Restoration measures for the temporary staging areas shall comply with the Contractor AMTB Included in temporary land take former land cover type to maximize native biodiversity: contractor areas  For temporary land take areas in gullies (the four spoil disposal sites at bid chainages K3+250, K18+650, K21+100 and K21+940; and on pre- casting yard at chainage K6+010), plant local tree and shrub species with fruits to provide food for birds  For the asphalt mixing station at chainage K2+250, restore the Black Locust woodland similar to the original land cover  For the asphalt mixing station at chainage K18+100, restore the orchard landscape to match with the surrounding land cover  For the other pre-casting yards, restore the farmland land cover Avoid damage to Construction workers shall avoid damage to and removal of the Gingko Trees Contractor AMTB None protected plant species and Camphor Trees which are nationally protected species:  Gingko Trees in the gully underneath the medium bridge between chainage K6+215 to K6+301  Camphor Trees on both sides of G316 from the Guanmiaogou Bridge (chainage K33+559.7) to the end point (chainage K34+801) B.3: Operational Stage Installation of Traffic noise Traffic noise affecting Install double glazed windows at sensitive receptors identified in the approved SPHB FFPO $872,000 double existing sensitive EIR for trunk road G316 and this EIA (Table 47) SPHB glazed receptors windows C: Trunk Road S102 Xunyang - Xiaohe C.1: Detailed Design Stage Design flood Climate Risk of flood Raise Liangheguan Bridge by 0.3m. Design institute FFPO Included in heights of change design bridges contract Design noise Traffic noise Traffic noise affecting Detailed design to include the following road-side noise mitigation measures Design institute FFPO Included in barrier schools as specified in the approved EIR for trunk road S102 and this EIA (Table 48) design  100-m long, 3-m high boundary wall at Tangxing Primary School contract (K46+480-K46+550)塘兴小学  150-m long, 3-m high noise barrier at Liangheguan Primary School (K53+650-K53+700)两河小学 (construction cost to be included in the civil works contract) C.2: Pre-construction Stage Tender Noise Blasting noise and Put the following into the tender document for S102 as shown in Section J of Design institute FFPO Included in document vibration this EMP: design Specific Clause for blasting on S102 contract (i) A pre-construction dilapidation survey of properties within blasting zone of influence (area to be determined by contractor based on level of charge) shall be carried out to confirm existing structural condition. All 22

Potential Impact Implementing Supervising Source of Item Impact Factor Mitigation Measures and/or Issues Entity Entity funds prominent defects in the form of cracks, settlement, movement, water seepage, spalling concrete, distortion, subsidence and other building defects will be recorded in photographs and supporting notes. (ii) Noise and vibration shall be monitored at Hongyantan, Xiaohe Town, Yujiawan and Goujiashan during blasting for the construction of tunnels Hongyantan #1, Hongyantan #2, Yujiawan and Goujiashan on S102. Based on monitoring results, reduce the charge for each blast if necessary.

C.3: Operational Stage Installation of Traffic noise Traffic noise affecting Install double glazed windows at sensitive receptors identified in the approved SPHB FFPO $1,511,000 double existing sensitive EIR for trunk road S102 and this EIA (Table 48) SPHB glazed receptors windows D: Trunk Road S224 Shangnan - Yunxian D.1: Detailed Design Stage Design of Water quality Road runoff during  Detailed design to include 40 retention/sedimentation tanks along the Design Institute FFPO Included in retention/ rainfall event polluting alignment in accordance with the sizes and locations specified in the design sedimentatio Category II rivers and approved EIR for trunk road S224 and this EIA (Table 51). contract  Detailed design to include protective guardrails along the alignment at n tanks drinking water collection locations specified in the approved EIR for trunk road S224 and this EIA sumps (Table 51) to protect Category II rivers and drinking water collection sumps (construction cost to be included in the civil works contract)  Detailed design to include a sealed cover over the drinking water collection sump at Weijiatai Village D.2: Pre-construction Stage Tender Water quality Protection of drinking Put environmental specifications for protection of water quality into the tender Design institute AMTB Included in document water collection sumps document for S224 as shown in Section J of this EMP: design

contract D.3: Construction Stage Drinking Water quality Protection of drinking  Road side hoarding will be placed at the three locations of drinking water $3,000 water water collection sumps collection sumps on trunk road S224 as barriers to prevent (contractor collection contamination of these drinking water sources by construction materials bid) sumps and wastes.  No stockpiling of construction materials and aggregates is permitted within 300 m from these sumps.  All wastewater generated from road construction within 300 m of these sumps will be treated and diverted to downstream of these sumps for discharge.  Cut-off and diversion drains will be installed at these locations and other sensitive receptors, as required, to divert run-off away.

23 Potential Impact Implementing Supervising Source of Item Impact Factor Mitigation Measures and/or Issues Entity Entity funds Wastewater Water quality Protection of Category No wastewater from the construction sites shall be discharged into the Xian Contractor AMTB None II rivers River, Dan River, Xiang River and Tao River D.4: Operational Stage Installation of Traffic noise Traffic noise affecting Install double glazed windows at sensitive receptors identified in the approved SPHB FFPO $967,000 double existing sensitive EIR for trunk road S224 and this EIA (Table 49) SPHB glazed receptors windows Key: ADB = Asian Development Bank; AEMS = Ankang Environmental Monitoring Station; AMTB = Ankang Municipal Transport Bureau; EIA = Environmental Impact Assessment; EIR = Environmental Impact Report; EMP = environmental management plan; ESE = Environmental supervision engineer; FFPO = Foreign-Fund Finance Project Office; HDTB = Hanyin District Transport Bureau; LIC = Loan Implementation Consultant; LIEC = Loan implementation environmental consultant; O&M = operation & maintenance; PME = powered mechanical equipment; SCG = Shangnan County Government; SCTB = Shangnan County Transport Bureau; SEMS = Shangluo Environmental Monitoring Station; SPHB = Shaanxi Provincial Highways Bureau; SS = suspended solid; TSP = total suspended particulates; XCTB = Xunyang County Transport Bureau

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13. The mitigation measures defined in the EMP will be (i) checked and where necessary updated by the design institutes; (ii) incorporated into tender documents (where appropriate), construction contracts, and operational management plans; and (iii) implemented by contractors and IAs under supervision of FFPO. The effectiveness of these measures will be evaluated based on the results of the environmental quality monitoring conducted by AEMS and SEMS, and through EMP compliance verification conducted by the ESE and LIEC.

D. Monitoring and Reporting

14. Three types of project monitoring will be conducted under the EMP. 21 i. Project readiness monitoring. To be conducted by the LIEC. ii. Project impact monitoring (also known as environmental quality monitoring). To be conducted by: (a) the Ankang Environmental Monitoring Station (EMS) contracted by AMTB for trunk roads G316 and S102 and rural roads RR1 to RR7; (b) the Shangluo EMS contracted by SCG for trunk road S224 and RR8; and (c) the contractors, who will be required to conduct frequent noise and air quality monitoring around construction sites and to report monitoring results in their weekly progress reports to FFPO, AMTB, SCG and ESE. iii. Independent evaluation (also known as compliance monitoring). To be conducted by the ESE and LIEC (from loan implementation consulting services) to verify EMP compliance during project implementation. There will be two ESEs, one contracted by AMTB for the trunk and rural roads implemented by AMTB; and one contracted by SCG for the trunk and rural roads implemented by SCG. The LIEC will function as an external monitor for ADB.

15. ADB will oversee project environmental compliance on the basis of the semi-annual environmental monitoring reports provided by FFPO and site visits (generally 1-2 times/year). Monitoring and reporting arrangements defined for this project are described below.

16. Project Readiness Monitoring. Before construction, the LIEC will assess the project’s readiness in terms of environmental management based on a set of indicators (Table EMP-3) and report it to ADB and FFPO. This assessment will demonstrate that environmental commitments are being carried out and environmental management systems are in place before construction starts, or suggest corrective actions to ensure that all requirements are met.

Table EMP-3: Project Readiness Assessment Indicators Indicator Criteria Assessment EMP update  EMP was updated after technical detailed design & approved by ADB Yes No Compliance with loan  The borrower complies with loan covenants related to project design Yes No covenants and environmental management planning Public involvement  Meaningful consultation completed Yes No effectiveness  GRM established with entry points Yes No  Loan implementation environmental consultant (LIEC) is in place Yes No Environmental Supervision in place  Staff environment specialists appointed by FFPO, AMTB and SCG Yes No  Environmental supervision engineer (ESE) contracted by AMTB and Yes No

21 In addition to project-specific monitoring, Ankang and Shangluo Environmental Monitoring Stations will conduct independent ambient and/or enforcement monitoring as per national requirements. This is separate to, and not funded by, the project.

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Indicator Criteria Assessment SCG  Environment monitoring stations contracted by AMTB and SCG Yes No  Bidding documents and contracts incorporating the environmental Yes No activities and safeguards listed as loan assurances Bidding documents  Bidding documents and contracts incorporating the impact mitigation Yes No and contracts with and environmental management provisions of the EMP environmental  EMP environmental specifications included in contract documents for Yes No safeguards construction contracts

 Contractors’ site specific EMP (SEMP) containing method statements Yes No on the implementation of pollution control and mitigation measures EMP financial support  The required funds have been set aside for EMP implementation Yes No

17. Project Impact Monitoring. Table EMP-4 shows the internal environmental quality monitoring program designed for this project, defining the scope, location, parameter, duration and frequency, and responsible agencies, for monitoring during the construction and operational stages. Environmental quality monitoring will include monitoring of air quality, noise and water quality during construction, and noise monitoring during operation. These will be conducted by Ankang EMS (contracted by AMTB for the construction phase and APHB for the operational phase) and the Shangluo EMS (contracted by SCG for the construction phase and APHB for the operational phase). The selection of monitoring locations is based on distances from the road alignments, number of households and populations affected, and the extent of sensitivity to air and noise impacts (e.g. schools and health clinics).

18. For monitoring of bridge construction impacts on water quality, a control station versus impact station approach will be adopted. The monitoring station upstream of the bridge alignment will function as the control station as it will not be impacted by construction activities. The monitoring station downstream of the bridge alignment will function as the impact station. Any increase in the level of water quality parameter (such as suspended solids SS) at the impact station compared to the control station is indicative of potential impact due to construction activities. If the level of the water quality parameter (mainly SS) at the impact station is >130% of the control station, mitigation measures such as using sand bags, berms or silt curtain to enclose the works areas will need to be adopted.

19. The monitoring results will be compared with relevant PRC performance standards (Table EMP-5). Non-compliance with these standards will be highlighted in the monitoring reports. Monitoring results will be submitted by AEMS to AMTB and ESE, and by SEMS to SCG and ESE on a monthly basis. In turn, AMTB and SCG will submit the data to FFPO also on a monthly basis. FFPO will then submit to ADB in semi-annual environmental monitoring reports (prepared with the support of the LIEC–Table EMP-6).

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Table EMP-4: Internal Environmental Quality Monitoring Program Monitoring Monitoring Frequency & Implementing Supervising Item Monitoring Location Parameter Duration Entity Entity G316 Xunyang - Ankang Estimated cost: $23,000 Construction Stage Dust and TSP, LAeq At boundaries of all construction sites 2 times per day, 3 days per Contractor AMTB noise week during the construction (included in period contractor budget) Air quality TSP; 14 locations 1 day (24-hr) per month AEMS AMTB, ESE (SO2 & NO2 only 1. Duanjiahe Town Health Clinic 段家河镇卫生院 (K5+800) (Monitor only when road if there is asphalt 2. Duanjiahe Junior High School 段家河初级中学 (K6+200) section has construction mixing within 500 3. Mingde Primary School 明德小学 (K6+250) activities within 500 m) m) 4. Duanjiahe Town Kindergarten 段家河镇幼儿园 (K6+350) 5. Longquan Village Health Clinic 龙村卫生院 (K20+900) 6. Zaoyang Town 早阳镇 (K25+500 – K25+700) 7. Dongzhan Village First Group 东站村组 (K32+800) 8. Chuangxin Vocational Training School 创新职业培训学校 (K33+000) 9. Dongzhan Village Second Group东站村二组 (K33+850) 10. Ankang City Children’s Welfare Institute安康儿童福利院 (K34+500) 11. Guanmiao Town Central Health Clinic庙镇中心卫生院 (K34+850) 12. Jinxing Village金星村 (K35+000-K36+000) 13. Tuanjie Primary School 团结小学 (K35+750) 14. Hualian Vocational Training School华联职业培训学校 (K36+370) Noise LAeq 14 locations 2 times per day (day time AEMS AMTB, ESE 1. Duanjiahe Town Health Clinic 段家河镇卫生院 (K5+800) and night time); 1 day per 2. Duanjiahe Junior High School 段家河初级中学 (K6+200) month 3. Mingde Primary School 明德小学 (K6+250) (Monitor only when road section has construction 4. Duanjiahe Town Kindergarten 段家河镇幼儿园 (K6+350) activities within 500 m) 龙村卫生院 5. Longquan Village Health Clinic (K20+900) 6. Zaoyang Town 早阳镇 (K25+500 – K25+700) 7. Dongzhan Village First Group 东站村组 (K32+800) 8. Chuangxin Vocational Training School 创新职业培训学校 (K33+000) 9. Dongzhan Village Second Group东站村二组 (K33+850) 10. Ankang City Children’s Welfare Institute安康儿童福利院 (K34+500)

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Monitoring Monitoring Frequency & Implementing Supervising Item Monitoring Location Parameter Duration Entity Entity 11. Guanmiao Town Central Health Clinic庙镇中心卫生院 (K34+850) 12. Jinxing Village金星村 (K35+000-K36+000) 13. Tuanjie Primary School 团结小学 (K35+750) 14. Hualian Vocational Training School华联职业培训学校 (K36+370) [Note: night time monitoring not needed at #4, #13 and #14] Water quality DO, SS, TPH Set up 2 stations for water quality monitoring at each river/stream 1 time per day; 1 day per AEMS AMTB, ESE crossing bridge locations as follows: month during bridge 1. Control station: 50 m upstream of the bridge alignment construction 2. Impact station 100m downstream of the bridge alignment (Note: if downstream impact station data > 130% of upstream control station data (DO <130%), mitigation measures are needed) Operational Stage Air quality PM10, NO2 8 locations: 7 consecutive days every 3 AEMS SPHB 1. Xuejiawan First Group薛家湾组 (K5+300-K5+600) months (until a PCR is 2. Duajiahe Town Health Clinic段家河镇卫生院 (K5+800) issued) 3. Duanjiahe Town Kindergarten 段家河镇幼儿园 (K6+350) 4. Longquan Village Health Clinic 龙村卫生院 (K20+900) 5. Zhoujiahe周家河 (K21+900-K22+350) 6. Zaoyang Town 早阳镇 (K25+500 – K25+700) 7. Dongzhan Village First Group 东站村组 (K32+800) 8. Dongzhan Village Second Group东站村二组 (K33+850) Noise LAeq 5 locations: 2 times per day (day time AEMS SPHB 1. Duajiahe Town Health Clinic段家河镇卫生院 (K5+800) and night time), 2 2. Duanjiahe Town Kindergarten 段家河镇幼儿园 (K6+350) consecutive days every 3 3. Longquan Village Health Clinic 龙村卫生院 (K20+900) months (until a PCR is issued) 4. Guanmiao Town Central Health Clinic庙镇中心卫生院

(K34+850) 5. Hualian Vocational Training School华联职业培训学校 (K36+370) [Note: no night time needed at #2 and #5] S102 Xunyang - Xiaohe Estimated cost : $26,000 Construction Stage Air quality TSP; 20 locations 1 day (24-hr) per month AEMS AMTB, ESE (SO2 & NO2 only 1. Petrol Station Staff Dormitory小河北加油站家属区 (K0+050) (Monitor only when road if there is asphalt 2. Fengjingjiayuan 枫景花园 (K1+200=K1+600) section has construction mixing within 500 3. Liuwan刘湾 (K1+850-K2+550) activities within 500 m) m) 28

Monitoring Monitoring Frequency & Implementing Supervising Item Monitoring Location Parameter Duration Entity Entity 4. Kanghuayuan康华园 (K2+350) 5. Lido Estate丽都小区 (K3+500) 6. Wangpo王坡 (K5+350-K5+700) 7. Caoping Village草坪村 (K6+350-K7+250) 8. Qingniwan 清泥湾 (K7+650-K9+600) 9. Liu Village Primary School 柳村小学 (K11+620-K11+650)) 10. Muzhutan母猪 (K14+750-K15+600) 11. Ganxitang甘溪淌 (K19+250-K19+520) 12. Jijiaping季家坪 (K21+150-K21+870) 13. Hongyantan Primary School红岩小学 (K34+220-K34+260) 14. Luduba 碌碡坝 (K37+250-K38+250) 15. Zhaowan Primary School赵湾小学 (K39+380) 16. Tangxin Primary School 塘小学 (K46+480-K46+550) 17. Liangheguan Primary School 两河小学 (K53+650- K53+700) 18. Kangjiaping 康家坪 (K54+520-k54+850) 19. Xiaohe Town 小河镇 (K56+800-K57+500) 20. Xiaohe Middle School 小河中学 (K57+080-K57+200) Noise LAeq 20 locations 2 times per day (day time AEMS AMTB, ESE 1. Petrol Station Staff Dormitory小河北加油站家属区 (K0+050) and night time); 1 day per 2. Fengjingjiayuan 枫景花园 (K1+200=K1+600) month 3. Liuwan刘湾 (K1+850-K2+550) (Monitor only when road section has construction 4. Kanghuayuan康华园 (K2+350) activities within 500 m) 5. Lido Estate丽都小区 (K3+500)

6. Wangpo王坡 (K5+350-K5+700) 7. Caoping Village草坪村 (K6+350-K7+250) 8. Qingniwan 清泥湾 (K7+650-K9+600) 9. Liu Village Primary School 柳村小学 (K11+620-K11+650) 10. Muzhutan母猪 (K14+750-K15+600) 11. Ganxitang甘溪淌 (K19+250-K19+520) 12. Jijiaping季家坪 (K21+150-K21+870) 13. Hongyantan Primary School红岩小学 (K34+220-K34+260) 14. Luduba 碌碡坝 (K37+250-K38+250) 15. Zhaowan Primary School赵湾小学 (K39+380) 16. Tangxin Primary School 塘小学 (K46+480-K46+550) 17. Liangheguan Primary School 两河小学 (K53+650- K53+700) 18. Kangjiaping 康家坪 (K54+520-k54+850)

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Monitoring Monitoring Frequency & Implementing Supervising Item Monitoring Location Parameter Duration Entity Entity 19. Xiaohe Town 小河镇 (K56+800-K57+500) 20. Xiaohe Middle School 小河中学 (K57+080-K57+200) [Note: night time monitoring needed at all the school locations] LAeq and vibration 4 locations during blasting for construction of tunnels Hongyantan Once per day during blasting. AEMS AMTB, ESE #1, Hongyantan #2, Yujiawan and Goujiashan 1. Hongyantan 红岩 (K34+050-K34+400) 2. Xiaohe Town 小河镇 (K56+800-K57+500) 3. Yujiawan 俞家湾 (K60+150-K60+250) 4. Goujiashan 苟家山 (K62+680) Water quality DO, SS, TPH Set up 2 stations for water quality monitoring at each river/stream 1 time per day; 1 day per AEMS AMTB, ESE crossing bridge location as follows: month during bridge 1. Control station: 50 m upstream of the bridge alignment construction 2. Impact station 100m downstream of the bridge alignment (Note: if downstream impact station data > 130% of upstream control station data (DO <130%), mitigation measures are needed) Operational Stage Air quality PM10, NO2 11 locations 7 consecutive days every 3 AEMS SPHB 1. Fengjingjiayuan 枫景花园 (K1+200=K1+600) months (until a PCR is 2. Lido Estate丽都小区 (K3+500) issued) 3. Caoping Village草坪村 (K6+350-K7+250) 4. Liu Village Primary School 柳村小学 (K11+620-K11+650) 5. Ganxitang甘溪淌 (K19+250-K19+520) 6. Hongyantan Primary School红岩小学 (K34+220-K34+260) 7. Luduba 碌碡坝 (K37+250-K38+250) 8. Zhaowan 赵湾 (K38+750-K40+500) 9. Tangxin Primary School 塘小学 (K46+480-K46+550) 10. Liangheguan Primary School 两河小学 (K53+650- K53+700) 11. Xiaohe Town 小河镇 (K56+800-K57+500) Noise LAeq 8 locations 2 times per day (day time AEMS SPHB 1. Fengjingjiayuan 枫景花园 (K1+200=K1+600) and night time); 2 2. Lido Estate丽都小区 (K3+500) consecutive days every 3 3. Liu Village Primary School 柳村小学 (K11+620-K11+650) months (until a PCR is issued) 4. Yuanxigou 院沟 (K23+380-K23+650) 5. Liangshuiquan 凉水 (K29+850-K30+380) 6. Luduba 碌碡坝 (K37+250-K38+250) 7. Tangxin Primary School 塘小学 (K46+480-K46+550) 8. Liangheguan Primary School 两河小学 (K53+650- 30

Monitoring Monitoring Frequency & Implementing Supervising Item Monitoring Location Parameter Duration Entity Entity K53+700) [Note: night time monitoring needed at all the school locations] LAeq Follow up noise monitoring in 2023 at the following 3 locations 2 times per day (day time AEMS SPHB 1. Danjiawan 单家湾 (K17+150-K17+350) and night time); 2 2. Xiaohe Middle School 小河中学 (K57_080-K57+200) consecutive days every 6 3. Yujiawan 俞家湾 (K60+150-K60+250) months in year 2023 S224 Shangnan - Yunxian Estimated Cost: $21,000 Construction Stage Air quality TSP; 10 locations 1 day (24-hr) per month SEMS SCG, ESE (SO2 & NO2 only 1. Xiangnan County Estate 商南县小区 (K0+100-K0+400 (Monitor only when road if there is asphalt 2. Erdaohe Village 二道河村 (K0+500 –K1+100) section has construction mixing within 500 3. Dongfan Estate 东畈小区 (K3+700-K3+800) activities within 500 m) m) 4. Sanjiaochi Primary School 角池小学 (K7+700-K7+800) 5. Dagudong Primary School 打鼓洞小学 (K31+100-K31+200) 6. Xianghe Town Center Kindergarten 湘河镇中心幼儿园 (K37+260) 7. Xianghe Central Health Clinic 湘河中心卫生院 (K39+510- K39+560) 8. Dongyuepo Village 东岳坡村 (K67+230-K69+300) 9. Qianchuan Village 前川村 (K77+400-K79+100) 10. Bujiagou Village Nongtai Group 家沟村弄台组(K82+420- K83+120) Noise LAeq 10 locations 2 times per day (day time SEMS SCG, ESE 1. Xiangnan County Estate 商南县小区 (K0+100-K0+400 and night time); 1 day per 2. Erdaohe Village 二道河村 (K0+500 –K1+100) month 3. Dongfan Estate 东畈小区 (K3+700-K3+800) (Monitor only when road section has construction 4. Sanjiaochi Primary School 角池小学 (K7+700-K7+800) activities within 500 m) 打鼓洞小学 5. Dagudong Primary School (K31+100-K31+200) 6. Xianghe Town Center Kindergarten 湘河镇中心幼儿园 (K37+260) 7. Xianghe Central Health Clinic 湘河中心卫生院 (K39+510- K39+560 8. Dongyuepo Village 东岳坡村 (K67+230-K69+300) 9. Qianchuan Village 前川村 (K77+400-K79+100) 10. Bujiagou Village Nongtai Group 家沟村弄台组(K82+420- K83+120) Water quality DO, SS, TPH Set up 2 stations for water quality monitoring at each river/stream 1 time per day; 1 day per SEMS SCG, ESE crossing bridge location as follows: month during bridge 1. Control station: 50 m upstream of the bridge alignment construction

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Monitoring Monitoring Frequency & Implementing Supervising Item Monitoring Location Parameter Duration Entity Entity 2. Impact station 100m downstream of the bridge alignment (Note: if downstream impact station data > 130% of upstream control station data (DO <130%), mitigation measures are needed) Operational Stage Air quality PM10, NO2 10 locations 7 consecutive days every 3 SEMS SPHB 1. Xiangnan County Estate 商南县小区 (K0+100-K0+400 months (until a PCR is 2. Erdaohe Village 二道河村 (K0+500 –K1+100) issued) 3. Dongfan Estate 东畈小区 (K3+700-K3+800) 4. Sanjiaochi Primary School 角池小学 (K7+700-K7+800) 5. Dagudong Primary School 打鼓洞小学 (K31+100-K31+200) 6. Xianghe Town Center Kindergarten 湘河镇中心幼儿园 (K37+260) 7. Xianghe Central Health Clinic 湘河中心卫生院 (K39+510- K39+560) 8. Dongyuepo Village 东岳坡村 (K67+230-K69+300) 9. Qianchuan Village 前川村 (K77+400-K79+100) 10. Bujiagou Village Nongtai Group 家沟村弄台组(K82+420- K83+120) Noise LAeq 8 locations 2 times per day (day time SEMS SPHB 1. Xiangnan County Estate 商南县小区 (K0+100-K0+400 and night time); 2 2. Dongfan Estate 东畈小区 (K3+700-K3+800) consecutive days every 3 3. Nanwan Village 南湾村 (K5+100-K5+700) months (until a PCR is issued) 4. Huayuan Village Second Group 花园村二组 (K14+570 – K14+740) 5. Matidian Fifth Group 马蹄店五组 (K22+500-K23+100) 6. Sanguanmiao Village Baishegou Group 官庙村白蛇沟组 (K25+340) 7. Xianghe Town Center Kindergarten 湘河镇中心幼儿园 (K37+260) 8. Xianghe Central Health Clinic 湘河中心卫生院 (K39+510- K39+560) LAeq Follow up noise monitoring in 2023 at the following 14 locations 2 times per day (day time SEMS SPHB 1. Erdaohe Village 二道河村 (K0+500-K1+100) and night time); 2 2. Zhangjiagang Village Xiahe Group 张家岗村河组 (K6+460- consecutive days every 6 K6+520) months in year 2023 3. Zhangjiagang Village First Group 张家岗村组 (K7+360- K7+510) 4. Qingshan Town Resettlement Estate 青山镇移民小区 32

Monitoring Monitoring Frequency & Implementing Supervising Item Monitoring Location Parameter Duration Entity Entity (K16+100) 5. Matidian Seventh Group 马蹄店七组 (K23+600-K24+620) 6. Sanguanmiao Village Sanlibian Group 官庙村里碥组 (K30+300) 7. Hongyu Village First Group 红鱼村组 (K36+500-K36+900) 8. Xianghe Town Junior High School 湘河镇初级中学 (K37+300) 9. Lianhua Estate 莲花小区 (K39+340-K39+400) 10. Xianghejie Group 湘河街组 (K40+000-K40+300) 11. Liushubian 柳树边 (K52+320-K52+410) 12. Weijiatai Town 魏家台镇 (K53+900-K54+720) 13. Bujiagou Village Nongtai Group 家沟村弄台组 (K82+420- K83+120) 14. Buijiagou Village Tudiling Group 家沟村土地岭组 (K83+400) Rural Roads 1 - 7 Estimated cost: $26,000 Construction Stage Air quality TSP 17 locations on the following rural roads (RR): 1 day (24-hr) per month AEMS AMTB, ESE 1. RR1: Longwantan Seventh Group 龙王七组 (K83+200) (Monitor only when road 2. RR1: Kangjiaping Fourth Group 康家坪四组 (K76+100) section has construction 3. RR1: Zhangliang Fourth Group 张良四组 (K66+400) activities within 500 m) 4. RR1: Xiaohe Town Junior High School 小河镇初级中学 5. RR1: Xiaohe Town Center Primary ‘School 小河镇中心小学 6. RR2: Baiguoshu Fifth Group 白树五组 (K7+200) 7. RR3: Beigou Village First Group 北沟村组 (K0+000) 8. RR4: Pinghuai Second Group 坪槐二组 (K0+000 9. RR4: Zhangjiagou Third Group 张家沟组 (K6+700) 10. RR4: Caoling Primary School 曹玲小学 (K8+200) 11. RR4: Shuangni Primary School 双泥小学 (K11+750) 12. RR5: Yanba Town Center Primary School 晏坝镇中心小学 (K0+000) 13. RR5: Yanba Town Center Kindergarten 晏坝镇中心幼儿园 (K0+300) 14. RR5: Yanba Town Junior High School 晏坝镇初级中学 (K0+400) 15. RR6: Zaoyang Town Qianjin Primary School 早阳镇前进小学 (K0+000) 16. RR6: Lianghe Village Sixth Group 两河村六组 (K6+300) 17. RR7: Maliu Village Eleventh Group 麻柳村十组 (K0+000) Noise LAeq 17 locations on the following rural roads (RR): 2 times per day (day time AEMS AMTB, ESE

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Monitoring Monitoring Frequency & Implementing Supervising Item Monitoring Location Parameter Duration Entity Entity 1. RR1: Longwantan Seventh Group 龙王七组 (K83+200) and night time); 1 day per 2. RR1: Kangjiaping Fourth Group 康家坪四组 (K76+100) month 3. RR1: Zhangliang Fourth Group 张良四组 (K66+400) (Monitor only when road section has construction 4. RR1: Xiaohe Town Junior High School 小河镇初级中学 activities within 500 m) 5. RR1: Xiaohe Town Center Primary ‘School 小河镇中心小学 6. RR2: Baiguoshu Fifth Group 白树五组 (K7+200) 7. RR3: Beigou Village First Group 北沟村组 (K0+000) 8. RR4: Pinghuai Second Group 坪槐二组 (K0+000 9. RR4: Zhangjiagou Third Group 张家沟组 (K6+700) 10. RR4: Caoling Primary School 曹玲小学 (K8+200) 11. RR4: Shuangni Primary School 双泥小学 (K11+750) 12. RR5: Yanba Town Center Primary School 晏坝镇中心小学 (K0+000) 13. RR5: Yanba Town Center Kindergarten 晏坝镇中心幼儿园 (K0+300) 14. RR5: Yanba Town Junior High School 晏坝镇初级中学 (K0+400) 15. RR6: Zaoyang Town Qianjin Primary School 早阳镇前进小学 (K0+000) 16. RR6: Lianghe Village Sixth Group 两河村六组 (K6+300) 17. RR7: Maliu Village Eleventh Group 麻柳村十组 (K0+000) Water quality DO, SS, TPH Set up 2 stations for water quality monitoring at each of the river 1 time per day; 1 day per AEMS AMTB, ESE crossings as follows: month when road 1. Control station: 50 m upstream of the river crossing construction activity is within 2. Impact station 100m downstream of the river crossing 500 m of the river

(Note: if downstream impact station data > 130% of upstream control station data (DO <130%), mitigation measures are needed) Rural Road 8 Estimated Cost: $20,000 Construction Stage Air quality TSP 5 locations on the following rural roads (RR): 1 day (24-hr) per month SEMS SCG, ESE 1. RR8: Hongyu Village Eighth Group 红鱼村八组 (K4+100) (Monitor only when road 2. RR8: Lianhuatai Primary School 莲花台小学 (K5+900) section has construction 3. RR8: Shuigou Village Second Group 水沟村二组 (K11+800) activities within 500 m) 4. RR8: Balipo Primary School 八里坡小学 (K30+800) 5. RR8: Qianjiaping Primary School 千家坪小学 (K39+600) Noise LAeq 5 locations on the following rural roads (RR): 2 times per day (day time SEMS SCG, ESE 1. RR8: Hongyu Village Eighth Group 红鱼村八组 (K4+100) and night time); 1 day per 34

Monitoring Monitoring Frequency & Implementing Supervising Item Monitoring Location Parameter Duration Entity Entity 2. RR8: Lianhuatai Primary School 莲花台小学 (K5+900) month 3. RR8: Shuigou Village Second Group 水沟村二组 (K11+800) (Monitor only when road 4. RR8: Balipo Primary School 八里坡小学 (K30+800) section has construction activities within 500 m) 5. RR8: Qianjiaping Primary School 千家坪小学 (K39+600) Water quality DO, SS, TPH Set up 2 stations for water quality monitoring at each of the river 1 time per day; 1 day per SEMS SCG, ESE crossings as follows: month when road 1. Control station: 50 m upstream of the river crossing construction activity is within 2. Impact station 100m downstream of the river crossing 500 m of the river

(Note: if downstream impact station data > 130% of upstream control station data (DO <130%), mitigation measures are needed) Total estimated cost: $116,000 Notes: AEMS = Ankang Environmental Monitoring Station; AMTB = Ankang Municipal Transport Bureau; ESE = Environmental Supervision Engineer; FFPO = Foreign Fund Finance Project Office; PCR = Project Completion Report;; TSP = total suspended particulates; PM10 = particulate matter with diameter ≥10 micron; SO2 = sulfur dioxide; NO2 = nitrogen dioxide; LAeq = A-weight equivalent sound pressure level; DO = dissolved oxygen; SCG = Shangnan County Government; SEMS = Shangluo Environmental Monitoring Station; SPHB = Shaanxi Provincial Highways Bureau; SS = suspended solids; TPH = total petroleum hydrocarbon;

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Table EMP-5: Monitoring Indicators and Applicable PRC Standards22 Phase Indicator Standard Construction TSP Class II Ambient Air Quality Standard (GB 3095-1996) Noise limits of PME at boundary of Emission Standard of Environmental Noise for Boundary of construction site Construction Site (GB 12523-2011) Water quality during river crossing Use control station and impact station approach. If the level at bridge construction (SS, DO, TPH) the impact station is >130% of the control station, mitigation measures such as reducing the dredging rate or changing the dredging equipment will be implemented.

Operation NO2, PM10 Class II Ambient Air Quality Standard (GB 3095-2012) Noise Environmental Quality Standard for Noise (GB 3096-2008) for noise function area Categories 4a and 2.

Note: DO = dissolved oxygen, NO2 = nitrogen dioxide, PM10 = particulate matter with diameter ≤ 10 µm, PME = powered mechanical equipment, SS = suspended solids, TPH = total petroleum hydrocarbon, TSP = total suspended particulates.

20. Independent Evaluation. Independent evaluation of EMP implementation will be undertaken by the ESE and LIEC. The budget for the ESE is estimated at $600,000. The budget for the LIEC will be included in the Loan Implementation Consulting services ($40,000). FFPO will report the LIEC’s independent evaluation to ADB on the project’s adherence to the EMP, information on project implementation, environmental performance of the contractors, and environmental compliance through quarterly project progress reports and semi-annual environmental monitoring reports (Table EMP-6). The LIEC will support FFPO in developing the semi-annual environmental monitoring reports. The reports should confirm the project’s compliance with the EMP and local legislation (including the PRC’s EIA requirements), the results of independent evaluation (both contractor compliance with the EMP and the results of environmental quality monitoring by AEMS and SEMS), identify any environment related implementation issues and necessary corrective actions, and reflect these in a corrective action plan. Operation and performance of the project GRM, environmental institutional strengthening and training, and compliance with all covenants under the project will be included in the report.

21. Monitoring by ADB. Besides reviewing the semi-annual environment monitoring reports from FFPO and the verification reports from the LIEC, ADB missions will inspect the project progress and implementation on site at least once a year. For environmental issues, inspections will focus mainly on (i) monitoring data; (ii) the implementation status of project performance indicators specified in the loan documents for the environment, environmental compliance, implementation of the EMP, and environmental institutional strengthening and training; (iii) the environmental performance of contractors, LIEC, and FFPO; (iv) operation and performance of the project GRM; and (v) any changes in proposed works and/or EMP measures. The performance of the contractors in respect of environmental compliance will be recorded and will be considered in future bid evaluations.

22. Environmental Acceptance Monitoring and Reporting. Following the PRC Regulation on Project Completion Environmental Audit (MEP, 2001), within three months after the completion of each project component, an environmental acceptance monitoring and audit report for the component shall be prepared by a licensed environmental monitoring institute.

22 The project applies PRC standards. A comparison of PRC standards with internationally accepted standards (as defined in the World Bank’s Environment Health and Safety Guidelines) was conducted for the EIA. The comparison confirmed that PRC standards are either internationally accepted, or have comparable standard limits with most of the international standards. 36

The report will be reviewed and approved by the local EPB, and the outcomes reported to ADB (Table EMP-6). The environmental acceptance reports will indicate the timing, extent, effectiveness of completed mitigation and any need for additional mitigation measures and monitoring during operation.

Table EMP-6: Reporting Plan Reports From To Frequency Construction Phase Internal progress Internal project progress report by Contractors FFPO, AMTB, Monthly reports by construction contractors, including SCG, ESE contractors monitoring results Internal Environmental monitoring report AEMS, SEMS AEPB, SEPB, Monthly environmental AMTB, SCG, quality monitoring FFPO, ESE Environment progress and monitoring FFPO ADB Semi-annual reports Acceptance report Environmental acceptance monitoring Licensed institute AEPB, SEPB Once; within 3 and audit report months of completion of physical works Operational Phase Internal Environmental monitoring report (until a AEMS, SEMS AEPB, SEPB, Quarterly environmental PCR is issued) SPHB, FFPO quality monitoring Environment progress and monitoring FFPO ADB Semi-annual report (until a PCR is issued) Notes: ADB = Asian Development Bank; AEMS = Ankang Environmental Monitoring Station; AEPB = Ankang Environmental Protection Bureau; AMTB = Ankang Municipal Transport Bureau; ESE = Environmental supervision engineer; FFPO = Foreign-fund Finance Project Office; SCG = Shangnan County Government; SEMS = Shangluo Environmental Monitoring Station; SEPB = Shangluo Environmental Protection Bureau; SPHB = Shaanxi Provincial Highways Bureau.

E. Institutional Capacity Building and Training

23. The capacity of FFPO, AMTB, SCG, O&M units and contractors’ staff responsible for EMP implementation and supervision will be strengthened as they lack the staff and experience in implementing environmental mitigation measures, grievance redress mechanism and environmental monitoring. All parties involved in implementing and supervising the EMP must have an understanding of the goals, methods, and practices of project environmental management. The project will address the lack of capacities and expertise in environmental management through (i) institutional capacity building, and (ii) training.

24. Institutional Strengthening. The capacities of FFPO, AMTB, SCG, O&M units to coordinate environmental management will be strengthened through a set of measures:

(i) The appointment of at least one qualified environment specialist within the FFPO staff to be in charge of EMP coordination, implementation and site inspections including GRM. (ii) The commissioning of an independent ESE by AMTB and SCG respectively to provide independent monitoring and verification of EMP implementation (iii) The appointment of LIEC under the loan implementation consultancy to guide FFPO, AMTB and SCG in implementing the EMP and ensure compliance with ADB’s Safeguard Policy Statement (SPS 2009).

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25. Training. FFPO, AMTB, SCG, contractors and O&M units will receive training in EMP implementation, supervision, and reporting, and on the Grievance Redress Mechanism (Table EMP-7). Training will be facilitated by the LIEC with support of other experts under the loan implementation consultant services. The budget for training is estimated to be $15,000.

Table EMP-7: Training Program Cost Period No. of Total Training Attendees Contents Times ($/person (days) persons Cost /day) EMP FFPO, AMTB, Development and Twice - 2 20 100 $8,000 adjustment and SCG, O&M adjustment of the EMP, Once prior to, implementation units, preparation of the site and once after contractors specific EMP, roles and the first year of responsibilities, monitoring, project supervision and reporting implementation procedures, review of experience (after 12 months) Grievance FFPO, AMTB, Roles and responsibilities, Twice - 1 15 100 $3,000 Redress SCG, Procedures, review of Once prior to, Mechanism contractors, experience (after 12 months) and once after AEPB, SEPB the first year of project implementation Environmental FFPO, AMTB, Pollution control on Once (prior to 2 15 100 $3,000 protection SCG, construction sites (air, noise, construction contractors wastewater, solid waste) commencing) Environmental FFPO, AMTB, Monitoring methods, data Once (at 1 10 100 $1,000 monitoring SCG, O&M collection and processing, beginning of units, reporting systems project contractors construction) Total estimated cost: $15,000 Notes: AEPB = Ankang Environmental Protection Bureau, AMTB = Ankang Municipal Transport Department, FFPO = Foreign-fund Finance Project Office, SCG = Shangnan County Government, SEPB = Shangluo Environmental Protection Department, O&M = operation and maintenance.

26. Capacity Building. In addition to training for EMP implementation, the project will provide consulting services and training to assist and train the staff of FFPO, AMTB and SCG in project management, environmental management, land acquisition and resettlement, procurement, as well as external resettlement and environmental monitoring. The institutional components of the project will also involve training by loan implementation consultants in operation and maintenance of completed facilities. Part of this training will focus on teaching staff how to use a set of indicators to monitor performance of the completed facilities. These indicators will be designed by loan implementation consultants prior to operation start-up.

F. Consultation, Participation and Information Disclosure

27. Consultation during Project Preparation. Chapter VII of the EIA describes the public participation and consultation implemented during project preparation.

28. Future Public Consultation Plan. Plans for public involvement during construction and operation stages were developed during project preparation. These include public participation in (i) monitoring impacts and mitigation measures during the construction and operation stages; 38

(ii) evaluating environmental and economic benefits and social impacts; and (iii) interviewing the public after the project is completed. These plans will include several types of public consultation, including site visits, workshops, investigation of specific issues, interviews, and public hearings (Table EMP-8). The budget for public consultation is estimated to be $9,000.

Table EMP-8: Public Consultation Plan Organizer Format No. of Times Subject Attendees Budget Construction Stage FFPO Public 4 times: 1 time Adjusting of mitigation Residents adjacent $4,000 consultation & before construction measures, if necessary; to components, site visit commences and 1 construction impact; comments representatives of time each year and suggestions social sectors during construction FFPO Expert workshop As needed based Comments / suggestions on Experts of various $2,000 / press on public mitigation measures, public sectors, media conference consultation opinions FFPO Resettlement As required by Comments on resettlement, Persons affected by Included in survey relevant improvement of living conditions, resettlement and the resettlement plan livelihood, and poverty relocation resettlement reduction; comments and plan update suggestions survey budget Operational Stage FFPO, O&M Public Once in the first Effectiveness of mitigation Residents adjacent $1,500 Units consultation and year measures, impacts of operation, to component sites, site visits comments and suggestions social sectors FFPO, O&M Expert workshop As needed based Comments and suggestions on Experts of various $1,500 Units or press on public operational impacts, public sectors, media conference consultation opinions Total budget: $9,000 Notes: FFPO = Foreign-fund Finance Project Office; O&M = operation and maintenance.

G. Grievance Redress Mechanism

29. A Grievance Redress Mechanism (GRM) will be established for the project to receive and manage any public concerns and safeguard issues which may arise during project implementation. The GRM comprises: (i) a set of clear procedures developed by FFPO to receive, record, and address any concerns or complaints raised; (ii) specific contact details of individuals at the FFPO, AMTB, SCG and the contractors, and (iii) the Ankang and Shangluo EPBs.

30. All contractors and work staff will be briefed by the FFPO on the project safeguards GRM. Contractors and workers will be instructed to be courteous to local residents and, in the event they are approached by the general public with an issue, to immediately halt their work and report the issue to the foreman. The foreman will immediately report the issue to the IAs (AMTB or SCG) or FFPO for action and advise affected person of how their issue will be handled.

31. Multiple means of using this mechanism, including face-to-face meetings, written complaints, hotline number and telephone conversations, anonymous drop-boxes for written comments, and/or e-mail, will be available. All concerns received will be treated confidentially

39 and professionally. The identity of individuals will not be circulated among project agencies or staff and will only be shared with senior staff, and then only when there is clear justification. In the construction period and the initial operational period covered by loan covenants, FFPO will report progress to ADB, and this will include reporting complaints and their resolution.

32. Basic steps for resolving complaints are as follows and illustrated in Figure EMP-1.  Step 1: For environmental problems during the construction stage, the affected person (AP) can register his/her complaint directly with the contractors, or through GRM entry points (FFPO complaint center hotline, AMTB, SCG, and Ankang and Shangluo EPB hotlines). Contractors are required to designate a person in charge of handling complaints, and advertise their contact telephone number at the main entrance to each construction site, together with the hotline number of the FFPO complaint center. The contractors are required to maintain and update a Complaint Register to document all complaints. The contractors are also required to respond to the complainant in writing within 7 calendar days on their proposed solution and how it will be implemented. If the problem is resolved, FFPO will follow up to ensure that the complainant is satisfied with the solution. The contractors are required to report complaints received, handled, resolved and unresolved to the FFPO complaint center immediately, and to AMTB/SCG and FFPO monthly (through progress reporting). The quarterly project reports and semi-annual environmental monitoring reports for ADB should also highlight any significant issues raised through the GRM and their resolution.  Step 2: If no appropriate solution can be found during step 1, the contractor has the obligation to forward the complaint to the FFPO complaint center. The AP may also decide to submit a written or oral complaint to the FFPO complaint center directly, by-passing step 1. A joint safeguards hotline for resettlement and environment issues will be established within FFPO. For an oral complaint, proper written records will be made. Once a complaint is registered and put on file, the FFPO complaints center will notify ADB. The FFPO complaint center will assess the eligibility of the complaint, identify the solution and provide a clear reply for the complainant within one week. Complaints related to land acquisition and resettlement issues will be directed to the relevant agencies in accordance with the resettlement GRM. The LIEC will assist the FFPO complaint center in addressing the complaint, and replying to the affected person. The FFPO complaint center will also inform the ADB project team and submit all relevant documents. Meanwhile, the FFPO complaint center will immediately convey the complaint/grievance and suggested solution to the contractors, AMTB or SCG, and/or operator. The contractors during construction and the operator (until issuance of PCR) will implement the agreed upon redress solution and report the outcome to the FFPO complaint center within fifteen (15) working days.  Step 3: In case no solution can be identified by the FFPO complaint center, or the complainant is not satisfied with the proposed solution, the FFPO complaint center will organize, within two (2) weeks, a multi-stakeholder hearing (meeting) involving all relevant stakeholders (including the complainant, AMTB or SCG, contractors, facility operator, Ankang or Shangluo EPB, and FFPO). The hearing shall identify a solution acceptable to all, and formulate an action plan.

33. The tracking and documenting of grievance resolution by FFPO will include the following elements: (i) tracking forms and procedures for gathering information from project personnel and complainant(s); (ii) regular updating of the GRM database by the FFPO Environment and/or 40

Social Specialist; (iii) processes for informing stakeholders about the status of a case; and (iv) procedures to retrieve data for reporting purposes, including the periodic reports to the ADB.

34. At any time, an affected person may contact ADB (East Asia Department), ADB Resident Mission in the PRC.

35. If the above steps are unsuccessful, persons who are, or may in the future be, adversely affected by the project may submit complaints that are eligible under the ADB Accountability Mechanism. The Accountability Mechanism provides an independent forum and process whereby people adversely affected by ADB-assisted projects can voice, and seek a resolution of their problems, as well as report alleged violations of ADB‘s operational policies and procedures. Before submitting a complaint to the Accountability Mechanism, affected people should make a good faith effort to solve their problems by working with the concerned ADB operations department. Only after doing that, and if they are still dissatisfied, should they consider the Accountability Mechanism.23

Affected Persons

complain resettlement FFPO Complaints Resettlement GRM Center Hotline complain complain complain environmental Complaint satisfactory Contractor Step 1Step Register (1 week) unsatisfactory

Complaint Register satisfactory AMTB/SCG Step 2Step unsatisfactory (2 weeks) AEPB/SEPB

Complaint satisfactory Step 3Step

(2 weeks) Register FFPO

GRM entry point ADB

Figure EMP-1: Proposed Grievance Redress Mechanism

H. Cost Estimates

36. The total cost for EMP implementation comprises six items: (i) mitigation measures (Table EMP-2), (ii) internal environmental quality monitoring by AEMS and SEMS (Table EMP- 4), (iii) external independent EMP compliance monitoring by ESE, (iv) public consultation (Table

23 See: http://compliance.adb.org/

41

EMP-7), (v) training (Table EMP-8), and (vi) the LIEC. The total cost of $4,806,500 is summarized in Table EMP-9 and is $4,806,500.

37. The mitigation cost of $4,026,500 includes a cost of $3,350,000 for implementation of traffic noise mitigation measures including installation of double glazed windows. The remaining costs are for mitigating construction impacts by the contractor, which should have already been included in the bid package of the contractors. Nevertheless, this amount indicates that the contractors have to spend above their business as usual practice to protect the environment.

38. The LIEC cost of $40,000 will be funded by the Loan Implementation Consulting services under the ADB loan, while the EA will bear the remaining cost of $4,766,500. (including the amount included in the bid packages of the contractors).

Table EMP-9: Estimated Budget for Environmental Management Plan Implementation Estiated Cost EMP Ite EA Fuded ADB Fuded Mitigation measures 4,026,500 0 Internal environmental quality monitoring (by AEMS & SEMS) 116,000 0 External EMP compliance monitoring by ESE 600,000 0 External monitoring by LIEC 0 40,000 Training $15,000 0 Public consultation $9,000 0 Subtotal: 4,766,500 40,000 Total: 4,806,500 Note: $4,026,500 for mitigation measures includes $3,350,000 for installation of double-glazed windows to mitigate traffic noise.

39. Excluded from the budget are (i) infrastructure costs which relate to environment and public health but which are already included in the project direct costs, such as the noise barriers on S102 and sedimentation tanks on G316 and S224, and (ii) remuneration for the FFPO environment specialist and consulting packages for the non-structural sub-components, (covered elsewhere in the project budget).

40. The IAs, AMTB and SCG will bear all internal environmental quality monitoring costs during the construction stage and contracting of ESE for independent monitoring and verification of EMP implementation. The O&M units will bear all internal environmental quality monitoring costs during the operational stage. Contractors will bear the costs for all mitigation measures during construction, including those specified in the tender and contract documents as well as those to mitigate unforeseen impacts due to their construction activities. The O&M units will bear the costs related to mitigation measures during operation.

I. Mechanisms for Feedback and Adjustment

41. The EMP is a living document. The need to update and adjust the EMP will be reviewed when there are design changes, changes in construction methods and program, unfavourable environmental monitoring results or inappropriate monitoring locations, and ineffective or inadequate mitigation measures. Based on environmental monitoring and reporting systems in place, FFPO (with the support of the LIEC) shall assess whether further mitigation measures are required as corrective action, or improvement in environmental management practices are required. FFPO will inform ADB promptly on any changes to the project and needed 42

adjustments to the EMP. The updated EMP will be submitted to ADB for review and approval, and will be disclosed on the ADB and SPTD project website.

J. Environmental Contract Clauses

42. The following contract clauses for safeguarding the environment during construction will be incorporated into all tender documents, except the last three clauses which are only applicable to S102, S224 and G316, respectively.

a.) Site specific environmental management plan (SEMP): (i) The contractors shall prepare a site-specific environmental management plan prior to the commencement of construction works, and shall submit the plan to the implementing agency and the environmental supervision engineer for review and approval. The plan shall include method statements on the implementation of pollution control and mitigation measures, as well as an emergency spill contingency plan for containing and cleaning up accidental chemical spills on construction sites. The SEMP shall be updated as needed as and when environmental issues not covered by the plan arise. SEMPs should be prepared for each individual work package.

b.) Siting of construction facilities: (i) Locations of all spoil disposal sites shall be at least 300 m from the nearest water body. (ii) No spoil disposal site and construction staging areas shall be located within the boundary of the Shaanxi Han River Wetland. (iii) Locations of asphalt mixing stations, and concrete batching plants shall be at least 300 m upwind of the nearest household (iv) Locations of borrow areas shall be at least 500 m from residential areas. (v) Borrow areas and spoil disposal sites with long, steep slopes, susceptible to erosion shall be avoided and shall include small level cut-off drains to break up and redirect run-off. (vi) Access and haul roads shall be constructed at sufficient distances from residential areas, in particular, local schools and hospitals.

c.) Construction time: (i) For all new road sections including new tunnels and new bridges, there shall be no night time (between 22:00 and 06:00 hours) construction. (ii) For existing road sections, night time construction shall be avoided. Yet, recognizing that construction occasionally would require some works to be conducted at night to take advantage of less road traffic or to avoid worsening day time traffic conditions, night time construction work if needed shall prevent using high sound power level equipment and nearby residents shall be notified of such night time activities well beforehand.

d.) Protection of air quality (i) To suppress dust, hauling and access roads shall be sprayed with water regularly (at least once a day but frequency to be responsive to season and local conditions) and hoarding shall be erected around dusty activities (ii) The storage time of construction and demolition wastes on site shall be

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minimized by regularly removing them off site. (iii) Asphalt, hot mixing and batching plants shall be equipped with fabric filters and/or wet scrubbers to reduce the level of dust emissions. (iv) Vehicles with an open load-carrying case, which transport potentially dust-producing materials, shall have proper fitting sides and tail boards. Dust-prone materials shall not be loaded to a level higher than the side and tail boards, and shall always be covered with a strong tarpaulin. (v) Vehicle speed on unpaved haul roads shall be restricted to 10 km/h or less. (vi) Construction vehicles and machinery shall be kept in good working order, regularly serviced and with engines turned off when not in use. (vii) Wheel washing equipment shall be installed or manual wheel washing will be conducted at each exit of the works area to prevent trucks from carrying muddy or dusty substance onto public roads. (viii) In periods of high wind, dust-generating operations shall not be permitted within 200 m of residential areas. Special precautions need to be applied in the vicinity of sensitive areas such as schools, kindergartens and hospitals. (ix) Material stockpiles shall be covered with dust shrouds. For the earthwork management for backfill, measures shall include surface press and periodical spraying and covering. The extra earth or dreg shall be cleared from the project site in time to avoid long term stockpiling. (x) Unauthorized burning of construction and demolition waste material and refuse on site shall be strictly prohibited, and shall be subject to penalties for the Contractor, and withholding of payment. e.) Protection of the acoustic environment (i) During daytime construction, the contractor shall ensure that: (i) noise levels from equipment and machinery conform to the PRC standard for Noise Limits for Construction Sites (GB12523-2011) and the World Bank Group’s Environmental Health and Safety Standards, and machinery properly maintained to minimize noise; (ii) equipment with high noise and high vibration are not used near village or township areas and only low noise machinery or the equipment with sound insulation or exhaust muffling devices is employed. (ii) Temporary noise barriers or hoardings shall be deployed around the equipment to shield residences when there are residences within 80 m of the noise source. (iii) Noise levels at the construction site boundaries shall be monitored regularly. If noise standards are exceeded by more than 3 dB, equipment and construction conditions shall be checked, and mitigation measures shall be implemented to rectify the situation. (iv) The speed of bulldozer, excavator, crusher and other transport vehicles travelling on site shall be controlled. Noise reduction measures on equipment shall be adopted, with regular equipment repair and maintenance to keep them in good working condition. (v) The speed of vehicles travelling on construction sites and haul roads shall be limited to 10 km/h or less. The use of horns shall be forbidden unless absolutely necessary. The use of whistles shall be minimized. (vi) Construction activities shall be planned in consultation with local communities so that activities with the greatest potential to generate noise 44

and vibration are planned during periods of the day that will result in least disturbance.

f.) Protection of water quality (i) Portable toilets and small package wastewater treatment plants and/or septic tanks shall be provided on construction sites and construction camps for the workers. If there are nearby public sewers, interim storage tanks and pipelines will be installed to convey wastewater to public sewers. Construction sites and construction camps shall also have drainage provisions to collect and treat site runoff. (ii) Sedimentation tanks shall be installed on construction sites (including tunneling sites) to treat process water (e.g. concrete batching for bridge construction) and muddy runoff with high concentrations of suspended solids. If necessary, flocculants such as polyacryl amide shall be used to facilitate sedimentation. (iii) Construction of river crossing road bridge foundations shall avoid the rainy season from May to October to minimize potential water quality impact. Mitigation measures such as placement of sandbags or berms around foundation and shoreline works to contain muddy water runoff shall be adopted. Slurry from pile drilling in the river bed shall be pumped to shore and properly disposed of. (iv) Construction machinery shall be repaired and washed at designated locations. No onsite machine repair and washing shall be allowed. (v) Storage and refueling facilities for fuels, oil, and other hazardous materials shall be within secured areas on impermeable surfaces, and provided with bunds and cleanup kits. If refueling in the field is required, it shall be done from road-licensed fuel trucks away from watercourses or other environmentally sensitive areas. (vi) The contractors’ fuel suppliers must be properly licensed, follow proper protocol for transferring fuel, and must be in compliance with Transportation, Loading and Unloading of Dangerous or Harmful Goods (JT 3145-88). (vii) Material stockpiles shall be protected against wind and runoff waters which might transport them to surface waters. There shall be no storage of materials and equipment in river channels or close to sensitive receptors. Temporary storage of materials and equipment on river banks, if necessary, shall be short-term and protected to prevent run-off polluting river water. (viii) Any spills shall be cleaned up according to PRC norms and codes within 24 hours of the occurrence, with contaminated soils and water treated according to PRC norms and codes. Records must be handed over without delay to the FFPO and local EPB. An emergency spill contingency plan shall be prepared by the Contractors as part of the SEMP and personnel shall be trained in its use. (ix) Mitigation of water quality impact during river crossing bridge construction shall be based on water quality monitoring results. At each river crossing bridge construction location, upstream and downstream monitoring stations will be set up and SS levels monitored. When the SS levels at the downstream impact station is 130% higher than the SS levels at the upstream control station, the contractor shall adopt alternative construction methods or additional mitigation measures until the

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downstream SS level is less than 130% above the upstream SS level. g.) Protection of biological resources and wildlife (i) Construction workers are prohibited from capturing any wildlife during construction. (ii) Existing vegetation where no construction activity is planned shall be preserved. (iii) Existing trees and grassland shall be protected during construction. Where a tree has to be removed or an area of grassland disturbed, replant trees and re-vegetate the area after construction. (iv) Trees or shrubs shall be removed only as the last resort if they impinge directly on the permanent works or necessary temporary works. h.) Solid waste management and material re-use (i) Prior to main earthworks, the top soil (10-30 cm) shall be removed and stored temporarily, which shall be re-used on site for restoration works. (ii) Attempts shall be made to maximize the re-use of earth cut materials and construction and demolition wastes on the project, including the re-use of old asphalt or concrete road pavements. (iii) Old asphalt waste is a hazardous waste and shall only be transported by licensed companies and disposed of at approved hazardous waste treatment facilities. (iv) Contractors shall develop spoil disposal site management and restoration plans, to be approved by the local EPBs. The contractors shall only use material from borrow pits that have been licensed and approved. (v) Construction activities in borrow areas and spoil disposal sites shall be planned so that the open area is minimized and rehabilitation shall be completed progressively. (vi) Restoration of spoil disposal sites and borrow areas shall follow the completion of works in full compliance with all applicable standards and specifications, and shall be required before final acceptance and payment under the terms of contracts. i.) Construction site sanitation (i) Contractor shall provide adequate and functional systems for sanitary conditions, toilet facilities, waste management, labor dormitories and cooking facilities. The site shall be effectively cleaned and disinfected. During site formation, the site shall be sprayed with phenolated water for disinfection. Toilets and refuse bins shall be disinfected and timely removal of solid waste shall be ensured. (ii) Rodents on site shall be exterminated at least once every 3 months. Mosquitoes and flies shall be exterminated at least twice each year. (iii) Public toilets shall be provided in accordance with the requirements of labor management and sanitation departments in the living areas on construction site, and designated staff responsible for cleaning and disinfection shall be appointed. (iv) Work camp wastewater shall be discharged into the municipal sewer system or treated on-site using portable systems or septic tanks. j.) Occupational safety (i) A person responsible for environmental, health and safety during 46

construction shall be appointed for the project. (ii) Personal protective equipment (safety hats and shoes and high visibility vests) shall be provided to all construction workers. (iii) Ear defenders for hearing protection shall be provided to workers operating and working near noisy power mechanical equipment. (iv) Safety goggles and respiratory masks shall be provided to workers doing asphalt road paving. (v) Method statements shall be prepared and approvals obtained for hazardous activities such as blasting, tunnel works, excavation and working near water.

k.) Food safety (i) Food hygiene in canteens on site shall be inspected and supervised regularly. Canteen workers must have valid health permits. (ii) If food poisoning is discovered, effective control measures shall be implemented immediately to prevent it from spreading.

l.) Disease prevention and health services (i) All contracted labor shall undergo a medical examination which shall form the basis of an (obligatory) health/accident insurance and welfare provisions to be included in the work contracts. The contractors shall maintain records of health and welfare conditions for each person contractually engaged. (ii) Health clinic shall be established at location where workers are concentrated, which shall be equipped with common medical supplies and medication for simple treatment and emergency treatment for accidents. (iii) A person responsible for health and epidemic prevention and education and training on food hygiene and disease prevention shall be specified (by the IA and contractors) to raise the awareness of workers. (iv) Induction and training by local health departments on prevention and management of communicable diseases shall be provided.

m.) Social conflict prevention (i) The following shall be prioritized: (i) employ local people for works, (ii) ensure equal opportunities for women and men, (iii) pay equal wages for work of equal value, and to pay women’s wages directly to them; and (iv) not employ child or forced labor.

n.) Community health and safety (i) A traffic control and operation plan shall be prepared together with the local traffic police prior to any construction. The plan shall include provisions for diverting or scheduling construction traffic to avoid morning and afternoon peak traffic hours, regulating traffic at road crossings with an emphasis on ensuring public safety through clear signs, controls and planning in advance. Haulage routes and schedules shall be assigned to avoid transport occurring in the central areas, traffic intensive areas or residential areas. (ii) Residents and businesses shall be informed in advance of the road improvement activities, given the dates and duration of expected disruption, dusty and noisy activities, and access to the grievance redress

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mechanism. Local communities shall be alerted of the time and location of hazardous activities such as blasting. Construction billboards, which include construction contents, schedule, responsible person and complaint hotline number, will be erected at each construction site. (iii) Clear signs shall be placed at construction sites in view of the public, warning people of potential dangers such as moving vehicles, hazardous materials, excavations etc. and raising awareness on safety issues. Heavy machinery shall not be used at night, where possible, and all such equipment shall be returned to its overnight storage area/position before night. All sites shall be made secure, discouraging access by members of the public through appropriate fencing, signage and/or security personnel, as appropriate. (iv) Continual communication with the villages and communities along the road alignments shall be maintained and the grievance redress mechanism shall be accessible and effective. o.) Utility interruption (i) Contractors shall assess construction locations in advance and identify potential for disruption to services and risks before starting construction. Any damage or hindrance/disadvantage to local businesses caused by the premature removal or insufficient replacement of public utilities shall be subject to full compensation, at the full liability of the contractor who causes the problem. (ii) If temporary disruption is unavoidable the contractor shall, in collaboration with relevant local authorities such as power company, water supply company and communication company, develop a plan to minimize the disruption and communicate the dates and duration in advance to affected persons. p.) Specific Clause for blasting on S102 (i) A pre-construction dilapidation survey of properties within blasting zone of influence (area to be determined by contractor based on level of charge) shall be carried out to confirm existing structural condition. All prominent defects in the form of cracks, settlement, movement, water seepage, spalling concrete, distortion, subsidence and other building defects will be recorded in photographs and supporting notes. (ii) Noise and vibration shall be monitored at Hongyantan, Xiaohe Town, Yujiawan and Goujiashan during blasting for the construction of tunnels Hongyantan #1, Hongyantan #2, Yujiawan and Goujiashan on S102. Based on monitoring results, reduce the charge for each blast if necessary. q.) Specific Clause for protection of drinking water sources on S224 (i) Road side hoarding shall be placed at the three locations of drinking water collection sumps on trunk road S224 as barriers to prevent contamination of these drinking water sources by construction materials and wastes. No stockpiling of construction materials and aggregates shall be permitted within 300 m from these sumps. All wastewater generated from road construction within 300 m of these sumps shall be treated and diverted to downstream of these sumps for discharge. Cut-off and diversion drains shall be installed at these locations and other sensitive receptors, as required, to divert run-off away. 48

r.) Specific Clause for protection and restoration of valuable tree and shrub species on G316: (i) Construction workers shall avoid damage to and removal of the Gingko Trees and Camphor Trees which are nationally protected species: a) Gingko Trees in the gully underneath the medium bridge between chainage K6+215 to K6+301. b) Camphor Trees on both sides of G316 from the Guanmiaogou Bridge (chainage K33+559.7) to the end point (chainage K34+801). (ii) Road side tree planting shall use local species such as Black Locust, fruit trees and plants in accordance with the surrounding plant community, with the exception of areas located within the towns. (iii) Plant shrubs and trees in nearby empty land to attract bird species such as the Yellow Breasted Bunting and Red-billed Blue Magpie. These include the Chinese Pistache Pistaca chinensis, Caprifoliacease plants such as the Linden Viburnum Viburnum dilatatum and Amur Honeysuckle Lonicera maackii, and Shrubby Bush-clover Lespedeza bicolor. Crops such as grains and corns are also favorite food for these two bird species. (iv) Restoration measures for the temporary staging areas shall comply with the former land cover type to maximize native biodiversity: a) For temporary land take areas in gullies (the four spoil disposal sites at chainages K3+250, K18+650, K21+100 and K21+940; and on pre-casting yard at chainage K6+010), plant local tree and shrub species with fruits to provide food for birds; b) For the asphalt mixing station at chainage K2+250, restore the Black Locust woodland similar to the original land cover; c) For the asphalt mixing station at chainage K18+100, restore the orchard landscape to match with the surrounding land cover; and d) For the other pre-casting yards, restore the farmland land cover.

APPENDIX 2: EXISTING AIR AND NOISE RECEPTORS

Table A2.1: Existing Air and Noise Sensitive Receptors along Trunk Road G316 Distance No. of Households in of First Noise Functional Name of Remark on Buildings Building Area No. Sensitive Chainage Site Photo and Affected Population Row from Receptor Category Category near the Carriageway Road Red 4a 2 Line 1 Lijiazhuang K0+000 – 10 m left 8 18 1-storey residential 李家庄 K0+300 buildings. Estimated population: 104

2 Xuejiawan Ninth K1+400 – 64 m left 0 35 Scattered 1 to 2-storey Group K2+000 residential buildings. 薛家湾九组 Estimated population: 140

3 Xuejiawan Sixth K2+940 – 3 m left & 15 10 Scattered 2 to 3-storey Group K3+300 right residential buildings. 薛家湾六组 Estimated population: 100

4 Xuejiawan Tenth K3+300 – 5 m left & 15 35 Scattered 2 to 3-storey Group K5+300 right residential buildings. 薛家湾十组 Estimated population: 200

5 Xuejiawan First K5+300 – 3 m left & 30 15 2 to 3-storey residential Group K5+600 right buildings. Estimated 薛家湾组 population: 180

6 Duanjiahe Town K5+600 – 3 m left & 130 20 Mostly 3-storey residential 段家河镇 K6+350 right buildings with shops on the ground floor. Estimated population: 600

7 Duanjiahe Town K5+800 3 m left Health 4-storey building with 20 Health Clinic clinic rooms, 13 beds and 16 段家河镇卫生院 medical staff.

8 Duanjiahe Junior K6+200 23 m right School 7-m elevation above road. High School 4-storey building with 20 段家河初级中学 classrooms, 63 teachers and 500 students. About 400 people live on site. 9 Mingde Primary K6+250 50 m left School 4-storey building with 23 School classrooms and 5 明德小学 dormitories, 43 teachers and 414 students. About 107 people live on site. 2

Distance No. of Households in of First Noise Functional Name of Remark on Buildings Building Area No. Sensitive Chainage Site Photo and Affected Population Row from Receptor Category Category near the Carriageway Road Red 4a 2 Line 10 Duanjiahe Town K6+350 0 m right School 2-storey building with 6 Kindergarten classrooms and 124 段家河镇幼儿园 students. No one lives on site.

11 Xuejiawan Second K6+850 – 5 m left & 10 18 Scattered 1 to 2-storey Group K8+000 right residential buildings. 薛家湾二组 Estimated population: 112

12 Lijiahe K10+600 – 3 m right 5 15 Scattered 1 to 2-storey 李家河 K10+900 residential buildings. Estimated population: 80

13 Gaobiliang K14+000 – 7 m right 5 25 Scattered 2-storey 高鼻梁 K14+360 residential buildings. Estimated population: 120

14 Yangjiawan K18+650 – 3 m left & 20 28 Scattered 2-storey 杨家湾 K19+100 right residential buildings. Estimated population: 150

15 Longquan Village K19+900 – 3 m left & 50 50 Scattered 2-storey 龙村 K21+000 right residential buildings some with shops on ground floor. Estimated population: 400

16 Longquan Village K20+900 3 m right Health 3-storey building with 15 Health Clinic clinic rooms, 5 beds and 3 龙村卫生院 medical staff

17 Zhoujiahe K21+900 – 3 m left 10 30 Scattered 2 to 3-storey 周家河 K22+350 residential buildings. Estimated population: 200

18 Yushudian K23+000 – 3 m left 10 10 Scattered 1 to 2-storey 榆树店 K23+150 residential buildings. Estimated population: 80

19 Zaoyang Village K23+700 – 3 m left & 10 10 Scattered 1 to 2-storey 早村 K24+000 right residential buildings. Estimated population: 80

3

Distance No. of Households in of First Noise Functional Name of Remark on Buildings Building Area No. Sensitive Chainage Site Photo and Affected Population Row from Receptor Category Category near the Carriageway Road Red 4a 2 Line 20 Aijia’ao K24+000 – 3 m left & 10 10 1 to 2-storey residential 艾家凹 K24+300 right buildings. Estimated population: 80

21 Zaoyang Town K25+500 – 3 m left 45 25 Mostly 3-storey residential 早镇 K25+700 buildings with shops on ground floor. Estimated population: 280

22 Dongwan Village K25+900 – 5 m left 13 7 Scattered 3-storey 东湾村 K26+500 residential buildings. Estimated population: 80

23 Liuwan Village K29+450 – 3 m left & 15 0 Scattered 3-storey 刘湾村 K30+000 right residential buildings. Estimated population: 60

24 Zaoshu Village K32+500 – 3 m left & 20 20 Scattered 3-storey 皂树村 K32+650 right residential buildings. Estimated population: 160

25 Dongzhan Village K32+800 – 30 m right 6 190 2 to 3-storey residential First Group K33+850 buildings with shops on 东站村组 the ground floor. Estimated population: 784

26 Chuangxin K33+000 15 m right School With 79 staff and 7000 Vocational students living on campus Training School per year during short term 创新职业培训学校 vocational training. A 2-storey canteen is located between the road and the dormitory. 27 Dongzhan Village K33+850 – 3 m left & 70 70 2 to 3-storey residential Second Group K34+750 right buildings with shops on 东站村二组 the ground floor. Estimated population: 560

28 Ankang City K34+500 50 m right Welfare 3-storey building with 37 Children’s Welfare institute staff and 90 children. Institute 安康儿童福利院

4

Distance No. of Households in of First Noise Functional Name of Remark on Buildings Building Area No. Sensitive Chainage Site Photo and Affected Population Row from Receptor Category Category near the Carriageway Road Red 4a 2 Line 29 Guanmiao Town K34+850 3 m right Health 4-storey building with 48 Central Health clinic rooms, 50 beds and 25 Clinic medical staff 庙镇中心卫生院

30 Jinxing Village K35+000 – 5 m left & 70 100 2 to 3-storey residential 金星村 K36+000 right buildings. Estimated population: 1000

31 Tuanjie Primary K35+750 60 m right School 3-storey building with 15 School classrooms, 34 teachers 团结小学 and 508 students. No one lives on site.

32 Shashichang K36+225 – 3 m left & 30 0 1 to 2-storey residential 沙石场 K36+425 right buildings. Estimated population: 150

33 Hualian Vocational K36+370 3 m right School 2 to 3-storey buildings to Training School provide vocational training 华联职业培训学校 to farmers with no one living on campus.

Source: EIR

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Table A2.2: Existing Air and Noise Sensitive Receptors along Trunk Road S102 Distance No. of Households in of First Noise Functional Name of Remark on Buildings Building Area No. Sensitive Chainage Site Photo and Affected Population Row from Receptor Category Category near the Carriageway Road Red 4a 2 Line 1 Xiaohebei K0+000 – 3 m left & 70 0 5 to 6-storey residential 小河北 K1+200 right buildings with shops on the ground floor. Estimated population: 300

2 Petrol Station Staff K0+050 – 3 m left 80 0 One 7-storey residential Dormitory K0+100 building. Estimated 加油站家属区 population: 350

3 Fengjingjiayuan K1+200 – 3 m left 300 0 Two 6-storey and two 枫景家苑 K1+600 15-storey residential buildings. Estimated population: 1200

4 Liuwan K1+850 – 4 m left & 120 280 Mostly 5 to 6-storey 刘湾 K2+550 right residential buildings with shops on the ground floor. Estimated population: 1600 5 Kanghuayuan K1+850 – 3 m left 400 2000 42 7-storey residential 康华园 K2+350 buildings with shops on the ground floor. Estimated population: 9000 6 Lijia’na K2+550 – 4 m right 35 75 Mostly 3 to 4-storey 李家那 K3+050 residential buildings. Estimated population: 400

7 Dangjiaba K3+200 – 3 m left & 80 220 Mostly 2 to 3-stoey 党家坝 K4+100 right residential buildings. Estimated population: 1050

8 Lido Estate K3+500 – 8 m right 112 224 Six 7-storey residential 都小区 K3+620 buildings. Estimated population: 1300

9 Wangpo K5+350 – 3 m left & 60 35 Mostly 2 to 3-storey 王坡 K5+700 right residential buildings with shops on the ground floor. Estimated population: 380

10 Liangjiazui K5+700 – 4 m left & 85 35 Mostly 2 to 3-storey 梁家嘴 K6+250 right residential buildings with shops on the ground floor. Estimated population: 450

6

Distance No. of Households in of First Noise Functional Name of Remark on Buildings Building Area No. Sensitive Chainage Site Photo and Affected Population Row from Receptor Category Category near the Carriageway Road Red 4a 2 Line 11 Caoping Village K6+350 – 5 m left 160 240 Mostly 2 to 3-storey 草坪村 K7+250 residential buildings with shops on the ground floor. Estimated population: 1700 12 Caoping Middle K6+650 – 165 m left School One 4-storey building with School K6+750 16 classrooms and one 草坪中学 3-story dormitory. 35 teachers and 350 students with about 1250 students live on site. Has a 3-m high boundary wall. 13 Qingniwan K7+650 – 5 m left 90 250 Mostly 2 to 3-storey 清泥湾 K9+600 residential buildings. Estimated population: 1000

14 Liu Village K10+650 – 5 m left 75 245 Mostly 2 to 3-storey 柳村 K11+700 residential buildings. Estimated population: 1300

15 Liu Village Primary K11+620 – 18 m left School 2-storey building with 6 School K11+650 classrooms, 180 students 柳村小学 and 10 teaches. Teachers live in dormitory on site.

16 Wujiazui K11+900 – 4 m left 16 4 Mostly 2 to 3-storey 吴家嘴 K12+100 residential buildings. Estimated population: 80

17 Zhoujiawan K12+850 – 4 m left 10 0 Mostly 2 to 3-storey 周家湾 K13+000 residential buildings. Estimated population: 40

18 Leijiawan K13+420 – 10 m right 4 6 1 to 2-storey residential 雷家湾 K13+510 buildings. Estimated population: 40

19 Zhongjiaping K13+720 – 6 m left 15 20 2 to 3-storey residential 钟家坪 K14+000 buildings. Estimated population: 140

20 Muzhutan K14+750 – 6 m left & 25 50 2 to 3-storey residential 母猪 K15+600 right buildings. Estimated population: 300

7

Distance No. of Households in of First Noise Functional Name of Remark on Buildings Building Area No. Sensitive Chainage Site Photo and Affected Population Row from Receptor Category Category near the Carriageway Road Red 4a 2 Line 21 Xiangjiaping K16+220 – 4 m left 15 10 2 to 3-storey residential 向家坪 K16+400 buildings. Estimated population: 100

22 Danjiawan K17+150 – 55 m right 0 12 2-storey residential 单家湾 K17+350 buildings. Estimated population: 50

23 Anjiaping K18+120 – 10 m right 3 8 2 to 3-storey residential 安家坪 K18+300 buildings. Estimated population: 40

24 Binhuxiaozhen K18+450 – 175 m left 0 24 One 4-storey and one 湖小镇 K18+550 7-storey residential buildings. Estimated population: 85

25 Ganxitang K19+250 – 3m left & 75 15 2 to 3-storey residential 甘溪淌 K19+520 right buildings with shops on the ground floor. Estimated population: 350

26 Luojiapo K19+850 – 4 m left 6 3 2 to 3-storey residential 罗家坡 K20+020 buildings. Estimated population: 40

27 Jijiaping K21+150 – 3 m left & 24 31 2 to 3-storey residential 季家坪 K21+870 right buildings. Estimated population: 200

28 Yuansigou K23+380 – 2 m left & 7 6 2 to 3-storey residential 院沟 K23+650 right buildings. Estimated population: 50

29 Dalingdaoban K24+350 – 50 m left 0 40 2-storey residential 大领道班 K24+570 buildings. Estimated population: 160

30 Cuijiawan K25+110 – 45 m left 0 6 1 to 2-storey residential 崔家湾 K25+780 buildings. Estimated population: 24

31 Wangjiaya K26+480 – 90 m right 0 35 1 to 2-storey residential 王家垭 K26+750 buildings. Estimated population: 130

8

Distance No. of Households in of First Noise Functional Name of Remark on Buildings Building Area No. Sensitive Chainage Site Photo and Affected Population Row from Receptor Category Category near the Carriageway Road Red 4a 2 Line 32 Yangtianwan K27+220 – 6 m left 3 7 Scattered 1 to 2-storey 秧田湾 K27+380 residential buildings. Estimated population: 40

33 Shagoutang K28+550 – 3 m left & 12 18 2-storey residential 沙沟塘 K29+000 right buildings. Estimated population: 120

34 Liangshuiquan K29+850 – 4 m left 15 20 2-storey residential 凉水 K30+380 buildings. Estimated population: 140

35 Shijiaping K31+950 – 3 m left & 23 7 2 to 3-storey residential 史家坪 K32+450 right buildings. Estimated population: 120

36 Hongyantan K34+050 – 2 m left & 7 28 2 to 3-storey residential 红岩 K34+400 right buildings. Estimated population: 140

37 Hongyantan K34+220 – 45 m right School One 2-storey building with Primary School K34+260 6 classrooms and one 红岩小学 2-storey dormitory and canteen. 7 teachers and 30 students with 18 students live in the dormitory. Has a 2-m high boundary wall. 38 Liaojiatan K35+150 – 5 m left & 35 45 2 to 3-storey residential 廖家 K35+900 right buildings. Estimated population: 300

39 Luduba K37+250 – 3 m left & 30 40 2 to 3-storey residential 碌碡坝 K37+650 right buildings. Estimated population: 280

40 Sunjiazhuang K38+050 – 3 m left & 20 10 2 to 3-storey residential 孙家庄 K38+250 right buildings. Estimated population: 120

41 Zhaowan K38+750 – 8 m left 70 250 Multi-storey residential 赵湾 K40+500 buildings. Estimated population: 1150

9

Distance No. of Households in of First Noise Functional Name of Remark on Buildings Building Area No. Sensitive Chainage Site Photo and Affected Population Row from Receptor Category Category near the Carriageway Road Red 4a 2 Line 42 Jinping K39+050 – 53 m right 0 7 2 to 3-storey residential 金坪 K39+200 buildings. Estimated population: 30

43 Zhaowan Primary K39+380 – 135 m right School Two 3-storey classroom School K39+480 and office buildings and 赵湾小学 one 4-storey dormitory. 55 teachers and 780 students, with 260 students live in the dormitory. Has a 2-m high boundary wall. 44 Zhaowan Junior K40+130 – 155 m right School 3-storey classroom High School K40+200 building and 2-storey 赵湾初级中学 dormitory. 62 teachers and 500 students, with 260 students live in the dormitory. Has 2-m high boundary wall. 45 Sanchawan K43+300 – 3 m left 8 0 1 to 2-storey residential 岔 K43+500 buildings. Estimated population: 30

46 Tangxing Village K44+900 – 2 m left & 22 10 2 to 3-storey residential 塘村 K45+600 right buildings. Estimated population: 120

47 Tangxing Primary K46+480 – 8 m left School 2-storey classroom School K46+550 building and 3-storey 塘小学 dormitory and office. 14 teachers and 150 students, with 130 students live in the dormitory. Has a 3-m high boundary wall 48 Dingjiapo K46+400 – 2 m left & 6 4 2 to 3-storey residential 家坡 K46+550 right buildings. Estimated population: 30

49 Duiwo Village K48+850 – 3 m left 5 0 1 to 2-storey residential 窝村 K48+950 buildings. Estimated population: 20

50 Luojiayan K51+480 – 5 m left & 7 4 1 to 2-storey residential 罗家岩 K51+550 right buildings. Estimated population: 45

10

Distance No. of Households in of First Noise Functional Name of Remark on Buildings Building Area No. Sensitive Chainage Site Photo and Affected Population Row from Receptor Category Category near the Carriageway Road Red 4a 2 Line 51 Dianwan K51+980 – 3 m right 8 0 1 to 2-storey residential 殿湾 K52+100 buildings. Estimated population: 30

52 Liangheguan K52+650 – 3 m left 30 60 1 to 2-storey residential 河 K52+950 buildings. Estimated population: 350

53 Liangheguan K53+650 – 3 m right School 1-storey classroom Primary School K53+700 building and 1-storey 河小学 dormitory. 2 teachers and 40 students, with 8 students live in the dormitory. Has a 2-m high boundary wall. 54 Zhujiawan K53+470 – 3 m left & 16 4 2-storey residential 朱家湾 K53+780 right buildings. Estimated population: 80

55 Yechanggou K54+250 – 165 m right 0 7 1 to 2-storey residential 叶长沟 K54+320 buildings. Estimated population: 30

56 Kangjiaping K54+520 – 3 m left 35 15 1 to 2-storey residential 康家坪 K54+850 buildings. Estimated population: 200

57 Youfangwan K55+680 – 3 m left & 20 15 2 to 3-storey residential 油房湾 K56+250 right buildings. Estimated population: 140

58 Xiaohejie K56+580 – 5 m left & 40 80 Multi-storey residential 小河街 K56+940 right buildings. Estimated population: 400

59 Xiaohe Town K56+800 – 45 m left 50 250 Multi-storey residential 小河镇 K57+500 buildings. Estimated population: 1000

60 Xiaohe Middle K57+080 – 55 m left School Three 3-storey buildings School K57+200 of classrooms, office and 小河中学 laboratory. One 4-storey dormitory. 51 teachers and 540 students, with 172 students live in the dormitory. 11

Distance No. of Households in of First Noise Functional Name of Remark on Buildings Building Area No. Sensitive Chainage Site Photo and Affected Population Row from Receptor Category Category near the Carriageway Road Red 4a 2 Line 61 Xiaojinping K58+090 – 3 m left & 25 5 2 to 3-storey residential 小金坪 K58+250 right buildings. Estimated population: 120

62 Dajinping K58+600 – 5 m right 40 35 2 to 3-storey residential 大金坪 K59+650 buildings. Estimated population: 300

63 Yujiawan K60+150 – 38 m left 0 15 2-storey residential 俞家湾 K60+250 buildings. Estimated population: 60

64 Dianzihe K61+200 – 3 m left & 13 2 1 to 2-storey residential 店子河 K61+350 right buildings. Estimated population: 60

65 Huodigou K61+650 – 4 m left & 7 4 2-storey residential 火地沟 K62+350 right buildings. Estimated population: 45

66 Goujiashan K62+480 – 3 m left & 25 15 2-storey residential 苟家山 K62+650 right buildings. Estimated population: 160

67 Pinghuai K64+050 – 8 m left & 18 30 2-storey residential 坪槐 K64+130 right buildings. Estimated population: 200

Source: EIR

12

Table A2.3: Existing Air and Noise Sensitive Receptors along Trunk Road S224 Distance No. of Households in of First Noise Functional Remark on Buildings Name of Sensitive Building Area No. Chainage Site Photo and Affected Population Receptor Row from Category Category near the Carriageway Road Red 4a 2 Line 1 Xiangnan County K0+100 – 18 m left & 1360 136 17-storey residential Estate K0+400 right buildings. Estimated 商南县小区 population: 6000

2 Erdaohe Village K0+500 – 19 m right 60 40 Mostly 2-storey residential 二道河村 K1+100 buildings. Estimated population: 400

3 Erdaohe Primary K0+800 – 159 m right School 2-storey building with 300 School K0+900 students and 19 teachers. 二道河小学 No one lives on campus.

4 Hetaoyuan Village K1+200 – 39 m left 0 20 Mostly 2-storey residential 核园村 K1+400 buildings. Estimated population: 80

5 Dongfan Estate K3+700 – 16 m left 174 888 10-storey residential 东畈小区 K3+800 buildings. Estimated population: 4250

6 Resettlement K4+000 – 15 m left 72 0 5-storey residential Estate K4+100 buildings with shops on 移民小区 the ground floor. Estimated population: 288

7 Zhangjiagang K4+700 – 64 m right 0 60 Mostly 2-storey residential Village Dongtou K4+800 buildings. Estimated Group population: 240 张家岗村东头组

8 Nanwan Village K5-100 – 46 m left 0 45 Mostly 2-storey residential 南湾村 K5+700 buildings. Estimated population: 180

9 Zhangjiagang K6+460 – 11 m left 5 0 2-storey residential Village Xiahe K6+520 buildings. Estimated Group population: 20 张家岗村河组

10 Zhangjiagang K7+360 – 10 m left 25 0 Mostly 2-storey residential Village First Group K7+510 buildings. Estimated 张家岗村组 population: 100

13

Distance No. of Households in of First Noise Functional Remark on Buildings Name of Sensitive Building Area No. Chainage Site Photo and Affected Population Receptor Row from Category Category near the Carriageway Road Red 4a 2 Line 11 Sanjiaochi Village K7+640 – 13 m left & 120 60 Mostly 2-story residential 角池村 K8+100 right buildings. Estimated population: 900

12 Sanjiaochi Primary K7+700 – 41 m left School 3-storey building with 112 School K7+800 students and 9 teachers. 角池小学 10 students live on campus 13 Ganlugou K8+530 – 6 m left 9 5 Scattered 2-storey 甘露沟 K10+180 residential buildings. Estimated population: 64

14 Huayuan Village K13+600 – 11 m left & 20 0 Scattered 1-storey 花园村 K13+800 right residential buildings. Estimated population: 80

15 Huayuan Village K14+570 – 6 m left 15 5 Scattered 1-storey Second Group K14+740 residential buildings. 花园村二组 Estimated population: 80

16 Qingshan Town K16+100 – 17 m right 30 20 2-storey residential Resettlement K17+950 buildings with shops on Estate the ground floor. 青山镇移民小区 Estimated population: 200

17 Shanghe Village K18+610 – 7 m left 8 2 2-storey residential Fifth Group K18+800 buildings. Estimated 河村五组 population: 40

18 Shanghe Village K19+390 – 10 m right 2 18 Mostly 1-storey residential Third Group K19+540 buildings. Estimated 河村组 population: 80

19 Shanghe Village K19+780 – 4 m right 30 10 Mostly 1-storey residential Second Group K19+940 buildings. Estimated 河村二组 population: 160

20 Shanghe Village K20+480 – 3 m right 8 22 Mostly 2-storey residential First Group K21+000 buildings. Estimated 河村组 population: 120

21 Matidian Fifth K22+500 – 5 m left 25 5 Mostly 1-storey residential Group K23+100 buildings. Estimated 马蹄店五组 population: 120

14

Distance No. of Households in of First Noise Functional Remark on Buildings Name of Sensitive Building Area No. Chainage Site Photo and Affected Population Receptor Row from Category Category near the Carriageway Road Red 4a 2 Line 22 Matidian Seventh K23+600 – 8 m right 5 10 Scattered 2-storey Group K24+620 residential buildings. 马蹄店七组 Estimated population: 60

23 Sanguanmiao K25+340 – 7 m left 27 13 1-storey residential Village Baishegou K25+560 buildings. Estimated Group population: 160 官庙村白蛇沟组

24 Sanguanmiao K27+310 – 5 m left 28 14 2-storey residential Village Jiangjiatai K28+100 buildings. Estimated Group population: 168 官庙村姜家台组

25 Sanguanmiao K28+280 – 7 m left 15 5 Scattered 1-storey Village K28+870 residential buildings. Sanguanmiao Estimated population: 80 Group 官庙村官庙组

26 Sanguanmiao K30+300 – 3 m right 12 0 1-storey residential Village Sanlibian K30+600 buildings. Estimated Group population: 48 官庙村里碥组

27 Dagudong Village K31+000 – 130 m left 0 55 1-storey residential 打鼓洞村 K31+760 buildings. Estimated population: 220

28 Dagudong Primary K31+100 – 151 m left School 1-storey building with 40 School K31+200 students and 5 teachers. 打鼓洞小学 20 students and 5 teachers live on campus. 29 Xiaolingguan K32+280 – 2 m right 20 0 1-storey residential Shangwucheng KK33+200 buildings. Estimated Group population: 80 小岭观屋程组

30 Xiaolingguan K35+400 – 12 m left 30 10 2-storey residential Yindonggou Group K35+900 buildings. Estimated 小岭观银洞沟组 population: 160

31 Hongyu Village K36+500 – 7 m right 12 8 2-storey residential First Group K36+900 buildings. Estimated 红鱼村组 population: 80

32 Hongyu Village K37+100 – 8 m left 30 10 2-storey residential Second Group K37+850 buildings. Estimated 红鱼村二组 population: 160

15

Distance No. of Households in of First Noise Functional Remark on Buildings Name of Sensitive Building Area No. Chainage Site Photo and Affected Population Receptor Row from Category Category near the Carriageway Road Red 4a 2 Line 33 Xianghe Town K37+200 – 24 m left School 3-storey building with 127 Center K37+260 students and 16 teachers. Kindergarten No one lives on campus. 湘河镇中心幼儿园

34 Xianghe Town K37+300 – 56 m right School 4-storey buildings with Junior High School K37+400 330 students and 56 湘河镇初级中学 teachers. 313 students live on campus.

35 Lianhua Estate K39+340 – 25 m left 60 0 3 to 6-storey residential 莲花小区 K39+400 buildings. Estimated population: 240

36 Xianghe Village K39+180 – 5 m left & 235 115 3-storey residential 湘河村 K39+900 right buildings with shops on the ground floor. Estimated population: 1400 37 Xianghe Central K39+510 – 6 m right Health 3-storey building with 25 Health Clinic K39+560 clinic beds and 14 medical staff 湘河中心卫生院 of which 13 live at the clinic.

38 Xianghejie Group K40+000 – 4 m right 8 0 1-storey residential 湘河街组 K40+300 buildings. Estimated population: 32

39 Xiabohe Group K44+000 – 56 m right 0 20 1-storey residential 河组 K44+530 buildings. Estimated population: 80

40 Shangbohe Group K47+300 – 10 m left 20 10 2-storey residential 河组 K49+800 buildings. Estimated population: 120

41 Sizhuangzi K50+080 – 11 m left 35 25 1-storey residential 庄子 K51+260 buildings. Estimated population: 240

42 Liushubian K52+320 – 41 m left 0 8 2-storey residential 柳树边 K52+410 buildings. Estimated population: 32

43 Weijiatai Town K53+900 – 9 m left & 40 0 2-storey residential 魏家台镇 K54+720 right buildings with shops on the ground floor. Estimated population: 160

16

Distance No. of Households in of First Noise Functional Remark on Buildings Name of Sensitive Building Area No. Chainage Site Photo and Affected Population Receptor Row from Category Category near the Carriageway Road Red 4a 2 Line 44 Gaomiaoling K59+780 – 44 m left 0 35 1-storey residential Village K61+500 buildings. Estimated 高庙岭村 population: 140

45 Songshuya Village K62+260 – 5 m left & 20 0 1-storey residential 松树垭村 K65+240 right buildings. Estimated population: 80

46 Dongyuepo Village K67+230 – 12 m right 70 30 2-storey residential 东岳坡村 K69+300 buildings. Estimated population: 400

47 Shiyanhe Village K70+890 – 6 m right 10 20 2-storey residential 石堰河村 K72+100 buildings. Estimated population: 120

48 Qianchuan Village K77+400 – 10 m left & 200 100 2-storey residential 前村 K79+100 right buildings with shops on the ground floor. Estimated population: 1200 49 Dayuan Group K79+730 – 11 m left 30 15 1-storey residential 大园组 K82+050 buildings. Estimated population: 180

50 Bujiagou Village K82+420 – 9 m left 40 20 Scattered 2-storey Nongtai Group K83+120 residential buildings. 家沟村弄台组 Estimated population: 240

51 Bujiagou Village K83+400 – 8 m left 8 12 Scattered2-storey Tudiling Group K84+300 residential buildings. 家沟村土地岭组 Estimated population: 80

52 Laofuwan Fourth K85+080 – 2 m right 10 20 Scattered 1-storey Group K86+600 residential buildings. 老付湾四组 Estimated population: 120

53 Laofuwan Fifth K87+000 – 39 m left 0 40 Scattered 2-storey Group K88+100 residential buildings. 老付湾五组 Estimated population: 160

54 Jiepaiya K90+400 – 14 m right 10 5 Scattered 2-storey 界牌垭 K91+520 residential buildings. Estimated population: 60

Source: EIR 17

Table A2.4: Existing Air and Noise Sensitive Receptors along the Rural Roads Distance No. of Households in of First Noise Functional Remark on Buildings Name of Sensitive Building Area and Affected No. Chainage Site Photo Receptor Row from Population near the Category Category Road Red Carriageway 4a 2 Line No. 1: Shangma – Xiaohe (Xunyang County X304) 码-小河 1 Xiaohe Village First K89+300 1 m left & --- 30 Estimated population: Group right 150 小河村组

2 Xiaohe Village K88+400 1 m left & --- 32 Estimated population: Second Group right 160 小河村二组

3 Bangzi Village First K87+200 1 m left --- 20 Estimated population: 90 Group 膀子村组

4 Bangzi Village K85+100 1 m right --- 40 Estimated population: Second Group 160 膀子村二组

5 Zhangjiagou K83+800 1 m left & --- 75 Estimated population: Village First Group right 300 张家沟村组

6 Longwangtan K83+200 1 m left & --- 100 Estimated population: Seventh Group right 400 龙王七组

7 Longwangtan K82+600 1 m left & --- 102 Estimated population: Eighth Group right 410 龙王八组

8 Longwangtan First K81+200 1 m left & --- 60 Estimated population: Group right 250 龙王组

9 Longwangtan K79+200 1 m left & --- 62 Estimated population: Second Group right 260 龙王二组

18

Distance No. of Households in of First Noise Functional Remark on Buildings Name of Sensitive Building Area and Affected No. Chainage Site Photo Receptor Row from Population near the Category Category Road Red Carriageway 4a 2 Line 10 Longwangtan K78+100 1 m right --- 40 Estimated population: Fourth Group 165 龙王四组

11 Kangjiaping K76+600 1 m left & --- 70 Estimated population: ‘Second Group right 285 康家坪二组

12 Kangjiaping K76+100 1 m left & --- 85 Estimated population: ‘Fourth Group right 340 康家坪四组

13 Xintianwan Second K75+500 1 m left & --- 32 Estimated population: Group right 125 新田湾二组

14 Xintianwan Third K75+200 1 m left & --- 30 Estimated population: Group right 120 新田湾组

15 Xintianwan Eighth K74+200 1 m left --- 27 Estimated population: Group 110 新田湾八组

16 Xintianwan Sixth K70+600 1m left & --- 6 Estimated population: 25 Group right 新田湾六组

17 Zhangliang First K70+100 1 m left & --- 10 Estimated population: 40 Group right 张良组

18 Zhangliang K67+100 1 m left --- 20 Estimated population: 80 Second Group 张良二组

19 Zhangliang Fourth K66+400 1 m left & --- 50 Estimated population: Group right 200 张良四组

19

Distance No. of Households in of First Noise Functional Remark on Buildings Name of Sensitive Building Area and Affected No. Chainage Site Photo Receptor Row from Population near the Category Category Road Red Carriageway 4a 2 Line 20 Tiechang First K63+300 1 m left & --- 22 Estimated population: 90 Group right 铁厂组

21 Tiechang Second K62+500 2 m left --- 30 Estimated population: Group 110 铁厂二组

22 Tiechang Third K60+500 1 m left --- 30 Estimated population: Group 115 铁厂组

23 Tiechang Fourth K60+300 1 m left & --- 40 Estimated population: Group right 160 铁厂四组

24 Tiechang Fifth K60+100 2 m left --- 50 Estimated population: Group 200 铁厂五组

25 Shangma Fifth K52+200 2 m left & --- 20 Estimated population: 90 Group right 码五组

26 Shangma Fourth K52+000 2 m left --- 32 Estimated population: Group 140 码四组

27 Xiaohe Town 3 m right --- School Approximately 50 Junior High School teachers and 600 小河镇初级中学 students

28 Xiaohe Town 1 m left --- School 43 teachers and 627 Center Primary students School 小河镇中心小学

No.2: Lijiaba – Baiguo (Xunyang County C347) 力家坝-白果 1 Wangjiaqiao Third K2+000 1.5 m right --- 30 Estimated population: Group 125 王家桥组

20

Distance No. of Households in of First Noise Functional Remark on Buildings Name of Sensitive Building Area and Affected No. Chainage Site Photo Receptor Row from Population near the Category Category Road Red Carriageway 4a 2 Line 2 Baiguoshu Fourth K4+200 – 7.5 m left --- 40 Estimated population: Group K5+300 160 白果树四组

3 Baiguoshu Fifth K7+200 2.5 m left --- 53 Estimated population: Group 180 白果树五组

No. 3: Beigou – Luojia (Xunyang County C559) 北沟-落驾 1 Beigou Village First K0+000 0 m left & --- 30 Estimated population: Group right 120 北沟村组

2 Beigou Village K1+100 0 m right --- 20 Estimated population: 75 Second Group 北沟村二组

3 Beigou Village K2+800 0 m right --- 18 Estimated population: 70 Fourth Group 北沟村四组

4 Beigou Village Fifth K3+200 5.5 m left --- 30 Estimated population: Group 110 北沟村五组

5 Luojiahe Village K8+500 7.5 m left --- 12 Estimated population: 50 Third Group 落驾河村组

6 Luojiahe Village K9+100 7.5 m left --- 33 Estimated population: Second Group 109 落驾河村二组

No. 4: Yangpo – Liangheguan (Xunyang County C852) 坡-河 1 Pinghuai Second K0+000 5.5 m left --- 30 Estimated population: Group 120 坪槐二组

21

Distance No. of Households in of First Noise Functional Remark on Buildings Name of Sensitive Building Area and Affected No. Chainage Site Photo Receptor Row from Population near the Category Category Road Red Carriageway 4a 2 Line 2 Pinghuai First K0+750 1.5 m left --- 20 Estimated population: 65 Group 坪槐组

3 Yangpo Thirteenth K1+750 1.5 m left --- 26 Estimated population: Group & right 104 坡十组

4 Yangpo Eighth K3+100 17.5 m left --- 4 Estimated population: 15 Group 坡八组

5 Yangpo Sixth K4+300 22.5 m left --- 6 Estimated population: 25 Group 坡六组

6 Qipan Eleventh K5+800 2.5 m right --- 8 Estimated population: 30 Group 棋盘十组

7 Zhangjiagou Third K6+700 12.5 m left --- 40 Estimated population: Group 150 张家沟组

8 Chaoling Primary K8+200 2.5 m left --- School One teacher and 20 School students 曹玲小学

9 Zhangjiagou Sixth K8+300 2.5 m left --- 20 Estimated population: 82 Group & right 张家沟六组

10 Zhangjiagou K9+200 12.5 m --- 22 Estimated population: 91 Eighth Group right 张家沟八组

11 Shuangni First K10+500 30 m left --- 20 Estimated population: 80 Group 双泥组

22

Distance No. of Households in of First Noise Functional Remark on Buildings Name of Sensitive Building Area and Affected No. Chainage Site Photo Receptor Row from Population near the Category Category Road Red Carriageway 4a 2 Line 12 Shuangni Second K10+700 50 m left --- 10 Estimated population: 36 Group 双泥二组

13 Shuangni Third K10+900 7.5 m left --- 21 Estimated population: 82 Group 双泥组

14 Shuangni Fourth K11+400 2.5 m left --- 23 Estimated population: 90 Group & right 双泥四组

15 Shuangni Fifth K11+600 2.5 m left --- 32 Estimated population: Group 125 双泥五组

16 Shuangni Primary K11+750 50 m right --- School 2 teachers and 40 School students 双泥小学

17 Shuangni Sixth K12+400 1.5 m left --- 24 Estimated population: 92 Group & right 双泥六组

18 Longwangtan K15+500 1.5 m right --- 8 Estimated population: 31 Eighth Group 龙王八组

No. 5: Yanba – Dongqiao (Hanbin District Y305) 晏坝-洞桥 1 Heihu Village First K0+000 0 m left & --- 10 Estimated population: 46 Group right 黑虎村组

2 Yanba Town K0+000 0 m left --- School 21 teachers and 370 Center Primary students School 晏坝镇中心小学

3 Yanba Town K0+300 50 m left --- School 3 teachers and 120 Center students Kindergarten 晏坝镇中心幼儿园

23

Distance No. of Households in of First Noise Functional Remark on Buildings Name of Sensitive Building Area and Affected No. Chainage Site Photo Receptor Row from Population near the Category Category Road Red Carriageway 4a 2 Line 4 Yanba Town Junior K0+400 1 m left --- School 26 teachers and 290 High School students 晏坝镇初级中学

5 Heihu Village K0+500 50 m left --- 11 Estimated population: 52 Fourth Group 黑虎村四组

6 Heihu Village Fifth K0+900 1 m right --- 6 Estimated population: 26 Group 黑虎村五组

7 Tangtai Village K1+300 2 m right --- 13 Estimated population: 56 First Group 唐台村组

8 Tangtai Village K1+800 2 m left --- 14 Estimated population: 58 Second Group 唐台村二组

9 Tangtai Village K2+500 1 m right --- 9 Estimated population: 31 Third Group 唐台村组

10 Guiping Village K3+200 1 m left & --- 8 Estimated population: 40 First Group right 坪村组

11 Guiping Village K3+400 50 m right --- 11 Estimated population: 45 Second Group 坪村二组

12 Guiping Village K3+800 1 m left & --- 8 Estimated population: 38 Sixth Group right 坪村六组

13 Guiping Village K4+800 2 m right --- 6 Estimated population: 28 Eighth Group 坪村八组

24

Distance No. of Households in of First Noise Functional Remark on Buildings Name of Sensitive Building Area and Affected No. Chainage Site Photo Receptor Row from Population near the Category Category Road Red Carriageway 4a 2 Line 14 Dongqiao First K6+600 2 m left --- 18 Estimated population: 72 Group 洞桥组

15 Dongqiao Third K8+600 2 m left --- 6 Estimated population: 22 Group 洞桥组

16 Dongqiao Fifth K11+500 3 m left --- 20 Estimated population: 78 Group 洞桥五组

No. 6: Zaobao – Yousheng Village (Hanbin District CH69) 早包-优胜村 1 Gaoju Village K0+000 1.5 m right --- 32 Estimated population: Sixteenth Group 164 高村十六组

2 Zaoyang Town K0+000 100 m --- School 31 teachers and 253 Qianjin Primary right students School 早镇前进小学

3 Gaoju Village K1+200 17.5 m --- 14 Estimated population: 86 Seventeenth right Group 高村十七组

4 Lianghe Village K4+500 7.5 m left --- 26 Estimated population: Fifth Group 104 河村五组

5 Lianghe Village K6+300 12.5 m --- 31 Estimated population: Sixth Group right 120 河村六组

No.7: Zaobao – Wujiashan (Hanbin District CH39) 早包-吴家山 1 Maliu Village K0+000 0 m right --- 35 Estimated population: Eleventh Group 140 麻柳村十组

25

Distance No. of Households in of First Noise Functional Remark on Buildings Name of Sensitive Building Area and Affected No. Chainage Site Photo Receptor Row from Population near the Category Category Road Red Carriageway 4a 2 Line 2 Maliu Village Sixth K1+100 0 m right --- 18 Estimated population: 80 Group 麻柳村六组

3 Maliu Village Ninth K2+800 5.5 m right --- 27 Estimated population: Group 110 麻柳村九组

4 Maliu Village K5+000 7.5 m left --- 18 Estimated population: 70 Thirteenth Group 麻柳村十组

No. 8: Xianghe - Shuigou (Shangnan County Y338) 湘河-水沟 1 Xianghe Street K0+000 1 m left & --- 25 Estimated population: Group right 100 湘河街组

2 Fanjiazhuang K1+400 2 m left & --- 28 Estimated population: 范家庄 right 110

3 Hongyu Village K4+100 2 m left --- 51 Estimated population: Eighth Group 210 红鱼村八组

4 Lianhuatai Village K5+500 0 m left & --- 32 Estimated population: Nantou Group right 180 莲花台村南头组

5 Lianhutai Village K5+700 0 m right --- 14 Estimated population: 60 Huangzhoukui Group 莲湖台村黄奎组

6 Lianhuatai Village K5+900 0 m left & --- 40 Estimated population: Miaogoujie Group right 160 莲花台村庙沟街组

7 Lianhuatai Primary K5+900 3 m left --- School 6 teachers and 70 School students 莲花台小学

26

Distance No. of Households in of First Noise Functional Remark on Buildings Name of Sensitive Building Area and Affected No. Chainage Site Photo Receptor Row from Population near the Category Category Road Red Carriageway 4a 2 Line 8 Lianhuatai Village K7+100 1 m left --- 43 Estimated population: Taizi Group 178 莲花台村台子组

9 Shuigou Village K11+800 0 m left --- 52 Estimated population: Second Group 240 水沟村二组

10 Shuigou Village K14+500 7 m left --- 20 Estimated population: First Group 100 水沟村组

11 Shuigou Village K18+600 1 m left --- 43 Estimated population: Shuigou Street 180 Group 水沟村水沟街组

12 Shuigou Village K20+200 0 m left --- 15 Estimated population: 80 Yuantangou Group 水沟村圆碳沟组

13 Shuigou Village K23+600 17 m left --- 20 Estimated population: Beiping Group 100 水沟村北坪组

14 Taibai Village First K25+100 32 m left --- 30 Estimated population: Group 120 太白村组

15 Taibai Village Third K26+500 0 m left & --- 30 Estimated population: Group right 120 太白村组

16 Taibai Village K27+500 1 m left --- 4 Estimated population: 20 Fourth Group 太白村四组

17 Taibai Village Fifth K27+800 1 m left & --- 10 Estimated population: 42 Group right 太白村五组

18 Balipo Third Group K29+500 1 m right --- 21 Estimated population: 82 八里坡组

27

Distance No. of Households in of First Noise Functional Remark on Buildings Name of Sensitive Building Area and Affected No. Chainage Site Photo Receptor Row from Population near the Category Category Road Red Carriageway 4a 2 Line 19 Balipo Fourth K30+800 3 m left --- 22 Estimated population: 87 Group 八里坡四组

20 Balipo Primary K30+800 2 m left --- School 6 teachers and 71 School students 八里坡小学

21 Balipo Fifth Group K31+100 1 m left & --- 20 Estimated population: 81 八里坡五组 right

22 Balipo Chaowa K32+100 1 m left & --- 21 Estimated population: 84 Group right 八里坡潮洼组

23 Qianjiaping K33+300 0 m left --- 23 Estimated population: 86 Huayansi Group 千家坪华组

24 Qianjiaping K35+600 1 m right --- 16 Estimated population: 65 Dengzhanwa Group 千家坪灯洼组

25 Qianjiaping K39+500 1 m left & --- 35 Estimated population: Xiahewa Group right 142 千家坪河洼组

26 Qianjiaping K39+600 1 m right --- School 7 teachers and 95 Primary School students 千家坪小学

27 Qianjiaping K40+100 0 m right --- 28 Estimated population: Qianjiaping Group 130 千家坪千家坪组

28 Qianjiaping Yinpo K40+700 9 m left --- 21 Estimated population: 78 Group 千家坪坡组

29 Lianhe Village First K41+400 2 m left --- 25 Estimated population: Group 102 联合村组

28

Distance No. of Households in of First Noise Functional Remark on Buildings Name of Sensitive Building Area and Affected No. Chainage Site Photo Receptor Row from Population near the Category Category Road Red Carriageway 4a 2 Line 30 Lianhe Village K43+100 5 m left --- 18 Estimated population: 80 Lijiaping Group 联合村李家坪组

31 Lianhe Village K43+300 3 m left --- 23 Estimated population: Guochang Group 100 联合村锅厂组

Source: PPTA

APPENDIX 3: PRELIMINARY DRAFT CLIMATE CHANGE REPORT

PROJECT CLIMATE RISK ASSESSMENT AND MANAGEMENT

I. Basic Project Information

Project Title: Shaanxi Mountain Road Safety Demonstration Project Project Budget: ADB financing $200 million, Total cost of Project $435.03 million Location: People’s Republic of China, Shaanxi Province Sector: Road Transport (non-urban) Theme: Road safety, economic growth and capacity development Brief Description: The expected impact of the project is that safe and efficient all-weather accessibility is provided in southeast Shaanxi Province. The expected outcome of the project is an improved transport network in southeast Shaanxi Province. There are four outputs: (i) Output 1: Trunk Road Rehabilitation. Three trunk roads (186.95 km) will be upgraded from Class III/IV to Class II/III. The roads are national highway G316 (Xunyang-Ankang) in Ankang City, provincial road S102 (Xunyang-Xiaohe) also in Ankang City, and S224 (Shangnan- Yunxian) county road in Shangluo City to the border with Hubei Province; (ii) Output 2: Rural Road Improvement. A total of eight unpaved rural roads (139.66 km) will be upgraded to sealed condition. These upgrades will include some minor realignment and widening. All roads are rural roads in poor counties and towns in Hanbin district and Xunyang County in Ankang City and Shangnan County in Shangluo City. Five of the eight roads directly connect the three trunk roads; (iii) Output 3: Comprehensive Road Safety Component. These recommendations value-add to standard road designs and aim to bring the vast majority of the project roads to a 3-star safety rating. These measures will be applied to the trunk roads (Output 1), the rural road improvements (Output 2) and a further 569.66 km of rural roads directly targeted under this output; and (iv) Output 4: Capacity Building. This output will have two parts. The first part will support project management and implementation to ensure that project outputs are delivered on time and within budget in accordance with ADB policies and procedures; develop and maintain the project performance monitoring system; assist with procurement and disbursement; oversee detailed design; and ensure that safeguard measures are implemented, monitored, and reported. The second part will build capacity in road safety management, road safety implementation, enforcement, use of road safety equipment, software and training, and public awareness building.

II. Summary of Climate Risk Screening and Assessment

A. Sensitivity of project component(s) to climate/weather conditions and sea level The project area is mountainous, characterized by steep slopes and erosion prone soil and is already at high risk from flood, landslide and debris flow during the rainy season. Flood events and triggering of landslide and debris flow are the major climate risk to the project and have historically resulted in damage of the road network, travel disruption and significant economic losses. The 2010 flood in Ankang damaged nine national and provincial roads, including one of the project roads, the S102 between Ankang and Xunyang. In addition, the debris flow caused by this flood event destroyed a large bridge along S224. All project components, especially S102 which runs parallel to the Xun River, are at risk from flood. Climate change impacts are likely to compound existing issues, particularly during the rainy season, project components and key climate sensitivities include: Project component: Sensitivity to climate/weather conditions and sea level: 1. Road embankment and pavement; 1. Winter and summer temperature extremes; 2. Slopes; 2. Increase in peak flood height, intensity and 3. Bridge heights; frequency of rainfall; 4. Drainage infrastructure; 3. Increased debris loading; and 2

5. Construction activities; 4. Increased risk of erosion and landslide. 6. Frequency of maintenance; and 7. Disaster response capacity of operator. B. Climate Risk Screening Initial climate risk screening was carried out using AWARE for Projects and climate change risk was identified as medium on the basis of a high risk of increased frequency and intensity of flood events (see Annex 1). In addition, an EARD study of climate change risk in Shaanxi determined that the province is at high risk of severe storms, floods and droughts in 2031-2060. Projected climate change effects will increase risk of flood, damage to road infrastructure and disruption of services. Design standards, in particular those for bridges, culverts and drainage may need to be altered, maintenance frequency increased and extreme weather response planning capacity of operation units strengthened. Risk topic: Description of the risk 1. Temperature increase, 1. Pavement, road embankments, slopes, culverts and bridges 2. Rainfall increase, may be at increased risk of failure; 3. Increased frequency and 2. Bridge, culvert and drainage design standards calculated intensity of rainfall, using historic climate data may not have sufficient capacity 4. Increased risk of flood and for projected increases in rainfall intensity and volume; debris loading, and 3. Infrastructure may experience increased debris loading, 5. Increased landslide risk. faster weathering and more regular damage from floodwater and debris requiring more regular routine and major maintenance; and 4. Severe weather events may result in increased incidence of disruption of transport services and there may be a need to improve emergency and disaster response planning and capacity. Climate Risk Classification Medium (Annex 1 includes AWARE climate risk screening report) C. Climate Risk Assessment A detailed climate risk and vulnerability assessment (CRVA) was funded ($35,000) through the ADB Climate Change Fund, see Annex 2 for Terms of Reference. The application was approved by RSES in July 2014. The detailed CRVA report is included in Annex 3. The CRVA makes use of the results of the 40 IPCC Fifth Assessment Report General Circulation Models (GCMs). Baseline spatial climatology for the project areas was derived from the WorldCLIM Database which has a spatial resolution of 1 kilometre and the baseline site-specific climate conditions from the data from three hydrometeorological observation stations in the project area at Zhen’an (upreaches of Xun River which runs parallel to S102), Xunyang (located at end point of the S102 road improvements) and Ankang (end point of the G316 road). A pattern scaling method was adopted to build a model ensemble to project climate change impacts for the project area. The median value from the model ensemble was used to represent the GCM projected future changes. Given the uncertainty of future greenhouse gas emission rates and climate sensitivity, the CRVA presents a range of projections based on different representative greenhouse gas concentration pathways. The median scenario of climate change projections is based on the Representative Concentration Pathway (RCP) 6.0 and mid-climate sensitivity. The low scenario projections are based on RCP4.5 with low-climate sensitivity and the high scenario projections are based on RCP8.5 with high-climate sensitivity (see Appendix 1 of the detailed report for a full explanation of RCPs). A general extreme value (GEV) function was applied to the daily observations to investigate extreme rainfall and future changes. A statistical approach was adopted to explore the relationship between annual maximum discharge of the Xun River at Xiangjiaping and rainfall prior to each discharge event at Zhen’an and Xunyang. Rainfall of different durations, including daily, 2 day, and up to 60 days were investigated. It was found that the 2 day rainfall of Zhen’an has the most significant statistical relationship with the Xun River flood at Xunyang. Thus the annual maximum 2 day rainfall of Zhen’an and its future projections was investigated in detail. Statistical relationships between river discharge and water level from the observation stations were used to determine flood volume and heights for the design of the bridges crossing and parallel to the rivers. No data was available to support a quantitative assessment of climate change impacts on landslide risk, but rainfall is the most important driving factor among the non-geological factors for landslide/debris flow hazards in the area. A review of the geological disasters associated with G316 in Ankang revealed that the landslide/debris flow could be 3

related to the intensity of 2 day rainfall and the total rainfall amount of 15 days. The following key projections were made: (i) The annual mean temperature is likely to increase 1.4ºC by 2050 and 2.7 ºC by 2100, applying the median scenario projections. Maximum and minimum temperatures increases are likely to be similar. Heat waves will likely become more intensified and frequent. The 1:100 extreme high temperature for Zhen’an is 46.7 ºC and for Ankang it is 48.5 ºC by 2100, when applying the high scenario projections. High temperatures combined with humidity can result in asphalt bleeding and increased incidence of slope failure increasing requirements for maintenance. (ii) The project area is characterized by strong spatial, seasonal and interannual variability in precipitation. The Ba mountain Range and the mountains surrounding the Xun River catchment have the highest annual rainfall, whereas the valleys where the urban centres of Xunyang and Ankang are located have the lowest annual rainfall. July is the wettest month of the year. Annual rainfall changes will be small, with an average increase across the area of 2.5 to 4.8% by 2050 and 4.5 to 9.5% by 2100, when applying the median scenario projections. (iii) Current 1:50 year annual maximum 2 day rainfall is 149.01mm for Zhen’an. The median scenario projection for such an event is 163.14mm by 2020 and 176.67mm by 2100, which represents a 9.5% and 18.6% increase in rain intensity. Change in rainfall intensity is far more significant than increase in annual rainfall. (iv) For S102, the actual design height of most large and medium bridges is sufficiently higher than the design flood height, which makes them resilient to future increased flood. The two exceptions are the Liangheguan No.1 Road Bridge which crosses the Xun River 41.2km upstream of the Xiangjiaping station, at the tail of the Zhaowan Reservoir and the Zhaowan No. 2 Bridge. For Liangheguang No. 1 Bridge, projections indicate that there will likely be a 0.41m increase in design flood height by 2050 and a 0.77m increase by 2100, when applying the median scenario projection. With a high scenario projection, design flood height may increase by 0.81m by 2050 and by 1.74m by 2100. No hydrological data is available for Zhaowan No.2 Bridge assessment. However, it was found that the height of 0.2m higher than the 1:100 design flood may not be adequate given projected increases in flood height as a result of future climate change. (v) For other project components, G316 is a valley line and is generally high in altitude, thus flood is not expected to be threat to the road systems. S224 is mostly built on existing road involving little new infrastructure. Out of the 4 new bridges, only Sanjiaochi Medium Bridge is relatively low in altitude hence requiring a design flood calculation. No hydrological data is available so the maximum flood from field survey was adopted for Sanjiaochi Bridge design. The actual design discharge of Sanjiaochi Bridge is 1437m3/s, 28% more than its 1:100 year design flood discharge of 1124 m3/s, which would be considered sufficient to accommodate future climate change impact. The rural roads are most vulnerable to flood damage due to it low grade hence low protection capacity. However, because rural road component only involves paving the existing road, the flood protection has to be considered in selecting runoff resistant paving materials and include adequate drainage systems in the rural road design. (vi) Data was not available for a quantitative assessment of landslide risk, but rainfall is the most important influencing factor. A review of geological disasters associated with G316 in Ankang revealed that landslide/debris flow risk could be related to the 2 day rainfall and the total rainfall amount of 15 days. The projected changes in extreme rainfall and increased flood height imply that standards adopted as the basis of design may not be adequate. The incidence of flood, landslide and debris flow risk will increase which could result in damage to road surfaces, subgrade and slopes, bridges and culverts, and cause road closure and disruption of services and requiring increased frequency of routine and major maintenance.

III. Climate Risk Management Response within the Project

The CRVA recommended that the detailed design takes account of projected climate change impacts and considers adoption of a number of adaptation options. The detailed design has now been completed so the extent to which the recommended adaptation options have been adopted has now been confirmed: 1. The basis of design for the bridges does not fully take account of future climate change impacts. This study has identified that Liangheguan No.1 Bridge and Zhaowan No.2 Bridge are likely to be

4

particularly vulnerable to increased flood risk. However, further increasing the bridge height is constrained by local conditions such as alignment required by existing road and Liangheguan Bridge is also under a train tunnel. With careful consideration, the Design Institute has agreed to raise pier height of Liangheguan Bridge by 0.3m, with a quite modest additional cost of RMB35,000. Careful design review of Zhaowan No. 2 bridge has been carried out and it was determined that there is no immediate need to reinforce piers at this stage but this will be considered during future major maintenance planning. 2. The rural road components may be subject to regular flooding from surface water due to low-grade and limited drainage capacity, but traffic volume is low. Paving materials that can resist inundation were recommended, this has not been adopted. 3. The design for stormwater drainage has specified new culverts that have higher than the standard drainage capacity which is adequate for a 2050 high scenario. The estimated additional cost is RMB600,000, which is approximately 10% increase from the current standard. 4. Additional protection of road slopes and embankments may be needed in high risk areas, such as steep slope areas with erosion prone soil. Dependent on the local geographic features, the protection options can vary from planting deep root trees or using engineered concrete blocks to stable the slope. Detailed design will need to ensure that slope protection design takes account of future increased risk of landslide and debris flow hazards. Investment in stabilizing landslide-prone slope area through engineering has been considered and taken into account in the project design, with a total estimated investment of RMB160 Million. A precautionary approach to design has been taken, road slopes at highest risk of landslide have been stabilized to increase climate change resilience at a cost of RMB15 Million, or 9% of the total investment. 5. There is a cascade of reservoirs built in the project area which has significantly enhance flood water storage capacity. Because quite a number of bridges are crossing rivers at the tails of reservoirs, the co-ordination with reservoir operators would be beneficial to help ensure flood and landslide risk is minimised and road infrastructure is protected during periods of heavy rainfall. In April 2013, the Shaanxi Provincial Government announced the ‘Shaanxi Weather Disaster Monitoring and Warning Regulation’, which could be seen as a good support for the development of coordinated disaster monitoring and emergency response system for the project area. 6. Watershed and ecosystem management are also key. Unrestricted agriculture cultivation in inappropriate area, significantly increases soil erosion and landslide risk. Planting of deep rooted vegetation in steep erosion prone areas and prohibiting cultivation on steep slopes should be encouraged. In July 2013, the Shaanxi Provincial Government announced the ‘Shaanxi water and soil reservation regulation’, which legalized and prioritized ecosystem protection and management of water catchments in the area to support the south-to-north water diversion project. Areas of cultivated land are being returned to forest or grassland and there is strict enforcement of agricultural development restrictions. Improved ecosystem protection and management should in the long-term contribute to a reduced landslide risk. These climate adaptation measures were discussed and agreed with the Shaanxi Government and the project designers. The incremental cost of adaptation measures is RMB15,635,000, approximately USD2,440,166, or 0.61% of the total project cost.

Annex 1: AWARE Climate Risk Screening Report

Aware for Projects

Section 1 of 10

Introduction This report summarises results from a climate risk screening exercise. The project information and location(s) 01 are detailed in Section 02 of this report. The screening is based on the AwareTM geographic data set, compiled from the latest scientific information on current climate and related hazards together with projected changes for the future where available. These data are combined with the project’s sensitivities to climate variables, returning information on the current and potential future risks that could influence its design and planning.

Project Information PROJECT NAME: Shaanxi Mountain Road Safety Demonstration Project

SUB PROJECT: Trunk and Rural Road Rehabilitation

REFERENCE: TA-8440

SECTOR: Rural transport infrastructure

SUB SECTOR: Road/ highway/ runway surface

DESCRIPTION: 1. Component 1: 193 km of trunk road rehabilitation (CNY 1,760 million) o National road G316 36.42 km from Xunyang to Ankang, Class III/IV to Class II o Provincial road S102 64.13 km from Xunyang to Xiaohe, Class III/IV to Class II o Provincial road S224 92.22 km from Shangnan to Yunxian, Class III/IV to Class II/III 2. 148 km of rural roads upgraded from earth to paved (CNY 150 million) 3. 660 km of rural roads to receive road safety investment. The road safety methodology and investments will also be applied to Components 1 and 2 (CNY 300 million) 4. Institutional strengthening of related agencies and bureaus, specifically Shaanxi Provincial Transport Department (SPTD), with a road safety focus.

Chosen Locations 02 1) Luhe, China 2) Ankang, China 3) Xunyang, China 4) Ganxi, China 5) Xiaohe, China 6) Shangnan, China 7) Yun, China Aware for Projects

Section 3 of 10

Project Risk Ratings 03 Below you will find the overall risk level for the project together with a radar chart presenting the level of risk associated with each individual risk topic analysed in AwareTM. Projects with a final “High risk” rating are always recommended for further more detailed climate risk analyses. The radar chart provides an overview of which individual risks are most significant. This should be used in conjunction with the final rating to determine whether the project as a whole, or its individual components, should be assessed in further detail. The red band (outer circle) suggests a higher level of risk in relation to a risk topic. The green band (inner circle) suggests a lower level of risk in relation to a risk topic. In the remaining sections of this report more detailed commentary is provided. Information is given on existing and possible future climate conditions and associated hazards. A number of questions are provided to help stimulate a conversation with project designers in order to determine how they would manage current and future climate change risks at the design stage. Links are provided to recent case studies, relevant data portals and other technical resources for further research.

Final project risk ratings Medium Risk

Breakdown of risk topic ratings A) Temperature increase B) Wild fire C) Permafrost D) Sea ice E) Precipitation increase F) Flood G) Snow loading H) Landslide I) Precipitation decrease J) Water availability K) Wind speed increase L) Onshore Category 1 storms M) Offshore Category 1 storms N) Wind speed decrease O) Sea level rise P) Solar radiation change Aware for Projects

Section 4 of 10

FLOOD

04 ACCLIMATISE COMMENTARY HIGH RISK Our data suggest that the project is located in a region which has experienced recurring major flood events in the recent past. A high exposure in Aware means that between 1985 and 2010 there have been more than one significant, large-scale flood event in the region. This is based on post-processed data from the Dartmouth Flood Observatory at the University of Colorado. The risk and type of flooding is dependent on local geographical factors including:

• Proximity to the coast and inland water courses • Local topography • Urban drainage infrastructure • Up to date information on flood risk worldwide is available online, for example UNEP / UNISDR's Global Risk Data Platform.

1. What the science says could happen in the future and what does this mean for the design of my project?

• Climate change is projected to influence the frequency and intensity of flood events. • Existing engineering designs may not take into consideration the impact of climate change on the risks from flooding. See "Critical thresholds" in the "Help & glossary" section for further details on how a changing climate can impact on critical thresholds and design standards. • If flooding is identified as a potential problem for the project, it is recommended that a more localised and in-depth assessment is carried out. This information can then be used to inform the project design process if necessary.

2. As a starting point you may wish to consider the following questions:

Q1 Would the expected performance and maintenance of the project be impaired by flooding? Q2 Is there a plan to integrate climate change into a flood risk assessment for the project? Q3 Will the project include continuity plans which make provision for continued successful operation in the event of floods?

3. What next?

• See the section "Further reading" in "Help and glossary" at the end of this report which lists a selection of resources that provide further information on a changing climate. • Click here or here for the latest news and information relating to floods and climate change.

I have acknowledged the risks highlighted in this section. Aware for Projects

Section 5 of 10

PRECIPITATION INCREASE Would an increase in precipitation require modifications to the design of the project in order to 05 successfully provide the expected services over its lifetime? MEDIUM RISK

Chosen Answer Yes - a little. The design of the project may have to be slightly modified to cope with the impact of increased precipitation.

ACCLIMATISE COMMENTARY

1. What does this mean for the design of my project?

• There is a potential for an increase in incidences where current design standards will not be sufficient. See "Critical thresholds" in the "Help and glossary" section for further details on how a changing climate can impact on critical thresholds and design standards.

• The design, operational and maintenance standards should be reviewed - take into consideration current impacts of heavy precipitation events as well as potential future changes.

2. How could current heavy precipitation affect the project even without future climate change?

• Seasonal runoff may lead to erosion and siltation of water courses, lakes and reservoirs. • Flooding and precipitation induced landslide events. • In colder regions, seasonal snow falls could lead to overloading structures and avalanche risk. • If our data suggests that there are existing hazards associated with heavy precipitation in the region, they will be highlighted elsewhere in the report. This may include existing flood and landslide risks.

3. What does the science say could happen by the 2050s?

• Climate model projections do not agree that seasonal precipitation will increase in the project location which could indicate a relatively high degree of uncertainty (see the section "Model agreement and uncertainty" in "Help and glossary" at the end of this report). On the other hand, this could also mean precipitation patterns are not expected to change or may even decrease (see elsewhere in the report for more details of projections related to precipitation decrease). • If you want to know more about projected changes in the project location across a range of GCMs and emissions scenarios please refer to The Nature Conservancy's Climate Wizard for detailed maps and Environment Canada’s Canadian Climate Change Scenarios Network for scatter plots of expected changes.

4. What next?

1. See the section "Further reading" in "Help and glossary" at the end of this report which lists a selection of resources that provide further information on a changing climate. 2. Click here or here for the latest news and information relating to water and climate change.

I have acknowledged the risks highlighted in this section. Aware for Projects

Section 6 of 10

TEMPERATURE INCREASE Would an increase in temperature require modifications to the design of the project in order to 06 successfully provide the expected services over its lifetime? LOW RISK

Chosen Answer No - modifications are not required. The design of the project would be unaffected by increases in temperature.

ACCLIMATISE COMMENTARY

1. What does this mean for the design of my project?

• Even though you have suggested that project designs would not be sensitive to rising temperatures, it is worth considering existing temperature related hazards in the region where the project is planned. • There is a potential for an increase in incidences where current design standards will not be sufficient. See "Critical thresholds" in the "Help and glossary" section for further details on how a changing climate can impact on critical thresholds and design standards.

• The design, operational and maintenance standards should be reviewed - take into consideration current impacts of high temperatures as well as potential future changes.

2. How could current high temperatures affect the project even without future climate change?

• Heatwaves put stress on buildings and other infrastructure, including roads and other transport links. In cities, the ‘urban heat island’ can increase the risk of heat related deaths. • Warm weather can raise surface water temperatures of reservoirs used for industrial cooling. In addition, this could impact local eco-systems, improving the growing conditions for algae and potentially harmful micro-organisms in water courses. • Heatwaves can have an impact on agricultural productivity and growing seasons. • High temperatures can have implications for energy security. Peak energy demand due to demand for cooling can exceed incremental increases on base load in addition to the risk of line outages and blackouts. • Human health can be affected by warmer periods. For example, urban air quality and disease transmission (e.g. malaria and dengue fever) can be impacted by higher air temperatures. • Wildfire risk is elevated during prolonged warm periods that dry fuels, promoting easier ignition and faster spread. • Permafrost and glacial melt regimes as impacted by warm periods. • If our data suggests that there are existing hazards associated with high temperatures in the region, they will be highlighted elsewhere in the report. This may include existing wildfire risks as well as areas potentially impacted by permafrost and glacial melt.

3. What does the science say could happen by the 2050s?

• Climate model projections do not agree that seasonal temperature will increase beyond 2 ˚C in the project location. • If you want to know more about projected changes in the project location across a range of GCMs and emissions scenarios please refer to The Nature Conservancy's Climate Wizard for detailed maps and Environment Canada’s Canadian Climate Change Scenarios Network for scatter plots of expected changes. 4. What next?

1. See the section "Further reading" in "Help and glossary" at the end of this report which lists a selection of resources that provide further information on a changing climate. 2. Click here or here for the latest news and information relating to temperature and climate change.

I have acknowledged the risks highlighted in this section. Aware for Projects

Section 7 of 10

PRECIPITATION DECREASE Would a decrease in precipitation require modifications to the design of the project in order to 07 successfully provide the expected services over its lifetime? LOW RISK

Chosen Answer No - modifications are not required. The design of the project would be unaffected by decreases in precipitation.

ACCLIMATISE COMMENTARY

1. What does this mean for the design of my project?

• Even though you have suggested that designs would not be affected by a decrease in precipitation, it is worth considering existing precipitation related hazards in the region where the project is planned.

2. How could current heavy precipitation affect the project even without future climate change?

• Decreased seasonal runoff may exacerbate pressures on water availability, accessibility and quality. • Variability of river runoff may be affected such that extremely low runoff events (i.e. drought) may occur much more frequently. • Pollutants from industry that would be adequately diluted could now could become more concentrated. • Increased risk of drought conditions could lead to accelerated land degradation, expanding desertification and more dust storms. • If our data suggests that there are existing hazards associated with decreased precipitation in the region, they will be highlighted elsewhere in the report. This may include water availability and wildfire.

3. What does the science say could happen by the 2050s?

• Climate model projections do not agree that seasonal precipitation will decrease in the project location which could indicate a relatively high degree of uncertainty (see the section "Model agreement and uncertainty" in "Help and glossary" at the end of this report). On the other hand, this could also mean precipitation patterns are not expected to change or may even increase (see elsewhere in the report for more details of projections related to precipitation increase). • If you want to know more about projected changes in the project location across a range of GCMs and emissions scenarios please refer to The Nature Conservancy's Climate Wizard for detailed maps and Environment Canada’s Canadian Climate Change Scenarios Network for scatter plots of expected changes.

4. What next?

1. See the section "Further reading" in "Help and glossary" at the end of this report which lists a selection of resources that provide further information on a changing climate. 2. Click here or here for the latest news and information relating to water and climate change.

I have acknowledged the risks highlighted in this section. Aware for Projects

Section 8 of 10

The sections above detail all High and Medium risks from AwareTM. Selected Low risks are also detailed. Local conditions, however, can be highly variable, so if you have any concerns related to 08 risks not detailed in this report, it is recommended that you investigate these further using more site-specific information or through discussions with the project designers. Aware for Projects

Section 9 of 10

HELP AND GLOSSARY: Model agreement and uncertainty: Although climate models are constantly being improved, they are not good enough to predict future climate conditions with a degree of confidence which would allow precise adaptation decisions to be made. Outputs from different climate models often differ, presenting a range of possible climate futures to consider, and ultimately a wide range of possible actions to take. In Aware, climate projections are described as having potentially higher degree of uncertainty when less than 14 out of 16 GCMs agree on the direction and / or a pre-defined magnitude of change. Even with improvements in climate modelling, uncertainties will remain. It is likely that not all the climate statistics of relevance to the design, planning and operations of a project's assets and infrastructure will be available from climate model outputs. The outputs are typically provided as long-term averages, e.g. changes in average monthly mean temperature or precipitation. However, decisions on asset integrity and safety may be based on short-term statistics or extreme values, such as the maximum expected 10 minute wind speed, or the 1-in-10 year rainfall event. In such cases, project designers or engineers should be working to identify climate-related thresholds for the project (see "Critical thresholds" section below) and evaluate whether existing climate trends are threatening to exceed them on an unacceptably frequent basis. Climate models can then be used to make sensible assumptions on potential changes to climate variables of relevance to the project or to obtain estimates of upper and lower bounds for the future which can be used to test the robustness of adaptation options. The key objective in the face of uncertainty is therefore to define and implement design changes (adaptation options) which both provide a benefit in the current climate as well as resilience to the range of potential changes in future climate.

Critical thresholds:

The relationship between a critical threshold and a climate change related success criterion for a project. [Source: Willows, R.I. and Connell, R.K. (Eds.) (2003). Climate adaptation: Risk, uncertainty and decision-making. UKCIP Technical Report, UKCIP, Oxford]. A key issue to consider when assessing and prioritising climate change risks is the critical thresholds or sensitivities for the operational, environmental and social performance of a project. Critical thresholds are the boundaries between ‘tolerable’ and ‘intolerable’ levels of risk. In the diagram above, it can be seen how acceptable breaches in a critical threshold in today’s climate may become more frequent and unacceptable in a future climate. Climate change scenarios can be used to see if these thresholds are more likely to be exceeded in the future. The simplest example is the height of a flood defence. When water heights are above this threshold, the site will flood. The flood defence height is the horizontal line labelled ‘critical threshold’. Looking at the climate trend (in this case it would be sea level or the height of a river) – shown by the blue jagged line – it can be seen that the blue line has a gradual upward trend because of climate change. This means that the critical threshold is crossed more often in the future – because sea levels are rising and winter river flows may be getting larger. So, to cope with this change, adaptation is needed – in this case, one adaptation measure is to increase the height this change, adaptation is needed – in this case, one adaptation measure is to increase the height of the flood defence.

Further reading: Report detailing changes in global climate: The Global Climate 2001 - 2010 (PDF)

IPCC report on climate-related disasters and opportunities for managing risks: Managing the Risks of Extreme Events and Disasters to Advance Climate Change Adaptation (SREX)

IPCC report on impacts, adaptation and vulnerability: Working Group II Report "Impacts, Adaptation and Vulnerability"

IFC report on climate-related risks material to financial institutions: Climate Risk and Financial Institutions. Challenges and Opportunities.

Aware data resolution: The proprietary Aware data set operates at a resolution of 0.5 x 0.5 decimal degrees (approximately 50 km x 50 km at the equator). These proprietary data represent millions of global data points, compiled from environmental data and the latest scientific information on current climate / weather related hazards together with potential changes in the future. Future risk outcomes are based on projections data from the near- to mid-term time horizons (2020s or 2050s, depending on the hazard and its data availability). Global climate model output, from the World Climate Research Programme's (WCRP's) Coupled Model Intercomparison Project phase 3 (CMIP3) multi-model dataset (Meehl et al., 2007), were downscaled to a 0.5 degree grid. [Meehl, G. A., C. Covey, T. Delworth, M. Latif, B. McAvaney, J. F. B. Mitchell, R. J. Stouffer, and K. E. Taylor: The WCRP CMIP3 multi-model dataset: A new era in climate change research, Bulletin of the American Meteorological Society, 88, 1383-1394, 2007]

Aware data application: In some instances Risk Topic ratings are only based on Aware data, including: • Flood • Permafrost • Landslides

Country level risk ratings: These are generated from the data points within a country’s borders. For single locations, site- specific data are used, and for multiple locations or countries, composite data across the portfolio of locations are used.

Glossary of terms used in report "Climate model projections agree": defined as more than 14 out of 16 GCMs agreeing on the magnitude (e.g. temperature warming of 2 °C) and / or direction of change (e.g. seasonal precipitation). "Climate model projections do not agree": defined as 14 or fewer out of 16 GCMs agreeing on the magnitude (e.g. temperature warming of 2 °C) and / or direction of change (e.g. seasonal precipitation). “Significant proportion”: defined as at least 25% of locations when multiple locations are selected. “Large proportion”: defined as at least 75% of locations when multiple locations are selected. “Large proportion”: defined as at least 75% of locations when multiple locations are selected. The above thresholds are used as a means of providing a project-wide risk score where a project may be spread across multiple locations. This requires more than one individual location to be at risk to begin signifying whether there is a risk at the overall project level. However, it is always recommended that individual locations are analysed separately for more accurate, site-specific risk screening. The overall risk score for the project (high, medium or low) is based on a count of high risk topic scores. A project scores overall high risk if greater than or equal to 3 individual risk topics score high. A project scores overall medium risk if between 1 and 2 individual risk topics score high. A project scores overall low risk if none of the individual risk topics score high. Aware for Projects

Section 10 of 10

DISCLAIMER: The Content in Aware and its output report is provided on an “as is” and an “as available” basis and without warranties of any kind either expressed or implied. To the fullest extent permissible pursuant to applicable law, Acclimatise disclaims all warranties, express or implied, including, but not limited to, implied warranties of merchantability and fitness for a particular purpose. Acclimatise does not warrant that the functions contained in the Content will be uninterrupted or error-free and does not accept any responsibility for any mistakes, errors or other deficiencies in the Content and disclaims all liability in respect of your use of the Content to the fullest extent possible in each and every applicable jurisdiction. Neither Acclimatise nor any third party content providers shall be liable for any errors, inaccuracies or delays in content, or for any actions taken in reliance thereon. The Content is for general information purposes only. The Content is provided by Acclimatise and from sources which Acclimatise believes to be reliable and whilst every endeavour is made to keep the information up- to-date, complete and correct, no representations or warranties are made of any kind, express or implied, about the completeness, accuracy, reliability, suitability or availability with respect to the Content. Any reliance you place on such information is therefore strictly at your own risk. The Content does not provide any form of advice (investment, tax, legal) amounting to investment advice, or make any recommendations regarding particular financial instruments, investments or products. Acclimatise will not be liable for any loss or damage caused by a reader's reliance on information obtained in our Content. Users are solely responsible for their own investment decisions. Acclimatise’s opinions and analyses are based on sources believed to be reliable and are written in good faith, but no representation or warranty, expressed or implied, is made as to their accuracy or completeness. Acclimatise is not authorised for the conduct of investment business (as defined in the UK's Financial Services and Markets Act 2000) and the Content provided in our services and products are not intended as, and shall not constitute, investment advice.

Report generated by: Genevieve O'Farrell, Asian Development Bank | Date created: 03.07.2014 09:06 | Aware Build Version: 110913rg

Annex 2: Terms of Reference for Climate Change Specialist

Climate Change Specialist (International consultant, 2.0 person-months). The Climate Change Specialist will assess climate change risks and vulnerability of the project components and options for managing identified risks.

Scope of Work. The following tasks will be carried out: (i) In consultation with the key members of the PPTA team and relevant project documentation, identify project components that are sensitive to climate/weather conditions; (ii) In consultation with the ADB/PPTA/design team develop a detailed work plan for carrying out a climate risk and vulnerability assessment, including: key study sites/areas, and future timeframe (e.g. 20, 30 or 50 years); climatic/hydrological variables/parameters to be analysed; inventory of data required for the study, and data acquisition plan; methods and techniques for climate scenario analyses; methods for impact assessments; methods for identifying risk management/adaptation options; and a plan for interacting with the PPTA team (including objectives, timeline, relevant team members); and key outputs with milestones; (iii) The timing of the study should take into account the overall timeline of the detailed design (scheduled for completion 30 September 2014) when results from the study will need to be communicated and considered by the design team; (iv) Carry out the climate risk and vulnerability assessment, including the development of climate scenarios, assessment of potential risks of climate sensitive project components to projected climate change, and the identification of possible adaptation interventions during design and operation to manage such risks; (v) Discuss possible adaptation interventions with ADB project leader prior to wider discussion. Conduct a workshop on the findings of the study with key project partners and stakeholders to agree the adaptation options to be taken forward; and (vi) Prepare a detailed technical report on the study, including the overall methodology, data used, assumptions made, key findings and their implications for the project preparation,1 caveats/limitations of the study and their implication for the project preparation.

Deliverables. The climate change specialist is expected to provide the following deliverables: (i) A technical note outlining the sensitivities of project components to climate conditions; (ii) A technical report on the study, including: an executive summary, key findings and their implications for the design, construction and maintenance of project components; methodological framework; data, scenarios and assumptions underlying the study; key findings including projected climate change in the project sites/areas, potential impacts of projected climate change on project components; possible adaptation interventions to address impacts/risks to ensure climate resilient design, construction, operation and maintenance of project components; and wider implications of climate change and associated impacts for road network development, caveats and limitations of the study; and (iii) A set of presentational material, with detailed notes, to be derived from the Technical Report described in (iii) above.

Qualifications and experience. The Climate Change Specialist will be a climate scientist with at least 10 years of experiences working in the fields of climate change scenario analysis, climate change impact, vulnerability and adaptation in Asia. He/she will also need to a track record of advising on adaptation options and communicating climate science with multidisciplinary teams and a wide range of audiences.

1 Including plans for the design, construction and maintenance of project components.

Annex 3: Climate Change Impact Assessment Report

Technical Assistance Consultant’s Report

Contract No. 116293-SC104319

Shaanxi Mountain Road Safety Demonstration Project

Climate Change Impact Assessment on Shaanxi Mountain Road Safety Demonstration Projects in People’s Republic of China

December 2014

Prepared by Wei Ye

This consultant’s report does not necessarily reflect the views of ADB or the Government concerned, and ADB and the government cannot be held liable for its contents Asian Development Bank

Contents

List of Tables and Figures ii

Abbreviations iii

Executive Summary iv

1. Introduction 1

1.1 Background of the project area 1 1.2 Purpose and scope of this study 2 1.3 Potential risks of climate change to the proposed project 3 1.3.1 Climate risk to S102 4 1.3.2 Climate risk to other project components 6

2. Methodology 7

2.1 Overall approach 7 2.2 Spatial climate change scenario 8 2.3 Site specific climate change scenario 8

3. Climate observation and change projections 9

3.1 Observational temperature data and their future projections 9 3.2 Observational rainfall data and their future projections 9 3.3 Climate change impact on the S102 11 3.4 Climate change impact on other project components 16

4. The adaptation options 17

4.1 “Hard” options: adjustments to design of relevant project component(s) 17 4.2 “Soft” measures: ecological solutions, institutional and technical capacity building to enhance risk awareness and ability for ongoing risk assessment & management, knowledge management to improve risk assessment as new information emerges 18

5. Monitoring and Evaluation, Reporting 20

6. Conclusion 21

7. Reference 23

8. Appendix 1: Climate change scenario generation 25

9. Appendix 2: IPCC AR5 GCMs used in this scenario generation and their horizontal and vertical resolutions. 27

10. Appendix 3: Temperature related observed climate variables and their future projections 29

11. Appendix 4: Precipitation related observed climate variables and their future projections 31 12. Discussion of the relations of rainfall - flood, rainfall - landslide for SMRSDP 35

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List of Tables and Figures

Tables

1. Three climate projections and their input conditions represent the uncertainty ranges 7 2. Location information of the three stations 7 3. General precipitation information of the three stations 8 4. The GEV results of annual maximum 2 day rainfall and its future projections 10 5. S102 large bridges current design flood, projected design flood of 2050 and 2100 and actual design height (masl) 14 6. The design flood (DFL) and actual design height (ADH) for other bridges (masl) 14 7. Implementation Arrangements for adaptation measures 19

Figures

1. Project and components location. Red dots show the location of collected meteorological data, Blue lines are the road components and red dots are the location of the meteorological stations. 2 2. The Xun River Catchment 5 3. The annual maximum river discharge of the Xun River at the Xiangjiaping hydrometric station 12 4. The performance of the regression model simulating the annual maximum discharge of the Xun River based on the rainfall from Zhen’an 13 5. The relationship between discharge and the water level at Zhaowan of the Xun River 14

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Abbreviations

ADB Asian Development Bank

AR5 The Fifth Assessment Report of Intergovernmental Panel on Climate Change

DI The Design Institutes

GCM General Circulation Model

GEV General Extreme Value function

GHG Greenhouse Gases

GIS/RS Geographic Information System and Remote Sensing

IPCC Intergovernmental Panel on Climate Change

PMO Project Management Office of SMRSDP

PPTA Project Preparatory Technical Assistance of SMRSDP

PRC The People’s Republic of China

RCP Representative Concentration Pathways of future GHG

SMRSDP Shaanxi Mountain Road Safety Demonstration Projects

V&A Vulnerability and Adaptation of climate change impact masl meters above sea level

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Executive Summary

Climate change may pose various threats to transport system. The objective of this study is to assess the vulnerability of the Shaanxi Mountain Road Safety Demonstration Projects (SMRSDP) in People’s Republic of China to the impact of projected climate change and to identify adaptive measures to reduce the vulnerability. The SMRSDP is located between two major mountain ranges, the Qinling and Ba Ranges, in the southern Shannxi Province of the People’s Republic of China (PRC). It is one of the least developed areas in PRC, and the inadequate and/or poorly maintained transport system has been a serious limiting factor to the local sustainable economic development.

The Qin-Be Range is one of the most important geological fold belts of China. The Qinling Range blocks the Asia monsoon going to the north and divide China’s climate into wet south and dry north. Located in the centre of the Qin-Be Range and surrounded by mountains, the SMRSDP area is characterised by complex meteorological and hydrological conditions. The heavy rainfall and it triggered flood have been a major natural disaster to the transport system and has caused substantial damages in history. Climate change will likely alter the current climate and has the potential to exacerbate the risks. Hence it is important to take the future climate change conditions into the SMRSDP design and construction process, in order to achieve a sustainable transport development.

Based on the IPCC AR5 GCM outputs and historical observation from the SMRSDP area, quantitative climate projections and their associated uncertainty for the key climate variables that affect the SMRSDP were generated. From such quantitative and other relevant information, it is then possible to identify adaptation options that could enhance the sustainability (e.g. lifetime) of the project to climate change impact by “climate proofing” the risk sensitive components at the design and construction stages.

Climate scenario analysis has revealed that, by 2050 and towards the end of this century, climate change may have small impact on the total rainfall amount. In contrast, climate change will manifest largely as changes in the frequency and consequences of extreme rainfall, hence has significant impact on floods and landslide or debris flow disasters. If these adverse impact consequences are not taken into consideration in design, the delivery of the project objective may be seriously impeded.

This study demonstrated the assessment of climate change impact on the most vulnerable component of the SMRSDP. Several adaptation options are discussed based on the impact assessment and other relevant information. A more comprehensive V&A assessment may be accomplished with more relevant observation data, when/if this become available.

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1. Introduction

A transportation project is normally designed for providing long term service. Climate poses various threats to a transportation system. The long term climatic averages and extreme weather events are important factors which need to be considered in the planning, design, operations, maintenance and management of transportation systems. Climate change will likely alter both long term climatic averages and the frequency and severity of extreme weather events. For sustainable transport development, it is thus important to make climate adaptation adjustments to engineering specifications, alignments, and master planning; incorporating associated environmental measures; and adjusting maintenance and contract scheduling (ADB 2010). An effective climate-proofing of a transportation system requires project specific climate change impact vulnerability assessment and identifying, evaluating and implementing feasible adaptation measures to strengthen project resilience to future climate change impact. The objective of this study is to conduct climate change impact vulnerability and adaptation (V&A) assessment for the Shannxi Mountain Road Safety Development Project (SMRSDP) in China.

The primary objectives of the SMRSDP are: to upgrade network capacity for an expanding transport volume in the area; and to provide all weather access to the village and county roads that connect to the trunk roads, and improve the road safety condition.

1.1 Background of the project area

The SMRSDP is located in Ankang and Shangluo, two prefecture-level cities in southern Shaanxi Province, between latitude of 31°42′N to 34°25′N and longitude of 108°01′E to 111°2′E. The total area of the two cities is 42683Km2, which accounts for 20% of Shaanxi’s area, and the total population about 5.5 million.

The project area has a sub-tropic monsoon climate, with mild temperature, distinct seasons and abundant precipitation. The annual temperature of Ankang is between 15°C to 17°C with the extreme observed low temperature being -16.4°C and extreme high temperature 42°C. Average annual precipitation is 1050mm. The average annual temperature of Shangluo is between 7.8°C to 13.9°C with the extreme low temperature being -21.6°C and extreme high temperature 40.8°C. Geographically, the SMRSDP area belongs to the mountainous territory of southern Shaanxi, inside the Qinling-Ba Range, which is one of the most important geological fold belts of China. The high altitude of the Qinling Range blocks the warm Asian monsoon going north, dividing China’s climate into warm humid south and cold dry north. Situated in an area with such unique geographic and meteorological conditions, the climate of SMRSDP is very complex. The SMRSDP is among the areas of China that has the highest geological and hydrological risk. Flood has been a consistent threat to the local community, and the water damage to the transport system from heavy rainfall and its aftermath has resulted in tremendous economic loss. The 2010 flood in Ankang damaged 9 national and provincial roads, including the S102 between Ankang and Xunyang, and caused serious transport disruption.

The SMRDP is aiming to improve the transport network in the mountainous area in order to provide safe and efficient all-weather accessibility in the southeast Shaanxi. The infrastructure components of SMRSDP comprise:

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Qinling Range

Shangluo Zhen’an

S102

S224 Xunyang

Ankang

G316

Shaan’nan

Ba Mt

Figure 1: Project and components location. Red dots show the location of collected meteorological data, Blue lines are the road components and red dots are the location of the meteorological stations.

 National road G316 36.42 km from Xunyang to Ankang, upgrade from Class III/IV to Class II;  Provincial road S102 64.13 km from Xunyang to Xiaohe, upgrade from Class III/IV to Class II;  Provincial road S224 92.22 km from Shangnan to Yunxian, upgrade from Class III/IV to Class II/III  136.4 km of rural roads upgraded from earth to paved Figure 1 shows project location in China and the project component locations in the project area.

1.2 Purpose and scope of this study

This study aims to provide an assessment of potential risks posed by climate change to the design of the climate sensitive components of the SMRSDP, and identify options to manage such risks by proposing and analysing a range of adaptive measures. Two future timeslices, i.e. 2050 and 2100 were chosen to demonstrate the V&A assessment processes.

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Climate risk assessment will consider changes in temperature and rainfall based on outputs from the latest climate modelling experiments. Consideration of climate risk management options will include both “hard” measures entailing possible adjustments in design specifications, as well as “soft” options of ecological, governance or an institutional learning approach.

The overall objective of the climate change V&A assessment is to minimize road damage and disruptions in road use due to climate change impact. A scoping exercise was carried out to identify the vulnerability of the project to climate change impact. For the SMRSDP, the temperature and rainfall sensitive project components include road subgrade, pavement, bridge structures, slope protection and drainage system. The current design criteria are based on historical data and do not take account of changes in key hydro-met parameters under a changing climate.

Because the focus of this study is on the project vulnerability to changes in temperature and rainfall and its extremes; the required information to support this climate change impact assessment is historical observed temperature and rainfall at the appropriate spatial and temporal scale, in addition to the future climate change projections based on the latest scientific findings. In terms of the hydrological data, the DI has relied on the observed flood observation in the project design, which is also the only hydrological data available for this study. Meteorological observation data was not required by the project design except general local climate conditions, so no data was collected during the design phase. Thus effort was made to find the relevant meteorological observation data and eventually daily rainfall and temperature data was collected for 3 stations in the area. Two of the stations are located in the Xun River catchment.

As mentioned previously, S102 will be the most vulnerable component of the SMRSDP to climate hazards. Hence the study will be concentrated on the assessment of climate change impact on S102. Section 2 below will describe the methodology underlying the climate risk assessments. Details on the baseline and scenario datasets used for climate impacts assessment are provided in Section 3 as well as the impacts of climate change on the various components of the proposed project and implications for the design, construction and operation of the project. Possible options to manage climate risks within the context of the project, as well as a preliminary assessment of such risks, are discussed in Section 4. The report concludes with a set of recommendations on the design, construction and operation of the proposed project.

1.3 Potential risks of climate change to the project

Transport is vulnerable to climate variability and change. Although most climate factors can influence transportation system; for the inland region, the major road damages are caused by temperature and precipitation and the influence of these two factors on a transportation system is to a large degree manifested by their extremes and aftermath. In terms of temperature, extreme heat places stress on road infrastructure, softens the asphalt causing traffic rutting and potentially resulting in pavement cracking. Extreme heat can also stress the steel in bridges through thermal expansion and movement of bridge joints. Extremely low temperature can cause fatigue and thermal cracking of the pavement. A wide range of temperatures (the difference between the high and low temperature) will make asphalt binders difficult to span accordingly. Flood triggered by heavy rainfall can

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cause severe water damage to roads, including collapse of the slope bed; damage to the subgrade, surface, and infrastructure (such as bridges and culverts); damage from landslide and debris flow etc. In the SMRSDP area, the water damage to the road systems almost happens every year. The disruption of the road use as well as the repair and maintenance has become a huge economic burden to the local economy.

For a sustainable transport system development, careful consideration of the local climate condition is required in the project design in order to prevent disastrous consequence from climate hazard. Through consultation with the staff of PMO and DI, it was revealed that the water damage, i.e., damage due to strong storm and it triggering flood and landslide are the major climate risk to the road infrastructure in southern Shaanxi. The flood protection design criteria for large and medium bridges are Class II level or above 1:100 year flood levels; and for small bridges and culverts it is 1:50 year flood levels. It is likely that the flood intensity will not be status-quo in the future due to the climate change impact on rainfall and it extremes. How the flood intensity will change may have impacts for the design of the transportation system and affect its serviceability and lifespan. Of the four project components, limited engineering adaptation measures could be adopted for rural roads and S224, because the construction is mostly build on the existing road. G316 has relative low flood risk exposure because it is relative high above the ground as a valley line. S102 is along the Xun River and involves considerable new infrastructure development. It will be more vulnerable to future climate change impact due to its closeness to a major river and low altitude. Hence this study is focused on the climate change impact on the sensitive project components, i.e., the assessment of S102, and the consequent implication to the design process.

1.3.1 Climate risk to S102

The S102 component is along the downstream of the Xun River, from Xunyang to Xiaohe. The flood of the Xun River is a major climate risk to this component. The Xun River is located between latitude of 32°48’N to 33°50’N and longitude of 108°25’E to 109°25’E, with a total catchment area of 6310 km2. Its total length is 218 km and the altitude varies from 213.4 masl at the river outlet to 2679 masl at the northern catchment boundary. The upper- reach area is characterised by high mountains and deep valleys and is almost unsettled. The forestry coverage in this area is above 80%, functioning as good water storage for adjusting the runoff during storm. The middle-reach belongs to the Zhen’an County, which is characterised by low and middle hills with a small population. The vegetation cover is still forest in general, with limited cultivated land. The lower reach is largely inside the Xunyang City with high population density, where the land is generally low-lying with small hills and has mostly cultivated for agriculture.

The Xun River is a typical mountainous river. Its average annual river discharge is 2.057 billion m3, but varies dramatically between years due to the complex geo-topography and meteorological conditions of the catchment. The flood of the Xun River is caused by the storm during the rainy season, so the flood types are completely determined by the storm characteristics. There are two types of storm in the Xun River: thunder storm and long period rain. Thunder storm occurs in summer, which has strong intensity and short duration and usually concentrated in a small area. The long period rain usually happens in autumn, with heavy rainfall for a relative long duration and large area. Historically the largest observed

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flood of the Xun River of October 2005 is caused by the long period rain, while the disastrous July 1983 flood of Ankang is caused by the thunder storm.

S102 is constructed along the Xun River, which upgrades the 60.25 km section between Xunyang and Xiaohe from Class III/IV to Class II road. It involves new development of 6 large bridges, 9 medium size bridges and 2 small bridges. It also has 236 flood drain culverts, of which 175 will be new. The biggest climate risk to the S102 is water damage to the road infrastructure. In the following sections, the climate change impact on flood risk of Xun River was analysed in detail. Figure 2 shows the catchment of the Xun River and the location of the S102 project.

Project component The Xun River S102 start and end points

Project component G316 start and end points Ankang

Figure 2: The Xun River catchment. The red line shows the Xun River (Modified

from DI’s design document)

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1.3.2 Climate risk to other project components

The flood damage to other project components is also prominent, particularly for S224 and the rural road components. The S224 crosses many mountains and deep valleys. In addition, a large portion of the road has to go along river and streams, thus the road was under consistent threat of flood damage during summer. Flood has caused severe damage to the subgrade and surface of the road, particularly the July 2010 flood. During the July 2010 flood, the Xianghe Bridge on the S224 was washed away. The bridge was built in 2002 and provided important linkage for the six villages and towns on both sides of the Danjiang River. A temporary ferry boat had to be used as emergency measure during the disruption of the road.

Other flood damage included landslide, debris flow and subgrade erosion etc. particularly for roads under in the river mouth or cross valley that have steep slope. It was estimated that every year the cost of water damage to the road system of Southern Shaanxi was as high as 1000s Million RMB (Ma et al., 2009). The rural road has low building grade hence low flood protection standard and normally has insufficient drainage system, thus is more vulnerable to water damage. In contrast, the G316 component has high altitude thus has relative low flood risk. In the following sections, qualitative climate change impact on these project components was conducted.

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2. Methodology A risk is the product of the interactions between hazards, exposure and vulnerability. In this study; hazard is used to denote the threat from climate factors of temperature and rainfall, their extremes and aftermath. Exposure refers to the presence of infrastructure and other assets related to a transportation system that could be adversely affected when hazards occur and which, thereby, are subject to potential future harm, loss, or damage. Vulnerability is defined generally as the susceptibility to be adversely affected by climate hazards. Vulnerability can be either physical or socio-economic. The vulnerability of the SMRSDP project is mainly due to the geo-physically flood prone of some of the road section. The vulnerability also derives from the serious ecosystem degradation due to human activities in the area. Without adequate flood protection measures, such vulnerability lead to high risk of the road networks across the area to water damage. This section describes the methodology of identifying climate variables that may become hazardous to the project and their future change projections. The climate change projection focuses on the relative changes between historical and future periods by applying an ensemble based pattern scaling approach.

2.1 Overall approach

The first step in climate change impact assessment is the construction of the future climate change scenarios. The construction of climate change scenarios involves the development of the baseline climate condition and the future climate change projections. Depending on the assessment requirements, spatial and/or site specific climate change scenarios are needed for impact studies. In this study, the baseline spatial climatology for the project areas was obtained from the WorldCLIM database (http://www.worldclim.org). The station based observed data collected was used for developing the site specific baseline climate condition.

The future climate change is subject to considerable uncertainty. One important aspect in climate change V&A assessment is to comprehend such an uncertainty range in decision making and policy planning processes. Within this context, any climate change scenario constructed on single Greenhouse Gas (GHG) emission rate and/or individual GCM output is generally considered inappropriate for V&A assessment purposes, because it cannot provide information of the uncertainty range associated with its projection. In this study, to reflect the uncertainties in future GHG emission rates and in climate sensitivity, a combination of different GHG Representative Concentration Pathways (RCPs) and climate sensitivities are used to characterise the future climate change scenario with the associated uncertainty range. RCP6.0 with mid-climate sensitivity represents a middle range future global change scenario, which was used as an indicator of the median projection of the future global change, while RCP4.5 with low-climate sensitivity and RCP8.5 with high-climate sensitivity was used as an indicator of the corresponding low and high bound of the uncertainty range (Table 1). Another important uncertainty in climate change scenario generation is the difference in different GCM simulations. To account for such an uncertainty in V&A assessment, a pattern scaling method was adopted and applied to a wide range of GCMs to build a model ensemble. The average of models’ simulation of changes for a climate variable is normally used to capture the middle conditions, as that average often matches better with observed climate than any individual model estimates (Reichler and Kim, 2008). However, in this study the 50 percentile of the GCM model ensemble was used in order to prevent the influence of huge outliers in some GCM simulation on the final change values.

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The method was thus termed ‘ensemble based pattern scaling’. Details of the method, as well as the steps of constructing the future climate change scenario, can be found in Appendix 1; while Appendix 2 lists the 40 IPCC AR5 GCMs used for model ensemble.

Table 1: Three climate projections and their input conditions represent the uncertainty ranges Climate projection Representative Concentration Pathways Climate sensitivity Median scenario RCP6.0 Mid Low scenario RCP4.5 Low High scenario RCP8.5 High

2.2 Spatial climate change scenario Monthly and seasonal climate change impact was assessed spatially over the project areas. The baseline climatology for the project areas was obtained from the WorldCLIM database with a spatial resolution of about 1 Km (http://www.worldclim.org). In generating the climate change scenario for the project areas, the simulation results from 40 GCMs that were assessed in the IPCC AR5 were used (Table 1). All 40 models have their monthly simulation results available.

2.3 Site specific climate change scenario

Besides the spatial monthly change projections, site specific climate change scenarios with more detailed temporal scale are usually required for impact assessment. The site specific climate change scenario was constructed by perturbing the station observed daily data using the normalised GCM pattern value from the GCM grid where the climate station is located. In this report, all observation data from a station was used to represent the baseline climate condition for the site. For site specific extreme value analysis, we first chose an intensity value (such as 1:20 year annual maximum daily precipitation) and then selected its normalised pattern value from the GCM gird where the site is located. The value is then applied to the same precipitation intensity that derived from the observed historical data to generate the future change scenarios.

In the following two sections, the method described above is adopted to generate the change projections for climate variables that may become hazardous to the proposed project. Rainfall and/or temperature data were collected for three stations around the project area. Table 2 lists the information for the three stations. The locations of the stations can be found in Figure 1. Of the three stations, Zhen’an has the longest observation period and is located in the up reach of the Xun River; Xunyang is located outlet of the Xun River also the end- point of the S102 project; and Ankang is the end-point of the G316 component.

Table 2: Location information of the three stations Station Name Longitude Latitude Altitude Observation Period (°) (°) (m) Precipitation Temperature Zhen’an 109.15 33.43 693.7 1957-2013 1957-2013 Xunyang 109.36 32.84 240.0 1960-2010 ---- Ankang 109.03 32.72 290.8 1952-2013 1952-2013

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3. Climate observation and change projections

3.1 Observational temperature data and their future projections

The temperature related climate variables that have impacts on transportation systems include the mean, minimum and maximum temperature; the extreme maximum temperature and related heat waves; and the temperature change range (the difference between minimum and maximum temperature).

Appendix 3 lists the baseline temperature related climate variables and their projected future changes in 2050 and 2100 for the SMRSDP area. Spatially, the annual mean temperature is likely to increase 1.4°C and 2.7°C by 2050 and 2100 respectively, according to the median scenario projection. In terms of extremes, the maximum and minimum temperatures have a similar increase rate as the mean temperature changes. There are little changes in the difference between the maximum and minimum temperature, as both temperatures are projected to increase. Along with the temperature increase, heat wave will likely become more intensified and frequent. However, the heat wave impact on the road system will be limited. Under the high scenario projection, the 1:100 extreme high temperature for Zhen’an and Ankang are 46.7°C and 48.5°C respectively by 2100, still below 50°C.

3.2 Observational rainfall data and their future projections

The rainfall related climate variables and their aftermath which could become hazardous for the project include torrential rain, flood and landslide. Details of the observed rainfall data and their future change projections for the project area are demonstrated in Appendix 4. The key findings are discussed below:

Baseline:

1) The precipitation is characterized by strong variability in terms of both time and space. Spatially, rainfall increase from north to south and the Ba Range has the highest rainfall where its annual average reaches 1200 mm at top of the range. The mountains surrounding the Xun River catchment also have relative high precipitation at about 1000 mm. The valley area where both the Xunyang and Ankang urban centre located has the lowest precipitation of the area. In addition, there is strong inter-annual variability in rainfall. The annual average precipitation and its coefficient

of variation (Cv) of the three stations is listed in Table 3. Table 3 also lists the observed maximum and minimum annual precipitation of the 3 stations. The annual minimum precipitation is less than half of the maximum.

Table 3: General precipitation information of the three stations Station Annual average Maximum annual Minimum annual C name precipitation (mm) v precipitation (mm) precipitation (mm) Xunyang 750 0.19 1085 467.3 Ankang 802 0.23 1231 525.8 Zhen’an 786 0.21 1244 506.7

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2) Other than large inter-annual variability in precipitation, another distinctive feature of the rainfall is the seasonality. For Zhen’an, the average rainfall of three month of July to September is 401 mm, which accounts for 50% of the annual total. Similar conditions were also found for the other 2 stations. In general, July is the wettest month in a year.

Future projection

3) Applying the method described in the previous section to the area, the median scenario change projection indicates the annual rainfall change in the area will likely be small, with an average increase across the area of 2.5 to 4.8% by 2050 and 4.5 to 9.5% by 2100. The Xun River catchment has a 3% and 6.2% increase by 2050 and 2100 respectively. 4) For each station, the monthly rainfall change from the median scenario projection is also small. A slight increase of rainfall is projected for all months except September and October. Rainfall projection in some month is associated with large uncertainties, such as May and August.

Extreme rainfall and its projection

According to the extreme value theorem, for normalized maxima (minima) of a sequence of independent and identically distributed random variables such as annual daily maximum rainfall, the generalized extreme value (GEV) distribution is the only possible limit distribution, and it is often used as an approximation to model the maxima (minima) of long (finite) sequences of random variables. In this study the GEV distribution was applied to the daily observation to investigate extreme rainfall and their future changes. A detailed method description and analysis process can be found in Ye and Li (2011). The annual maximum 2 day rainfall of Zhen’an and its future projections was investigated in detail as it was found to be most relevant to the Xun River flood at Xunyang (referred to the next section). Appendix 4 shows the baseline GEV distribution of the annual maximum 2 day rainfall of Zhen’an, as well as its 2050 and 2100 projections. The right-shifting of the projected GEV distribution indicates an increment in storm intensity or frequency. The 2050 change is noticeable, with a relative small uncertainty range. The 2100 change is significant, but accompanied with a very high uncertainty range. Table 4 lists in detail information of the analysis.

As shown in Table 4, the current 1:50 year event of the annual maximum 2 day rainfall is 149.01 mm for Zhen’an. The median scenario projection for such an event is 163.14 mm by 2050 and 176.67 mm by 2100, which represents a 9.5% and 18.6% increase in rain intensity. The high projected change, shown by the high scenario, could reach 178.15 mm and 215.93 mm for 2050 and 2100 respectively, or a rain intensity increase of 19.6% at 2050 and 44.9% at 2100.

In summary, the rainfall change in the project area will noticeable under climate change. The annual rainfall may increase slightly in the future, but the change in heavy rainfall is much more significant than the change in normal rainfall, which implies an increased flood risk in the future.

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Table 4: The GEV results of annual maximum 2 day rainfall and its future projections Return Annual maximum daily rainfall projection (mm) Stn period Baseline Name 2050 scenario 2100 scenario (years) Low Mid High Low Mid High 20 129.39 137.45 140.42 152.14 140.3 150.99 181.3 Zhen’an 50 149.01 159.33 163.14 178.15 163.027 176.67 215.988 100 163.83 176.09 180.62 198.48 180.415 196.72 243.733 20 13.39 14.22 14.52 15.73 14.5173 15.61 18.7360 Xunyang 50 15.66 16.74 17.14 18.70 17.12 18.55 22.64 100 17.43 18.73 19.21 21.09 19.19 20.91 25.88 20 150.88 160.21 163.65 177.21 163.5 163.54 210.9 Ankang 50 181.61 194.09 198.70 216.86 198.538 198.55 262.499 100 206.42 221.81 227.48 249.86 227.354 227.30 306.317 01 19

3.3 Climate change impact on the S102

The climate change information needs to be related to the project components that are sensitive to the climate, to support the vulnerability assessment and adaptation options identifying. In the context of this project, the target sensitive project components include:

 Change in maximum temperature of the pavement;  Change in minimum temperature of the pavement;  Change in the range of temperature of the pavement;  Change in the heavy rainfall intensity which will affect the drainage design; and  The change of 1:100 year flood water level; which is the criterion for big bridge design and 1:50 year flood height which is the criterion for medium size bridge design

The pavement temperature has a linear relationship with the air temperature, so the increase in air temperature will lead to increase of pavement temperature. The baseline annual average air temperature of SMRSDP area is relatively mild. An increase of 1.4°C by 2050 or 2.7°C by 2100 will not cause noticeable impact to the transportation system. Heat wave may become more severe and longer lasting. Nevertheless, the daily maximum high temperature of 2050 will still be around 48°C, even under high scenario projection. Thus the temperature change may not have significant effects on the project.

In contrast to temperature, the heavy rainfall and its consequent induced flood, landslide poses a much greater risk to roads. For the purpose of assessing climate change impact on flood and landslide, it is essential to have insightful understanding of their relationship with rainfall. Normally hydrological or hydraulic models, either physically or statistically based, are used to simulate the rainfall – flood and rainfall – landslide processes. In general, long term observed meteorological and hydrological data are required in such model development. However, the hydrologic observations for the SMRSDP area are largely unavailable. The only available hydrological data is the 44 years (1956-2009) annual maximum discharge of the Xun River at the Xiangjiaping hydrometric station (Figure 3), which is 18.6 km from the Xun River outlet.

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Annual maximum discharge Average annual maximum discharge

Figure 3: The annual maximum river discharge of the Xun River at the Xiangjiaping hydrometric station (the 2010 observation was not complete) (Source: the S102 design document).

Investigation was carried out to explore the statistical relationship of the annual maximum discharge of the Xun River at Xiangjiaping and the rainfall in priory to each discharge event at Zhen’an and Xunyang. Rainfall of different durations, including daily, 2 day, and up to 60 days, were investigated. Normal discharge events (less than average of 1850 m3/s) were taken out from the analysis, because the study was focused on the high flow that leads to flood. It was found that the discharge has strong statistical relationship with 2 day rainfall of Zhen’an, but showed no significant statistical relationship with other rainfall event, including rainfall at Xunyang. Such a finding could be explained by the complex characteristics of the topo-geography and meteorology of the Xun River catchment. Even though the Xunyang station is still inside the catchment, it is situated downstream of the Xiangjiaping station and, most importantly, represent the rainfall condition at the relative low altitude. Its rainfall has almost no influence on the Xun River discharge. On the contrary, the Zhen’an station is in the middle reach of the catchment making it good representative of some of the flood triggering storms. The good forestry covers at the middle reach and above functioning as storm water storage and adjusting both the magnitude and the timing of the flood. However, the steep slope of the mountainous topography implies weak or no effects on flood from relative long duration rainfall. The statistical model of the discharge and 2 day rainfall of Zhen’an can be expressed as:

(1)

= . + .

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where: Y is the Xun River annual maximum discharge (m3/s); X is the 2 day rainfall (mm) in prior to the annual maximum discharge event at Zhen’an. Figure 4 shows the model simulation of the observed annual maximum discharge. The model has a satisfactory performance in simulation the high river discharge, with a correlation coefficient (R2) as 0.726, with standard error of 643 m3/s. Thus for a given annual maximum discharge prediction, a confidence interval of ±318m3/s is expected based on the 95% confidence level.

The S102 component is situated in the downstream of the Xun River, and the locations of all the key infrastructures on the Xun River such as bridges are all have the similar catchment area to the Xiangjiaping station. Thus the discharge at each location can be derived analogically from the ratio of catchment areas.

7000

/s) 6000 3

5000

4000

3000

2000 Modelled annual maximum discharge (m discharge maximum annual Modelled

1000 1000 2000 3000 4000 5000 6000 7000 Observed annual maximum discharge (m3/s)

Figure 4: The performance of the regression model simulating the annual maximum discharge of the Xun River based on the rainfall from Zhen’an.

The last step in climate change impact on flood is to derive the river water level from the discharge. There is a cascade of hydraulic projections in the Xun River. All the large bridges are crossing the Xun River or its main tributaries at the tail of the reservoirs. Because of the backwater effects of the reservoir, the actual flood water level becomes higher than the natural flood. In the following the Liangheguan No.1 Bridge was used as demonstration for the climate change impact assessment on the bridge design.

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325 y = -0.1247x2 + 3.163x + 304.95 R² = 0.993 320

315

310 River water level (masl) level water River 305

300 0 2 4 6 8 10 River discharge (x1000 m3/s) Figure 5: The relationship between discharge and the water level at Zhaowan of the Xun River.

A statistical relation between river discharge and water level of the Zhaowan Reservoir could be derived from the observation as shown in Figure 5. The Liangheguan No.1 Bridge crosses the Xun River 41.2 Km upstream of the Xiangjiaping station, at the tail of the Zhaowan Reservoir. The river discharge and water level of Zhaowan Reservoir was used in the Liangheguan No.1 Bridge design. The statistical relations between river discharge and water level at Zhaowan could be derived from its observation as shown in Figure 5. The Liangheguan No.1 Bridge design is based on the current Zhaowan Reservoir design flood result of 1:100 year event of 5860 m3/s and flood height of 319.91 masl.

Given all the relations derived from the observed data, the climate change impact on Liangheguan No.1 Bridge flood height could then be assessed by applying the future change scenarios to the 2 day rainfall of Zhen’an then the river discharge and finally the flood water levels. Appendix gives the detailed step and the calculation process. On average, there will be likely 0.41 m and 0.77 m water level increase for the current flood from the median scenario projection by 2050 and 2100 respectively. The high scenario projected a 0.81 m and dramatic 1.74 m increment by 2050 and 2100 respectively. The increment will likely higher for more extreme flood than the normal ones but further observed data was required to have in depth study in this regard.

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The current 1:100 year flood height of Zhaowan Reservoir is 319.91 masl. The design flood of the Liangheguan No.1 Bridge is 330.88 masl. Climate change will impact on the flood height, and the 1:100 year design flood of Zhaowan Reservoir will likely to become between 331.19 and 331.69 masl by 2050 and between 331.29 and 332.62 masl by 2100. The median projection would be 331.29 and 331.65 masl by 2050 and 2100 respectively. Because of the safety consideration, the actual designed height of Liangheguan No.1 Bridge is 331.45 masl (the height of the road subgrade). Similar impact assessment was also conducted for the Ganxi No.1 Bridge and Dalingtai Village Bridge. The results listed in Table 5.

Table 5: S102 large bridges current design flood, projected design flood of 2050 and 2100 and actual design height (masl) Ref. of 2050 scenario projection 2100 scenario projection Actual Bridge discharge Design design Name and flood flood Me- Me- Low High Low High height height dian dian Zhongjia- Ganxi ping 259.59 259.76 259.82 260.05 259.82 260.03 260.57 265.95 No. 1 Reservoir Dalingtai Jijiaping 277.79 278.08 278.18 278.56 278.18 278.52 279.42 281.27 Village Reservoir Lianghe- Zhaowan 330.88 331.19 331.29 331.69 331.29 331.65 332.62 331.45 guan No. 1 Reservoir

As shown in Table 5, the actual design height of the Ganxi No.1 Bridge is 6.36m higher than its design flood, while the the Dalingtai Village Bridge is 3.48m higher than its design flood. The actual height of both bridges are also sufficiently higher than the future climate change projections, thus are not expected to be seriously impacted by future climate change. However, the actual design height of the Lianheguan No.1 Bridge is just 0.57m higher than its design flood. Though the current height may be adequate for median and low scenarios, it may become inadequate for high scenarios by 2050 and may likely under unprecedented flood risk by 2100 under the high scenario.

No data could be found for other reservoir’s discharge and water level analysis. Safety factor is included in the bridge design so that the actual design height is higher than the design flood (table 6). Except the Zhaowan No.2 bridge (medium size bridge), which is just 0.2 m higher than its design flood, the other bridges are generally sufficiently higher than their design flood, thus provide good protection buffer for climate change impact.

Table 6: The design flood (DFL) and actual design height (ADH) for other bridges (masl) Zhaowan Zhaowan Zhaowan- Zhaowan Lianghe Lianghe- Bridge No.1 No.2 zhen No.1 -zhen No.2 -guan No.2 guan Village

DFL 301.07 302.19 302.22 303.81 331.73 330.89

ADH 303.22 302.39 304.10 304.68 332.90 331.98

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3.4 Climate change impact on other project components

The G316 section is valley line and is high above ground so no design flood height is required in bridge design. The major climate risk to G316 will be the damage of landslide and debris flow to the road systems.

Most of the S224 section is built on existing road. Five out of the 9 large and medium size bridges will make use of the current ones, so that the old bridge design height has to be maintained. Of the 4 new bridges, only the Sanjiaochi Bridge is relatively low in altitude that requires design flood height calculation. Historically there is no hydrological observation at the Sanjiaochi Bridge site. The design flood was decided by the observed maximum flood height, as well as consultation with the local people above 50 years in age. A 0.5m safety factor was adopted in the final bridge height design.

For the rural road section, there is one large bridge (Xiaohe Bridge) and one medium bridge (Xiaoling Bridge) and a number of small bridges. All existing bridges but one will be reused after necessary repair. The Tangtaicun Small Bridge was built in 2008 but has insufficient drainage capacity. It was designed to be demolished and re-built. Culverts with insufficient drainage capacity will be demolished and rebuild, except those that are structurally sound and have sufficient capacity. However, due to the constraint of the financial investment, the PPTA team has proposed the reduction of new culverts and reused the existing Tangtaicun Small Bridge. Whatever the final design results, the low grade of rural road implies that the water will flow over the road surface because of the insufficient drainage capacity. This may not be a problem as long as the road surface can sustain run-off water and the traffic volume is sufficient low.

In general, the climate change will likely increase the water damage to the discussed road components through its impact on the storm and flood. A 10% and 20% increase of storm intensity by 2050 and 2100 should be considered by DI in the related project component design, and a corresponding design flood may be derived by DI as an improved design standard to enhance the resilience of the project components.

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4. The adaptation options

Given the likely changing climate in the future, managing climate risks in road transport sector will require effective adaptation of infrastructure, operations and service provision in order to avoid costly repair and/or replacement in the future. Proper adaptation measures can effectively alleviate vulnerability and reduce the potential damage from the climate change impact. As discussed in the previous sections, the flood and landslide are the 2 major climate induced risk to the SMRSDP. In this section, the adaptations that are identified based on literature review and/or from the discussion with the staff from PMO and DI are provided as options with brief discussion:

4.1 “Hard” options: adjustments to design of relevant project component(s)

 Enhanced flood drain system to reduce the flood water damage to the road system. Staff from DI has indicated that high standard was adopted in the water drain system design, such as the side ditch, culvert size etc., in the new development section. For example the new culvert size is 1.5 times bigger than the old one, which is expected to be sufficient for future. It was noted that the cost of enlarging the culvert size of the trunk roads is rather inexpensive. For S224, it is approximately RMB2500/m (i.e., RMB2500 to enlarge the culvert diameter by 1m). Thus it is recommended that for trunk roads a higher drainage capacity was adopted in culvert design as an effective adaptation. A 20 to 50% increase of current design standard may be appropriate, depends on the road conditions. The DI has designed a series of culverts for the rural section, but was considered as uneconomic by the PPTA team because of the low grade and low traffic volume of the rural road. It is suggested for DI to have a further economic analysis of the current design. If reducing culverts is the design option, special attention should be paid to the paving materials to ensure it can sustain the surface water runoff during the rainy season.  For road section along the rivers, increased flood discharge also implies an increase in flood speed, so that increase the risk of the flood water flushing damage to the bridge piers and subgrade materials. According to DI’s documents, for section that under high risk of flush water damage, the concreate wall block was used to strength the river bed, which is structurally much robust and stable than the sand and mortor structure used in the past. For bridges located in catchment characterised by high erosion containing stones and rocks, special design should be adopted to protect the bridge piers.  Bridges is one of the most important infrastructures in road system. As shown in this study, the new bridge heights of S102 will be generally sufficient for the future changing climate except the Liangheguang #1, which may become inadequate at the end of this century under high climate change scenario, if no other adaptation options are implemented. However, further raise the bridge becomes impossible because one end of the bridge is under a train tunnel. After discussion with the DI, it was found that a 30cm increase of the bridge was achievable, which makes the bridge could sustain most climate change impact except the changing condition from high end climate change scenarios.  Enhanced storm and heavy rainfall implies increased landslide risk. Special design consideration should be given to the road sections that have steep slope on the side

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of the road. Proper slope stabilization techniques, including engineering methods, should be adopted, or planned for future implementation.  Climate change will manifest most impact effects on rural road. However, the current rural road development is based on existing road structure, which limits the “Hard” adaptation choices. It would be desirable to examine all the aspects involved in rural road design and adopt as much as possible the design standard for climate sensitive components, such as slope protection, and drainage systems.

4.2 “Soft” measures: ecological solutions, institutional and technical capacity building to enhance risk awareness and ability for ongoing risk assessment & management, knowledge management to improve risk assessment as new information emerges

 Since 2000, a cascade of hydraulic projects has been built along the Xun River which has significantly enhanced the flood water storage of the river channel and reduced the river speed. Additional hydraulic projects have been proposed for the Xun River to promote the full economic development of Zhen’an (Guo and Guo, 2007). The hydraulic projects have great potential to help the road infrastructure protection from flood and landslide damage.  All the bridges are crossing reservoirs that have been built on the Xun River. The flood level at the bridge location is determined by the storm but also controlled by the reservoir operation. An optimised synergistic operation of reservoirs and the transport system will effectively reduce the risk of climate change impact on the roads.  No data is available to support a quantitative assessment of climate change on landslide risk, but rainfall is the most important driving factor among the non- geological factors for landslide/debris flow hazards in the area. A survey of the geological disasters of G316 inside Ankang revealed that the landslide/debris flow could be related to the intensity of 2 day rainfall and the total rainfall amount of 15 days (Fan, 2011). An effective rainfall warning system for landslide/debris flow hazards could help the setup of the emergency measure for the transport system, thus reduce the risk. The fast advancing of modern survey technology and GIS/RS science has provided concreate foundation for the establishment of a state-of-art geological hazard forecasting system;  In addition, it has been recognised that the unrestricted agriculture cultivation on the slope land has worsen the soil erosion and the landslide risk in the region. As study shown by Tan and Zhu (1999) that rainfall is weighted only 20% in total landslide risk, landcover accounts for 30% in total landslide risk, which is an even larger weighting factor. Prohibiting cultivation along the steep slope land and planting deep rooted vegetation in the erosion prone area will effectively prevent landslide from occurring.

Good climate resilience can also be achieved through institutional and technical capacity building to enhance risk awareness and ability for ongoing risk assessment & management. It is also worthwhile to note that not all adaptation needs to be implemented. In fact, by taking economic into consideration, as long as good plan has been in place, some adaptation can be implemented in the future as climate change is also a gradual process. The above adaptations are mostly discussed against their targeted vulnerable components. However, one adaptation will not only strength the resilience of target component, but will

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likely also benefit all components across the project. Table 7 summarises the discussed adaptation options.

Table 7 Implementation arrangements for adaptation measures Adaptation measure Implementation Implementatio Estimated Note priority n schedule Cost Enlarge the culvert High Project design Moderate For key project size of the trunk phase to High infrastructures: roads by 20-50% bridges and based on the current culverts design standard. Additional cost: RMB2500/m Raise the High Project design Moderate Liangheguang #1 phase to High Bridge by 0.3 m Raise the Sanjiaochi High Project design Moderate Additional cost: Medium Bridge by 0.3 phase to High RMB17000/m m Design protection High Project design Moderate measure for bridged phase in high erosion prone catchment to protect the piers from flood/stone/rock damage Design engineering High Project design Moderate measures to stabilise phase to High the slope along the road for erosion sensitive sections Use runoff High Project design Moderate sustainable paving phase to High materials in rural road construction Ecological restoration High Long term N/A Based on legal of the project area documents and government regulation. Establish early flood Moderate Mid to long Moderate Most bridges warning system and term are located at integrated with the tail of hydraulic reservoirs. The infrastructure operation of the operation reservoirs have significant influence on the flood water height at the bridge sites Institutional capacity Moderate Project design building for climate phase and change impact continuing adaptation assessment

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5. Monitoring and Evaluation, Reporting

Monitoring and evaluation (M&E) has become increasingly important for climate change impact adaptation. However, adaptation to climate change is a complex endeavour. In the context of SMRSDP, the adaptation could mean “Hard” infrastructure adjustment that require additional financial investment, or “Soft” socio-economic measures that may be difficult to evaluate in monetary terms. Some adaptation may be seen as additional measures on top of the baseline development, but most adaptation cuts across numerous development objectives, such as the ecological restoration of the project area. The inherent complexity of adaptation actions makes their monitoring and evaluating a very daunting task.

Given the nature of SMRSDP as an infrastructure oriented development project, the M&E of climate change adaptation may be conducted for the following aspects (Frankel-Reed et al., 2009):

1) capacity building: Stakeholders – the local communities, government administrators and project DI – need to have general knowledge of climate change issue and grasp the concept of climate change impact on the project development. The field work revealed that even though climate change may be known to some stakeholders as a scientific term, but no one has considered it as a driving factor to the project design and construction. A capacity building among stakeholders would ensure a willing uptake of the climate change information into the project design and construction consideration, resulted in effective adaptation planning and design.

2) behaviour: Even though the average climate change is gradual, the change of extreme climate event such as storm and flood will likely fast to have impact on human behaviour; thus the behaviour change could be a tangible indicator for M&E the climate change adaptation. A gradual changing behaviour among stakeholders of consistent enhancing the community’s resilience is a good indication of adaptation success. In that regard, for example, it is expected that the SMRSDP administrator would focus on long term sustainable development with proactive adaptation actions, instead of short-term, economic gain oriented passive adaptation measures.

3) risk-reducing measures for the advancement of development outcomes: It is obvious that the effective adaptations should fulfil the project objectives under the changing climate. For SMRSDP, the M&E of the success of adaptation can be conducted with the onset of hazardous climate events after the projects are completed. However, it should be noted that necessary data required for climate change adaptation M&E should be collected, i.e., it is important to establish the baseline scenarios (both biophysical and socio-economic) and retain the same information accordingly for future events. In summary, “adaptation is not simply an outcome, but rather a diverse suite of ongoing processes that enable the achievement of development objectives under changing conditions.” (Brooks and Frankel Reed, 2008). A framework is normally required for climate change adaptation M&E and reporting. Though there are general rules, it would be more appropriate that the establishment of the framework should pertain to SMRSDP to make the M&E more effective and efficient.

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6. Conclusion

The objective of the SMRSDP is to upgrade network capacity for an expanding transport volume in the mountainous area of Shaanxi Province; and to provide all weather access to the village and county roads that connect to the trunk roads, and improve the road safety condition. Climate change may have a significant impact on the serviceability and usable life of the project. Actions should be taken to include effective and efficient adaptations as an integral part of project design and construction to alleviate any negative climate change impact consequences. Incorporating effective adaptation measures in project design and construction will prevent costly infrastructure remedy and/or re-construction and also expedite the long term economic benefits for which the project is designed.

This report produces quantitative climate change information relevant to the project by making use of the pattern scaling based GCM ensemble method. The advantage of this method is that it not only takes the key uncertainties in climate change science into future projection into consideration, but also treats these key uncertainties independently. Therefore climate change projections and their associated uncertainty range can be produced consistently through a combination of the different scenarios. A quantitative impact assessment can then be conducted by building the risk profile for the key vulnerable components of a project, and targeted adaptation options can subsequently be identified and evaluated.

As revealed by the study, the biggest climate related risk to the project is river flood and landslide caused by heavy rainfall event. The climate change scenario analysis indicated enhanced risks for both flood and landslide. Several adaptation options were identified and discussed. Despite the importance of taking necessary ‘hard’ adaptation measures in project design and construction, it is worthwhile to emphasise that the ‘soft’ options could be much cost effective and equally efficient. For S102, the bridges crossing the Xun River at the reservoir locations, hence the operation of the reservoirs is the determinative factor of the water level at the bridge locations. The deforestation in the mountainous area has contributed to the increased vulnerability of flood risk. Therefore ecosystem restoration should be considered as a long term adaptation option to enhance the resilience of the project to climate change impact.

This study was constrained by a number of limitations:

 The impact assessment was conducted on the basis of available data. A properly developed impact model based on detailed meteorological/hydrological data would reveal a great insight relationship between storm and the flood or landslide. The rainfall data is only available for the mid-reach area. The rainfall may be good to reveal the rainfall-flood for the thunder storm, but may be not able to model the flood caused by long term rain. In fact, the regression model (Equation 1) under estimate the 2005 flood, which is caused by long term rainfall. Furthermore, a time series river flow data would assist in developing proper hydrologic and hydraulic models so that the impact on flood due to changing in rainfall could be explored; a rainfall - landslide model built on detailed topography, soil information and vegetation cover information would provide valuable adaptation management options.

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 The adaptation options discussed were presented as initial recommendation. No economic data was available to investigate the cost-benefit of implementing such adaptation options. However, we recommend selection of appropriate adaptations and/or their combination to be considered in projects design wherever feasible.

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7. Reference

ADB 2010. Sustainable Transport Initiative: Operational Plan. (http://www.adb.org/documents/sustainable-transport-initiative-operational-plan; website accessed at June 2013)

ADB 2012. Proceedings of ADB Sustainable Inland Waterway Transport International Workshop, 11-12 Sept. 2012, Chongqing, PR China.

ADB 2013. Sustainable Transport for All. (http://www.adb.org/sectors/transport/overview. Website accessed at June 2013)

Andrewartha, H. G. and L. C. Birch. 1973. The History of Insect Ecology. In History of Entomology, ed. R. F. Smith, T. E. Mittler and C. N. Smith, 229-266. Annual Reviews Inc., Palo Alto, CA

Fan J. 2011, Study on the prediction and forewarning of geological disasters on highway slope in the south of Shaanxi Province (Master Degree dissertation of Chang’an University, in Chinese).

Gasper, R., A. Blohm, and M. Ruth, 2011: Social and economic impacts of climate change on the urban environment. Current Opinion in Environmental Sustainability, 3(3), 150-157

Guo Z. and Guo M. 2007. Developing cascade hydraulic resource in Xun River catchment to promote the full economic development of Zhen’an. China hydropower and electricity.

Hallegatte, S., F. Henriet, and J. Corfee-Morlot, 2011a: The economics of climate change impacts and policy benefits at city scale: a conceptual framework. Climatic Change, 104(1), 51-87

Koetse, M.J. and P. Rietveld, 2009: The impact of climate change and weather on transport: An overview of empirical findings. Transportation Research Part D: Transport and Environment, 14(3), 205-221.

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Murphy, J.M., D.M. Sexton, D.N. Barnett, G.S. Jones, M.J. Webb, M. Collins, D.A. Stainforth, 2004. Quantification of modelling uncertainties in a large ensemble of climate change simulations. Nat., 430 (7001): 768-772. DOI: 10.1038/nature02771.

Love, G., A. Soares, and H. Püempel, 2010: Climate Change, Climate Variability and Transportation. Procedia Environmental Sciences, 1(0), 130-145.

Murphy, J.M., A. Noda, S.C.B. Raper, I.G. Watterson, A.J. Weaver, and Z. Zhao, 2007. Global climate projections. In Climate Change 2007: The physical science basis. Contribution of working group I to the fourth assessment report of the Intergovernmental Panel on Climate Change (eds S. Solomon, D. Qin, M. Manning, Z. Chen, M. Marquis, K. B. Averyt, M. Tignor & H. L. Miller). Cambridge, UK and New York, NY: Cambridge University Press.

Räisänen, J. 2007. How reliable are climate models? Tellus, 59, A(1), S.2-29. DOI: 10.1111/j.1600-0870.2006. 00211.x.

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Santer, B.D., T.M.L. Wigley, M.E. Schlesinger, J.F.B. Mitchell, 1990. Developing climate scenarios from equilibrium GCM results, MPI Report Number 47, Hamburg

Solomon, S., D. Qin, M. Manning, Z. Chen., M. Marquis, K.B. Averyt, M. Tignor, H.L. Miller, (eds.) 2007. Contribution of Working Group I to the Fourth Assessment Report of the Intergovernmental Panel on Climate Change, Cambridge University Press, Cambridge, United Kingdom and New York, NY, USA. Task Group on Data and Scenario Support

Sorteberg, A. and N.G. Kvamsto, 2006. The effect of internal variability on anthropogenic climate projections. Tellus, 58A, 565–574. DOI: 10.1111/j.1600-0870.2006.00202.x. Sterl, A., C. Severijns, G.J. Van Oldenborgh, H. Dijkstra, W. Hazeleger, M. Van den Broeke, G. Burgers, B. Van den Hurk, P.J. Van Leeuwen, P. Van Velthoven, 2007. The ESSENCE project - signal to noise ratio in climate projections. http://www.knmi.nl /~sterl/ Essence/essence_1_v2.2.pdf

Wigley, T.M.L., 2003. MAGICC/SCENGEN 4.1: Technical Manual. National Center forAtmospheric Research, Boulder, Colorado.

Wilby R.L., J. Troni, Y. Biot, L. Tedd, B.C. Hewitson, D.M. Smith and R.T. Sutton, 2009. A review of climate risk information for adaptation and development planning, Int. J. Climatol. 29: 1193–1215 Ye W. and Y. Li, 2011. A method of applying daily GCM outputs in assessing climate change impact on multiple day extreme precipitation for Brisbane River Catchment, MODSIM11. In Chan, F., Marinova, D. and Anderssen, R.S. (eds) MODSIM2011, 19th International Congress on Modelling and Simulation. Modelling and Simulation Society of Australia and New Zealand, December 2011, pp. 3678-3683. ISBN: 978-0-9872143-1-7

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Appendix 1: Climate change scenario generation

The uncertainties in climate change scenario generation

The future climate change projection includes uncertainties, particularly at the regional and local level. The major sources of uncertainties come from: 1) the difference of spatial change projections modelled by different GCMs; 2) the future Greenhouse Gas (GHG) emission rates; and 3) different GCM model parameterisation due to the unknown or not fully understood mechanism and feedbacks in the climate systems. A thoroughly studied uncertainty by the scientific community is the difference in GCM model parameterisation, or the climate sensitivity. The climate sensitivity is conventionally defined as the equilibrium change in global mean surface temperature following a doubling of the atmospheric

(equivalent) CO2 concentration simulated by a GCM. It has been found that the uncertainty range is between 2.0°C to 4.5°C (Solomon et al., 2007).

To reflect the uncertainty of future GHG emission rates, a new process has been used for future global climate change projection since IPCC AR5. In this process, GHG emissions and socioeconomic scenarios are developed in parallel, building on different trajectories of radiative forcing over time to construct pathways (trajectories over time) of radiative forcing levels (or CO2-equivalent concentrations) that are both representative of the emissions scenario literature and span a wide space of resulting GHG concentrations that lead to clearly distinguishable climate futures. These radiative forcing trajectories were thus termed “Representative Concentration Pathways” (RCPs). A RCP was simulated in an Integrated Assessment model to provide one internally consistent plausible pathway of GHG emissions and land use change that leads to the specific radiative forcing target. The full set of RCPs spans the complete range of integrated assessment literature on emissions pathways and the radiative forcing targets are distinct enough to result in clearly different climate signals.

In this study, three RCPs: RCP4.5, RCP6.0 and RCP8.5, are used to characterise the possible climate change scenario for the project area and uncertainty range. RCP6.0 with mid-climate sensitivity represents a GHG concentration reaching 850 ppm and stabilized after 2100, it is a middle range future change scenario. Similarly, RCP4.5 (650 ppm GHG and stabilized at 2100) with low-climate sensitivity and RCP8.5 (concentration larger than 1370 ppm at 2100 and still rising) with high-climate sensitivity represents the low and high bound of the uncertainty range of future global change scenarios as shown in Table 1. The three RCPs represent rising radiative forcing to 4.5, 6 and 8.5 W/m2 by 2100 respectively.

The General Circulation Model (GCM) is the most reliable tool in generating the future climate change scenarios at large to global scale. However, given the current state of scientific understanding and limitations of GCMs in simulating the complex climate system, for any given region in the world, it is still not possible to single out a GCM that outperforms all other GCMs in future climate change projection. Future climate change projection based on the analysis of a large ensemble of GCM outputs is more appropriate than using any individual GCM outputs (Wilby et al. 2009). This is particularly important if such a projection is used for impact assessments; a large ensemble of GCM simulations can provide a reliable specification of the spread of possible regional changes by including samples covering the widest possible range modelling uncertainties (Murphy et al. 2004, Sortberg and Kvamsto 2006, Murphy et al. 2007, Räisänen 2007). A single GCM projection of future climate made

25

with even the most sophisticated GCM can be of limited use for impact assessment as it lacks the ability to provide information on the range of uncertainties. Within an ensemble approach; provided the members of the ensemble are independent, a larger ensemble size could lead to a more reliable statistical result (Sterl et al. 2007). In this study, the 50 percentile value from the model ensemble sample was used in generating future climate change projections.

The pattern scaling method

The pattern-scaling method (Santer et al., 1990) is based on the theory that firstly, a simple climate model can accurately represent the global responses of a GCM, even when the response is non-linear (Raper et al. 2001), and secondly, a wide range of climatic variables represented by a GCM are a linear function of the global annual mean temperature change represented by the same GCM at different spatial and/or temporal scales (Mitchell, 2003, Whetton et al. 2005). Constructing climate change scenarios using the pattern-scaling method requires the following information:

a) regional patterns of changes in climate (e.g. for precipitation) by specified timeframe (e.g. month) from GCM results, which are normalized to give a spatial pattern of change per degree of global-mean temperature change; b) time-dependent projections of global-mean temperature change projected by a selected RCP under a selected “climate sensitivities” c) baseline climate variables derived from observational records.

In generating a “time-slice” scenario for a future year, the normalised pattern (a) is scaled by a time dependent projection of global-mean temperature change (b). The resultant scenario of climate change is then used to perturb the underlying observed spatial climatology (c) to give a “new” climate for the year in question. In this way, the three key uncertainties – the GCM spatial patterns of change, the future GHG emission rates and the climate sensitivity – can be treated independently and combined flexibly and quickly to produce future climate scenarios (as per Wigley, 2003).

The pattern scaling method is also extended to analyse the climate change impact on climate variability, such as the extreme precipitation event. A general extreme value (GEV) function was applied to the daily precipitation data from historical observations and GCM outputs to derive precipitation intensity values. Similar to a normalised pattern for monthly precipitation, normalised patterns of a series of precipitation intensities, such as 1:20 year maximum daily precipitation, are calculated for a GCM following the steps discussed previously. In generating the normalised patterns, the GCM simulated period of 1975 to 2005 was used as GCM baseline.

Out of the 40 GCMs 22 have their daily simulation outputs publically available (see Appendix 2). For the GCM with available daily data, a linear regression method was used to process them in order to derive the normalised pattern for the precipitation intensity series. A more detail discussion of the extreme precipitation change scenario generation can be found from Ye and Li (2011).

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Appendix 2: IPCC AR5 GCMs used in this scenario generation and their horizontal and vertical resolutions. Models with daily data available are used for extreme rainfall event scenario generation

Resolution Model label (longitude° Daily Institution latitude°) Commonwealth Scientific and Industrial Research 1.875 1.25 ACCESS1.0  No Organisation/Bureau of Meteorology (CSIRO-BOM) Australia Commonwealth Scientific and Industrial Research ACCESS1.3 1.8751.25 Yes Organisation/Bureau of Meteorology (CSIRO-BOM) Australia BCC-CSM1.1 2.81252.8125 No Beijing Climate Center (BCC) China BCC-CSM1.1(m) 2.81252.8125 No Beijing Climate Center (BCC) China BNU-ESM 2.81252.8125 No Beijing Normal University (BNU) China Canadian Centre for Climate Modelling and CanESM2 2.8125 2.8125 Yes  Analysis (CCCma) Canada National Center for Atmospheric Research (NCAR) CCSM4 Yes 1.250.9375 USA National Center for Atmospheric Research (NCAR) CESM1(BGC) Yes 1.250.9375 USA National Center for Atmospheric Research (NCAR) CESM1(CAM5) No 1.250.9375 USA Centro Euro-Mediterraneo sui Cambiamenti CMCC-CM Yes 0.750.75 Climatici (CMCC) Italy Centro Euro-Mediterraneo sui Cambiamenti CMCC-CMS 1.875 1.875 Yes  Climatici (CMCC) Italy Centre National de Recherches Météorologiques CNRM-CM5 1.4 1.4 Yes  (CNRM-CERFACS) France Commonwealth Scientific and Industrial Research CSIRO-Mk3.6.0 Yes 1.8751.875 Organisation (CSIRO) Australia EC-EARTH consortium published at Irish Centre for EC-EARTH No 1.1251.125 High-End Computing (ICHEC) Netherlands/Ireland Institute of Atmospheric Physics, Chinese Academy FGOALS-g2 2.81x1.66 No of Sciences(LSAG-CESS) China Institute of Atmospheric Physics, Chinese Academy FGOALS-s2 2.81x1.66 No of Sciences(LSAG-IAP) China Geophysical Fluid Dynamics Laboratory (GFDL) GFDL-CM3 2.5 × 2.0 No USA Geophysical Fluid Dynamics Laboratory (GFDL) GFDL-ESM2G 2.5x2.0 Yes USA Geophysical Fluid Dynamics Laboratory (GFDL) GFDL-ESM2M 2.5x2.0 Yes USA NASA Goddard Institute for Space Studies (NASA- GISS-E2-H 2.5×2×L40 No GISS) USA NASA Goddard Institute for Space Studies (NASA- GISS-E2-H-CC 2.5×2×L40 No GISS) USA NASA Goddard Institute for Space Studies (NASA- GISS-E2-R 2.5×2×L40 No GISS) USA NASA Goddard Institute for Space Studies (NASA- GISS-E2-R-CC 2.5x2×L40 No GISS) USA HadCM3 3.75x2.5 No Met Office Hadley Centre (MOHC) UK

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National Institute of Meteorological Research, HadGEM2-AO 1.875 × 1.2413 No Korea Meteorological Administration (NIMR-KMA) South Korea HadGEM2-CC 1.875 × 1.2413 No Met Office Hadley Centre (MOHC) UK National Institute of Meteorological Research, HadGEM2-AO 1.875 × 1.2413 No Korea Meteorological Administration (NIMR-KMA) South Korea HadGEM2-CC 1.875 × 1.2413 No Met Office Hadley Centre (MOHC) UK HadGEM2-ES 1.875 × 1.2413 Yes Met Office Hadley Centre (MOHC) UK Russian Academy of Sciences, Institute of INM-CM4 2x1.5 Yes Numerical Mathematics (INM) Russia IPSL-CM5A-LR 3.75x1.875 Yes Institut Pierre Simon Laplace (IPSL) France IPSL-CM5A-MR 2.5x1.25874 Yes Institut Pierre Simon Laplace (IPSL) France IPSL-CM5B-LR 3.75x1.875 Yes Institut Pierre Simon Laplace (IPSL) France Atmosphere and Ocean Research Institute (The University of Tokyo), National Institute for

MIROC-ESM Yes Environmental Studies, and Japan Agency for 2.8125x2.8125 Marine-Earth Science and Technology (MIROC) Japan Atmosphere and Ocean Research Institute (The University of Tokyo), National Institute for MIROC-ESM- Yes Environmental Studies, and Japan Agency for CHEM 2.8125x2.8125 Marine-Earth Science and Technology (MIROC) Japan Atmosphere and Ocean Research Institute (The University of Tokyo), National Institute for

MIROC4h No Environmental Studies, and Japan Agency for 0.5625x0.5625 Marine-Earth Science and Technology (MIROC) Japan Atmosphere and Ocean Research Institute (The University of Tokyo), National Institute for MIROC5 1.40625 × Yes Environmental Studies, and Japan Agency for 1.40625 Marine-Earth Science and Technology (MIROC) Japan Max Planck Institute for Meteorology (MPI-M) MPI-ESM-LR 1.875x1.875 Yes Germany Max Planck Institute for Meteorology (MPI-M) MPI-ESM-MR 1.875 × 1.875 Yes Germany Meteorological Research Institute (MRI) MRI-CGCM3 1.125x1.125 Yes Japan Bjerknes Centre for Climate Research, Norwegian NorESM1-M 2.5x1.875 Yes Meteorological Institute (NCC) Norway Bjerknes Centre for Climate Research, Norwegian NorESM1-ME 2x2 No Meteorological Institute (NCC) Norway

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Appendix 3: Temperature related observed climate variables and their future projections

Baseline 2050

2100

Figure A3-1: Baseline annual mean temperature (°C) and its 2050 change based on the median scenario projection.

29

35 Baseline 2050 projections 30 2100 projections

25

20

15

10

5

0 Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

Figure A3-2: Monthly normal temperature (°C): baseline and 2050, 2100 projections. The bar indicates the uncertainty range of the climate change projection as defined in Table 2

Table A3-1: Observed extreme temperatures and their future change projections for Jiangcheng and Lanchang. Return 2050 2100 period Baseline Low Mid High Low Mid High (year) scenario scenario scenario scenario scenario scenario Annual daily maximum temperature (°C) 20 39.1 40.2 40.6 42.1 40.6 41.9 45.9 50 39.6 40.6 41.0 42.5 41.0 42.4 46.4

100 39.8 40.9 41.2 42.8 41.2 42.6 46.7 Annual daily minimum temperature (°C)

Zhen’an 20 -12.2 -11.3 -10.9 -9.5 -10.9 -9.7 -6.1 50 -13.5 -12.6 -12.2 -10.9 -12.2 -11.0 -7.7 100 -14.5 -13.5 -13.2 -11.9 -13.2 -12.0 -8.9 Annual daily maximum temperature (°C) 20 41.0 42.1 42.4 44.0 42.4 43.9 48.0 50 41.2 42.3 42.7 44.3 42.7 44.1 48.3 100 41.4 42.4 42.8 44.4 42.8 44.3 48.5 Annual daily minimum temperature (°C) Xunyang Xunyang Ankang Ankang 20 -8.3 -7.3 -7.0 -5.6 -7.0 -5.7 -2.1 50 -9.4 -8.4 -8.1 -6.7 -8.1 -6.9 -3.3 100 -10.2 -9.2 -8.9 -7.6 -8.9 -7.7 -4.1

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Appendix 4: Precipitation related observed climate variables and their future projections

Baseline 2050 Median scenario

2100 Median scenario

Figure A4-1: The SMRSDP area annual rainfall distribution (mm): baseline and 2050, 2100 median scenario projection

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1400

1200 Zhen’an Ave = 786 mm 1983: 1244 mm 1000

800

600

400

Annual precipitation (mm) precipitation Annual 200 0 1958 1960 1962 1964 1966 1968 1970 1972 1974 1976 1978 1980 1982 1984 1986 1988 1990 1992 1994 1996 1998 2000 2002 2004 2006 2008 2010 2012 Time 1200 Xunyang 1000

800

600

400

200 Annual precipitation (mm) precipitation Annual

0 1960 1962 1964 1966 1968 1970 1972 1974 1976 1978 1980 1982 1984 1986 1988 1990 1992 1994 1996 1998 2000 2002 2004 2006 2008 2010 Time 1400 Ankang 1200

1000

800

600

400

Annual precipitation (mm) precipitation Annual 200

0 1952 1955 1958 1961 1964 1967 1970 1973 1976 1979 1982 1985 1988 1991 1994 1997 2000 2003 2006 2009 2012 Time

Figure A4-2: Observed annual rainfall of Zhen’an, Xunyang and Ankang (Zhen’an has missing data for 1968 and Ankang has missing data for 1952)

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180

160 Zhen’an

140

120

100

80

60

40

20

0 Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

Figure A4-3: Station monthly normal rainfall and future projection. The bar indicates the uncertainty range of the climate change projection as defined in Table 2

Figure A4-4: Zhen’an annual maximum 2 day rainfall GEV distribution and 2050 projection. Black line is the baseline from historical data; blue and red lines represent the uncertainty range as defined in Table 2; green line is low projection; red line is high projection. The horizontal difference between green and red lines indicates the uncertain range of rainfall intensity for a given rainfall frequency; the vertical difference between green and red lines indicates the uncertain range of rainfall frequency for a given rainfall intensity

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Figure A4-5: Same as Figure 4 but for 2100 projection

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Appendix 5: Discussion of the relations of rainfall - flood, rainfall - landslide for SMRSDP

There is a lack of hydrologic data in the SMRSDP area for proper hydrologic or hydraulic model development. Only a 44 years annual maximum river discharge data was collected for the Xiangjiaping hydrometric station for the Xun River. Due to the complex mountainous topo-geography of the Xun River catchment, the rainfall from the upper and middle reach has a much stronger influence on the Xun River flood than the rainfall at the lower reach. However, only daily data for one station at the middle reach of Zhen’an was available for this study. A statistical approach was adopted to explore the relationship between the Xiangjiaping annual maximum discharge and the Zhen’an rainfall of various durations between 1 day and 30 days in prior to the annual maximum flow event. Significant statistical relationship was found between the discharge and the 2 day rainfalls. The climate change impact assessment thus has been conducted based on the relationship of Zhen’an rainfall and Xiangjiaping river discharge. There two types of storm in the Xun River catchment: the thunder storm of summer and long term rain of autumn. It is expected that the rainfall-river discharge relationship could be improved if rainfall data from the upper reach or more data from the middle reach of the catchment becomes available, particularly for the relationship of the long term rain and flood, which is mainly caused by the long duration rainfall for a large area at upper and middle reaches.

The steps of climate change impact assessment on flood are:

1) The baseline GEV distribution of the annual maximum 2 day rainfall of Zhen’an was calculated from its observed daily data (Figure A4-4, A4-5); 2) The future 2050 and 2100 projections of GEV distribution was derived from GCM daily outputs (Figure A4-4, A4-5); 3) The baseline intensity (expressed as return period) of 2 day rainfall corresponding to every year annual maximum discharge at Xianjiaping was calculated from the 2 day rainfall observation and the derived GEV distribution; 4) The future 2 day rainfall projection corresponding to the annual maximum discharge was derived from the derived future GEV distribution; 5) The baseline annual maximum river discharge was calculated from the modelled 2 day rainfall and the river discharge (Figure 4 and Equation 1); 6) The future annual maximum river discharge projections was calculated from the derived rainfall projections (Table A5-1); 7) The baseline and future projected flood water level was calculated from the relationship between river discharge and river water level (Figure 5, A5-2, A5-3). 8) The assessment of climate change impact on design flood of key transport infrastructure such as bridge could then be carried out from the derived results.

Another major climate risk is the heavy rainfall induced landslide. The SMRSDP is located in mountainous area characterised by steep slopes. Human activities have caused serious land degradation. The landslide and debris flow disaster is severe in both frequency and intensity. While slope is the dominated factor contributed to landslide risk, a study on the project area revealed that it only accounts for 50% of the total landslide risk (Tan and Zhu, 1999). The heavy rainfall contributes 20%, and landcover accounts for the rest 30% of the total landslide risk. Researches have been done on the landslide in the SMRSDP area, but no quantitative

35

analysis could be found. Qualitative recommendation was then provided for the DI consideration.

260 y = -0.0767x2 + 1.887x + 246.65 258 R² = 0.9939 256

254

252

250

River water level (masl) level water River 248

246

244 0 2 4 6 8 10 3 River discharge (x1000 m /s)

Figure A5-1: The relationship between discharge and the water level at Zhongjiaping of the Xun River.

274 272 2 270 y = -0.1549x + 3.3632x + 254.9 R² = 0.9958 268 266 264 262 260 258 River water level (masl) level water River 256 254 252 0 2 4 6 8 10 River discharge (m3/s)

Figure A5-2: The relationship between discharge and the water level at Jijianping of the Xun River.

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Table A5-1: Modelled annual maximum discharge at Xiangjiaping and their corresponding future projections Modelled 2050 projections 2100 projections Year discharge Low Change Median Change High Change Low Change Median Change High Change (m3/s) (m3/s) (%) (m3/s) (%) (m3/s) (%) (m3/s) (%) (m3/s) (%) (m3/s) (%) 1960 2828.54 2938.03 3.87 2977.13 5.25 3126.09 10.52 2976.01 5.21 3111.57 10.01 3489.18 23.36 1964 3148.81 3271.33 3.89 3316.02 5.31 3487.69 10.76 3314.53 5.26 3470.93 10.23 3908.13 24.11 1965 2411.46 2510.51 4.11 2544.03 5.50 2668.04 10.64 2542.91 5.45 2656.12 10.15 2968.19 23.09 1967 2210.36 2309.79 4.50 2340.70 5.90 2454.65 11.05 2339.96 5.86 2443.85 10.56 2729.11 23.47 1972 4284.63 4477.90 4.51 4549.03 6.17 4827.96 12.68 4546.80 6.12 4800.77 12.05 5517.27 28.77 1974 3435.56 3575.58 4.08 3625.85 5.54 3820.99 11.22 3624.36 5.50 3802.00 10.67 4299.90 25.16 1978 3603.14 3750.61 4.09 3804.23 5.58 4013.89 11.40 3802.37 5.53 3993.41 10.83 4529.29 25.70 1979 2538.07 2638.99 3.98 2674.00 5.36 2805.08 10.52 2672.88 5.31 2792.42 10.02 3122.74 23.04 1981 2202.91 2309.79 4.85 2340.70 6.25 2454.65 11.43 2339.96 6.22 2443.85 10.94 2729.11 23.89 1982 1945.96 2105.34 8.19 2134.39 9.68 2239.03 15.06 2133.27 9.63 2229.35 14.56 2489.66 27.94 1983 5316.18 5600.69 5.35 5705.71 7.33 6119.82 15.12 5702.35 7.26 6078.85 14.35 7150.99 34.51 1984 2318.36 2425.23 4.61 2457.63 6.01 2577.17 11.16 2456.52 5.96 2565.63 10.67 2866.16 23.63 1987 2694.48 2800.61 3.94 2837.48 5.31 2977.88 10.52 2836.36 5.27 2964.47 10.02 3319.74 23.21 1988 2240.15 2309.79 3.11 2340.70 4.49 2454.65 9.58 2339.96 4.46 2443.85 9.09 2729.11 21.83 1989 3018.47 3131.68 3.75 3173.76 5.14 3335.75 10.51 3172.64 5.11 3320.11 9.99 3731.24 23.61 1990 2754.06 2856.47 3.72 2894.09 5.08 3037.83 10.30 2892.97 5.04 3024.05 9.80 3388.26 23.03 1991 3070.60 3195.36 4.06 3238.56 5.47 3404.65 10.88 3237.07 5.42 3388.63 10.36 3811.31 24.12 1998 2936.54 3049.00 3.83 3089.60 5.21 3246.00 10.54 3088.48 5.17 3230.74 10.02 3627.34 23.52 2002 3141.36 3262.39 3.85 3306.71 5.26 3477.64 10.70 3305.22 5.22 3461.25 10.18 3896.59 24.04 2003 3275.42 3402.78 3.89 3449.71 5.32 3631.07 10.86 3448.22 5.28 3613.56 10.32 4076.08 24.44 2005 5193.28 5465.51 5.24 5566.06 7.18 5961.92 14.80 5562.70 7.11 5922.82 14.05 6947.29 33.77

Ave. 2908.30 3025.80 3.80 3066.50 5.10 3223.10 10.00 3065.30 5.10 3207.90 9.50 3606.60 22.00

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Table A5-2: Modelled annual maximum water level of Zhaowan Reservoir and their future projections (masl) Water Modelled 2050 projections 2100 projections level baseline Low Change Median Change High change Low Change Median Change High Change 1960 312.90 313.17 0.27 313.26 0.36 313.62 0.72 313.26 0.36 313.58 0.69 314.47 1.57 1964 313.67 313.96 0.29 314.07 0.39 314.46 0.79 314.06 0.39 314.43 0.75 315.41 1.73 1965 311.85 312.10 0.25 312.19 0.34 312.50 0.65 312.19 0.33 312.47 0.62 313.24 1.39 1967 311.33 311.59 0.26 311.67 0.34 311.96 0.63 311.67 0.34 311.94 0.60 312.65 1.32 1972 316.21 316.61 0.40 316.76 0.55 317.31 1.10 316.75 0.54 317.26 1.05 318.61 2.39 1974 314.34 314.67 0.32 314.78 0.43 315.22 0.87 314.78 0.43 315.17 0.83 316.24 1.90 1978 314.73 315.06 0.33 315.18 0.45 315.64 0.91 315.17 0.45 315.59 0.86 316.72 1.99 1979 312.17 312.43 0.25 312.52 0.34 312.84 0.67 312.51 0.34 312.81 0.64 313.61 1.44 1981 311.31 311.59 0.28 311.67 0.36 311.96 0.65 311.67 0.36 311.94 0.62 312.65 1.34 1982 310.63 311.06 0.42 311.13 0.50 311.41 0.77 311.13 0.50 311.38 0.75 312.05 1.42 1983 318.24 318.75 0.51 318.94 0.70 319.64 1.40 318.93 0.69 319.57 1.33 321.19 2.95 1984 311.61 311.89 0.27 311.97 0.36 312.27 0.66 311.97 0.35 312.24 0.63 312.99 1.38 1987 312.57 312.83 0.26 312.92 0.35 313.26 0.70 312.92 0.35 313.23 0.66 314.08 1.51 1988 311.41 311.59 0.18 311.67 0.26 311.96 0.55 311.67 0.26 311.94 0.53 312.65 1.24 1989 313.36 313.63 0.27 313.73 0.37 314.11 0.75 313.73 0.37 314.08 0.72 315.02 1.65 1990 312.72 312.97 0.25 313.06 0.34 313.41 0.69 313.06 0.34 313.37 0.66 314.24 1.52 1991 313.49 313.78 0.30 313.89 0.40 314.27 0.79 313.88 0.40 314.24 0.75 315.19 1.71 1998 313.16 313.43 0.27 313.53 0.37 313.90 0.74 313.53 0.37 313.87 0.70 314.78 1.62 2002 313.66 313.94 0.29 314.05 0.39 314.44 0.79 314.04 0.39 314.40 0.75 315.38 1.73 2003 313.97 314.27 0.30 314.38 0.41 314.79 0.82 314.37 0.40 314.75 0.78 315.77 1.80 2005 318.01 318.51 0.50 318.69 0.68 319.38 1.36 318.69 0.67 319.31 1.30 320.91 2.89

313.40 313.71 0.31 313.81 0.41 314.21 0.81 313.81 0.41 314.17 0.77 315.14 1.74

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Table A5-3: Modelled annual maximum water level of Jijiaping Reservoir and their future projections (masl) Water Modelled 2050 projections 2100 projections level baseline Low Change Median Change High change Low Change Median Change High Change 1960 263.95 264.24 0.29 264.35 0.39 264.75 0.79 264.35 0.39 264.71 0.75 265.68 1.72 1964 262.11 262.37 0.26 262.45 0.34 262.77 0.66 262.45 0.34 262.74 0.63 263.52 1.41 1965 261.58 261.84 0.26 261.92 0.35 262.22 0.65 261.92 0.34 262.19 0.62 262.92 1.35 1967 266.47 266.85 0.39 266.99 0.53 267.53 1.06 266.99 0.52 267.48 1.01 268.74 2.27 1972 264.63 264.95 0.32 265.06 0.43 265.49 0.86 265.05 0.43 265.45 0.82 266.5 1.87 1974 260.62 260.62 0 260.62 0 260.62 0 260.62 0 260.62 0 260.62 0 1978 265.01 265.34 0.33 265.45 0.45 265.9 0.9 265.45 0.44 265.86 0.85 266.96 1.95 1979 262.44 262.7 0.26 262.79 0.35 263.12 0.68 262.78 0.34 263.08 0.65 263.89 1.45 1981 261.56 261.84 0.28 261.92 0.37 262.22 0.67 261.92 0.36 262.19 0.64 262.92 1.37 1982 260.86 261.29 0.44 261.37 0.51 261.65 0.8 261.37 0.51 261.63 0.77 262.31 1.46 1983 268.4 268.88 0.48 269.05 0.65 269.68 1.28 269.04 0.64 269.62 1.22 271.03 2.63 1984 261.86 262.15 0.28 262.23 0.37 262.54 0.67 262.23 0.36 262.51 0.64 263.27 1.4 1987 262.84 263.1 0.27 263.2 0.36 263.54 0.7 263.19 0.36 263.51 0.67 264.36 1.52 1988 261.66 261.84 0.19 261.92 0.27 262.22 0.57 261.92 0.26 262.19 0.54 262.92 1.27 1989 263.64 263.91 0.27 264.01 0.37 264.4 0.75 264.01 0.37 264.36 0.72 265.29 1.65 1990 262.99 263.24 0.26 263.34 0.35 263.69 0.7 263.33 0.35 263.65 0.67 264.52 1.53 1991 263.77 264.07 0.3 264.17 0.4 264.55 0.79 264.16 0.4 264.52 0.75 265.47 1.7 1998 263.44 263.71 0.27 263.81 0.37 264.18 0.74 263.81 0.37 264.15 0.71 265.06 1.62 2002 263.94 264.22 0.29 264.33 0.39 264.72 0.79 264.32 0.39 264.69 0.75 265.65 1.72 2003 264.25 264.55 0.3 264.66 0.4 265.07 0.82 264.66 0.4 265.03 0.78 266.04 1.78 2005 268.19 268.65 0.47 268.82 0.63 269.45 1.26 268.82 0.63 269.39 1.2 270.79 2.6

Ave. 263.53 263.83 0.29 263.93 0.39 264.3 0.77 263.92 0.39 264.27 0.73 265.16 1.63

39

Table A5-4: Modelled annual maximum water level of Zhongjiaping Reservoir and their future projections (masl) Water Modelled 2050 projections 2100 projections level baseline Low Change Median Change High change Low Change Median Change High Change 1960 251.83 252 0.17 252.06 0.23 252.3 0.47 252.06 0.23 252.28 0.44 252.85 1.02 1964 250.75 250.9 0.15 250.95 0.2 251.14 0.38 250.95 0.2 251.12 0.37 251.58 0.82 1965 250.45 250.6 0.15 250.65 0.2 250.82 0.37 250.65 0.2 250.8 0.36 251.23 0.78 1967 253.33 253.56 0.23 253.65 0.32 253.97 0.65 253.64 0.32 253.94 0.61 254.73 1.4 1972 252.23 252.42 0.19 252.48 0.26 252.74 0.51 252.48 0.25 252.72 0.49 253.35 1.12 1974 249.89 249.89 0 249.89 0 249.89 0 249.89 0 249.89 0 249.89 0 1978 252.45 252.65 0.2 252.72 0.27 252.99 0.54 252.72 0.26 252.96 0.51 253.62 1.17 1979 250.95 251.1 0.15 251.15 0.2 251.34 0.39 251.15 0.2 251.32 0.38 251.79 0.85 1981 250.43 250.6 0.16 250.65 0.21 250.82 0.39 250.65 0.21 250.8 0.37 251.23 0.79 1982 250.03 250.28 0.25 250.33 0.3 250.49 0.46 250.33 0.29 250.48 0.44 250.87 0.84 1983 254.51 254.81 0.3 254.92 0.41 255.33 0.81 254.92 0.4 255.29 0.77 256.22 1.71 1984 250.61 250.78 0.16 250.82 0.21 251 0.39 250.82 0.21 250.99 0.37 251.43 0.82 1987 251.18 251.33 0.16 251.39 0.21 251.59 0.41 251.39 0.21 251.57 0.39 252.07 0.89 1988 250.49 250.6 0.11 250.65 0.15 250.82 0.33 250.65 0.15 250.8 0.31 251.23 0.74 1989 251.65 251.81 0.16 251.87 0.22 252.09 0.44 251.86 0.22 252.07 0.42 252.62 0.98 1990 251.27 251.41 0.15 251.47 0.2 251.67 0.41 251.47 0.2 251.65 0.39 252.16 0.9 1991 251.72 251.9 0.18 251.96 0.24 252.19 0.46 251.95 0.23 252.16 0.44 252.73 1.01 1998 251.53 251.69 0.16 251.75 0.22 251.97 0.44 251.75 0.22 251.95 0.42 252.49 0.96 2002 251.82 251.99 0.17 252.05 0.23 252.28 0.46 252.05 0.23 252.26 0.44 252.84 1.02 2003 252.01 252.18 0.18 252.25 0.24 252.49 0.48 252.24 0.24 252.47 0.46 253.07 1.06 2005 254.38 254.67 0.29 254.78 0.4 255.17 0.79 254.77 0.39 255.14 0.75 256.06 1.68

Ave. 251.6 251.77 0.17 251.83 0.23 252.05 0.46 251.83 0.23 252.03 0.44 252.57 0.98

40

APPENDIX 4: LETTER FROM ANKANG MUNICIPAL FORESTRY BUREAU

(with English translation) Opinion related to the Impact of the Re-construction of G316 Xunyang to Ankang section on Shaanxi Han River Wetland

To Hanbin Traffic and Transport Bureau

We have clear understanding of your project on re-constructing the section of G316 from Xunyang to Ankang. After investigating and discussions, our bureau has formed the following opinion on the project’s impact on Shaanxi Han River Wetland:

1. The main protection target for the Shaanxi Han River Wetland is the water quality of Han River. There is no critical habitat in the Shaanxi Han River Wetland within the section of G316 funded by the Asian Development Bank.

2. The Environmental Impact Report for Re-construction of G316 Xunyang to Ankang listed the following environmental protection measures: (i) New drainage facilities will be constructed concurrently with road re-construction, which will promote environmental improvements along the alignment. (ii) On the side of the road near the Han River but without houses forming barriers, protective guard rails will be constructed to prevent vehicles carrying dangerous good from overturning into the Han River. (iii) Increase the anti-collision levels of the guard rails, and install warning signs, speed limit signs, no passing signs and notice boards on bridges and curves. (iv) To minimize and prevent accidental spillage of dangerous goods into water bodies causing water pollution, runoff collection systems will be installed on bridges. Collection tanks (evaporation tanks) with impervious treatment will be installed on one or both ends of the bridges to collect road runoff. Accidental spillage could be centralized by these collection tanks for treatment. (v) This Bureau considers that the measures brought up by the environmental impact report would avoid risk, and would satisfy the requirement for protecting the existing water quality of Han River.

Based on the above, this Bureau agrees to project for re-constructing G316 Xunyang to Ankang section, and hope that the Hanbin Traffic and Transport Bureau will strictly follow the requirements raised in the environmental report and put the environmental protection measures in place, ensuring that the Han River water quality and aquatic environment will not be worse than the present level.

Hanbin District Forestry Bureau