Summary of Feasibility Studies for Upgrading Demonstration SHP Plants (Including Preliminary Environmental and Social Impact Assessment)

Annex T5: Summary Feasibility Report for Demonstration projects

Summary of Feasibility Studies for upgrading demonstration SHP plants (including preliminary Environmental and Social Impact Assessment)

Contents PART A – INTRODUCTION AND OVERVIEW OF SHP PROJECTS ...... 3 1. Introduction ...... 3 2. Overview of Demonstration SHP projects ...... 4 3. Selection process and criteria for demonstration SHPs ...... 9 PART B – SUMMARY FEASIBILITY STUDY ...... 10 1. Current situation & the necessity for refurbishments ...... 10 4. Hydrology analysis ...... 10 5. Geology analysis ...... 11 6. Tasks and scale of the project ...... 11 7. Overall layout & content (design) of the refurbishment ...... 11 8. Building and civil refurbishment ...... 12 9. Hydraulic machinery, HVAC, fire safety equipment ...... 12 10. Generators and other electrical equipment ...... 12 11. Metal structures ...... 12 12. Construction design and structural stability ...... 12 13. Reservoir Inundation and engineering permanent land ...... 12 14. Geological disaster prevention ...... 13 15. Environmental protection ...... 13 16. Soil and Water Conservation ...... 17 17. Energy-saving design ...... 17 18. Project Management ...... 17 19. Project budget ...... 17 20. Economic Evaluation ...... 17 1.1. Assumptions ...... 17 1.2. Evaluation ...... 18 PART C – PRELIMINARY ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT .... 19 1. Introduction ...... 19 2. Baseline overview ...... 20 1. Physical and environment ...... 20

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2. Socio-economic ...... 21 3. Environmental Policy, Institutional and Legal Framework ...... 21 4. Project activities and components ...... 22 5. Consultation ...... 22 6. Preliminary Impact and Risk Assessment ...... 22 7. Environmental and Social related Recommendations ...... 32 PART D - Summary of Project Design Reports for the hydropower expansion projects ...... 33 Summary of PDR of Maoyandong Cascade II Hydropower Plant ...... 35 Summary of PDR of Mabozi Hydropower Plant ...... 37 Summary of PDR of Quanqiaohe Cascade I Hydropower Plant ...... 39 Summary of PDR of Quanqiaohe Cascade II Hydropower Plant ...... 42 Summary of PDR of Chahe Hydropower Plant ...... 44 Summary of PDR of Jiuqianyan Hydropower Plant ...... 47 Summary of PDR for Jiugonghe Hydropower Plant ...... 49 Summary of PDR for Zhoujialiang Hydropower Plant ...... 53 Summary of PDR for Yangdaohe Cascade Project ...... 56 Summary of PDR for Majing Hydropower Plant ...... 59 Summary of PDR for Xiaokeng Hydropower Plant ...... 62 Summary of PDR Gaokeng Hydropower Plant ...... 66 Summary of PDR of Jingtanfeng Hydropower Plant ...... 70 Summary of PDR of Huangyan Hydropower Plant ...... 72 Summary of PDR for Taiping Hydropower Plant ...... 74 Summary of PDR of Lianjiang County Tangban Hydropower Plant...... 78 Summary of PDR of Jiaosan Hydropower Plant ...... 80 Summary of PDR of Tantou Hydropower Plant ...... 82 Summary of PDR of Gaofang Cascade II Hydropower Plant ...... 85 Summary of PDR for Baiyunxia Hydropwoer Plant ...... 87 Summary of PDR for Xiakou Hydropower Plant ...... 90 Summary of PDR for Xinpingya Hydropower Plant ...... 93 Summary of PDR of Guanxi Hydropower Plant ...... 96 Summary of PDR for Sandieling & Dongpai HydropowerPlants ...... 99 Summary of PDR of Aibu Cascade II & III Hydropower Plant ...... 102 Summary of PDR for Qingshuitan Hydropower Plant ...... 104 Summary of PDR for Panxi Cascade Ⅱ&Ⅲ&Ⅳ Hydropower Plants ...... 107 Appendix A – Environmental and Social Management Plan (ESMP): Draft template 112

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PART A – INTRODUCTION AND OVERVIEW OF SHP PROJECTS 1. Introduction

UNIDO is preparing a GEF funded ‘full-size project’ entitled Upgrading of China Small Hydropower (SHP) Capacity. The proposed Project will focus on environmental upgrading of rural SHP stations in China, in line with the priorities of the Chinese Government, as outlined in its 12th FYP (five-year plan) 2011-2015.

Since 2004, the central Chinese Government has listed rural hydro power development in its rural infrastructure construction tasks to further increase investments and loan input to support rural hydropower development. The UNIDO-GEF Project aims at supporting the SHP capacity expansion programme of the Ministry of Water Resources (MWR), by reducing the environmental impact of SHP plants to better meet the challenges imposed by climate change.

The objective of this overall project is to reduce GHG emissions and dependence on fossil fuels through the promotion of upgrading, greening and improving the management of existing SHP stations, contributing to the competitiveness of China’s industries. Alongside important social and economic benefits, the project will improve local river ecology, hence contributing to adaptation of SHP plants to climate change. The project will transfer knowledge and technology in the field of green SHP within China, leading to positive environmental impacts.

The overall Project is comprised of four components which are: • Component 1: Policy and institutional framework promoting green SHP plants. • Component 2: Greening and improving the management and safety standards of existing SHP plants. • Component 3: Knowledge base and capacities in the fields of green SHPs and improved and safe SHP management • Component 4: Monitoring and Evaluation

This report is a summary feasibility report covering all 24 demonstration SHP upgrade plants to be included under Component 2. In addition the report includes a preliminary environmental and social impact assessment for these projects. The report is split into four sections, or parts:

Part A is the introduction and provides an overview of the 24 SHP upgrade plants, their location and annual power generation following the upgrade. In addition Part A provides an explanation of the selection process for these projects.

Part B forms the ‘Summary Feasibility Study’ providing the key details of the portfolio of demonstration projects. A full feasibility report (or preliminary design report (PDR)) has been prepared for every demonstration SHP upgrade project. Each of these documents is about 100 pages long and is in Chinese. Therefore this section provides an overview of these. This part follows a similar format to the individual PDRs providing information on what is included in the detailed PDRs. In addition a short summary of each of the projects is included in Part D. The full PDRs in Chinese are available on request.

Part C includes a preliminary environmental and social impact assessment (ESIA). An Environmental and Social Management Plan (ESMP) is required to fulfil the requirements of a GEF-6 PIF approved project that falls into Category B, as indicated in the Environmental

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and Social (E&S) Screening Checklist1. However in view of the comment made by UNIDO dated 22 October 2014 that an Environmental Impact Assessment (EIA) would be submitted, and with the limited time available during the PPG, the high number of demonstration projects and SHP regulations in China2, this preliminary ESIA serves to replace the EIA promised.

An ESMP will be prepared for each SHP demonstration plant during the project’s Inception phase to satisfy GEF’s requirements on Environmental and Social Safeguards, as set out in UNIDO’s Environmental and Social Safeguards Policies and Procedures (ESSPP), which is to produce an ESMP for projects classified as Category B projects.

2. Overview of Demonstration SHP projects

The objectives for each SHP project for the upgrade, as stated in the PDRs, are: i. Elimination of power plant safety risks, guaranteeing the safe operation of power plants; ii. Improve the efficiency of generating units; iii. Increase unit capacity, increase generating capacity; iv. Elimination of outdated equipment, power distribution, boost energy loss device; v. Improve station automation level, reduce labour intensity; and vi. Improve plant operation environment, improve staff comfort.

Following a selection process carried out by the Ministry of Water Resources (MWR) and the International Centre for SHP (ICSHP) (detailed below) a total of 24 demonstration projects were selected. The projects vary from upgrading a 0.5 MW SHP plant up to upgrading a plant to 16 MW SHP plant and are located in 8 provinces. In total an additional 23.7 MW will be added to the capacity of the 24 demonstration projects and it is estimated that an additional 157,000 MWh of power will be generated each year. The following map shows the location of each of the demonstration projects and Table 1 provides the outline details of each of the projects. Further details of each project, including the additional environmental and safety measures, are provided in the following sections.

1 As submitted to GEF Secretariat in August 2015 2 Under Chinese regulations no Environment Impact Assessment (EIA) or Environmental and Social Impact Assessment (ESIA) is required for SHP upgrade or rehabilitation projects.

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Figure 1: Locations of demonstration projects

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Table 1: Overview of demonstration projects

ID Project Name Project owner River Province Capacity Annual generation Post upgrade Current Proposed (MWh) (kW) (MWh) Maoyandong Luxi Maoyandong 1 Cascade.2 Power Generation Xiaojiang River Yunnan 15000 5196 6849 Hydropower Plant Co,.Ltd Tonghai County Mabozi Hydropower 2 Jiangyuan Qujiang River Yunnan 5300 478 2297 Plant Hydropower Co,.Ltd Quanqiao Quanqiaohe Cascade Yangbi River(branch at 3 1 & 2 Hydropower Quanqiaohe Power Yunnan 2890 1011 1315 the left bank of Plant Generation Co,.Ltd Yangbi River) Shiping County Xiaohedi Branch Chahe Hydropower 4 Ruilong Electric in Honghe River Yunnan 4800 949.59 2620 Plant Industry Co,.Ltd Basin Pingbian County Jiuqianyan 5 Jiuqianyan Power Xinxian River Yunnan 8000 4108 4622 Hydropower Plant Generation Co. Ltd Tongshan County Jiugonghe 6 Hydropower Hengshi River Hubei 2520 515 659.56 Hydropower Plant Company Shiyan City Zhoujialiang Yunyang District 7 Taohe River Hubei 2630 975 1418 Hydropower Plant Zhoujialiang Hydropower Plant Hubei Province Yangdaohe Cascade Gaolan River 8 Xingfa Chemical Hubei 17000 6908 8246 project Basin Group Corp,.Ltd Chongqing Majing Hydropower Municpality Qijiang 9 Qingxi River Chongqing 6400 1606 2876 Plant District Hydropower Generation Co,.Ltd Xiaokeng Chongqing 10 Liangtan River Chongqing 1200 151 441 Hydropower Plant Municpality Xiema

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Power Generation Co,.Ltd Chongqing Gaokeng 11 Longzhu Electric Xiaoanxi River Chongqing 4600 1898 2293 Hydropower Plant Power Co,.Ltd Wushan County Jingtanfeng and 12 Jingtan Power Plant Guandu River Chongqing 2560 1860 2560 Huangyan Plants Co,.Ltd Chongqing Tailong Taiping Hydropower 13 Electric Power Nixi River Chongqing 4000 1088 1285 Plant Co,.Ltd Fujian Province Tangban Hydropower Lianjiang County Aojiang River 14 Fujian 12600 3270 4000 Plant Tangban Basin Hydropower Plant Fujian Province Jiaosan & Thantou Taining County Puxi Branch in 15 Fujian 7320 2881 3370 Hydorpower plant Jiaoxi Hydropower Jinxi Basin Co,.Ltd Pucheng County Gaofang Cascade II 16 Gaofang Cascade II Dashi Stream Fujian 2350 500 600 Hydropower Plant Hydropower Plant Taibai County Baiyunxia 17 Baiyunxia Shitou River Shaanxi 2760 701.5 1321 Hydropower Plant Hydropower Co,.Ltd Taibai County Shanchaxia Xiakou Hydropower 18 Shanxia Brach of Shitou Shaanxi 1580 450 502 Plant Hydropower Co,.Ltd River Shaanxi Province Xinpingya Local Power Group 19 Badao River Shaanxi 3200 970 1187 Hydropower Plant Co. Ltd/ Hydropower Co,.Ltd Ruyuan Yao Nanshui Guanxi Hydropower Autonomous County River(Branch of 20 Guangdong 6000 1500 1799.6 Plant Guanxi Hydropower Bei River) Co,.Ltd Sandieling & Dongpai Jingxi County Water 21 Luoshui River Guangxi 15000 3108.3 3620 Hdropower plant Conservancy and

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Electric Power Co,.Ltd Jingxi County Water Aibu Cascade II & III Conservancy and 22 Longtan Rvier Guangxi 5600 1136 2455 Hydropower Plants Electric Power Co. Ltd Quzhou City Shangshan Qingshuitan 23 Qingshuitan Stream(brach of Zhejiang 1200 331 877 Hydropower Plant Hydropower Plant Qujiang River) Panxi Panxi Cascades II, III Jinyun County River(brach in 24 & IV Hydropower Cascade Power Zhejiang 7000 2107 2311 Haoxi River Plants Generation Plants Basin) Total 141510 43698.39 59524.16

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3. Selection process and criteria for demonstration SHPs

The selection of the GEF demonstration projects was a two staged process to ensure that the projects are additional, are incremental, are replicable, viable and co-finance would be available. During the PPG project selection criteria were prepared in consultation with project stakeholders. In addition it was agreed that it would make sense for the project to focus on approximately 5-8 provinces and therefore province selection criteria were also prepared in consultation with MWR. Copies of these criteria are included in Annex T4 of the CEO Document MWR circulated a request to every province for projects which meet the criteria and which also meet the criteria of the Government refurbishment programme. Gender considerations were added to the selection criteria to ensure that women and men will equally benefit from the SHP project and that neither women nor men will be disadvantaged through the projects. Based on the responses from each province, 8 provinces were finally selected.

Initial information on projects interested and eligible to receive funding was received from SHP owners/developers. During the selection process it became apparent that it was difficult to meet the initial strict selection criteria, in particular with regard to size (1MW – 20 MW) and to dam and reservoir size (ICOLD definition on large dams) since the vast majority of projects eligible for the refurbishment programme have larger dams or reservoirs, or, alternatively, are smaller than 1 MW. As a result a greater number of projects was needed to result in the anticipated outputs (24 as opposed to the 15 mentioned in the PIR). In addition criteria was added that each pilot project should confirm the SHP plant construction stability and have an environmental and social impact assessment conducted at the time of the initial construction of the SHP plant (according to the national guidelines at that time). According to the "Reservoir Dam Safety Appraisal Measure”, revised by MWR in 2003, there is a requirement for plants with a dam height above 15 meters or a reservoir capacity above 1 million m3 to carry out mandatory dam safety appraisal . For smaller dams, such as those in this project, it is not compulsory. However the plant owners carry out routine dam checks.

From an initial list received by MWR of 53 projects, the project information received was then further screened and feasibility studies were carried out for each of the 24 short-listed projects on the viability and feasibility of greening the SHP rehabilitation and improving the safety standards. In particular the following aspects were reviewed:  Environmental improvements such as environmental remediation for dehydration sections between the dam and powerhouse of diversion SHP stations, ecological flow discharging and supervision, animal life protection;  Improved management such as management regulation of the optimization and electricity dispatching, safety and standardized operation to improve the efficiency;  Improved technology application and equipment such as innovative energy saving transformer, monitoring equipment, sensors and measurement control equipment.

Taking these into account, during the PPG a long list of potential measures to be included in the project was prepared (see Annex T3). For each of the demonstration projects a number of these measures were selected depending on local applicability. Each of the demonstration projects will, following the refurbishment, also aim to meet China’s Grade A of the safe production standard. Grade A stations showcase: a) safety production standards; b) intelligent monitoring systems including sensors and advanced measurement control equipment; c) establishing a connection between the key equipment operation and the measuring point to realize real time monitoring of the equipment operation status and; d) a dynamic management. In some cases Grade A may not be appropriate due to the small scale of the project and in those cases Grade B will be attained which is more suitable and is still a significant improvement on the current situation. Accordingly, the management of the

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SHP stations including automation, information exchange and standardization will be improved. Automated SHP stations will be promoted through this effort and plant performance will be increased significantly.

The final list of projects is shown in Table 1 and further details of the additional measures are outlined in Table 2. The summary sheets in Part D give further technical and financial detail of each project. PART B – SUMMARY FEASIBILITY STUDY 1. Current situation & the necessity for refurbishments The current situation at each of the demonstration projects differ, however in each case the original construction and equipment installation dates from between 1942 and 2000. As part of the review the individual studies review the civil structures and the electrical equipment. A structural inspection is carried out of the diversion canal, forebay, penstock, powerhouse and access roads looking for evidence of concrete carbonation, subsidence and cracks or other unsafe phenomenon. In most cases these have been found to be safe although there is often a need to upgrade the powerhouse environment to improve the safety conditions for staff. For the equipment, in most cases it still operates satisfactorily but at that time it was not sized for optimum output and there has been a decline in efficiency over the years and a corresponding increase in use of water. In most cases there has been some turbine corrosion, the vane gaps have increased and there is now greater leakage. In some cases there has been significant wear to the inlet and pressure control valves. In the intervening years there have also been significant advances in computing technology and testing, fluid flow analysis and design so that modern turbines make better use of the available water resource and have improved efficiency.

In addition the electrical equipment and controls are increasingly obsolete, insulation is inadequate with some over-heating and there is limited automation. The main equipment performs poorly with high energy consumption and low efficiency. Many of the devices have been listed in the national phase-out product lists. In all cases there is a need to replace the governor, the transformers, switchgear and control and protection equipment to improve safety, automation and efficiency.

Refurbishment can also improve the local villages and economy with new roads, water supply and if the plants are collectively owned then there is scope for additional dividends to the villagers. This is referred to as promoting the “new socialist countryside construction”. Of the 24 demonstration projects five are collectively owned.

4. Hydrology analysis An hydrology analysis has been carried out at each site reviewing the available water resources. This is carried out through an overview of the watershed, the local meteorology and analysis of the flow/water data from the last years. Data availability varies for the different sites. Not all sites have measured flow data so it must be calculated from rainfall and run-off data etc. Some provinces have Hydrological Atlases and many have rainfall data from 45 years. The sites vary from subtropical areas in Guangdong, Guangxi and Yunnan provinces to more temperate climates in Shaanxi and Hubei provinces. Flows vary through the year. Flood flow rates, dry season rates and probabilities are all calculated. From the data available flows in representative years are selected which are then used for the refurbishment design.

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5. Geology analysis For each project the regional geology and local geology is identified along with the area vegetation and groundwater. The local seismic activity is reviewed from the State Seismological Bureau which provides China earthquake zoning and ground acceleration figures which then correspond to a rating (degree) for the seismic intensity. The list of demonstration projects include projects which are in regions rated less than IV and up to IX degrees. At each site an examination is carried out looking for evidence of landslides, collapse, cracks, subsidence or other aspects. In all cases there was found to be no damage. The analysis shows that for all of the demonstration projects there has been no change to the seismic situation. According to the "Reservoir Dam Safety Appraisal Measure”, revised by MWR in 2003, there is a requirement for plants with a dam height above 15 meters or a reservoir capacity above 1 million m3 to carry out mandatory dam safety appraisal . In a few cases some of the dams have had official appraisals (although smaller than the requirement). For smaller dams, such as those in this project, it is not compulsory. However in all cases the plant owners have carried out routine dam checks.

6. Tasks and scale of the project

The objectives for each SHP project for the upgrade project, as stated in the PDRs, are: i. Elimination of power plant safety risks, guaranteeing the safe operation of power plants; ii. Improve the efficiency of generating units; iii. Increase unit capacity, increase generating capacity; iv. Elimination of outdated equipment, power distribution, boost energy loss device; v. Improve station automation level, reduce labour intensity; and vi. Improve plant operation environment, improve staff comfort.

The first step is to check and review the flood standards and if it is still valid from the original design. If still valid then the powerhouse remains. The next step is to calculate the new installed capacity and generation of the plant. The rated flow is reviewed and once an ecological flow has been netted off then the generation units are optimized. Where new rated flowrates are used the pressure losses in the pipework must be recalculated to ensure it is still within acceptable levels. New replacement units are recommended for every demonstration project but not all of the units will result in an increase in capacity. Some will result in additional annual generation based on the improvements to efficiency and operation alone. In each case the number of generating units does not change. The increase in annual generation is shown in Table 1. 7. Overall layout & content (design) of the refurbishment The design basis for the refurbishment is based on a number of Chinese norms and specifications, namely the following: a) Transformation of small hydropower stations norms (GB / T 50700); b) Small hydroelectric power station design specifications (GB 50071); c) Small Hydropower mechanical and electrical equipment scrapped conditions" GB (issued); d) The Ministry of Water Resources' expansion of rural water efficiency transformation project preliminary design guidance; e) The Ministry of Water Resources [2011] No. 438 "expansion of rural water efficiency transformation project electrical equipment selection guidance "; f) The Ministry of Water Resources [2003] No. 170 text "modernization of rural hydropower technology guidance"; g) the original design data and related documents; and

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h) design contracts

This section of the PDR sets out the main content of the refurbishment project listing the equipment to be replaced including turbines and generators, electrical equipment, controls and computing. It also lists other measures such as reparation of access roads, trash rack maintenance and other maintenance. In all cases the layout of the main refurbishment will not result in any overall layout changes. 8. Building and civil refurbishment Reviews have been carried out on the various civil construction measures to ensure that they are still fit for use under the refurbishment. For example this includes a review of the diversion canal and provides details on renovations required to the powerhouse building. A number of the demonstration plants need to renovate some of the civil works (other than cosmetic/safety changes to the powerhouses). For example renovation of river channels and retaining walls, strengthening the diversion channels, repairing collapsed river banks and renovations to irrigation canals and systems. 9. Hydraulic machinery, HVAC, fire safety equipment The specifications for each piece of mechanical equipment is provided for each demonstration project. This includes the turbines (type, blade diameter, rated speed, efficiency), governors, valves, regulators, auxiliary equipment (water supply, drainage, compressed air, oil, lifting equipment), automation components, dismantling of existing equipment, replacement of rusted components, heating and ventilation for the powerhouse and fire safety design. The number of turbine units will not be increased at the sites, except where an additional residual flow low head turbine is being installed downstream of the dam. 10. Generators and other electrical equipment At every project the generators are being replaced with more efficient equipment, and in most cases larger units. Specifications are provided for the generators, transformers, 6.3kV equipment, 35kV equipment, excitation equipment, circuit breakers, protection and earthing equipment, automation systems and video surveillance systems. 11. Metal structures Metal structures which are likely to be replaced/maintained at the demonstration projects include trash racks, intake gates and drainage, forebay gate and hoist. Trash racks are checked for rust and operation as are the intake gates and drainage gates. Where necessary these will be painted with rust paint and new seals, or they will be replaced. 12. Construction design and structural stability There is no planned changes to the existing dams or reservoirs. As described above the construction and dam safety is checked. The construction design outlines where there are any changes to the civil structures of the plant. The local infrastructure is outlined along with ease of working at the site. The number of installation workers is provided for each project.

Construction schedules are provided. Where possible construction has been planned for the dry season to minimize loss in generation. The length of the likely construction schedules vary between 6 months and 12 months depending on the complexity of the project. 13. Reservoir Inundation and engineering permanent land All the projects will use the existing reservoir and none will include a new or larger reservoir so no new inundation is anticipated. No engineering permanent land is anticipated.

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14. Geological disaster prevention An assessment is made at each demonstration project as to whether the current situation, or the refurbishment measures, will lead to any adverse geological conditions or disasters. Where there has found to be no subsidence, no landslides, shore stability and no changes are proposed for the civil works then the conclusion is that the project will not lead to any geological disaster. This is the case for each of the demonstration projects.

15. Environmental protection Every one of the proposed projects is an upgrade project to an existing SHP plant. As described above the work planned will not change the existing dams, reservoirs or impact on the existing access roads or transmission lines. The work will be carried out within the existing boundaries of the SHP plants. There will be no resettlement of populations as part of this project.

In addition to the measures outlined in the previous sections (the replacement of the electromechanical equipment in the existing powerhouses, HVAC, fire safety as well as changes to the controls) there will be a number of changes to improve the local environment and the safety of the plant. This will include ensuring a minimum impact on the environment and ensuring the river’s health. These could include, for example, changes to the sluice gate, to the monitoring, addition of screens and some changes to the surrounding environment such as tree planting. In some cases there will also be some minor civil work such as road or path reparation or river bank reparation.

Measures to limit the impact of the construction period on the environment are also included such as requirements for solid waste to be compacted and transferred from site, low noise equipment to be used, and prohibiting discharge to river and of any PCB or asbestos equipment.

The following table provides an overview of the additional (non-core/electro-mechanical) activities at each of the project sites as well as providing details of the existing and new project size.

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Table 2: Environmental and safety project activities at each project site

ID Name Dam Installed capacity Other key additional project activities (controls, monitoring, ecological flow, Height Type Current New tree planting…) (m) (rockfill/ (MW) (MW) concrete) 14.4 Rockfill Replace control protection systems and installs automatic control system, , install Maoyandong gravity ecological flow pipe & monitoring system, install racking equipment before trash Cascade.2 rack, renovate the river channel, increase some retaining walls and restore the 1 12600 15000 Hydropower landscape, install water quality monitoring, Grade B Safe Production standard, Plant Green SHP assessment, oil collection devices, sound insulation, water purifying tank and plant trees around plant and banks. Mabozi 14 Concrete Replace control protection systems, install ecological flow unit, ecological flow and 2 Hydropower gravity 3650 5300 water quality monitoring, Grade A safe production standard, Green SHP Plant dam assessment. 5.5 Concrete Quanqiaohe Replace control protection systems and install automatic control system, hydraulic &6.3 gravity Cascade 1 & 2 structure refurbishment, Install ecological flow pipe & monitoring system, 3 dam & 2300 2890 Hydropower environment recovery for the dehydration section, Grade A safe production rockfill Plant standard, sound insulation and water purifying, green SHP assessment. gravity Chahe 12 Rockfill Install ecological flow pipe & monitoring system, install trash rack and trash 4 Hydropower gravity 4000 4800 treatment devices, downstream river channel recovery and landscape, sound Plant insulation, Grade B Safe Production Standard, Green SHP assessment. Jiuqianyan 7.4 Rockfill Replace automatic control system, install ecological flow pipe & monitoring system, 5 Hydropower gravity 6400 8000 repair the path nearby the plant, sound insulation, water purifying, Grade B Safe Plant Production Standard, Green SHP assessment, 11.26 Type 2 Replace 4 control protection systems and installs automatic control system, install Jiugonghe ecological flow pipe and reconstruct trash rack, ecological weir downstream, 6 Hydropower 2520 2520 ecological restoration for flood land, riverbank and estuarine wetland, Grade B Safe Plant Production Standard, Green SHP assessment 7 Arch dam Install ecological flow discharging (equipment, facilities, on-line monitoring system), Zhoujialiang ecological restoration for flood land, riverbank and estuarine wetland, Grade A Safe 7 Hydropower 2230 2630 Production Standard, Green SHP assessment, install water supply facilities, Plant floating debris disposal, water quality monitoring and hydrological telemetric equipment. 5 Bottom Increase trash remover and a control center and cables, install facilities for Yangdaohe 8 barrier 16250 17000 ecological flow discharging, construct a submerged dam behind the existing dam to Cascade project gravity impound water, install barrier for household refuse and drift wood, install auto trash

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dam remover at the intake, install a cascade control centre, Grade A safe production standard, Green SHP assessment 0 - Replace the protection monitoring system to improve the automation level, install Majing ecological flow discharging facilities: install discharging valve and real-time 9 Hydropower 5000 6400 monitoring equipment.; channel dredging and repairing the collapsed bank, Green Plant SHP assessment, Grade A Safe production standard 3 Steel Re-design the lighting of powerhouse to energy saving or LED, install ecological Xiaokeng concrete flow discharging facilities: install discharging valve; install a monitoring device at 10 Hydropower 480 1200 outlet of discharging facility; construct three cascade retaining weirs for Plant environmental remediation of the dehydration section, Grade A safe production standard, Green SHP assessment. 13.3 Overview Gaokeng Ecological flow discharging, ecological remediation for dehydration section, oil dam and 11 Hydropower 4060 4600 collection and disposal, sound insulation, site area afforestation, Grade A safe earth Plant production standard, Green SHP assessment stone 5 + 6 Gravity Install ecological flow device & monitoring system, install automatic trash racking Jingtanfeng and equipment, renovate river channel downstream, repair bank protection, optimize 12 Huangyan 1860 2560 control system, sound insulation, water purifying, Grade A safe production Plants standards and Green SHP assessment Taiping 9.5 Gravity Ecological flow (equipment, facilities and on-line monitoring system); improve 13 Hydropower 2000 4000 facilities to collect and dispose of floating debris; optimise operation of plant, sound Plant insulation, Grade A Safe Production standard, Green SHP assessment 14.8 Concrete Replace control system, monitoring systems and repair water pumps, update Tangban Gravity ecological flow device & monitoring system; replace gate hoisting device, 14 Hydropower 11000 12600 landscape recovery and collapse recovery, waste water treatment, Grade A safe Plant production standard, green SHP assessment. Jiaosan & 12 + Gate dam Install ecological flow device & monitoring system, build 3 ecological weir in the Thantou 10.8 15 6800 7320 downstream area at Thantou, replace trash rack device, Grade A safe production Hydorpower standard, sound insulation, green SHP assessment plant Gaofang 13.9 Rockfill Install ecological flow device & monitoring system, repair the irrigation channel, Cascade II gravity install trash rack equipment, renovate the river channel, and landscape recovery, 16 2000 2350 Hydropower water quality monitoring, hydrology measurement and flood warning device, Grade Plant A safe production standard, green SHP assessment Baiyunxia 7 Overflow Ecological flow facilities and monitoring, dredging, sound insulation, Grade A safe 17 Hydropower 1800 2760 production standard, green SHP assessment Plant 18 Xiakou 7 Overflow 1320 1580 Ecological flow facilities and monitoring, dredging, access road, sound insulation,

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Hydropower Grade A safe production standard, green SHP assessment Plant Xinpingya 4.8 Gravity Ecological flow facilities and real time monitoring, access road, flood warning 19 Hydropower 2500 3200 system, sound insulation, Grade A safe production standard, green SHP Plant assessment, Guanxi 12 Gate Install ecological flow device & monitoring system, river channel desilting and bank 20 Hydropower 4800 6000 protection repair, landscaping, Grade A safe production standard, green SHP Plant assessment Sandieling & 1.5 Grouted Ecological flow discharging and monitoring, watercourse and irrigation canal Dongpai stone 21 15000 15000 renovation; water regime automatic forecasting system, Grade A safe production Hdropower gravity standard, green SHP assessment plant Aibu Cascade II 3 Rock fill Install ecological flow device & monitoring system, automatic control system and & III gravity 22 1860 5600 monitoring system, trash rack collection, Grade A safe production standard, green Hydropower SHP assessment Plants 5 Grouted Install computerized monitoring system; upgrade the ecological flow discharging Qingshuitan block culvert, install trash rack at the intake, carry out remediation upstream and 23 Hydropower 960 1200 stone downstream of the dam, construct landscape water-raising weir; Grade A safe Plant gravity production standard, green SHP assessment - - Install computerized monitoring systems; replace the discharging pipe of Dayang reservoir at Cascade I and install real-time monitoring equipment, construct two Panxi Cascades ecological retaining dams; ecological bank protection for 400m of the river to II, III & IV 24 6400 7000 strengthen the riverbank and avoid water-soil loss; increase local water supply and Hydropower irrigation, increase facilities to collect and dispose of floating debris, plant trees to Plants protect the river ecological environment, water quality monitoring, sound insulation, Grade A safe production, green SHP Assessment

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16. Soil and Water Conservation Since there are few changes to the civil structures at the demonstration projects it is not expected that there will be any associated soil erosion. The likelihood of erosion at each site is reviewed in the PDRs. As detailed in Section 15, bank remediation and tree planting will result in reductions to any erosion. 17. Energy‐saving design As with the mechanical-electrical components there are a number of standards that the energy saving design should adhere to: i. People's Republic of China Energy Conservation Law; ii. Green Building Evaluation Standard (GB50378-2006); iii. Architectural Lighting Design Standards (GB50034-2004); iv. Other relevant laws and regulations and policy document

In practice this means looking at four areas: protection of the surrounding environment, use of energy efficient equipment, water conservation and limiting use of raw materials. Since there are few changes to the civil structures there are limited changes to the surrounding environment, all equipment has been selected to be energy efficient, the design of the new units to improve water utilization is equivalent to water conservation and insulation has been increased which has reduced other material use. 18. Project Management Plant staffing levels are proposed for each demonstration project in line with the Hydropower Plant Capacity Preparation Standards (trial) which aim to ensure safe, economic and efficient operation of the plants.

The operation and management of the demonstration plants is outlined briefly and the need for technical and safety training for all staff. 19. Project budget The basis for the capital costs for each of the demonstration projects is based on the Provincial Water Resource Bureau’s publications relating to hydropower projects construction and mechanical and electrical equipment installation budgets. The provincial advice includes costs for labour days and for base materials (eg. cement, fuel, sand, stone), for indirect costs (eg. pouring concrete), and percentage charges for management and other fees. In addition quotes are received for the specified equipment.

Based on these figures a detailed breakdown of the budget (8 pages of figures) for each project is provided. The total cost for each project is included in Table 4. 20. Economic Evaluation

1.1. Assumptions The economic evaluation carried out on each project is done for a period of 21 years (20 years operation and one year construction). Many of the key assumptions will vary from province to province and from project to project based on the provincial advice. The following table provides an overview of these key assumptions and the range of values for the demonstration projects.

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Table 3: Key assumptions

Key Assumptions Range of values Unit Tariff following upgrade 0.22 in Yunnan up to 0.4382 in RMB/kWh Guangdong and 0.45 in Zhejiang Income rate Tax 3 – 25 % Construction tax 1-5 % Education fee 2-5 % Depreciation rate 3-9.2 % Water resource fee 0.003 – 0.008 (depending on RMB/kWh province) Loan interest rate 4.9 - 10 % Operating period 20 - 50 years Repair rate/ maintenance 0.31-5 % Other costs 0.056 – 64.3 RMB/kW

1.2. Evaluation The economic evaluation is based on the Ministry of Water Resources’ "Small Hydropower Project evaluation procedures "(SL16-2010). Each project must attain a Financial Internal Rate of Return (FIRR) of more than 8% or 10%, depending if the project has been defined as a ‘construction project’ or an “SHP project” respectively to get government approval. The key figures for the demonstration projects are included in the following tables.

Table 4: Project costs in ‘000 RMB and Rates of Return

Project Total Central Provincial Bank loan Self FIRR % FIRR % Budget governme governme (RMB) funded (Without (With (RMB) nt grant nt grant (RMB) GEF GEF (RMB) (RMB) grant) grant) 1 33416 15880 7940 7935 9.5 11.5 2 22109 6500 3250 5000 5838.5 8 12.2 3 11786 3760 1880 4450.3 9.16 11.86 4 16756 6240 3120 6396.2 9.79 15.29 5 23262 10400 5200 6182.4 9.6 10.02 6 7025 2520 1260 2364.7 9.85 12.15 7 9542 2630 667.5 1000 4069.1 7.74 8.62 8 50426 17000 8500 20903.5 7.95 10.3 9 24038 8320 4160 10332.8 9.23 10.05 10 5900 1560 780 2660 9.63 10.21 11 16890 5980 2990 6520.2 8.99 10.09 12 11250 3330 1664 4756 9.36 10.86 13 14220 5200 2600 5440.3 9.22 10.26 14 24900 8820 2520 9160 3000 8.9 10.05 15 13338 5124 1464 5050.4 9.6 10.7 16 5284 1650 352.5 800 1781.5 7.35 9.78 17 11576 3588 700 1622 8.82 10.01 18 8178 2054 400 1804.3 8.9 11.45 19 6166 4160 1599.6 9.63 10.74 20 21081 4200 1260 10000 4371.2 9.3 10.4

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21 32560 14850 7425 6285 2700 9.89 11.06 22 36664 7280 3640 17194 7350 9.81 10.57 23 4216 840 600 1000 1079.4 9.82 10.07 24 36190 4900 2100 18200 7240 9.73 10.56

Table 5: Project costs in ‘000 USD and Rates of Return

Project Total Central Provincial Bank loan Self FIRR % FIRR % Budget governme governme (USD) funded (Without (With (USD) nt grant nt grant (USD) GEF GEF (USD) (USD) grant) grant) 1 5226 2484 1242 0 1241 9.5 11.5 2 3458 1017 508 782 913 8 12.2 3 1843 588 294 0 696 9.16 11.86 4 2621 976 488 0 1000 9.79 15.29 5 3638 1627 813 0 967 9.6 10.02 6 1099 394 197 0 370 9.85 12.15 7 1492 411 104 156 636 7.74 8.62 8 7886 2659 1329 0 3269 7.95 10.3 9 3759 1301 651 0 1616 9.23 10.05 10 923 244 122 0 416 9.63 10.21 11 2642 935 468 0 1020 8.99 10.09 12 1759 521 260 0 744 9.36 10.86 13 2224 813 407 0 851 9.22 10.26 14 3894 1379 394 1433 469 8.9 10.05 15 2086 801 229 0 790 9.6 10.7 16 826 258 55 125 279 7.35 9.78 17 1810 561 0 109 254 8.82 10.01 18 1279 321 0 63 282 8.9 11.45 19 964 651 0 0 250 9.63 10.74 20 3297 657 197 1564 684 9.3 10.4 21 5092 2322 1161 983 422 9.89 11.06 22 5734 1139 569 2689 1150 9.81 10.57 23 659 131 94 156 169 9.82 10.07 24 5660 766 328 2846 1132 9.73 10.56

Exchange rate used for RMB to USD is = 6.3940 RMB

PART C – PRELIMINARY ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT 1. Introduction The main objectives of this section are to present a background on the current biophysical and socioeconomic conditions of the project areas, to outline the relevant legislation that needs to be adhered to, and to identify the environmental and social issues related to the pilot projects. Finally recommendations will be provided for the next steps of project development relating to the environment and social considerations.

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Under UNIDO’s Environmental and Social Safeguards Policies and Procedures (ESSPP)3 this GEF project has been screened and categorised as a Category B project (of A, B, C or none). Category A projects are likely to induce significant and/or irreversible adverse environmental and/or social impacts that are sensitive, diverse, or unprecedented, or that affect an area broader than the sites or facilities subject to physical works. Category B projects often differ from Category A projects of the same type only in scale. They are likely to have less adverse impacts on human populations or environmentally important areas than those of Category A projects. Likely impacts will be few in number, site-specific, and few, if any, will be irreversible. In most cases impacts can be readily minimized by applying appropriate management and mitigation measures or incorporating internationally recognized design criteria and standards. A full Environmental and Social Impact Assessment is not required, but an Environmental and Social Management Plan (ESMP) needs to be developed so as to integrate environmental and social sustainability elements into project design.

However in response to comments in October 2014, UNIDO stated that an Environmental Impact Assessment (EIA) would be prepared for the project. Due to the short timeframe, the high number of project sites and SHP regulations in China, which do not require an EIA or ESIA for upgrade projects, this preliminary ESIA has been prepared to replace the EIA promised.

Since there are 24 pilot projects this section will provide an overview of the situation at the different sites providing additional details where necessary. The individual (Chinese) feasibility studies include the detailed description of the projects and the proposed measures to be implemented. Although the impact of each project will be specific to the site there are a number of generic impacts that can be identified at this time based on the proposed measures. To that effect a table is included identifying likely impacts on the environment and on the local population during construction and operation. During the project inception further detailed work will be carried out at each site as part of an ESMP.

The methodology used for this section is based on reviewing the details in the feasibility reports which includes the results of a site investigation and assessment at each project. Where further information was required this was followed up with the project owners and consultants.

2. Baseline overview 1. Physical and environment Although the local environment differs from project to project there are some common features in the demonstration projects: None of the projects claim to have had any environmental liabilities or impacts in the past or present. However almost all the projects currently have dehydration sections which clearly impact on the river flow in that river stretch. These sections vary from a few hundred meters up to almost 5km. In most cases the dehydration is seasonal and in some rivers there are tributaries joining the river in that stretch, providing some flow.

3 The ESSPP screens and categorizes projects based on environmental and social criteria to: (i) reflect the level of potential environmental and social impacts and issues associated with the project, and (ii) determine the nature and level of environmental and social investigations, information disclosure and stakeholder engagement required for each project, commensurate with the nature, location, sensitivity and scale of the project, and the nature and significance of its potential environmental and social impacts. Screening can also enhance the sustainability of a proposed project, by focusing on potential environmental and social benefits.

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All the projects claim that the rivers have neither national or provincial protected fish or aquatic life, nor migratory fish. In addition none of the projects are in natural protection areas and no sites have been identified as historical or with cultural significance. Some projects cite specific items that need to be done to improve the environment. For instance at Jiugonghe SHP the trash rack has already collapsed and waste is not properly disposed of. In a number of cases there is silting and sedimentation at the dam and flood water discharge may cause scouring of the river bed. Old cesspools and waste treatment may be affecting the current water quality. During the Environmental and Social Management Plans (ESMPs) to be carried out at each site these issues will be investigated further. 2. Socio‐economic The current socio-economic situation differs from project to project. Those in very mountainous areas have no local populations and no drinking or irrigation water requirements whereas other projects have large numbers of people living nearby and the SHP plants provide irrigation and drinking water. At one project, Quangqiahe cascades, the households downstream require irrigation water so plant operation is stopped for 15-20 days in May each year to allow for this. At Guanxi plant there are 280 households nearby and the SHP plant provides annual repair and maintenance to the irrigation system plus 60 MWh of free pumping. Some of the irrigation systems are stated as being in states of disrepair so impact on local livelihoods. At one project the current plant can also result in flood damage to local farm land. The total number of people living in the vicinity of the plants is estimated at around 30,000 (assuming 4 people per household). There are no indigenous people, or ethnic minority groups, living near the plants although there may be some in the same county as the plant, such as at Chahe SHP. The studies state that the dehydration sections do not impact on the residents as in some cases there are tributaries joining the river and in many cases the households are not adjacent to the river at that point. Other points identified include: At one site local people use the pathway built at the time of construction to help get around and this path is need of repair. Two of the plants are already used as tourist destinations, Jingtanfeng and Huangyan in Chongqing and another one is near to a scenic spot area. At one plant, Lianjiang Tangban, the project reservoir is used as drinking water supply for Fuzhou City so water quality is very important. No specific risks or liabilities have been highlighted in the preliminary design reports. These aspects will be reviewed in detail during the ESMPs due to be carried out during the inception phase. 3. Environmental Policy, Institutional and Legal Framework There are several policies, laws and regulations specific to environmental management of SHP projects in China. Environmental Impact Assessments (EIAs) are required for any new SHP construction project and there is also a Technical Guidance of EIA for Hydropower Projects, issued in 2003 jointly by MWR and Ministry of Environmental Protection (MEP), and a Technical Manual of EIA published in 2009. The Manual proposes a number of indices for environmental assessment. Since it is not expected to cause any negative changes to the environment, under Chinese regulations no Environment Impact Assessment (EIA) or Environmental and Social Impact Assessment (ESIA) is required for SHP upgrade

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or rehabilitation projects. Where available, the EIA at the time of SHP construction has been reviewed as part of the design process for the upgrading.

4. Project activities and components Every one of the proposed projects is an upgrade project to an existing SHP plant. As described in the previous sections the work planned will not change the existing dams, reservoirs or impact on the existing access roads or transmission lines. The work will be carried out within the existing boundaries of the SHP plants. There will be no resettlement of populations as part of this project.

The intended work will include the replacement of the electro-mechanical equipment in the existing powerhouses with more efficient equipment to increase the annual generation, as well as changes to the controls at all plants. In addition there will be a number of changes to improve the local environment and the safety of the plant. This will include ensuring a minimum impact on the environment and ensuring the river’s health. Measures to limit the impact of the construction period on the environment are also included such as requirements for solid waste to be compacted and transferred from site, low noise equipment to be used, and prohibiting discharge to river and of any PCB or asbestos equipment. The measures to improve the local environment and safety may vary between plants. Table 2 provides an overview of the non-electro-mechanical activities at each of the project sites as well as providing details of the existing and new project size. Part D of this report provides more detailed descriptions of the exact activities and equipment to be installed at each of the project sites.

5. Consultation Public consultation will be carried out at each site prior to the finalisation of the project design and before starting work on site. This will take the form of leaflets, questionnaires and a public meeting for local inhabitants. These will be used to describe the proposed activities and to foster questions and comments on the designs. Local organisations such as the village committees will be engaged with. Women and youth will be actively encouraged to attend the events. Feedback from the meetings and questionnaires will be incorporated into the final project design.

In addition to the public consultation an Environmental and Social Management Plan (ESMP) will be carried out at each site. This will also include further consultation and discussions with the local populations to ensure their needs and perceptions are included in the management plan.

Part of the consultation will also look at any compensation or local welfare for local inhabitants. At some of the plants there are already plans in place to provide benefits to the local populations. For example at the Majing plant in Chongqing the SHP company pays RMB 4000 each year to the local community to subsidise the electricity price and in Yunnan the Mabozi plant provides 30,000 kg of rice for the surrounding 42 households as well as free electricity. 6. Preliminary Impact and Risk Assessment The list of proposed measures at the different sties was investigated to identify a comprehensive list of potential impacts from each of the activities. The following were considered:  Impacts on local women and men, human health, safety and livelihoods (including agriculture, fishing, tourism opportunities/impacts)

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 Impacts on aquatic ecology, terrestrial ecology, soils, land use, material assets, water quality, and hydrology, air quality, climate, noise and vibration, the natural landscape and visual environment Where relevant the nature of the impacts (i.e. direct, indirect, secondary, cumulative, short, medium and long-term, permanent and temporary, positive and negative) was also assessed as well as the extent and magnitude of the impact (geographical area, size of the affected population/habitat/species) and the probability of the impact.

The following table provides an overview of the possible impacts.

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Table 6: Preliminary Environmental and Social Impact Assessment

Possible Environmental Impact Possible social /gender impacts + (air, noise, soil, water, aquatic + or (irrigation, tourism, livelihoods, health Measure Technical description or - ecology, terrestrial ecology) - ve and safety, no resettlement) ve _ Construction (temporary) + Short term employment possibilities Some limited noise during installation. Low noise equipment to be used - Construction of temporary - Temporary disruption due to site housing for workers (if necessary) traffic and noise - Waste oil leakage. Use collection containers and discharge to river Replace electro-  Replace turbines, generators prohibited. 1- mechanical and controls to increase - Solid waste disposal – to be equipment efficiency and plant output compacted and transferred to landfill - Prohibit purchase of any equipment and materials containing PCBs (PCB) and asbestos. Operation (long term) No appreciable difference - Construction + Operation Facilities to Some limited noise during Use of river for livelihood ensure the installation. opportunities as water flow is year ecological  Increase or retrofit the round. 2 functioning of the discharging sluice (valve) or + Operation river (discharging outlet on the existing dam. Increased water flow in dry the ecological periods in downstream section. flow) + Increased aquatic ecology in downstream section. Construction None  Install video monitors at the None Monitoring the 3 outlet for ecological flow or + Operation ecological flow downstream of the river. Ecological flow likely to be maintained year round due to

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+ Operation + Operation  Construct impounding Improve the river flow in the New livelihood opportunities from dam/weir in the dehydration dehydrated section. ponds (fishing/ tourism) Impounding section downstream of the 5 + Improve the local landscape. dam/weir dam to form the stepped surface, improving the - May result in increased sediment landscape and ecology. and mud deposits. - In heavy floods the structures could be washed away. - Creating ponds will change the nature of the river (however it may be improved from previous fully impeded flow) Improve flow  Restructure the river banks - Construction + Construction conditions in the  Remodel the flow section to May need temporary access to Possible local employment 6 dehydration / meet the requirements of the river banks and so limited impact opportunities depleted flow minimum flow. For instance on riverine ecology

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- Construction + Construction Some limited noise during Possible local employment  Install the sonar or optical installation opportunities equipment within the special - Access to riverbanks and so + Operation intakes (eg. bottom intake) some limited impact on riverine New livelihood opportunities from Facilities or and trash facilities; ecology improved aquatic eclology (fishing) equipment to  Design, install and use fish 7 protect the pass, including concrete fish aquatic life ladder, rock slope, pool and + Operation step design, etc to favour the Increased aquatic ecology in fish migration and downstream section. propagation.

- Construction + Construction Noise during installation Possible local employment Disruption during construction – opportunities  Construct balance reservoirs Reducing flushing access roads, temporary impact (in or outside) the river to effect from on terrestrial ecology 8 balance out the sudden reservoir flow discharge to a longer slower + Operation + Operation discharge discharge downstream More even river discharge Easier to plan local activities with protects aquatic ecology more even river discharge. Reduced flooding Water supply and - Construction + Improved water supply and irrigation  Construct the water supply 9 irrigation facilities Noise during installation for local populations facilities upstream (equipment) Disruption during construction – Improved agriculture.

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Possible Environmental Impact Possible social /gender impacts + (air, noise, soil, water, aquatic + or (irrigation, tourism, livelihoods, health Measure Technical description or - ecology, terrestrial ecology) - ve and safety, no resettlement) ve (downstream) of the plant to access roads, temporary impact supply water for production on terrestrial ecology and life. Install drinking water + Operation equipment as needed; Improved water supply to  Construct the irrigation surrounding areas. facilities to meet the potential demand for agricultural water;  Purchase water supply and irrigation equipment. _ Construction Limited noise during installation

 Install the floating refuse + Operation + Improved river environment and The facilities or (debris) collecting devices in Reduction in floating debris so opportunities for livelihoods (fishing & equipment to the front of the trash rack. improvement to water quality. tourism) 10 collect and  Construct the garbage - Storage of rubbish needs to be dispose floating disposal facilities controlled to ensure no local refuse(debris) (equipment). pollution

- Construction + Construction Site area Access to riverine banks may Local employment opportunities in  Plant trees and grass in the afforestation/Ecol cause some disruption planting site area ogical recovery in + Operation + Operation 11  Plant trees or grass at falling reservoir area and Improved soil conservation and Livelihood opportunities from segment and dehydration dehydration stabilization increased tree/grass coverage. section. section. Improve aesthetics Reduction in rate of land loss (to erosion)

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Possible Environmental Impact Possible social /gender impacts + (air, noise, soil, water, aquatic + or (irrigation, tourism, livelihoods, health Measure Technical description or - ecology, terrestrial ecology) - ve and safety, no resettlement) ve  Use the ecological _ Construction + Construction engineering to reduce the Limited noise during installation Local employment opportunities impact to the landscape, e.g. grass planting, natural disposal surrounding the dam Natural landscape 12 and bank slope consolidation. recovery + Operation + Operation  Use the raw materials and soil Improve the local environment – Livelihood opportunities from to recover the damaged particularly local terrestrial increased tree/grass coverage. areas. ecology Reduction in rate of land loss (to  Stop felling the trees and Improved soil conservation and erosion) conserve the nature stabilization + Construction + Construction and Operation Central point and removal of any Improved local environment due to construction debris removal of rubbish and debris from Dump point  Dispose of the dump point for 13 Operation land and water disposal water and soil conservation Reduction in floating debris so improvement to water quality. Storage of rubbish  Use the local materials as far - Construction + Possible temporary local employment as possible to construct the Limited noise during installation opportunities external wall; Integration of  Pile up the stones to protect + Operation hydraulic the bank and forebay. Improvement to local aesthetics 14 structures and surrounding  Use the local materials and environment. traditional technologies to recover the road. The retaining wall is piled up by the stones. Monitor the water  Monitor the water quality at - Construction None quality (physical, the representative sections Limited noise during installation 15 chemical and close to the backwater area biological upstream of the end of the

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Possible Environmental Impact Possible social /gender impacts + (air, noise, soil, water, aquatic + or (irrigation, tourism, livelihoods, health Measure Technical description or - ecology, terrestrial ecology) - ve and safety, no resettlement) ve characteristics) backwater, and at the tail + Operation sections. Install online Monitoring quality of water monitoring equipment for enables reparatory actions to take physical and chemical place if quality falls below characteristics and carry out recommended levels regular biological sample monitoring and analysis. _ Construction + Operation Improve  Install hydrological Limited noise during installation Flood warning system allows hydrological measuring equipment population to take evasive action if measuring 16 upstream of the plant, and necessary equipment and install the flood warning + Operation the flood warning system within the plant. Can help in optimising plant system operation and increase output  Install online efficiency - Construction + Operation monitoring device over and Limited noise during installation If collective possible higher payments above existing measures; to local population Improve efficiency 17  Use the software to optimize + Operation of plant operation the dispatching decisions. Operation should be quieter  Use efficient turbines and generators (see 1).  The plants conduct + Operation + Operation measures to meet safe Safer environment Safer environment for plant staff operation standardization according to the national technical standard, mainly Safe production including: 18 standardization 1、 Regular testing of equipment (Grade A) including the pressure vessel, fire-fighting equipment, crane, etc; 2、 Upgrade the safe operation system, including the warning system for

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 Purchase environmental and + Operation efficient turbine oil treatment Reduction in oil leakage protects equipment; purchase turbine local water and terrestrial ecology Reduction in oil oil treatment equipment for 22 leakage collecting well in order to reduce the turbine oil leakage pollution.  Oil free lubrication  Install noise-proof equipment + Operation in the control and duty rooms Improved working environment for Increase sound 23 to improve the working staff insulation facilities environment of the staff and protect their health.  Zero release of the waste + Operation + Operation Clear-water basin 24 water can protect the water Improved water quality Improved water quality for local uses and cesspool quality of river.

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7. Environmental and Social related Recommendations Although the majority of impacts of the project are expected to be positive it is recommended to prepare an Environmental and Social Management Plan (ESMP) at each project site which will define the mitigation and monitoring requirements for each project. The ESMP will include the specific tasks, schedule and the budget for implementation, supervising and monitoring the environmental and social impact mitigation and management measures. It will also include a set of capacity building measures including procedures and practices and actions needed to implement all the measures. Clear Terms of Reference will be provided for the ESMP based on the guidance provided by UNIDO/GEF and the work should be carried out during the inception period by national consultants in close cooperation with project stakeholders. A draft template for the ESMPs is included in Appendix A of this document.

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PART D ‐ Summary of Project Design Reports for the hydropower expansion projects

PART A – INTRODUCTION AND OVERVIEW OF SHP PROJECTS ...... 3 1. Introduction ...... 3 2. Overview of Demonstration SHP projects ...... 4 3. Selection process and criteria for demonstration SHPs ...... 9 PART B – SUMMARY FEASIBILITY STUDY ...... 10 1. Current situation & the necessity for refurbishments ...... 10 4. Hydrology analysis ...... 10 5. Geology analysis ...... 11 6. Tasks and scale of the project ...... 11 7. Overall layout & content (design) of the refurbishment ...... 11 8. Building and civil refurbishment ...... 12 9. Hydraulic machinery, HVAC, fire safety equipment ...... 12 10. Generators and other electrical equipment ...... 12 11. Metal structures ...... 12 12. Construction design and structural stability ...... 12 13. Reservoir Inundation and engineering permanent land ...... 12 14. Geological disaster prevention ...... 13 15. Environmental protection ...... 13 16. Soil and Water Conservation ...... 17 17. Energy-saving design ...... 17 18. Project Management ...... 17 19. Project budget ...... 17 20. Economic Evaluation ...... 17 1.1. Assumptions ...... 17 1.2. Evaluation ...... 18 PART C – PRELIMINARY ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT ...... 19 1. Introduction ...... 19 2. Baseline overview ...... 20 1. Physical and environment ...... 20 2. Socio-economic ...... 21 3. Environmental Policy, Institutional and Legal Framework ...... 21 4. Project activities and components ...... 22 5. Consultation ...... 22 6. Preliminary Impact and Risk Assessment ...... 22

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7. Environmental and Social related Recommendations ...... 32 PART D - Summary of Project Design Reports for the hydropower expansion projects ...... 33 Summary of PDR of Maoyandong Cascade II Hydropower Plant ...... 35 Summary of PDR of Mabozi Hydropower Plant ...... 37 Summary of PDR of Quanqiaohe Cascade I Hydropower Plant ...... 39 Summary of PDR of Quanqiaohe Cascade II Hydropower Plant ...... 42 Summary of PDR of Chahe Hydropower Plant ...... 44 Summary of PDR of Jiuqianyan Hydropower Plant ...... 47 Summary of PDR for Jiugonghe Hydropower Plant ...... 49 Summary of PDR for Zhoujialiang Hydropower Plant ...... 53 Summary of PDR for Yangdaohe Cascade Project ...... 56 Summary of PDR for Majing Hydropower Plant ...... 59 Summary of PDR for Xiaokeng Hydropower Plant ...... 62 Summary of PDR Gaokeng Hydropower Plant ...... 66 Summary of PDR of Jingtanfeng Hydropower Plant ...... 70 Summary of PDR of Huangyan Hydropower Plant ...... 72 Summary of PDR for Taiping Hydropower Plant ...... 74 Summary of PDR of Lianjiang County Tangban Hydropower Plant...... 78 Summary of PDR of Jiaosan Hydropower Plant ...... 80 Summary of PDR of Tantou Hydropower Plant ...... 82 Summary of PDR of Gaofang Cascade II Hydropower Plant ...... 85 Summary of PDR for Baiyunxia Hydropwoer Plant ...... 87 Summary of PDR for Xiakou Hydropower Plant ...... 90 Summary of PDR for Xinpingya Hydropower Plant ...... 93 Summary of PDR of Guanxi Hydropower Plant ...... 96 Summary of PDR for Sandieling & Dongpai HydropowerPlants ...... 99 Summary of PDR of Aibu Cascade II & III Hydropower Plant ...... 102 Summary of PDR for Qingshuitan Hydropower Plant ...... 104 Summary of PDR for Panxi Cascade Ⅱ&Ⅲ&Ⅳ Hydropower Plants ...... 107 Appendix A – Environmental and Social Management Plan (ESMP): Draft template ...... 112

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Summary of PDR of Maoyandong Cascade II Hydropower Plant

1. Introduction This report is a summary of the full Preliminary Design Report for the rehalibitation and upgrading of Maoyandong Cascade II Hydropower plant in Luxi County, Yunnan Province. The Full report is available in Chinese on request if required.

2. Current situation & the necessity for refurbishment 2.1 Current situation The project was commissioned in 1988, owned by Luxi Maoyandong Generating Co. Ltd, a shareholding company. The current installed capacity is 12.6MW (2 *6,300kw), annual operating hour is 4123h and annual output is 51,960Mwh. After refurbishment, the capacity will increase to 15MW (2*7,500kw), with expected annual output of 68,490Mwh.

The project has operated for 26 years, equipment are aging, efficiency is low, causing high cost for maintenance.

2.2 Hydrology analysis Maoyandong Cascade II station was built in the downstream area of Xiaojianghe River, which is a branch of Nanpanjiang River. Xiaojianghe River has a length of 90km, with a drainage area of 882.94km2. The average annual rainfall is 1000mm, the mean average discharge at dam site is 5.44m3/s.

2.3 Seismic analysis and construction method and age of project According to the 1: 4,000,000 national seismic intensity zoning map of China (2001), the basic seismic fortification intensity of this project area is degree Ⅶ. The main division channel is stable, without collapse and sinkage. The forebay and penstock are also stable, there is no unsafety issue. The designed life time of main structures is 50 years.

The Dam height is 14.4 m, reservoir area is less than 1 million m3, which is not required for dam safety assessment. However, the owner arranged staff to carry out internal checks to the dam and keep records accordingly.

2.4 Environmental assessment There is no national and provincial protected fish in the river section of the project. The plant area was planted lots of trees and landscaped long the penstocks. There is no environmental outstanding issues. Though the plant was not required to do the environmental assessment report when it was constructed, it has a “statement for the environmental situation of Maoyandong Cascade II Plant” issued by the Environmental Bureau of Honghe State, which approves that since the operation of the project, there is no destroy to the environment and never fined or required to stop production by the Environment Bureau.

2.5 Social assessment The project was located in the mountainous area, there is no residence in the project area, and no drinking and irrigation water requirements. The refurbishment and upgrading measurements will take place within the dam area and plant area, there is no land and migrates issues.

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3. Refurbishment project overview Reservoir Name Owner Dam height (m) capacity （104 m3） Luxi Maoyandong Maoyandong Cascade II Hydropower Generating Co. 14.4 <100 Plant Ltd The year of Province County Type of dam commissioning Yunnan Province Luxi County Rock fill gravity dam 1988.12 Average Annual Installed Installed Designed annual Power Output GHG Emission Capacity before Capacity after power output after before Reduction refurbishment refurbishment refurbishment (104 refurbishment (tCO2e/y) (kW) (kW) kWh) (104 kWh) 12600 5196 15000 6849 11,199

Investment Total investment Electro-mechanical equipment/upgrading measures 4 4 (10 yuan) (10 yuan) 1. Removal of existing 2 turbines/2generators/2 control 9 equipment 2. Updates 2 turbines CJA475-L-145/3*17, 2 generators 941.34 SF7500-14/2860, 2 main transformers SZ11-10000/35GY 3. Updates excitation systems, governors, control protection 719.42 systems and installs automatic control system. 4. Hydraulic structure refurbishment 63.45

5. Updates fire protection system and grounding devices. 1442.34 Ensure the ecological 1. Install ecological flow pipe & flow and avoid 8.00 monitoring system dehydration section 2. Install racking equipment Racking trash 8.00 before trash rack automatically 3. renovate the river channel, Renovate the ecology of increase some retaining walls river channel, landscape 85.00 and restoration the landscape recovery 3341.55 4.Install water quality monitoring Monitor the water quality 5.00 devices 5．Install hydrology Collect hydrological date 10.00 measurement devices 6. Safe Production Grade B 5.00 Standardization 7. Green SHP Assessment Grade B 10.00 Collect oil leakage and 8. Increase oil collection devices 5.00 reutilize 9. sound insulation windows in Improve staff working 5.00 control room environment 10. water purifying tank and Zero emission for life and 5.00 cesspool production waste water 11. plant trees and grasses in Plant area greening 20.00 plant area

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Key Assumptions： Tariff following upgrade 0.235 Loan interest rate (%) (RMB/kWh) Income rate Tax / construction tax/ 15/4/2 Operating period (y) 50 education fee (% / %/ %) Repair rate/ maintenance Depreciation rate (%) 5 1 (%) Water resource fee 0.004 Other costs (RMB / kW) 12 (RMB/kWh) Total investment of the From Central FIRR refurbished project Finance / 4 4 （%） (10 yuan) (10 yuan) 3341.55 1588 0 9.5

Total investment of the From Central From GEF FIRR refurbished project Finance Grant 4 4 4 （%） (10 yuan) (10 yuan) (10 yuan) 3341.55 1588 166 11.5

4. Conclusion After refurbishment, the project is expected to increase 16,530 MWh of power output per year, and directly reduce 11,199 tCO2e GHG emissions. The total investment will be 33.4155million yuan. After refurbishment, the plant will aim to meet the following requirements: 1. Green SHP grade B; 2. Safe Production Standardization Grade B; 3. Complete the SHP Capacity Expansion and Efficiency Improvement Programme of MWR and MOF; 4. The transformer meet the energy saving index S11 or above; 5. High automation, meeting “five Tele-operation”.

Summary of PDR of Mabozi Hydropower Plant

1. Introduction This report is a summary of the full Preliminary Design Report for the rehabilitation and upgrading of Mabozi Hydropower plant in Tonghai County, Yuxi City, Yunnan Province. The Full report is available in Chinese on request if required.

2. Current situation & the necessity for refurbishment 2.1 Current situation The project is located on Qujiang River, in Tonghai county, Yuxi City, Yunnan Province. It was commissioned in 1981, with installed capacity of 3.65MW(1000+3*800+250kw), annul output is4 ， 780Mwh. After refurbishment, the capacity will increase to 5.3MW(4*1250+300kw), with expected annual output of 22,970Mwh. It is owned by Tonghai County Jiangyuan Hydropower Co. Ltd, a private company.

The purpose of refurbishment and upgrading is to improve the operation efficiency and safety. The electricity increased will help the villagers to replace firewood with electricity, protect the forest.

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2.2 Hydrology analysis The project is located on Qujiang river which has a total length of 208km, a total drainage area of 4103km2. The drainage area up the project dam site is 2228.3km2, mean average is rainfall 915.0mm, mean average discharge is 16.7m3/s.

2.3 Seismic analysis and construction method and age of project The basic seismic fortification intensity of this project area is degree Ⅸ. The project is built on the river channel, the dam height is 14 m. The dam is concrete gravity dam, The geological condition of dam foundation is stable. It is not required to do dam safety assessment report, but internal checks were carried out to ensure the safety and good operation of the dam.

2.4 Environmental assessment There is no national and provincial protected fish in the river section of the project. There is no migratory fish neither.

There is no drinking and irrigation water requirement. And there is no natural protection area and cultural relics and historic sites within the project area.

There is no environmental outstanding issues. The project was not required to do the environmental assessment report when it was constructed.

2.5 Social assessment There are 42 households lived 1 km away from the powerhouse. Since the operation of the project, the owner provides 30,000kg rice to the villagers every year and provides free electricity for living and production. The refurbishment will not concern land and migrants problem. 3 Refurbishment project overview Reservoir Name Owner Dam height (m) capacity （104 m3） Tonghai County Mabozi Hydropower Plant Liyuan Hydropower 14 30 Co. Ltd The year of Province County Type of dam commissioning concrete gravity Yunnan Province Tonghai County 1981.8 dam Average Annual Installed Installed Capacity Designed annual Power Output GHG Emission Capacity before after power output after before Reduction refurbishment refurbishment refurbishment refurbishment (tCO2e/y) (kW) (kW) (104 kWh) (104 kWh) 3650 478 5300 2297 12,324

Total Investment Electro-mechanical equipment/upgrading measures investment (104 yuan) (104 yuan) 1.civil engineering 198.79 2210.85 2.mechanical and electronic equipment & installation 1230.15

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3. metal structure equipment and installation 208.62

4. temporary engineering 14.64

5. independent expense 253.51

6. others 115.14

1. Install ecological flow unit 300kw 150.00 2. Safe Production Grade A 15.00 Standardization 3. Green SHP Assessment Grade B 10.00 4.Ecological flow and water Monitor the ecological flow 15.00 quality monitoring system and water quality Key Assumptions： Tariff following 0.22 Loan interest rate (%) 6.31 upgrade (RMB/kWh) Income rate Tax / construction tax/ 25/1/3 Operating period (y) 34 education fee (% / %/ %) Repair rate/ maintenance Depreciation rate (%) 3.21 0.31 (%) Water resource fee 0.004 Other costs (RMB / kW) 0.21 (RMB/kWh) Total investment of the From Central Provincial FIRR refurbished project Finance Finance / 4 4 4 （%） (10 yuan) (10 yuan) (10 yuan) 2210.85 650 325 0 8

Total investment of the From Central Provincial From GEF Grant FIRR refurbished project Finance Finance 4 4 4 4 (10 yuan) （%） (10 yuan) (10 yuan) (10 yuan) 2210.85 650 325 150 12.2

4 Conclusion After refurbishment, the project is expected to increase18,190MWh of power output per year, and directly reduce 12,324tCO2e GHG emission. The total investment will be 22.1085million yuan. After refurbishment, the plant will aim to meet the following requirements: 1. Green SHP grade B; 2. Safe Production Standardization aims to Grade A; 3. Complete the SHP Capacity Expansion and Efficiency Improvement Programme of MWR and MOF; 4. The transformer meet the energy saving index S11 or above; 5. High automation, meeting “five Tele-operation”.

Summary of PDR of Quanqiaohe Cascade I Hydropower Plant

1. Introduction

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This report is a summary of the full Preliminary Design Report for the rehabilitation and upgrading of Quanqiaohe Cascade I Hydropower plant in Yangbi County, Dali City, Yunnan Province. The Full report is available in Chinese on request if required.

2. Current situation & the necessity for refurbishment 2.1 Current situation The project is located on Quanqiaohe River, in Pingpo Town, Yangbi autonomous County, Dali City, Yunnan Province. It was commissioned in 1997, with installed capacity of 0.8 MW(2*400kw), annul output is 3,260Mwh. After refurbishment, the capacity will increase to 1MW(2*500kw), with expected annual output of 4,540Mwh. It is owned by Yangbi Xidian Quanqiaohe Generating Co. Ltd, a private company.

2.2 Hydrology analysis The project is located on Quanqiaohe River which has a total length of 11.48km, a total drainage area of 30.9km2. The drainage area up the project dam site is 21.3km2, mean average is rainfall 1059.3mm, mean average discharge is 1.16m3/s.

2.3 Seismic analysis and construction method and age of project According to the 1: 4,000,000 national seismic intensity zoning map of China (2001), the basic seismic fortification intensity of this project area is degree Ⅷ. The dam height is 5.5 m. The hydraulic structures do not have collapse, sinkage and displacement problems. Internal checks were carried out intensively to ensure the good maintenance and safety operation.

2.4 Environmental assessment The project is located in the mountainous area, the natural environment is good.

There is no national and provincial protected fish in the river section of the project. There is no migratory fish neither. There is no natural protection area and cultural relics and historic sites within the project area.

There is no environmental outstanding issues. The project was not required to do the environmental assessment report when it was constructed.

2.5 Social assessment The residences in the downstream area of the project need irrigation water for agriculture, so the project will stop operation for 15- 20days in May every year, to satisfy the irrigation for about 20ha. cropland.

3 Refurbishment project overview Reservoir Name Owner Dam height (m) capacity （104 m3） Yangbi Xidian Quanqiaohe Quanqiaohe Cascade I Hydropower Plant 5.5 0.15 Generating Co. Ltd The year of Province County Type of dam commissioning concrete gravity Yunnan Province Yangbi County 1997 dam

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Average Annual Installed Capacity Installed Designed annual Power Output GHG Emission before Capacity after power output after before 4 Reduction refurbishment refurbishment refurbishment (10 refurbishment (tCO2e/y) (kW) (kW) kWh) (104 kWh) 800 326 1000 454 867

Investment Total investment Electro-mechanical equipment/upgrading measures (104 yuan) (104 yuan) 1. Removal of existing 2 turbines/2generators/2 control 9.90 equipment 2. Updates 2 turbines HLA546-WJ-56, 2 generators SF500- 164.28 6/990, 1 main transformers S11-2500/10 3. Updates excitation systems, governors, control protection 54.62 systems and installs automatic control system. 4. Hydraulic structure refurbishment 51.68

5. other refurbishment (metal structure, pipes etc) 73.34 Ensure the ecological 1. Install ecological flow pipe & 423.64 flow and avoid 39.62 monitoring system dehydration section 2. environment recovery for the Protect the river banks 18.08 dehydration section from collapse 3. Safe Production Standardization Grade A 8.00 4. sound insulation windows in Improve staff working 1.12 control room environment Zero emission for life 5. water purifying tank and and production waste 3.00 cesspool water Key Assumptions： Tariff following upgrade 0.227 Loan interest rate (%) 5.4 (RMB/kWh) Income rate Tax / construction tax/ 25/1/3 Operating period (y) 20 education fee (% / %/ %) Repair rate/ maintenance Depreciation rate (%) 4 1 (%) Water resource fee 0.004 Other costs (RMB / kW) 15 (RMB/kWh) Total investment of the From Central FIRR refurbished project Finance / 4 4 （%） (10 yuan) (10 yuan) 423.64 130 0 9.16

Total investment of the From Central From GEF Grant FIRR refurbished project Finance 4 4 4 (10 yuan) （%） (10 yuan) (10 yuan) 423.64 130 69.82 11.86

4 Conclusion

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After refurbishment, the project is expected to increase 1,280 MWh of power output per year, and directly reduce 867tCO2e GHG emission. The total investment will be 4.2364million yuan. After refurbishment, the plant will aim to meet the following requirements: 1. Green SHP aims to grade B; 2. Safe Production Standardization aims to Grade A; 3. Complete the SHP Capacity Expansion and Efficiency Improvement Programme of MWR and MOF; 4. The transformer meet the energy saving index S11 or above; 5. High automation, meeting “five Tele-operation”.

Summary of PDR of Quanqiaohe Cascade II Hydropower Plant

1. Introduction This report is a summary of the full Preliminary Design Report for the rehabilitation and upgrading of Quanqiaohe Cascade II Hydropower plant in Yangbi County, Dali City, Yunnan Province. The Full report is available in Chinese on request if required.

2. Current situation & the necessity for refurbishment 2.1 Current situation The project is located on Quanqiaohe River, in Pingpo Town, Yangbi autonomous County, Dali City, Yunnan Province. It was commissioned in 1987, with installed capacity of 1.5MW(3*500kw), annul output is 6,910Mwh. After refurbishment, the capacity will increase to 1.89MW(3*630kw), with expected annual output of 8,610Mwh.

It is owned by Yangbi Quanqiaohe Hydropower Co. Ltd, a private company.

2.2 Hydrology analysis The project is located on Quanqiaohe River which has a total length of 11.48km, a total drainage area of 30.9km2. The drainage area up the project dam site is 28.5km2, mean average is rainfall 1059.3mm, mean average discharge is 1.53m3/s.

2.3 Seismic analysis and construction method and age of project According to the 1: 4,000,000 national seismic intensity zoning map of China (2001), the basic seismic fortification intensity of this project area is degree Ⅷ. The dam height is 6.3 m. The hydraulic structures do not have collapse, sinkage and displacement problems. Internal checks were carried out intensively to ensure the good maintenance and safety operation.

2.4 Environmental assessment The project is located in the mountainous area, the natural environment There is no national and provincial protected fish in the river section of the project. There is no migratory fish neither. There is no natural protection area and cultural relics and historic sites within the project area.

There is no environmental outstanding issues. The project was not required to do the environmental assessment report when it was constructed.

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The refurbishment of the project will increase electricity to the grid to alleviate the demand and supply shortage.

3 Refurbishment project overview Reservoir Name Owner Dam height (m) capacity （104 m3） Yangbi Quanqiaohe Quanqiaohe Cascade II Hydropower Plant 6.3 0.25 Hydropower Co. Ltd The year of Province County Type of dam commissioning Yunnan Province Yangbi County Rock fill gravity dam 1987.4 Average Annual Installed Capacity Installed Designed annual Power Output GHG Emission before Capacity after power output after before Reduction refurbishment refurbishment refurbishment (104 refurbishment (tCO2e/y) (kW) (kW) kWh) (104 kWh) 1500 691 1890 861 1,151

Investment Total investment Electro-mechanical equipment/upgrading measures (104 yuan) (104 yuan) 1. Removal of existing 3 turbines/3generators/3control 16.09 equipment 2. Updates 3 turbines CJA475-W-100/1x12.5, 3generators 329.78 SFW630-12/1430, 1 main transformers S11-2500/10 3. Updates excitation systems, governors, control protection 146.69 systems and installs automatic control system. 4. Hydraulic structure refurbishment 57.94

5. other refurbishment (metal structure, pipes etc) 104.71 Ensure the ecological 1. Install ecological flow pipe & 754.96 flow and avoid 33.18 monitoring system dehydration section 2. environment recovery for the Protect the river banks 53.17 dehydration section from collapse 3. Safe Production Standardization Grade A 8.00 4. sound insulation windows in Improve staff working 2.40 control room environment Zero emission for life 5. water purifying tank and and production waste 3.00 cesspool water Key Assumptions： Tariff following upgrade 0.227 Loan interest rate (%) 5.4 (RMB/kWh) Income rate Tax / construction tax/ 25/1/3 Operating period (y) 20 education fee (% / %/ %) Repair rate/ maintenance Depreciation rate (%) 4 1 (%)

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Water resource fee 0.004 Other costs (RMB / kW) 15 (RMB/kWh) Total investment of the From Central FIRR refurbished project Finance / 4 4 （%） (10 yuan) (10 yuan) 754.96 245.70 0 9.79

Total investment of the From Central From GEF Grant FIRR refurbished project Finance 4 4 4 (10 yuan) （%） (10 yuan) (10 yuan) 754.96 245.70 99.75 15.29

4 Conclusion After refurbishment, the project is expected to increase 1,700MWh of power output per year, and directly reduce 1,151tCO2e GHG emission. The total investment will be 7.5496million yuan. After refurbishment, the plant will aim to meet the following requirements: 1. Green SHP aims to grade B; 2. Safe Production Standardization aims to Grade A; 3. Complete the SHP Capacity Expansion and Efficiency Improvement Programme of MWR and MOF; 4. The transformer meet the energy saving index S11 or above; 5. High automation, meeting “five Tele-operation”.

Summary of PDR of Chahe Hydropower Plant

1. Introduction This report is a summary of the full Preliminary Design Report for the rehabilitation and upgrading of Chahe Hydropower plant in Shiping County, Yunnan Province. The Full report is available in Chinese on request if required.

2. Current situation & the necessity for refurbishment 2.1 Current situation The project is located on Xiaohedi River, in Baoxiu Town, Shiping county, Yunnan Province. It was commissioned in 1988, with installed capacity of 4MW(2*1600+800kw), annual operating hous is 2,374h, annul output is 9,496Mwh. After refurbishment, the capacity will increase to 4.8MW(3*1600kw), with expected annual output of 26,200.8Mwh. It is owned by Shiping County Ruilong Electricity Co. Ltd, a private company.

2.2 Hydrology analysis The mean average rainfall is 987mm, meanaverage discharge is 18.6m3/s.

2.3 Seismic analysis and construction method and age of project According to the 1: 4,000,000 national seismic intensity zoning map of China (2001), the basic seismic fortification intensity of this project area is degree Ⅶ. The dam height is 12 m. The dam is rock fill gravity dam, there is no safety problem, and the division channel and powerhouse are also no safety problem. Internal checks were carried out intensively to ensure the good maintenance and safety operation.

2.4 Environmental assessment

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There is no national and provincial protected fish in the river section of the project. There is no migratory fish neither.

There is no drinking and irrigation water requirement. And there is no natural protection area and cultural relics and historic sites within the project area.

There is no environmental outstanding issues. The project was not required to do the environmental assessment report when it was constructed.

2.5 Social assessment The project is located in the mountainous area. There are over 3000 ethnic people living in the same county but their houses are far away from the powerhouse and the the operation of the plant does not affect their life.

3. Refurbishment project overview Reservoir Name Owner Dam height (m) capacity （104 m3） Shiping County Chahe Hydropower Plant Ruilong 12 25 Enectricity Co. Ltd The year of Province County Type of dam commissioning Yunnan Province Shiping County Rock fill gravity dam 1988.8 Average Annual Installed Installed Designed annual Power Output GHG Emission Capacity before Capacity after power output after before Reduction refurbishment refurbishment refurbishment (104 refurbishment (tCO2e/y) (kW) (kW) kWh) (104 kWh) 4000 949.6 4800 2620.08 11317

Investment Total investment Electro-mechanical equipment/upgrading measures (104 yuan) (104 yuan) 1.Remove 3 sets of turbines /generators/ control system 6.00 2.Replace 3 turbines(HLA384-WJ-86), 3generators 381.73 (SFW1600-10/1730), SFZ11-6300/35), 3. excitation, governor, monitoring system, valve etc. 497.8 4. Hydraulic structure refurbishment ( replace gates, sub- 218.74 powerhouse, sub-station) 5. replace metal structures, fire protection, grounding systems 471.35 1675.62 Ensure the ecological 1. Install ecological flow pipe & flow and avoid 8.00 monitoring system dehydration section Install trash rack and 2. Protect the aquatic life 8.00 trash treatment devices Downstream river 3.river bank ecological recovery channel recovery and 24.00 landscape 3. sound insulation windows in Improve staff working 5.00 control room environment

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4. Safe Production Grade B 5.00 Standardization 5. Green SHP Assessment Grade B 10.00 Path retaining wall, sound 6.others( public service, sound insulation in control room, insulation, water purify, 45.00 waste water zero cesspool) emission Key Assumptions： Tariff following upgrade 0.235 Loan interest rate (%) (RMB/kWh) Income rate Tax / construction tax/ 15/4/2 Operating period (y) 50 education fee (% / %/ %) Repair rate/ maintenance Depreciation rate (%) 5 1 (%) Water resource fee 0.004 Other costs (RMB / kW) 12 (RMB/kWh) Total investment of the From Central FIRR refurbished project Finance / 4 4 （%） (10 yuan) (10 yuan) 1675.62 624 0 9.6

Total investment of the From Central From GEF FIRR refurbished project Finance Grant 4 4 4 （%） (10 yuan) (10 yuan) (10 yuan) 1675.62 624 100 10.02

4. Conclusion After refurbishment, the project is expected to increase 16,704.8MWh of power output per year, and directly reduce 11,317tCO2e GHG emission. The total investment will be 16.7562million yuan. After refurbishment, the plant will aim to meet the following requirements: 1. Green SHP grade B; 2. Safe Production Standardization Grade B; 3. Complete the SHP Capacity Expansion and Efficiency Improvement Programme of MWR and MOF; 4. The transformer meet the energy saving index S11 or above; 5. High automation, meeting “five Tele-operation”.

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Summary of PDR of Jiuqianyan Hydropower Plant

1. Introduction This report is a summary of the full Preliminary Design Report for the rehabilitation and upgrading of Jiuqianyan Hydropower plant in Pingbian County, Yunnan Province. The Full report is available in Chinese on request if required.

2. Current situation & the necessity for refurbishment 2.1 Current situation The project is located in Yuping Town, Pingbian county, Honghe autonomous State, Yunnan Province. The plant is 28 km from the county town. It was commissioned in Oct. 1997, with installed capacity of 6.4MW(2*3200kw), annual operating hous is 6372h, annul output is 41,080Mwh. After refurbishment, the capacity will increase to 8 MW(2*4000Kw), with expected annual output of 46,220Mwh. The project is owned by Pingbian County Jiuqianyan Generating Co. Ltd, a private company.

2.2 Hydrology analysis The project is located on Xinxian River, a branch of Honghe River, in Yuping Town, Pingbian county, Honghe autonomous State, Yunnan Province. The drainage area is 276.9km2, mean average discharge is 5.39m3/s.

2.3 Seismic analysis and construction method and age of project According to the 1: 4,000,000 national seismic intensity zoning map of China (2001), the basic seismic fortification intensity of this project area is degree Ⅵ. The dam height is 7.4 m. The dam is concrete gravity dam, no cracking, no deformation. The slope of river banks are stable, river bed is rock foundation. Internal checks were carried out intensively to ensure the good maintenance and safety operation.

2.4 Environmental assessment There is no national and provincial protected fish in the river section of the project. There is no migratory fish neither.

There is no drinking and irrigation water requirement. And there is no natural protection area and cultural relics and historic sites within the project area.

There is no environmental outstanding issues. The project was not required to do the environmental assessment report when it was constructed.

2.5 Social assessment The project is located in the mountainous area, 28km from the county town, and no migrants caused. Pingbian County is one of the national poverty countries. There are over 30 households distributed in the mountainous area, which are far away from the plant, however, they are using the path built during the construction of the project, which is out of repair and maintenance. So the project owner is planned to rebuild the path for the public.

3 Refurbishment project overview Reservoir Name Owner Dam height (m) capacity

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（104 m3）

Pingbian County Jiuqianyan Jiuqianyan Hydropower Plant 7.4 0.2 Generating Co. Ltd The year of Province County Type of dam commissioning Yunnan Province Pingbian County Rock fill gravity dam 1997.10 Average Annual Installed Installed Designed annual Power Output GHG Emission Capacity before Capacity after power output after before 4 Reduction refurbishment refurbishment refurbishment (10 refurbishment (tCO2e/y) (kW) (kW) kWh) (104 kWh) 6400 4108 8000 4622.4 3689

Investment Total investment Electro-mechanical equipment/upgrading measures (104 yuan) (104 yuan) 1. replace 2 turbines/2generators/, rebuild oil, gas and water 1155.68 system 2. replace electronic and mechanical equipments, automatic 213.81 control system 3. replace metal structures and hoisting devices 103.89

4. Hydraulic structure refurbishment 98.69

5. transmission engineering 225.00 6. other expenses, temporary engineering, environment 381.17 protection, water and soil reservation etc. Ensure the ecological flow 1. Install ecological flow pipe & 2326.24 and avoid dehydration 13.00 monitoring system section 2. repair the path nearby the Serve for the public 80.00 plant 3. sound insulation windows in Improve staff working 5.00 control room environment Zero emission for living 4. water purifying tank and and production waste 15.00 cesspool water, protect the water 5. Safe Production Grade B 18.00 Standardization 6. Green SHP Assessment Grade B 17.00

Key Assumptions： Tariff following upgrade 0.235 Loan interest rate (%) 4.9 (RMB/kWh) Income rate Tax / construction tax/ 15/2/3 Operating period (y) 50 education fee (% / %/ %) Repair rate/ maintenance Depreciation rate (%) 4 1 (%)

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Water resource fee 0.006 Other costs (RMB / kW) 24 (RMB/kWh) Total investment of the From Central FIRR refurbished project Finance / 4 4 （%） (10 yuan) (10 yuan) 2326.24 1040 0 9.85

Total investment of the From Central From GEF FIRR refurbished project Finance Grant 4 4 4 （%） (10 yuan) (10 yuan) (10 yuan) 2326.24 1040 148 12.15

4 Conclusion After refurbishment, the project is expected to increase 5,445MWh of power output per year, and directly reduce 3689tCO2e GHG emission. The total investment will be 23.2624million yuan. After refurbishment, the plant will aim to meet the following requirements: 1. Green SHP grade B; 2. Safe Production Standardization Grade B; 3. Complete the SHP Capacity Expansion and Efficiency Improvement Programme of MWR and MOF; 4. The transformer meet the energy saving index S11 or above; 5. High automation, meeting “five Tele- operation”.

Summary of PDR for Jiugonghe Hydropower Plant

1. Introduction This report is a summary of the full Preliminary Design Report for the rehabilitation and upgrading of Jiugonghe Hydropower Plant in Tongshan County, Hubei Province. The full report is available in Chinese on requrest if required.

2. Current situation & the necessity for refurbishment 2.1. Current situation of the plant Jiugonghe Hydropower Plant is at Gangkan Village, Jiugongshan Town, Tongshan County of Hubei Province. It is owned by Tongshan County Hydropwoer Company which is an enterprise of collective ownership. It is the last cascade hydropower plant downstream of the Hengshihe River, a tributary of the Fushuihe River. Jiugonghe Hydropower Plant has 2.52MW (4x630kw) of installed capacity and commissioned in February 2000. The annual utilization hour is 2043.7 h and the average annual power output is 5,150MWh/y. After refurbishment, the installed capacity will keep 2.52MW (4x630kw), and the design output will be 6,595.6 MWh/y.

Through many years of operation, Jiugonghe Hydropower Plant’s equipment was too old and the efficiency is decreased year by year. The performance of the governor is too poor to the automatic control. The main electrical equipment is too old and the performance is poor. The dam has no ecological flow pipe, and there are 300m of dehydration section with poor environment. The trash rack upstream of the plant is collapsed and cannot effectively protect he aquatic life. The waste disposal downstream is not well, which affects the ecological environment. The plant dose not blend in with its surrounding. Therefore, Jiugonghe Hydropower Plant is necessary for refurbishment.

2.2. Hydrology analysis

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The Hengshihe River belongs to the continental climate, mainly controlled by the Pacific monsoon and the Siberian high pressure. The perennial mean temperature is 16.3; the annual average precipitation is 1630mm/y; the perennial average runoff depth is 1031mm and the perennial mean flow of the dam is 15.08 m3/s. Hengshihe River is a mountain river, originating from the storm center of the Fushuhe River. In the flood season, the flood rises and falls sharply. The flow concentration time is short and the peak flood flow is large. The perennial mean evaporation is 1363.8mm and the maximum speed is 13.8m/s.

2.3. Seismic analysis and construction method and age of project According to the geological investigation report, the basic seismic fortification intensity of this project area is lower than degree Ⅵ, so the seismic analysis can be ignored.

The refurbishment of Jiugonghe Hydropower Plant is mainly the mechanical construction, supplemented by artificial construction. The construction will be arranged in dry season, which is benefit to the constructing and minimizes the power loss.

The construction period will be 10 months. The design life of the project: mechanical equipment and metal structure is 20 years; hydraulic structure is 50 years.

The dam of Jiugonghe Hydropower Plant was identified for safe in 2010, and on June 20th 2011, the Water Conservancy Construction and Management Station of MWR issued a document (No. [2011] 77) to verify the dam as the third class of gate-dam. Hubei provincial DRC has approved the PDR of dam reinforcement carried out by the design institute by the document (No. [2012] 615). Now the bidding for the gate-dam reinforcement engineer is done and the construction is about to begin soon.

2.4. Environmental assessment Hydrological regime: Jiugonghe Hydropower Plant causes 300m of dehydration sections downstream. The plant raises the water level upstream, and the ecological environment of reservoir area is changed. The plant also raises the underground water level surrounding the reservoir, which has slight impact to the production and life of the population.

River morphology: the dam raises the water level of 6km of the river upstream of the plant. Part of the river is widened and the flood-discharging pattern has some changes. Hengshihe River has little sand and the sedimentation is not serious. The riverbed downstream of the plant is submerged by Fushui Reservoir at the most time. The generating flow from the powerhouse has less erosion to the riverbed. The flood discharging by the dam has less influence to the riverbed downstream. In one word, the river morphology only has changed at part of river section upstream and downstream of the plant. The impact to the whole river morphology is limited.

Aquatic ecology: the dam of Jiugonghe Hydropower Plant hinders the natural pass of the aquatic life. Only the gate of the dam opens, the aquatic life can pass naturally. The plant causes large water surface upstream, which benefits to the reproduction of the aquatic life. The plant causes 300m of dehydration section downstream when it does not work, which has adverse effect to the aquatic animals and plants.

Landscape: the construction of the plant affects the surrounding landscape, mainly concentrating on construction reservoir zones. The reservoir submerged the terrestrial ecosystem, which cause less effect to the landscape. For the whole assessment area, the

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engineering construction and reservoir has less effect to the landscape ecosystem. The protection measures including vegetation recovery, soil erosion prevention and engineering building beauty will effectively reduce the ecological impact, and the stability of landscape ecosystem will stay the same.

The catchment area of Jiugonghe Hydropower Plant is 460 km2 and perennial mean flow of dam section is 15.08 m3/s. Currently, Jiugonghe Hydropower Plant has no remaining problems on environment. No completed EIA has been carried out since the plant was constructed.

2.5. Social assessment There is no indigenous people nearby Jiugonghe Hydropower Plant. Nearby Jiugonghe Hydropower Plant, there are 24 households with total 114 of population. There is no household at dehydration section. After refurbishment, the plant will install facility to the ecological flow discharging, which will improve the irrigation issue of some farmlands downstream. The floating refuse downstream will be well disposed, which will improve the water quality of the river. Remediation of surrounding environment will improve the ecological environment. All of above mentioned will benefit to people’s lives and health.

3. Refurbishment project overview Reservoir Name Owner Dam height (m) capacity （104 m3） Tongshan Country Tongshan Country Jiugonghe Hydropower 11.26 293 Hydropower Plant Corporate The year of Province County Type of dam commissioning Hubei Province Tongshan County Small （type 2） 2000.2 Installed Average Designed Installed Capacity Annual Power annual power GHG Emission Capacity after before Output before output after Reduction refurbishment refurbishment refurbishment refurbishment (tCO2e/y) (kW) (kW) (104 kWh) (104 kWh) 2520 515 2520 659.56 1045

Total Investment Electro-mechanical equipment/upgrading measures investment (104 yuan) (104 yuan) 1. Removal of existing 4 turbines/4 generators/4 control 25 equipment/2 main transformers 2. Updates 4 turbines ZDT03—LH—160, 4 generators 326.64 SF630-24/2150, 2 main transformers S13-1600. 3. Updates 4 excitation systems, 4 governors GLYWT－ PLC－15000, 4 control protection systems and installs 238.05 702.47 automatic control system. 4. Hydraulic building refurbishment 18.21 5. Updates fire protection system and grounding 4.5 devices.

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Improve the aquatic ecology of 1. Install ecological flow pipe dehydration Φ600mm steel pipe and reconstruct 42.98 section and trash rack. protect the aquatic life upstream. 2. Ecological weir engineer downstream 3. Ecological restoration for flood land, riverbank and estuarine wetland. 4. Safe Protection Standardization Grade B 8.0 construction 5．Green SHP assessment Grade B 5.0 6. Others: remediation of dehydration sections and 34.09 environment surrounding the plant, floating refuse disposal Key Assumptions： Tariff following upgrade 0.32 Loan interest rate (%) 6.0 (RMB/kWh) Income rate Tax / construction tax/ education 17/5/3 Operating period (y) 20 fee (% / %/ %) Repair rate/ Depreciation rate (%) 3 0.5 maintenance (%) Water resource fee Other costs (RMB / 0.003 17 (RMB/kWh) kW) Total investment of From Central the refurbished FIRR Finance / project （%） (104 yuan) (104 yuan) 702.47 252 0 7.74

Total investment of From Central From GEF the refurbished FIRR Finance Grant project （%） (104 yuan) (104 yuan) (104 yuan) 702.47 252 88 8.62

4. Conclusion After refurbishment, Jiugonghe Hydropower Plant is expected to increase 1445.6MWh of power output per year, and directly reduce 1045 tCO2e GHG emission. The total investment will be 7.0247 million yuan. After refurbishment, the plant will aim to meet the following requirements: 1. Green SHP grade B; 2. Safe Production Standardization Grade A; 3. Complete the SHP Capacity Expansion and Efficiency Improvement Programme of MWR and MOF; 4. The transformer meet the energy saving index S11 or above; 5. High automation, meeting “five Tele- operation”.

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Summary of PDR for Zhoujialiang Hydropower Plant

1. Introduction This report is a summary of the full Preliminary Design Report for the rehabilitation and upgrading of Shiyan City Yunyang District Zhoujialiang Hydropower Plant in Yunyang District, Hubei Province. The full report is available in Chinese on request if required.

2. Current situation & the necessity for refurbishment 2.1. Current situation of the plant Shiyan City Yunyang District Zhoujialiang Hydropower Plant is at Jiangwan Village, Nanhuatang Town, Yunyang District of Huebi Province. It is the third cascade plant on the Taohe River. Zhoujialiang Hydropower Plant is a diversion plant with 2.23 MW(2 x 800+ 630kw) of installed capacity and 25m of design head and commissioned in the year of 1986. The annual utilization hour is 4372 h and the average annual power output is 9,750 MWh/y. After refurbishment, the installed capacity will increase to 2.63MW(2 x 1000+630kw), and the design output will be 14,160 MWh/y.

2.2. Hydrology analysis The Taohe River belongs to subtropical area, with mild climate and adequate rainfall. The perennial mean precipitation is 860 mm; the perennial average temperature is 14.3 ℃; the perennial mean flow of the dam is 6.44 m3/s. The rainfall distribution of the river within the year is uneven. The rainfall is mainly concentrating on June to September, accounting for 56% of the whole year. However, the rainfall in winter is less, accounting for 6.1%. Sometimes, there is no rain from December to January of next year. The drought and flood disaster occurs within the year.

2.3. Seismic analysis and construction method and design life According to the Seismic Ground Motion Parameter Zonation Map of China (GB18306-2001), the basic seismic fortification intensity of this project area is degree Ⅵ. The period of the seismic response spectrum is t=0.35s, and the seismic peak acceleration is a=0.05g. This project is mainly the mechanical construction, supplemented by artificial construction. The construction period is one year. The retaining structure is the stone arch dam within its design life. The dam is 7m high, not required to do dam safety assessment report, however,internal checks were carried out intensively to ensure the good maintenance and safety operation.

2.4. Environmental assessment Hydrological regime: the dam causes 500m of dehydration section downstream of the plant. The dam raises the water level upstream, and the ecological environment is changed, which has slight impact to the production and life of local people.

River morphology: the dam raises the water level of 350m of the river upstream of the plant, and part of the river is slightly widened. The flood-discharging pattern has some changes. The sedimentation within the dam is serious and the river downstream is smooth. The flood- discharging has less influence to the riverbed. The riverbed downstream of the plant is flat and the generating flow from the powerhouse has less erosion to the riverbed. The river morphology

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only has changed at part of river section upstream and downstream of the plant. The impact to the whole river morphology is limited.

Aquatic ecology: the dam of Zhoujialiang Hydropower Plant hinders the natural pass of the aquatic life. Only the gate of the dam opens for discharging, the aquatic life can pass naturally. There is water flowing downstream of the plant all the year round, so there is no impact to the aquatic animals and plants.

Landscape: the landscape impact from the construction of the plant mainly concentrates on the construction zones, but no large impact to the landscape of whole area.

Zhoujialiang Hydropower Plant now has no remaining problems on environment. It was no requirement to carry out the EIA when the plant was constructed.

2.5. Social assessment There are 1125 of population nearby the plant without ethnic minorities. The diversion canal of the plant is constructed along the left side of the river, which provides sufficient water for irrigation and other uses. The construction of the plant provides convenience for the local people to access water and power, improving their living standard.

This refurbishment project will not involve land occupation or resettlement. After refurbishment, the plant will give more convenience to local people, improving their life environment and creating more chances.

3. Refurbishment project overview Reservoir Dam height Name Owner capacity (m) （104 m3） Shiyan City Yunyang District Shiyan City Yunyang Zhoujiangliang Hydropower District Zhoujiangliang 7 5 Plant Hydropower Plant The year of Province County Type of dam commissioning Yunyang District of Shiyan Hubei Province Arch dam 1974 City Average Installed Designed Annual GHG Emission Capacity annual power Power Output Installed Capacity after Reduction before output after before refurbishment (kW) (tCO2e/y) refurbishment refurbishment refurbishment (kW) (104 kWh) (104 kWh) 2230 975 2630 1416 3,189 Total Investment Electro-mechanical equipment/upgrading measures investment (104 yuan) (104 yuan) 1. Removal of existing 3 turbine-generator units and install 32.59 the concrete base. 954.16 2. Upgrade 3 turbine-generator units; upgrade 6kV high 480.18

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voltage switch cabinet KYN28-12; update 2 transformers and the main cables of generators and transformers. 3. Auxiliary update: update the intake gates of the units, technical water supply gates, as well as the water level of 32.59 forebay and debris monitoring system of the canal. 4. Hydraulic building: strengthen the diversion canal, and 153.03 add diversion canal excess flow. 5. Others: update part of outlet gates, sluice gates, hoists, and etc; update fire-fighting equipment and repair the 137.27 grounding devices in time if necessary. 1.Ecological flow discharging engineer Stably discharging the ecological 23.5 (equipment, facilities, on- flow line monitoring system) 2. Ecological restoration Benign development of ecology for flood land, riverbank 25.7 and environment and estuarine wetland. 3.Safe Protection Reaching the safe production Standardization 12 standard construction 4.Green SHP Reaching the Green SHP 10 assessment standard 5. Install water supply facilities, floating debris disposal, water quality Monitoring and other 47.3 monitoring and programmes completed hydrological telemetric equipments. Key Assumptions： Loan Tariff following upgrade 0.38 interest rate 7 (RMB/kWh) (%) Income rate Tax / Operating construction tax/ education 20/1/3 25 period (y) fee (% / %/ %) Repair rate/ Depreciation rate (%) 4 maintenance 5 (%) Water resource fee Other costs 0.005 0.056 (RMB/kWh) (RMB / kW) Total investment From of the refurbished Central project Finance FIRR（%） (104 yuan) (104 yuan) 954.16 263 7.95 Total investment From From GEF Grant of the refurbished Central (104 yuan) FIRR（%） project Finance (104 yuan) (104

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yuan) 954.16 263 118.5 10.3

4. Conclusion After refurbishment, Zhoujialiang Hydropower Plant will increase 4,410MWh of power output per year, directly reducing 3,189 tCO2e/y of GHG emission. The total investment will be 9.5416 million yuan. After refurbishment, the plant will meet the following requirements: 1. Green SHP Grade B; 2. Safe Production Standardization Grade B; 3. Complete the SHP Capacity Expansion and Efficiency Improvement Programme of MWR and MOF; 4. Boost transformer meet the energy-saving index S11; 5. High automation with “5 remote controls”.

Summary of PDR for Yangdaohe Cascade Project

1. Introduction This report is a summary of the full Preliminary Design Report for the rehabilitation and upgrading of Xingshan Yangdaohe Cascade Project in Xingshan Count, Yichang City of Hubei Province. The full report is available in Chinese on request if required.

2. Current situation & the necessity for refurbishment 2.1 Current situation of the plant Xingshan Yangdaohe Cascade Project is a portfolio project combined with Chaotianhou, Yangdaohe and Shijiaba Hydropower Plants, which are located at Gaolanhe River, Xingshan County, Yichang City of Hubei Province. They are owned by Hubei Xingfa Chemical Group Co., Ltd which is a joint-equity enterprise. Chaotianhou Hydropower Plant is commissioned from 1996, with 5MW (2×2500Kw) of installed capacity and 20,445 MWh of average annual power output. The annual utilization hour is 3860h. After refurbishment, the installed capacity will keep 5MW, and the design output will be 23,552 MWh/y. Yangdaohe Hydropower Plant is commissioned from 1996, with 7.5MW(5000+2500Kw) of installed capacity and 31,120 MWh of average annual power output. The annual utilization hour is 4073h. After refurbishment, the installed capacity will keep 7.5MW, and the design output will be 37,080 MWh/y. Shijiaba Hydropower Plant is commissioned from 1983, with 3.75MW(3x1250kw) of installed capacity and 17,520 MWh of average annual power output. The annual utilization hour is 4208h. After refurbishment, the installed capacity will increase to 4.5MW(2×1250+1×2000Kw), and the design output will be 21,830 MWh/y. Therefore, the total installed capacity of the portfolio project before refurbishment is 16.25 MW and the average annual power output is 69,085MWh. After refurbishment, the installed capacity will increase to 17MW and the design output will be 82,462 MWh.

2.2 Hydrology analysis Gaolanhe River belongs to north subtropical monsoon humid climate. The perennial mean precipitation is 1222.3mm and the perennial mean evaporation is 800mm.

2.3 Seismic analysis and construction method and age of project The dams of Chaotianhou and Yangdaohe hydropower plants are bottom barrier dams and Shijiaba hydropower plant has a gravity dam. The three plants all have ground powerhouses. The original dams are stable within their design lives. The geology of the plant is stable and the

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basic seismic fortification intensity lower than degree Ⅵ. The refurbishment of the project is mainly the mechanical construction, supplemented by artificial construction. All the 3 dams are only 5m high, not required to do dam safety assessment report, however, internal checks were carried out intensively to ensure the good maintenance and safety operation.

2.4 Environmental assessment Gaolanhe River has good vegetation and stable. There is little aquatic life and no endangered aquatic life in the river. All three plants have no economic flow discharging facilities now. In the dry season, the river downstream may cutoff.

2.5 Social analysis There are farmer households in the project area, but most of them are living at the opposite bank of three plants. There are about 30 people living in each plant without ethnic minority people. Three plants have no impact to the production and living of local residents. This project has no land occupation and resettlement.

3. Refurbishment project overview Reservoir Name Owner Dam height (m) capacity（104 m3） Chaotianhou— Hubei Xingfa Chaotianhou—5 0.1 Xingshan Yangdaohe Cascade Chemical Group Yangdaohe—5 Yangdaohe— Project Co., Ltd Shijiaba—5 0.2 Shijiaba—0.5 The year of Province County Type of dam commissioning Chaotianhou— bottom barrier Chaotianhou- dam 1996 Yangdaohe-- Hubei Province Xingshan County Yangdaohe- bottom barrier 1996 dam Shijiaba-1983 Shijiaba—gravity dam Installed Average Designed Installed Capacity Annual Power annual power GHG Emission Capacity after before Output before output after Reduction refurbishment refurbishment refurbishment refurbishment (tCO2e/y) (kW) (kW) (104 kWh) (104 kWh) 16250 6908.5 17000 8246.2 9,672 Total Electro-mechanical equipment/upgrading Investment investment measures (104 yuan) (104 yuan) 1． Removal of 3 turbine-generator units, 6 main 21.00 transformers and 3 switchers. 5042.56 2． Update 3 turbine-generator units, 6 main 913.11 transformers and 3 switchers.

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3． Update 7 governors, 4 main valves, 2 automatic monitoring systems and 3 oil-gas system. Update 1310.41 3 bypass valves. 4． Renovation of damaged hydraulic buildings. 683.33 Decorate the powerhouse and site area greening. 5． Metal structure anticorrosion. Update fire-fighting device and grounding system. Increase trash 1712.50 remover and a control center and cables. Increase discharging groove Install facilities for at existing dam for the ecological flow 8.31 ecological flow discharging discharging over the year. Construct a submerged dam Environmental behind the existing dam to 53.22 recovery impound water, improving the ecological environment. Protection of aquatic Install barrier for household 27.72 life refuse and drift wood. Install auto trash remover at Improve facilities to the intake. Employ staff to collect and dispose of 103.33 transport the debris to the floating debris recycling station. Natural landscape Site area greening and 55.64 recovery landscape recovery. Install a basin control centre Optimise operation of at Chaotianhou Hydropower 40.00 plant Plant. Safe production Meet the requirement of safe standardisation 60.00 production standard. construction Green SHP Carry out Green SHP 45.00 Assessment assessment. Monitoring to the Monitor all above measures. 9.00 green measures Key Assumptions： Tariff following upgrade 0.256 Loan interest rate (%) 4.90% (RMB/kWh) Income rate Tax / construction tax/ 25%/5%/3% Operating period (y) 25 education fee (% / %/ %) Repair rate/ Depreciation rate (%) 2.8% 1% maintenance (%) Water resource fee Other costs (RMB / 0.003 12.00 (RMB/kWh) kW) Total investment of the From Central FIRR refurbished Finance / （%） project (104 yuan) (104 yuan)

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5042.56 1700.00 9.23 Total investment of the From Central From GEF FIRR refurbished Finance Grant （%） project (104 yuan) (104 yuan) (104 yuan) 5042.56 1700.00 402.21 10.05

4. Conclusion After refurbishment, Xingshan Yangdaohe Cascade Project is expected to increase 13,377 MWh of power output per year, and directly reduce 9,672tCO2e GHG emission per year. The total investment will be 50.4256 million yuan. After refurbishment, three plants will aim to meet the following requirements: 1. Green SHP grade A; 2. Safe Production Standardization Grade A; 3. Complete the SHP Capacity Expansion and Efficiency Improvement Programme of MWR and MOF; 4. Boost transformer meets the energy-saving index S11 or above; 5. High automation with “5 remote controls”.

Summary of PDR for Majing Hydropower Plant

1. Introduction This report is a summary of the full Preliminary Design Report for the rehabilitation and upgrading of Majing Hydropower Plants in Qijiang District, Chongqing Municipality. The full report is available in Chinese on request if required.

2. Current situation & the necessity for refurbishment 2.1 Current situation of the plant Majing Hydropower Plant is at Qingxihe River, Yongxin Town, Qijiang District of Chongqing Municipality. It is owned by Chongqing Qijiang Hydropower Co., Ltd which is a state-owned enterprise. The plant commissioned from 1986, with 5MW(2 x 2500kw) of installed capacity and 16060 MWh. The annual utilization hour is 3212h. After refurbishment, the installed capacity will increase to 6.4MW (2 x 3200kw) and design output is 28760 MWh and the annual utilization hour will be 4806h.

2.2 Hydrology analysis Majing Hydropower Plant is on the Qingxihe River and utilize the tailrace for generation through a channel from a power station uptream. Qingxihe River has 63km of length, 506km2 of drainage area. The catchment area of Majingzi Reservoir is 303.3km2.

The perennial mean precipitation is 1072.6mm and the distribution within the year is uneven. The precipitation in May and August accounts for 59% and the precipitation from January to March accounts for 6%. 2.3 Seismic analysis and construction method and age of project Historically, the engineering area had no moderate intensity or more serious destructive earthquake. The basic seismic fortification intensity of this project area is lower than degree Ⅵ.

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On August 12th 2011, Jingjiang Water Affairs Bureau carried out the inspection and acceptance to the Majingzi Reservoir strengthening construction and the reservoir passed the inspection. And the Water Affairs Bureau issued a “Acceptance Report on Jingjiang Majingzi Reservoir Strengthening Construction”. The dam of the reservoir has no serious accidents in last three years.

The design life of the dam is 100 years and the design life of the powerhouse is 50 years.

2.4 Environmental assessment The vegetation surrounding Majing Hydropower Plant is well. There is a national protection zone upstream of the dam. This refurbishment will have no impact on this zone.

The fish population in the reservoir is limited and there is no national or local protection aquatic or wild life in the engineering area.

Majing Hydropower Plant has following remaining problems on environment: the section between dam intake and the plant tailrace cannot flow through the whole year; the flood water discharging may cause serious scouring to the bottom of the river; the old cesspools of the plant have adverse impact to the river downstream; the domestic water of staff is directly from water- cleaning pool, which may be harmful to their health. All these issues will be solved during this refurbishment.

Majing Hydropower Plant already carried out EIA.

2.5 Social analysis There are around 20 people nearby Majing Hydropower Plant without ethnic minority people. This refurbishment project will have no land occupation. The additional green and safety measures will guarantee the water supply and ecological flow downstream, so the residents surrounding the plant give full support. The refurbishment will also improve the ecological environment.

3. Refurbishment project overview Reservoir Dam height Name Owner capacity（ (m) 104 m3） Chongqing Qijiang Majing Hydropower Plant Hydropower Co., Ltd. The year of Province County Type of dam commissioni ng Concrete Chongqing Municipality Qijiang District gravity dam Installed Average Annual Designed Capacity GHG Power Output Installed Capacity annual power before Emission before after refurbishment output after refurbishme Reduction refurbishment (kW) refurbishment nt (tCO2e/y) (104 kWh) (104 kWh) (kW) 5000kW 1606 6400kW 2876 9,183

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Total Investment Electro-mechanical equipment/upgrading measures investment (104 yuan) (104 yuan) 1. Removal of 2 turbine-generator units and controlling equipment. 2. Update two HLDT9-WJ-75 turbines; update two SFW3200-6/1730 generators; 1608.52 Update one SF11-8000/38.5 of main transformer; Update 6.3kV of power distribution equipment. 3. Update auxiliary equipment; Update GYWT-1000-16 of governors; Update the excitation system; Update the 312.56 protection monitoring system to improve the automation level. 4. Update the open canal; anti-seepage treatment to the 154.81 non-pressure diversion tunnel. 5. Update the penstock; renovate the trash rack, gate and headstock gear of the forebay intake; Update two 205.39 inspection gates of tailrace; Install fire-fighting system. 1. Install ecological flow Ecological flow discharging facilities: install discharging and 6.5 DN100 discharging valve and monitoring real-time monitoring equipment. 2403.78 Environmental remediation to Channel dredging and protect the aquatic 65 repairing the collapsed bank. ecology. Reduce the impact from flood. Zero release of 3. Increase a set of integrated waste water to water cleaning device and 10 protect the water construct a cesspool. quality. 4. Install a bus stop at the date of Leisure use and the plant and install two charging 28 public service points for EVs and greening. Meet Safe Production 5. Safe production Standardization standardization and green SHP 13 Grade A and carry construction. out Green SHP assessment. Key Assumptions： Tariff following upgrade Loan interest rate 0.295 (RMB/kWh) (%) Income rate Tax / construction tax/ 25%/5%/5% Operating period (y) 20 education fee (% / %/ %) Repair rate/ Depreciation rate (%) 4% 1% maintenance (%)

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Water resource fee Other costs (RMB / 0.005 24 (RMB/kWh) kW) Total investment of From Central the FIRR Finance / refurbished （%） (104 yuan) project (104 yuan) 2403.78 832 0 9.63% Total investment of From Central From GEF the FIRR Finance Grant refurbished （%） (104 yuan) (104 yuan) project (104 yuan) 2403.78 832 122.5 10.21%

4. Conclusion After refurbishment, Majing Hydropower Plant will increase 12700 MWh of power output per year, directly reducing 9,183 tCO2e/y of GHG emission. The total investment will be 24.0378 million yuan. After refurbishment, the plant will aim to meet the following requirements: 1. Green SHP grade A; 2. Safe Production Standardization Grade A; 3. Complete the SHP Capacity Expansion and Efficiency Improvement Programme of MWR and MOF; 4. Boost transformer meets the energy-saving index S11 or above.

Summary of PDR for Xiaokeng Hydropower Plant

1. Introduction This report is a summary of the full Preliminary Design Report for the rehabilitation and upgrading of Xiaokeng Hydropower Plant in Beipei District, Chongqing Municipality. The full report is available in Chinese on request if required.

2. Current situation & the necessity for refurbishment 2.1. Current situation of the plant Xiema Xiaokeng Hydropower Plant (abbr. Xiaokeng Hydropower Plant) is on the Liangtanhe River, Tianma Village, Xiema Town, Beipei District of Chongqing Municipality. It is owned by Chongqing Xiema Power Corp., Ltd. which is a stated-owned enterprise. Xiaokeng Hydropower Plant commissioned in 1942, with 0.48MW(1×160kW+1×320kW ) of installed capacity and 1510 MWh of average annual power output. The annual utilization hour is 3812h. After refurbishment, the installed capacity will increase to 1.2MW( 1×400+1×800kW)and design output is 4410 MWh/y.

2.2. Hydrology analysis Xiema Town belongs to subtropical warm and humid monsoon climate. The perennial mean precipitation is 1149.1mm. The rainfall distribution within one year is uneven. The precipitation

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from November to April of the next year accounts for 21% of the whole year, but the precipitation in summer accounts for 79% of the whole year.

2.3. Seismic analysis and construction method and age of project The geology of the engineering area belongs to tectonic erosion hill, and the the seismic peak acceleration is < 0.05g, and the basic seismic fortification intensity of this project area is lower than degree Ⅵ.

Chongqing Beipei District Water Affairs Bureau is responsible to the annual inspection of the dam of Xiaokeng Hydropower Plant. The annual inspection result of the dam is safe. The last inspection was on September 25th 2015. The powerhouse is at right side of the riverbed with 50 years of design life.

2.4. Environmental assessment Xiema Xiaokeng Hydropower Plant is on the Liangtanhe River, Tianma Village, Xiema Town of Beipei District. The direction of the river is from southwest to northeast, falling into Jialingjiang River. At eastern side of Xiema Town, there is a giant layered sandstone lying in the river, which naturally forms a fall with 30m of height. The engineering area is at right bank downstream of the fall and the catchment area is 470.8km2 and the perennial mean flow is 7.38m3/s.

The river is in middle subtropical monsoon humid climate zone with adequate rainfall. The average annual temperature is 18.3 and the perennial mean precipitation is 1088.6mm. The rainfall distribution within one year is uneven. The precipitation from April to September accounts for 80.4% of the whole year, and the precipitation from October to March of next year accounts for 19.6%. The perennial mean evaporation is 1007.6mm.

The vegetation surrounding the plant is well. There is no national or local key protection wild life or aquatic life in the engineering area.

Xiaokeng Hydropower Plant has no outstanding problems on environment. The plant was constructed very early of the year 1942, so it is not required to carry out a complete EIA.

2.5. Social assessment There are no ethnic minority people nearby Xiaokeng Hydropower Plant. It requires 0.07ha land for construction, which is wasteland, and the owner has already solved land acquisition issue and payment to the government). The refurbishment will increase generation efficiency and better use water resource. The green measures will improve the water supply and ecological environment downstream of the river. The refurbishment will also improve the ecological environment surrounding the powerhouse and increase more public service for local residents.

3. Refurbishment project overview Reservoir Dam height Name Owner capacity (m) （104 m3） Xeima Xiaokeng Hydropower Chongqing Xiema 3 2 Plant Power Co., Ltd

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The year of Province County Type of dam commissioni ng Steel concrete Chongqing Municipality Beipei District 1942 dam Installed Average Designed Capacity Installed Capacity GHG Annual Power annual power before after Emission Output before output after refurbishme refurbishment Reduction refurbishment refurbishment nt (kW) (tCO2e/y) (104 kWh) (104 kWh) (kW) 480 151 1200 441 2,097

Total Electro-mechanical equipment/upgrading Investment investment measures (104 yuan) (104 yuan) 6． Removal of two turbines, two generators and two control

equipment. 7． Update two turbines that are ZDT03-LH- 150×800KW and ZDT03-LH-100×400KW ；update two generators that are SF-K800-18/2150 800kW COSφ=0.8 and SF-K400-12/990 400 kW COSφ=0.8;Update one S11-1600/10 10.5±5%/0.4KV of main transformer 8． Re-design the lighting of powerhouse. The bulbs are all energy saving or LED. The accident lighting

use power battery to ensure 2 hours lighting when the accident happens. 1.Install ecological flow Install the discharging facilities: install ecological flow DN600 discharging valve; install discharging 8 a monitoring device at outlet of facilities and 590 discharging facility. monitoring 2. Construct three cascade Increase retaining retaining weirs for environmental weirs for remediation of the dehydration 32 environmental section between the dam and remediation powerhouse tailrace. 3. Increase leisure facilities and Leisure use and 5 site greening public service 4. Renovation of external walls Renovation of 20 of powerhouse. external walls 5. Increase an integrated water Zero release of purity device; update the water production and pipe to PE pipe and construct a living waste water 15 cesspool. to protect the water quality

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6. Safe production Meet the standardization and green SHP requirements of construction safe production and 10 green SHP

Key Assumptions：

Tariff following upgrade Loan interest rate 0.305 (RMB/kWh) (%) Income rate Tax / construction tax/ 25/5/5 Operating period (y) 20 education fee (% / %/ %) Repair rate/ Depreciation rate (%) 4 1 maintenance (%) Water resource fee Other costs (RMB / 0.005 24 (RMB/kWh) kW) Total investment of From Central the FIRR Finance / refurbished （%） (104 yuan) project (104 yuan) 590 156 8.99%

Total investment of From Central From GEF the FIRR Finance Grant refurbished （%） (104 yuan) (104 yuan) project (104 yuan) 590 156 80 10.09%

4. Conclusion After refurbishment, Xiaokeng Hydropower Plant is expected to increase 2900 MWh of power output per year, and directly reduce 2,097 tCO2e/y of GHG emission. The total investment will be 5.9 million yuan. After refurbishment, the plant will aim to meet the following requirements: 1. Green SHP grade A; 2. Safe Production Standardization Grade A; 3. Complete the SHP Capacity Expansion and Efficiency Improvement Programme of MWR and MOF; 4. Boost transformer meets the energy-saving index S11 or above.

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Summary of PDR Gaokeng Hydropower Plant

1. Introduction This report is a summary of the full Preliminary Design Report for the rehabilitation and upgrading of Gaokeng hydropower Plant in Tongliang District, Chongqing Municipality. The full report is available in Chinese on request if required.

2. Current situation & the necessity for refurbishment 2.1 Current situation of the plant Chongqing Longzhu Power Corp., Ltd Gaokeng Hydropower Plant (abbr. Gaokeng Hydropower Plant) is on the Xiao’anxi stream, Jiuxian Town, Tongliang County of Chongqing Municipality. It is owned by Chongqing Longzhu Power Corp., Ltd which is a private enterprise. The plant commissioned on June 1st 1966, with the installed capacity of 4.06MW( 2×630+800+2000Kw). The annual utilization hour is 4676h and the average annual power output is 18,980 MWh/y. After refurbishmen, the installed capacity will increase to 4.6MW(3×800+2200Kw) and the design ouput will be 22,930 MWh/y and the annual utilization hour will increase to 4984h.

2.2 Hydrological analysis The runoff of Xiao’anxi stream is mainly from the rainfall and a small amount from the groundwater. The runoff variation within the year is the same with the rainfall. The perennial mean flow of the dam is 17.1 m3/s. The runoff variation within the year is large, mainly concentrating on the flood season from June to October, with 31.62 m3/s of average flow, accounting for 12.7% of the whole year.

The flood of Xiao’anxi stream is formed by the rainstorm. The rainstorm is almost from June to September, and the heavy rainstorm is mainly in July and August.

2.3. Seismic analysis and construction method and age of project Gaokeng Hydropower Plant is a diversion plant and its hydraulic buildings mainly include dam, intake gate, diversion open canal and tunnel, forebay, steel penstock, powerhouse, tailrace and booster station. The plant was originally constructed in 1966 and extended in 1980 and 1989. Since its completion, the plant never carried out safe assessment for hydraulic buildings. The retaining wall of the tailrace is partially collapsed, and it will be restored in the upgrading project. Besides, other hydraulic buildings are in good operation.

The retaining dam comprises the overflow dam on the left side and the earth-rock dam on the right side. The highest part of the overflow dam is 5.5m and the highest part of the earth-rock dam is 13.3m. The dam is not required to carry out safe assessment report, but internal checks were carried out intensively to ensure the good maintenance and safety operation.

According to the materials from the seismological department, this area never had a destructive earthquake and was only affected by the seismic wave of the adjacent areas. According to the Seismic Ground Motion Parameter Zonation Map of China (GB18306-2001), the seismic peak acceleration is <0.05g, and the basic seismic fortification intensity of this project area is lower than degree Ⅵ.

2.4 Environmental analysis The plant has no remaining problems on environment and never carries out the EIA because it constructed very early.

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Hydrological regime: according to the on-site investigation, there is 4.65 km of water-reducing section which has no household for production and living. After the refurbishment, the design flow is 14.9m3/s. From June to September, the inflow upstream of the dam is larger than the diversion flow, so there is no dehydration downstream of the river. From November to May of the next year, the inflow is smaller than the river design flow, so the plant may cause some impact to the downstream of the river.

River morphology: the reservoir capacity of the plant is about 1 million m3 and the average annual sediment of the dam is 1.18 million t. The sedimentation in front of the dam is serious.

Water quality and ecological analysis: The water quality at the terminal of the reservoir and outlet of the plant is almost the same. Therefore, the construction of the plant has less impact to the water quality of the river.

There is no precious aquatic life in the Xiao’anxi stream. Therefore, the construction of the plant has no impact to the aquatic ecology.

In the construction zone, there is no key protective animal or plant. The project size is small and the backwater zone of the reservoir is short. Therefore, the plant has no impact to the plants along the river.

Landscape: this refurbishment will only update the units but no hydraulic building construction. The dam of the plant is a low dam which has no destruction to the ecological landscape. The diversion open canal and tunnel are covered well. The forebay is constructed into the hillside with small size. Therefore, it has no destruction to the current landform and ecological landscape.

2.5 Social analysis There are total 120 residences in the project area.There is no ethnic minority. This refurbishment project will not involve the land occupation and resettlement.

Hetan village is in the reservoir area upstream of the dam. The dam of Gaokeng Hydropower Plant causes dehydration section downstream of the river, There is no household at the dehydration section, so the dehydration section downstream of the plant will have less impact to the residents downstream.

3. Refurbishment project overview Reservoir Dam height Name Owner capacity (m) （104 m3） Chongqing Chongqing Longzhu Power Corp., Longzhu Power 13.3 100 Ltd Gaokeng Hydropower Plant Corp., Ltd The year of Province County Type of dam commissioning Overview Tongliang Chongqing Municipality dam +earth- 1966 District stone dam

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Designed Installed Average Installed Capacity Annual Power annual power GHG Emission Capacity after before Output before output after Reduction refurbishment refurbishment refurbishment refurbishment (tCO2e/y) 4 (kW) (kW) (10 kWh) (104 kWh) 4060 1898 4600 2293 2,856 Total Electro-mechanical equipment/upgrading Investment investment (104 yuan) measures (104 yuan) 1. Equipment update (replace 4 turbine- generator units, governors and intake gates; 971.05 replace a bridge crane; update the auxiliary and electrical equipment.) 2. Update the substation equipment (update 3 main transformers, 10kV electrical equipment, 198.29 35kV electrical equipment and all grounding network.) 3. Update the public equipment (fire-fighting 2.52 equipment) 4. Hydraulic buildings (canal desilting, tunnel lining, retaining wall of tailrace restoring, 109.48 dredging). 5. Others（Update the intake gate of the penstock, souring sluice and hoisting 14.84 equipment）. Improve the 1.Ecological flow discharging ecology 2.10 measure downstream of the river 1689.02 Meet the 2.Ecological remediation for requirement of 65.88 dehydration section environmental protection No debr is into 3. Floating debris collecting the canal and and disposing system at the reduce the 23.72 intake. downtime of the plant. Meet the safe 4.Safe Protection Standardization production 11.00 construction standard 5.Green SHP assessment Grade A 8.00 Collect and 6. Oil leakage treatment dispose the 7.00 measure waste oil to

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protect the environment Zero 7. Water intake well and discharging of 5.50 cesspool. life wastewater. 8. Refurbish the acoustic Improve the insulation facilities for the working 6.00 central control room and duty room. environment. Reduce the water-soil 9. Site area afforestation loss, improve 10.80 the working environment Key Assumptions： Tariff following upgrade Loan interest rate 0.37 / (RMB/kWh) (%) Income rate Tax / Operating period construction tax/ 25/5/3 30 (y) education fee (% / %/ %) Repair rate/ Depreciation rate (%) 3.23 1 maintenance (%) Water resource fee Other costs (RMB / 0.005 (RMB/kWh) kW) Total investment From Central of the Finance(104 / FIRR（%） refurbished yuan) project (104 yuan) 1689.02 598 9.36 Total investment From Central From GEF of the Finance(104 Grant FIRR（%） refurbished yuan) (104 yuan) project(104 yuan)

1689.02 598 140 10.86

4. Conclusion After refurbishment, Gaokeng Hydropower Plant will increase 3950 MWh of power output per year, directly reducing 2,856tCO2e/y of GHG emission. The total investment will be 16.5902 million yuan. After refurbishment, Gaokeng Hydropower Plant will aim to meet the following requirements: 1. Green SHP Grade A; 2. Safe Production Standardization Grade A; 3. Complete the SHP Capacity Expansion and Efficiency Improvement Programme of MWR and MOF; 4. High automation with “5 remote controls”.

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Summary of PDR of Jingtanfeng Hydropower Plant

1. Introduction This report is a summary of the full Preliminary Design Report for the rehalibitation and upgrading of Jingtanfeng hydropower plant in Wushan County, Chongqing Municipality. The Full report is available in Chinese on request if required.

2. Current situation & the necessity for refurbishment 2.1 Current situation The project is located in Huangyan Village, Jianping Town, Wushan County. The current installed capacity is 1.26 MW (2*630kw), annual operation hour is 4500h and annual output is 5,670Mwh. After refurbishment, the capacity will increase to 1.6 MW (2*800KW), expected annual output will be increase to 9,600Mwh.

The project was commissioned in 1997, owned by Wushan County Jingtan Hydropower Co. Ltd, a private company. The project has operated for 18 years, the mechanical and electronical equipments cannot meet the requirements of grid, the efficiency is low and operation and maintenance cost is too high.

2.2 Hydrology analysis The project dam is built on Ziyang river in Jianping Town. The average annual rainfall is 1350mm, the mean average discharge at dam site is 6.8m3/s, drainage area is 125km2.

2.3 Seismic analysis and construction method and age of project The basic seismic fortification intensity of this project area is < degree Ⅵ. The dam height is 8 m with design life time of 100 years. The design life time of powerhouse is 50 years. The dam was carried out safety assessment. There is no accident happened in the past recent 3 years and no big safe risks.

2.4 Environmental assessment The project is 65km away from Wushan County town by road, but only 35km by water route. It is in the key tourist route area. There is no protected animal or plant in the project area. The project is located in mountainous area, no requirements for irrigation, drinking and fishery. The dam needs desilting, and living area need to build cesspool and drinking water system.

2.5 Social assessment The dam site is in mountainous area, there is no residence no cropland. The power plant area is one of the touring destinations, every year it receives about 500,000 tourists. The access road is shared with villagers, for selling small commodities to tourists, which increase the income of villagers.

3 Refurbishment project overview Reservoir Name Owner Dam height (m) capacity （104 m3） Wushan County Jingtan Jingtanfeng Hydropower Plant 5 / Hydropower Co. Ltd

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The year of Province County Type of dam commissioning Chongqing Wushan County Gravity dam 1994 Average Annual Installed Installed Designed annual Power Output GHG Emission Capacity before Capacity after power output after before Reduction refurbishment refurbishment refurbishment (104 refurbishment (tCO2e/y) (kW) (kW) kWh) (104 kWh) 1260 567 1600 960 2,842

Investment Total investment Electro-mechanical equipment/upgrading measures (104 yuan) (104 yuan) 1.replace 2 turbines (HL220-WJ-50A)/ 2generators (SFW800-

W-6/990), 2 transformer S11-1000/10.5/0.4kv 2. 2 valves, 2 govenors, monitoring, excitation and protection board 3.dam repair and desilting, penstock repair and maintenance 4.update mechanical and electronical equipments (switch board, DC devices, monitoring system, cable etc) 5.update Sub-station 6.hydraulicstructure refurbishment( gate, trash rack, booster- station etc) 1. install ecological flow device & Ensure the ecological flow 6 monitoring system and monitoring Improve trash racking 2.install automatic trash racking 705 efficiency and improve 18 equipment water quality 3. renovate river channel down Ecological recovery to the the dam site, repair bank river channel, protect 34 protection, build a management forest, forbid cutting trees house, 1 staff protect the forest 4.optimize control system, Optimize operation 18 reduce staff 5. sound insulation Reduce noise below 50bB 4 windows/doors in control room 6.build water purify pool and Waste water treatment to 12 cesspool protect river 7. Safe Production Aims to Grade A and Standardization ,Green SHP 8 Grade B Assessment Key Assumptions： Tariff following upgrade 0.295 Loan interest rate (%) (RMB/kWh) Income rate Tax / construction tax/ 25/5/5 Operating period (y) 20 education fee (% / %/ %) Repair rate/ maintenance Depreciation rate (%) 4 1 (%) Water resource fee 0.005 Other costs (RMB / kW) 24 (RMB/kWh)

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Total investment of the From Central FIRR refurbished project Finance / 4 4 （%） (10 yuan) (10 yuan) 705 208 0 9.22

Total investment of the From Central From GEF FIRR refurbished project Finance Grant 4 4 4 （%） (10 yuan) (10 yuan) (10 yuan) 705 208 90 10.26

4 Conclusion After refurbishment, the project is expected to increase 3,930MWh of power output per year, and directly reduce 2,842CO2e GHG emissions. The total investment will be7.05million yuan. After refurbishment, the plant will aim to meet the following requirements: 1. Green SHP grade B; 2. Safe Production Standardization Grade A; 3. Complete the SHP Capacity Expansion and Efficiency Improvement Programme of MWR and MOF; 4. The transformer meet the energy saving index S11; 5. High automation, meeting “five Tele-operation”.

Summary of PDR of Huangyan Hydropower Plant

1. Introduction This report is a summary of the full Preliminary Design Report for the rehalibitation and upgrading of Huangyan hydropower plant in Wushan County, Chongqing Municipality. The Full report is available in Chinese on request if required.

2. Current situation & the necessity for refurbishment 2.1 Current situation The project is located in Huangyan Village, Jianping Town, Wushan County, 2.5 km away from Jingtanfeng hydropower plant. The current installed capacity is 0.6 MW (3*200kw), annual operation hour is 5833h and annual output is 3,500Mwh. After refurbishment, the capacity will increase to 0.96 MW (3*320KW), expected annual output will be increase to 5,600Mwh.

The project was commissioned in 1970, owned by Wushan County Jingtan Hydropower Co. Ltd, a private company. It has operated for over 40 years, all the equipments are too old and needs huge maintenance expenses. The refurbishment and upgrading will not only improve the safety operation, but also make the plant new and fit the surrounding environment.

2.2 Hydrology analysis The project dam is built on Ziyang river in Jianping Town. The drainage area above dam site is 125km2, the mean average discharge at dam site is 6.8m3/s.

2.3 Seismic analysis and construction method and age of project The basic seismic fortification intensity of this project area is < degree Ⅵ. The dam height is 6 m with a length of 41m. There is no accident happened in the past recent 3 years and no big safe risks. It is not required to do dam safety assessment report, however,internal checks were carried out intensively to ensure the good maintenance and safety operation.

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2.4 Environmental assessment The project is a run-off-river plant, together with Jingtanfeng project, located in the key tourist area. The project owner is keen to protect the surrounding forest and vegetation, to be harmonious to the scenic area.

2.5 Social assessment There is no residence no cropland nearby the project area. There is no protected animal or plant in the project area. There is no land migrant issue.

The project employed 30 staff, among which 10 are female, 11 are from local villages.

3 Refurbishment project overview Reservoir Name Owner Dam height (m) capacity （104 m3） Wushan County Jingtan Huangyan Hydropower Plant 6 / Hydropower Co. Ltd The year of Province County Type of dam commissioning Chongqing Wushan County Gravity dam 1970 Average Annual Installed Installed Designed annual Power Output GHG Emission Capacity before Capacity after power output after before Reduction refurbishment refurbishment refurbishment (104 refurbishment (tCO2e/y) (kW) (kW) kWh) (104 kWh) 600 350 960 560 1,518

Investment Total investment Electro-mechanical equipment/upgrading measures (104 yuan) (104 yuan) 1.replace 2 turbines (HLD41-WJ-45) 2.replace 2 generators (SFW3200-10/740), transformer S - 11 4000KVa 3.excitation, governor, monitoring system, valve etc

4.division channel desilting, refurbish the tunnel and forebay

5.update transmission line 420 1. install ecological flow device & Ensure the ecological flow 3 monitoring system and monitoring Improve trash racking 2.install automatic trash racking efficiency and improve 22 equipment and treatment device water quality 3. renovate river channel down Ecological recovery to the the dam site, repair secondary river channel, protect 3 dike forest, forbid cutting trees 4. Safe Production Grade A 9 Standardization

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Improve automation 5.optimize operation 10 system 6. sound insulation Reduce noise below 50bB 3 windows/doors in control room 7.build water purify pool and Waste water treatment to 10 cesspool protect river Key Assumptions： Tariff following upgrade Loan interest rate (%) (RMB/kWh) Income rate Tax / construction tax/ 15/1/5 Operating period (y) education fee (% / %/ %) Repair rate/ maintenance Depreciation rate (%) 3.3 (%) Water resource fee 0.005 Other costs (RMB / kW) (RMB/kWh) Total investment of the From Central FIRR refurbished project Finance / 4 4 （%） (10 yuan) (10 yuan) 420 125 0 8.9

Total investment of the From Central From GEF FIRR refurbished project Finance Grant 4 4 4 （%） (10 yuan) (10 yuan) (10 yuan) 420 125 90 10.05

4 Conclusion After refurbishment, the project is expected to increase 2,100MWh of power output per year, and directly reduce 1,518CO2e GHG emissions. The total investment will be 4.2million yuan. After refurbishment, the plant will aim to meet the following requirements: 1. Green SHP grade B; 2. Safe Production Standardization Grade A; 3. Complete the SHP Capacity Expansion and Efficiency Improvement Programme of MWR and MOF; 4. The transformer meet the energy saving index S11; 5. High automation, meeting “five Tele-operation”.

Summary of PDR for Taiping Hydropower Plant

1. Introduction This report is a summary of the full Preliminary Design Report for the rehabilitation and upgrading of Taiping Hydropower Plants in Yunyang County, Chongqing Municipality. The full report is available in Chinese on request if required.

2. Current situation & the necessity for refurbishment 2.1 Current situation of the plant Taiping Hydropower Plant is at Nixi River, Yunyang County, Chongqing Municipality. It is owned by Chongqing Yunyang Tailong Power Co., Ltd which is a collective enterprise. The plant commissioned from 1989, with 2 MW( 2×1000Kw) of installed capacity and 10,880 MWh of

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average annual power output. The annual utilization hour is 5440h. After refurbishment, the installed capacity will increase to 4MW (2×2000Kw), and the design output will be 12,850 MWh/y.

2.2 Hydrology analysis Taiping Hydropower Plant is on the Nixi River. The average annual precipitation is 1100- 1300mm. The rainfall distribution within one year is uneven and the annual variation is large. The perennial mean temperature is 17.9 and the perennial mean evaporation is 518mm.

2.3 Seismic analysis and construction method and age of project The geological basic structure of engineering area and surrounding areas belongs to the late period of Yanshan movement. According to the historic seismic materials, there is no moderate earthquake in this area. According to the Seismic Ground Motion Parameter Zonation Map of China, the seismic peak acceleration is < 0.05g, and the basic seismic fortification intensity of this project area is lower than degree Ⅵ.

Taiping Hydropower Plant includes dam, diversion structure and powerhouse. All hydraulic buildings are strong and safe.

The dam of the plant has 9.5m of height and the reservoir capacity is smaller than 3 million m2. The local government carried out the safe assessment for the dam and the dam of Taiping Hydropower Plant and all hydraulic buildings are safe. The last assessment was carried out on March 25th 2015.

2.4 Environmental assessment Taiping Hydropower Plant is at the Nixi River, and the dam is 4km far from the river mouth. The catchment area above the dam is 464km2. The powerhouse is at the left side of the river mouth, the control catchment area is 480km2.

The plant intake is on the Nixi River and 4km far from Zhenyang Town. The river slope is slow. Between the dam and powerhouse, there are several streams falling into the dehydration section. There is no endangered aquatic life in this river. The aquatic ecology is well.

Taiping Hydropower Plant has no remaining problems on environment and the plant never carries out the EIA.

2.5 Social analysis Near the plant, there are 8 villages and 2 communities with total 17322 people. There are no ethnic minority people nearby the plant. The plant intake is low and no irrigation or drinking water demand downstream the plant. Therefore, the plant has no impact to the local residents.

3. Refurbishment project overview Reservoir Name Owner Dam height (m) capacity（104 m3） Chongqing Yunyang Taiping Hydropower Plant 9.5 30 Tailong Power Co., Ltd

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The year of Province County Type of dam commissioning Chongqing Yunyang Gravity dam 1989 Installed Average Annual Designed Installed Capacity Power Output annual power GHG Emission Capacity after before before output after Reduction refurbishment refurbishment refurbishment refurbishment (tCO2e/y) (kW) (kW) (104 kWh) (104 kWh) 2000 1088 4000 1285 1,424 Total Electro-mechanical equipment/upgrading Investment investment measures (104 yuan) (104 yuan) 1. Removal of 2 turbine-generator units and controlling 33.84 equipment.

2. Equipment update (two HLA551-WJ-95 of turbines, two SFW2000-12/1730 of generators and one S11- 423.86 5000/38.5 of transformer).

3. Auxiliary equipment update (two excitation systems, two YWT-1800-16 of governors and JZH- 364.85 00/Ф1400×0.6 of intake valve.) 4． Hydraulic building renovation (1m of intake dam and diversion open canal and forebay; build 440.84 powerhouse and sub-powerhouse and booster station).

5． Others (update penstock and grounding system) 60.64 1422.03 1． Ecological flow (equipment, Guarantee the facilities and on-line monitoring 3.4 ecological flow system) 2. Improve facilities to collect and Treat the debris 6.0 dispose of floating debris

Improve the 3. Optimise operation of plant 23 efficiency

4. Safe production standardisation Guarantee safe 28.5 construction production

5. Site area environmental Beautify the 32.1 improvement environment Improve the 6. Improve sound insulation facilities working 5 environment

Key Assumptions：

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Tariff following upgrade Loan interest 0.29 6.55 (RMB/kWh) rate (%) Income rate Tax / construction Operating 25/5/3 20 tax/ education fee (% / %/ %) period (y) Repair rate/ Depreciation rate (%) 5 maintenance 1 (%) Other costs Water resource fee (RMB/kWh) 0.005 24 (RMB / kW) Total investment of From Central the refurbished Finance / FIRR（%） project (104 yuan) (104 yuan) 1422.03 520 0 9.6%

Total investment of From Central From GEF the refurbished Finance Grant FIRR（%） project (104 yuan) (104 yuan) (104 yuan) 1422.03 520 98 10.7

4. Conclusion After refurbishment, Taiping Hydropower Plant will increase 1970 MWh of power output per year, directly reducing 1,424 tCO2e/y of GHG emission. The total investment will be 14.2203 million yuan. After refurbishment, the plant will aim to meet the following requirements: 1. Green SHP grade A; 2. Safe Production Standardization Grade A; 3. Complete the SHP Capacity Expansion and Efficiency Improvement Programme of MWR and MOF; 4. Boost transformer meets the energy-saving index S11 or above; 5. High automation with “5 remote controls”.

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Summary of PDR of Lianjiang County Tangban Hydropower Plant

1. Introduction This report is a summary of the full Preliminary Design Report for the rehalibitation and upgrading of Tangban Hydropower plant in Lianjiang County, Fujian Province. The Full report is available in Chinese on request if required.

2. Current situation & the necessity for refurbishment 2.1 Current situation The project is located in Tangban Village, Pandu Town, middle stream of Aojiang River, part of Shanzai Hydro complex project. The current installed capacity is 11MW( 2 *5500kw), annual operating hour is 2972h and annual output is 32,700Mwh. After refurbishment, the capacity will increase to 12.6MW (2*6300kw), with expected annual output of 40,000Mwh.

The project was commissioned in 2000, owned by Fujian Province Lianjiang County Tangban Hydropower Co. Ltd, a state owned company. 2.2 Hydrology analysis The project was built in the middle stream area of Aojiang River. The average annual rainfall above dam site is 1671mm,the mean average discharge at dam site is 59.9m3/s.

The dam safety was assessed as “Grade B” in May 2015.

2.4 Environmental assessment The project is a run-off-river project. The refurbishment to ensure the ecological flow will protect the aquatics and landscape.

There is no environmental outstanding issues. The plant was required to do the environmental assessment report when it was constructed and it was verified.

2.5 Social assessment The project reservoir is also a drinking water supply source for the Fuzhou City, hence, it is very important to ensure the water quality and achieve Green SHP assessment.

3 Refurbishment project overview Reservoir Name Owner Dam height (m) capacity （104 m3） Fujian Province Lianjiang County Lianjiang Tangban Hydropower Plant Tangban 14.8 195 Hydropower Co. Ltd The year of Province County Type of dam commissioning concrete gravity Fujian Province Lianjiang County 2000 dam

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Average Annual Installed Installed Capacity Designed annual Power Output GHG Emission Capacity before after power output after before Reduction refurbishment refurbishment refurbishment refurbishment (tCO2e/y) (kW) (kW) (104 kWh) (104 kWh) 11000 3270 12600 4000 5,459

Total Investment Electro-mechanical equipment/upgrading measures investment (104 yuan) (104 yuan) 1. replace existing 2 turbines/generators/control equipment 1260 2. 1main transformer, 2 station-service transformer, 1 dam site 148 transformer, control system 3. Updates excitation systems, governors, monitoring systems 353 and repair water pumps) 4.0.4kv panel board, 10kv switch board and bus bar etc 187

6. design fee and installation fees etc 402 1. update ecological flow device Ensure the ecological flow 28 2490 & monitoring system 2. update gate hoisting device Ensure the ecological flow 18 3.landscape recovery and Ecological recovery 55 collapse recovery Reduce pollution to the 4.waste water treatment system 15 water 5. Safe Production Grade A 14 Standardization 6. Green SHP Assessment Grade B 10

Key Assumptions： Tariff following 0.36 Loan interest rate (%) 10 upgrade (RMB/kWh) Income rate Tax / construction tax/ 15/2/3 Operating period (y) 30 education fee (% / %/ %) Repair rate/ maintenance Depreciation rate (%) 3 3 (%) Water resource fee 0.008 Other costs (RMB / kW) 64.3 (RMB/kWh) Total investment of the From Central FIRR refurbished project Finance / 4 4 （%） (10 yuan) (10 yuan) 2490 882 0 7.35

Total investment of the From Central From GEF FIRR refurbished project Finance Grant 4 4 4 （%） (10 yuan) (10 yuan) (10 yuan) 2490 882 140 9.78

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4 Conclusion After refurbishment, the project is expected to increase 7,300MWh of power output per year, and directly reduce 5,459tCO2e GHG emissions. The total investment will be 24.9million yuan. After refurbishment, the plant will aim to meet the following requirements: 1. Green SHP grade B; 2. Safe Production Standardization Grade A; 3. Complete the SHP Capacity Expansion and Efficiency Improvement Programme of MWR and MOF; 4. The transformer meet the energy saving index S11 or above; 5. High automation, meeting “five Tele- operation”.

Summary of PDR of Jiaosan Hydropower Plant

1. Introduction This report is a summary of the full Preliminary Design Report for the rehalibitation and upgrading of Jiaosan Hydropower plant in Taining County, Fujian Province. The Full report is available in Chinese on request if required.

2. Current situation & the necessity for refurbishment 2.1 Current situation The project is located in Jiaoxi Village, Taining County, the third cascade station on Jinxi River. The current installed capacity is 4.8MW(3 *1600kw), annual operating hour is 3900h and annual output is 18,750Mwh. After refurbishment, the capacity will not increase, but expected annual output will be increase to 22,500Mwh.

The project was commissioned in 1997, owned by Taining County Jiaoxi Hydropower Co. Ltd, a collective ownership company. The main equipments are very old, efficiency is low, electronical equipment can not satisfy the requirements by the grid, the maintenance cost is very high, resulting the project not sustainable and safety is unsecured. In order to utilize the water resources, improve reliability, improve living and ecological environment, it is necessary to implement refurbishment and upgrading.

2.2 Hydrology analysis The project was built on Jinxi River, 63km from Taining City. The average annual rainfall above dam site is 1810mm, the mean average discharge is 31.44m3/s.

There is no obvious collapse and landslip, the dam and other civil structures are stable. Every Nov. to Dec., the project owner will examine all the hydraulic structure to ensure the safe operation.

There is a statement that the dam was examined and assessed by the County Water Resource Bureau every year, which was stable and safe.

2.4 Environmental assessment There is no national and provincial protected fish in the river section of the project. There is no migratory fish neither.

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There is no natural protection area and cultural relics and historic sites within the project area.

The project was commissioned very early, environment protection measures were implemented effectively. There is no environmental outstanding issues. 2.5 Social assessment

3 Refurbishment project overview Reservoir Name Owner Dam height (m) capacity （104 m3） Taining County Taining Jiaoxi Cascade III Jiaoxi 12 125 Hydropower Plant Hydropower Co. Ltd The year of Province County Type of dam commissioning Fujian Province Taining County Gate dam 1997 Average Annual Installed Installed Designed annual Power Output GHG Emission Capacity before Capacity after power output after before Reduction refurbishment refurbishment refurbishment (104 refurbishment (tCO2e/y) (kW) (kW) kWh) (104 kWh) 4800 1875 4800 2250 2,804

Investment Total investment Electro-mechanical equipment/upgrading measures (104 yuan) (104 yuan) 1.removal 3 turbines/generators/governors/control system 20.0

2. replace 3 turbines/generators/S11 transformer 350.0 3.updates excitation systems, governors, monitoring systems 100.0 and switch board) 4.hydraulicstructure refurbishment( gates and hosting system) 102.0 5.other updates(fire protection system and grounding 100.0 devices) 1. update ecological flow device Ensure the ecological 25.0 & monitoring system flow 2. update trash rack device Improve trash rack ability 10.0 762 Collect refuse in living 3.build refuse landfill site 4.0 and production site 4. Install racking equipment Racking trash 30 before trash rack automatically 5. Safe Production Grade B 10 Standardization 6. sound insulation windows in Improve staff working 6.00 control room environment 7. Green SHP Assessment Grade B 5.0

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Key Assumptions： Tariff following upgrade 0.30 Loan interest rate (%) (RMB/kWh) Income rate Tax / construction tax/ 25/1/5 Operating period (y) 30 education fee (% / %/ %) Repair rate/ maintenance Depreciation rate (%) 3 1 (%) Water resource fee 0.008 Other costs (RMB / kW) 1 (RMB/kWh) Total investment of the From Central FIRR refurbished project Finance / 4 4 （%） (10 yuan) (10 yuan) 762 336 0 8.82

Total investment of the From Central From GEF FIRR refurbished project Finance Grant 4 4 4 （%） (10 yuan) (10 yuan) (10 yuan) 762 336 90 10.01

4 Conclusion After refurbishment, the project is expected to increase 3,750MWh of power output per year, and directly reduce 2,804tCO2e GHG emissions. The total investment will be7.62million yuan. After refurbishment, the plant will aim to meet the following requirements: 1. Green SHP grade B; 2. Safe Production Standardization Grade B; 3. Complete the SHP Capacity Expansion and Efficiency Improvement Programme of MWR and MOF; 4. The transformer meet the energy saving index S11 or above; 5. High automation, meeting “five Tele- operation”.

Summary of PDR of Tantou Hydropower Plant

1. Introduction This report is a summary of the full Preliminary Design Report for the rehalibitation and upgrading of Tantou hydropower plant in Taining County, Fujian Province. The Full report is available in Chinese on request if required.

2. Current situation & the necessity for refurbishment 2.1 Current situation The project is located on Shanxi River, 2.6km from the county town. The current installed capacity is 2 MW(4 *500kw), annual operating hour is 5033h and annual output is 10,066.96Mwh. After refurbishment, the capacity will increase to 2.52MW (3*840KW), expected annual output will be increase to 11,200Mwh.

The project was commissioned in 1994, owned by Taining County Shanlong Hydropower Co. Ltd, a collective ownership company.

2.2 Hydrology analysis

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The project is a run-off-river project, built on Shanxi River. The average annual rainfall above dam site is 1759mm, the mean average discharge is21.64m3/s, drainage area is 745km2.

There is no obvious collapse and landslip, the dam and other civil structures are stable. The dam was reinforced in Dec. 2013.

There is a statement that the dam was examined and assessed by the County Water Resource Bureau every year, which was stable and safe.

2.4 Environmental assessment There is no national and provincial protected fish in the river section of the project. There is no migratory fish neither.

There is no natural protection area and cultural relics and historic sites within the project area.

There is no environmental outstanding issues. The project carried out environmental assessment report when it was built and was approved by the Environment Protection Bureau of Taining County on 26/10/1994.

2.5 Social assessment The project is a single purpose station for electricity generation. There is no requirement for drinking water and irrigation. It is located nearby a museum, and nearby the way to the scenic spot area. So it is very import to ensure the ecological flow to avoid the hydration section, and improve the recovery of landscape.

3 Refurbishment project overview Reservoir Name Owner Dam height (m) capacity （104 m3） Taining County TainingTantou Shanlong 10.8 250 Hydropower Plant Hydropower Co. Ltd The year of Province County Type of dam commissioning Fujian Province Taining County Gate dam 1994 Average Annual Installed Installed Designed annual Power Output GHG Emission Capacity before Capacity after power output after before Reduction refurbishment refurbishment refurbishment (104 refurbishment (tCO2e/y) (kW) (kW) kWh) (104 kWh) 2000 1006 2520 1120 847

Investment Total investment Electro-mechanical equipment/upgrading measures (104 yuan) (104 yuan)

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1.remova l4 turbines/generators/governors/control system 5.0 2. replace 4 turbines (ZDK160-LH-120)/ 4generators (SF630- 373.86 16/1730)/2transformer(S11-1600/110) 3.updates 4excitation systems, 4governors, 2monitoring 72.5 systems and switch board) 4.hydraulicstructure refurbishment( intake) 15.0

5.other updates(gates etc) 25.48 1. install ecological flow device & Ensure the ecological flow 15.0 monitoring system Ecological recovery to the 571.84 2. build 3 ecological weir in the river channel, landscaping 40.0 downstream area the surrounding area 3. Install racking equipment Racking trash 6.0 before trash rack automatically 4. Safe Production Grade B 8.0 Standardization 5. Green SHP Assessment Grade B 5.0 6. sound insulation windows in Improve staff working 6.0 control room environment Key Assumptions： Tariff following upgrade 0.30 Loan interest rate (%) (RMB/kWh) Income rate Tax / construction tax/ 25/5/5 Operating period (y) 30 education fee (% / %/ %) Repair rate/ maintenance Depreciation rate (%) 3.23 1 (%) Water resource fee 0.008 Other costs (RMB / kW) 1.1 (RMB/kWh) Total investment of the From Central FIRR refurbished project Finance / 4 4 （%） (10 yuan) (10 yuan) 571.84 176.4 0 8

Total investment of the From Central From GEF FIRR refurbished project Finance Grant 4 4 4 （%） (10 yuan) (10 yuan) (10 yuan) 571.84 176.4 80 10.2

4 Conclusion After refurbishment, the project is expected to increase 1,133MWh of power output per year, and directly reduce 847tCO2e GHG emissions. The total investment will be5.7184million yuan. After refurbishment, the plant will aim to meet the following requirements: 1. Green SHP grade B; 2. Safe Production Standardization Grade B; 3. Complete the SHP Capacity Expansion and Efficiency Improvement Programme of MWR and MOF; 4. The transformer meet the energy saving index S11 or above; 5. High automation, meeting “five Tele- operation”.

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Summary of PDR of Gaofang Cascade II Hydropower Plant

1. Introduction This report is a summary of the full Preliminary Design Report for the rehalibitation and upgrading of Gaofang Cascade II Hydropower plant in Pucheng County, Nanping City, Fujian Province. The Full report is available in Chinese on request if required.

2. Current situation & the necessity for refurbishment 2.1 Current situation The project was commissioned in 1998, owned by Pucheng County Gaofang Cascade II Hydropower Station, a state owned company. The current installed capacity is 2MW( 2 *1000kw), annual operating hour is 2500h and annual output is 5,000Mwh. After refurbishment, the capacity will increase to 2.35MW (2*1175kw), with expected annual output of 6,000Mwh.

The project has operated for 18 years, equipments are in bad abrasion, bad operating conditions, efficiency is low, transformer is not energy-saving, control system is old. There is no ecological flow device and the river bank needs repair.

2.2 Hydrology analysis Gaofang Cascade II station was built in the downstream area of DashixiRiver. The average annual rainfall above dam site is 1900mm,the mean average discharge at dam site is 4.81m3/s.

2.3 Seismic analysis and construction method and age of project According to the 1: 4,000,000 national seismic intensity zoning map of China (2001), the basic seismic fortification intensity of this project area is degreeⅥ. In December 2012, the dam was assessed as “qualified” by Fujian An’lan Water Conservancy& Hydraulic Design Institute. FromSep.~Dec.2013, the municipal Water Resource Bureau carried out reinforcement and danger elimination to the dam and reservoir.

2.4 Environmental assessment The affected dehydration river section is only 1.5km long. There is no national and provincial protected fish in the river section of the project.

There is no environmental outstanding issues. The plant was not required to do the environmental assessment report when it was constructed.

2.5 Social assessment There is a village nearby the dam site with about 700 residences. The reservoir will guarantee the irrigation water for 53ha. cropland for the villagers. The irrigation channel will be repaired and ecological flow will be ensured after the refurbishment. The project will also recruit 9 villagers to work for the project.

3 Refurbishment project overview Reservoir Name Owner Dam height (m) capacity （104 m3）

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Pucheng County Gaofang Cascade Gaofang CascadeII Hydropower Plant 13.9 26 II Hydropower Station The year of Province County Type of dam commissioning Fujian Province Pucheng County Rock fill gravity dam 1996 Average Annual Installed Installed Capacity Designed annual Power Output GHG Emission Capacity before after power output after before Reduction refurbishment refurbishment refurbishment (104 refurbishment (tCO2e/y) (kW) (kW) kWh) (104 kWh) 2000 500 2350 600 748

Total Investment Electro-mechanical equipment/upgrading measures investment (104 yuan) (104 yuan) 1.civil engineering( cable tranch, powerhouse refurbishment) 11.3 2. Removal of existing 2 turbines/generators/control 11.0 equipment 3. equipment of turbine/generator/governor/switch board etc 288.3 and installation 4. sub-station equipment and installation 69.0 5.other refurbishment(fire protection system and grounding 30.8 devices, temporary engineering etc) 6. Independent expenses 48.0 Ensure the ecological flow 1. Install ecological flow device and avoid dehydration 18.0 & monitoring system section Education and awareness 2. Aquatic protection 2.0 rising to protect aquatics Repair the irrigation 3.Water supply and irrigation 14.0 channel 528.4 4. Install racking equipment Racking trash 4.0 before trash rack automatically Renovate the ecology of 5. renovate the river channel, river channel, landscape 12.0 and landscape recovery recovery 6.Install water quality monitoring Monitor the water quality 2.0 devices 7．Install hydrology Collect hydrological date measurement and flood warning and warn flood when 1.0 devices necessary to villagers 8. Safe Production GradeA 8.0 Standardization 9. Green SHP Assessment Grade B 3.0 10. sound insulation windows in Improve staff working 3.0 control room environment 11. water purifying tank and Zero emission for life and 3.0 cesspool production waste water

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Key Assumptions： Tariff following 0.345 Loan interest rate (%) 7.52 upgrade (RMB/kWh) Income rate Tax / construction tax/ 3/1/5 Operating period (y) 20 education fee (% / %/ %) Repair rate/ maintenance Depreciation rate (%) 3.2 0.8 (%) Water resource fee 0.008 Other costs (RMB / kW) 19 (RMB/kWh) Total investment of the From Central FIRR refurbished project Finance / 4 4 （%） (10 yuan) (10 yuan) 528.4 165 0 8.9

Total investment of the From Central From GEF FIRR refurbished project Finance Grant 4 4 4 （%） (10 yuan) (10 yuan) (10 yuan) 528.4 165 70 11.45

4 Conclusion After refurbishment, the project is expected to increase 1,000MWh of power output per year, and directly reduce 748tCO2e GHG emissions. The total investment will be 5.284million yuan. After refurbishment, the plant will aim to meet the following requirements: 1. Green SHP grade B; 2. Safe Production Standardization Grade A; 3. Complete the SHP Capacity Expansion and Efficiency Improvement Programme of MWR and MOF; 4. The transformer meet the energy saving index S11 or above; 5. High automation, meeting “five Tele- operation”.

Summary of PDR for Baiyunxia Hydropwoer Plant

1. Introduction This report is a summary of the full Preliminary Design Report for the rehabilitation and upgrading of Baijunxia Hydropower Plant in Taibai County, Shaanxi Province. The full report is available in Chinese on request if required.

2. Current situation & the necessity for refurbishment 2.1 Current situation of the plant Taibai Baiyunxia Hydropower Plant is at Taochuan Town, Taibai County of Shanxi Province. It is owned by Taibai County Baiyunxia Hydropower Co., Ltd which is a state owned enterprise. It is the first cascade plant on Shitouhe River and is a runoff plant. The plant commissioned in June 1999 and mainly includes the dame, diversion open canal, non-pressure tunnel, forebay, penstock and powerhouse. The installed capacity is 1.8MW and the average annual power output is 7,015 MWh and the annual utilization hour is 5300h. After refurbishment, the installed capacity will increase to 2.76MW and design output is 13,210 MWh.

2.2 Hydrology analysis

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The design head of the plant is 71.2m and diversion flow is 6.39m3/s. The rainfall of Shitouhe River is gradually decreasing from the south to the north. The perennial mean precipitation is 816mm. The rainfall mainly concentrates on July, August and September, accounting for 54% of the whole year.

2.3 Seismic analysis and construction method and age of project Baiyunxia Hydropower Plant’s dam is a runoff overflow dam and the height is lower than 15m and the reservoir capacity is smaller than 100,000m3. It is not required to do dam safety assessment report, however, internal checks were carried out intensively to ensure the good maintenance and safety operation.

2.4 Environmental assessment Upstream and downstream of the plant has no national or local key protection or endangered aquatic life. The average annual flow of the dam is 4.67m3/s. The plant has no remaining problems on environment.

2.5 Social analysis There is no resident or ethnic minority people within 0.5km of the dam and downstream of the river. There is no land occupation and resettlement. The affected part of the river has no water supply or irrigation demand.

3. Refurbishment project overview Reservoir Dam height 4 Name Owner capacity（10 (m) m3） Taibai County Baiyunxia Baiyunxia Hydropower Plant 7.0 Hydropower Co., Ltd. The year of Province County Type of dam commissioning

Shaanxi Taibai Overflow dam 1999

Installed Average Designed Installed GHG Emission Capacity Annual Power annual power Capacity after Reduction before Output before output after refurbishment (tCO2e/y) refurbishment refurbishment refurbishment (kW) (kW) (104 kWh) (104 kWh) 1800 701.5 2760 1321 4,364

Total Electro-mechanical equipment/upgrading Investment investment measures (104 yuan) (104 yuan)

1. Construction engineering 118.06 1157.63

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2. Electromechanical equipment installation 715.72

3. Temporary engineering 22.13

4. Other fees 124.16

5. Metal structure installation 10.54

6. Basic planning fee 49.37

7. Water and soil conservation 9.0

8. Environmental protection 6.0

Guarantee the 1． Ecological flow facilities 0.34 ecological flow Real-time 2．Real-time monitoring system monitoring and 20.88 improve the 3． Construction materials 3.0 transportation

Environmental 4． Dredging in front of the dam 15.56 protection 5． Sound insulation of control Improve working 2.91 room and duty room environment. Protect the water 6. Construct the cesspool source and 1.28 improve living environment 7. Construct a Hydrophilic Public service 18.5 platform Environmental 8. Install new trash bins. 0.23 protection 9. Safe Production Meet the safe 23.93 Standardization construction production standard. 10. Green SHP assessment 13.0 Improve living 11. Greening 3.0 environment. Key Assumptions：

Tariff following upgrade Loan interest rate 0.325 (RMB/kWh) (%) Income rate Tax / construction tax/ 25% / 1% / 3% Operating period (y) 20 education fee (% / %/ %)

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Repair rate/ Depreciation rate (%) 4.34% 1.0 maintenance (%) Other costs (RMB / Other costs (RMB / kW) 0.003 20 kW) Total investment of the From Central FIRR refurbished Finance / （%） project (104 yuan) (104 yuan) 1157.63 358.8 0 9.63

Total investment of the From Central From GEF FIRR refurbished Finance Grant （%） project (104 yuan) (104 yuan) (104 yuan) 1157.63 358.8 102.63 10.74

4. Conclusion After refurbishment, Baiyunxia Hydropower Plants will increase 6,195 MWh of power output per year, directly reducing 4,364 tCO2e/y of GHG emission. The total investment will be 11.5763million yuan. After refurbishment, the plant will aim to meet the following requirements: 1. Green SHP grade A; 2. Safe Production Standardization; 3. Complete the SHP Capacity Expansion and Efficiency Improvement Programme of MWR and MOF; 4. Boost transformer meets the energy-saving index S11 or above; 5. High automation with “5 remote controls”.

Summary of PDR for Xiakou Hydropower Plant

1. Introduction This report is a summary of the full Preliminary Design Report for the rehabilitation and upgrading of Xiakou Hydropower Plant in Taibai County, Shaanxi Province. The full report is available in Chinese on request if required.

2. Current situation & the necessity for refurbishment 2.1. Current situation of the plant Xiakou Hydropower Plant is at Shanchahe River, Taibai County, Shaanxi Province. It is owned by Taibai County Shanxia Hydropower Development Co., ltd which si a state owned enterprise. The plant commissioned from 2000 and is a runoff plant, with 1.32MW (2×500+1×320kw )of installed capacity and 4,497 MWh of average annual power output. The annual utilization hour is 4800h. After refurbishment, the installed capacity will increased to 1.58MW (2×630+1×320kw) and design output is 5,020 MWh.

2.2. Hydrology analysis Shanchahe River belongs to the subtropical mountain climate with 7.6 of perennial mean temperature. The average annual precipitation in this area is 892.3mm. The flood season mainly

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concentrates in July, August and September. The precipitation accounts for 58% of the whole year.

2.3. Seismic analysis and construction method and design life The dam of Xiakou Hydropower Plant is an overflow dam. The dam height is lower than 15m and the reservoir capacity is smaller than 100,000 m3. It is not required to do dam safety assessment report, however,internal checks were carried out intensively to ensure the good maintenance and safety operation.

2.4. Environmental assessment Xiakou Hydropower Plant is a runoff diversion plant. After refurbishment, it will install a ecological flow outlet to ensure the ecological water downstream. The affected reach has no national or local key protective or endangered aquatic life. The perennial mean flow of the dam is 2.14m3/s. The plant has no remaining problems on environment before the refurbishment.

2.5. Social assessment There is no resident or ethnic minority people near the dam or downstream. The engineering has no resettlement or submerging issue. The affected reach has no water supply or irrigation mission.

3. Refurbishment project overview Reservoir Dam height Name Owner capacity (m) （104 m3） Taibai County Shanxia Xiakou Hydropower Plant Hydropower 7.0 Development Co.,ltd The year of Province County Type of dam commissioning

Shaanxi Taibai Overflow dam 2000

Total Electro-mechanical equipment/upgrading Investment investment measures (104 yuan) (104 yuan)

1. Construction engineering 50.41 817.79 2. Electromechanical equipment installation 507.13

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3. Temporary engineering 18.91

4. Other fees 87.02

5. Metal structure installation 3.56

6. Basic planning fee 32.98

7. Water and soil conservation 5.0

8. Environmental protection 5.0

1．Ecological flow facilities Guarantee the 0.13 ecological flow 2．Real-time monitoring system Improve the 20.88 automation level 3 ． Construction materials 5.0 transportation 4． Dredging in front of the dam Environmental 6.23 protection 5 ． Sound insulation of control Improve working 3.44 room and duty room environment. Protect the water 6. Construct the cesspool source and 1.21 improve living 7. Construct the road for Improve the living 37.5 construction environment 8. Install trash bins Environmental 0.23 protection 9. Safe Production Meet the safe 21.16 Standardization construction production standard 10. Green SHP assessment 10.0 Improve the living 11. Greening 2.0 environment Key Assumptions：

Tariff following upgrade Loan interest rate 0.325 (RMB/kWh) (%) Income rate Tax / construction tax/ 25% / 1% / 3% Operating period (y) 20 education fee (% / %/ %) Repair rate/ Depreciation rate (%) 4.34 1.0 maintenance (%) Water resource fee Other costs (RMB / 0.003 19 (RMB/kWh) kW) Total investment From Central FIRR / of the refurbished Finance （%）

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project (104 yuan) (104 yuan) 817.79 205.4 0 8.77

Total investment From Central From GEF of the refurbished Finance Grant FIRR project (104 yuan) (104 yuan) （%） (104 yuan) 817.79 205.4 107.79 10.49

4. Conclusion After refurbishment, Xiakou Hydropower Plant will increase 523 MWh of power output per year, directly reducing 368 tCO2e/y of GHG emission. The total investment will be 8.1779 million yuan. After refurbishment, the plant will meet the following requirements: 1. Green SHP Grade A; 2. Safe Production Standardization; 3. Complete the SHP Capacity Expansion and Efficiency Improvement Programme of MWR and MOF; 4. Boost transformer meet the energy-saving index S11; 5. High automation with “5 remote controls”.

Summary of PDR for Xinpingya Hydropower Plant

1. Introduction This report is a summary of the full Preliminary Design Report for the rehabilitation and upgrading of Xinpingya Hydropower Plants in Ziyang County, Shaanxi Province. The full report is available in Chinese on request if required.

2. Current situation & the necessity for refurbishment 2.1 Current situation of the plant Xinpingya Hydropower Plant is at Badaohe River, Bantao Town, Ziyang County of Shaanxi Province. It is owned by Shanxi Regional Power Group SHP Co. which is a state-owned enterprise. The plant commissioned from December 1999, with 2.5MW of installed capacity and 9,700 MWh of average annual power output. The design head is 118m and design flow is 2.82m3/s. The annual utilization hour is 3880h. After refurbishment, the installed capacity will increase to 3.2MW and design output will be 11,870 MWh.

Because of the strict management, Xinpingya Hydropower Plant has no safety accident in the last three years. The hydraulic buildings are in well performance. However, the electromechanical equipment is too old which causes many faults. The efficiency is low. The plant is harmony with the surrounding environment. However, it still cannot meet the requirement of Green SHP. The plant has no ecological flow discharging facilities and automation level is low. As well, the plant never carries out the safe production standardization construction. Therefore, the plant is necessary to carry out the refurbishment.

2.2 Hydrology analysis Xinpingya Hydropower Plant is at downstream of Badaohe River and the perennial mean flow of the dam is 4.08m³/s. Badaohe River belongs to north subtropical edge humid monsoon climate

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with adequate rainfalls. The perennial mean temperature is 15.1 and the average annual precipitation is 1366.0mm.

2.3 Seismic analysis and construction method and age of project According to the Seismic Ground Motion Parameter Zonation Map of China, the seismic peak acceleration is < 0.05g, and the basic seismic fortification intensity of this project area is lower than degree Ⅵ.

The dam of the plant was constructed in December 1999 within its 50 years of design life. All hydraulic buildings are in the design life. It is not required to do dam safety assessment report, however, internal checks were carried out intensively to ensure the good maintenance and safety operation.

2.4 Environmental assessment Hydrologic regime: Xinpingya Hydropower Plant is a diversion plant. There is 4.8km of dehydration section between the dam and the powerhouse. The plant has no measure for the ecological flow.

River morphology: The dam of the plant is a gravity dam with 4.8m of height and 22.5m of length. There is a scouring sluice at left side of the dam. The river morphology is well.

Aquatic life: The dehydration section caused by this plant is at the downstream of Badaohe River. There is no fish population in this river. Therefore, the dehydration section has no impact to the aquatic life.

Landscape: Xinpingya Hydropower Plant has good vegetation. Through natural remediation, the construction area is harmony with the nature except the dam and the penstock.

Xinpingya Hydropower Plant was completed in December 1999 and never carries out the EIA. During the construction and operation period, the plant has no adverse impact to the environment.

2.5 Social analysis The powerhouse is near Bantao Town with 2240 households and without ethnic minority people. Xinpingya Hydropower Plant has no impact to the production and life water of Bantao Town. The plant has no reservoir, so there is no land occupation and resettlement. Xinpingya Hydropower Plant can create over 3 million yuan every year, which contributes to the local tax and economic development.

3. Refurbishment project overview Reservoir Dam height 4 Name Owner capacity（10 (m) m3） Shanxi Regional Xinpingya Hydropower Plant Power Group 4.80 SHP Co. The year of Province County Type of dam commissioning Shaanxi Province Ziyang County Gravity dam 1998

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Installed Average Annual Designed Installed GHG Emission Capacity Power Output annual power Capacity after Reduction before before output after refurbishment (tCO2e/y) refurbishment refurbishment refurbishment (kW) (kW) (104 kWh) (104 kWh) 2500 970 3200 1187 1,529 Total Investment Electro-mechanical equipment/upgrading measures investment (104 yuan) (104 yuan) 1. Construction engineering 43.84 2. Electromechanical equipment installation 373.69 3. Temporary engineering 6.18 4. Other fees 61.68 5. Basic planning fee 24.61 6. Water and soil conservation 4.00 7. Environmental protection 6.00 Install ecological 1． Install a real-time monitoring flow discharging 8.00 equipment and 3KM of fiber. facilities and monitoring. Improve the 2． Paint the external and internal coordination of walls of powerhouse and sub- 4.00 powerhouse with powerhouse. the landscape. 3． Construct a garden inside the road to the powerhouse. Build Improve working 616.6 7.00 green belt at flood wall and behind environment. the powerhouse. 4. Improve the sound insulation for Improve working 15.00 the control room and duty room. environment. 5. Install 5 trash bins nearby the Environmental 0.50 powerhouse. protection 6. Install a set of integrated drinking Environmental water treatment facility and 15.00 protection construct one cesspool. 7. Install 25 street lamps on the road to the powerhouse and nearby Public service 10.00 the powerhouse. 8. Install automatic rain gauge Improve the upstream of the plant. Build warning 5.00 automation level. system with the plant upstream. 9. Install monitoring system at the Improve the dam, forebay and tailrace 9.00 automation level. respectively 10. Safe Production Meet the safe 23.10

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Standardization construction production standard. Key Assumptions： Tariff following upgrade Loan interest rate 0.31 5.9 (RMB/kWh) (%) Income rate Tax / construction tax/ education 25/1/3 Operating period (y) 20 fee (% / %/ %) Repair rate/ Depreciation rate (%) 4.75 1.0 maintenance (%) Water resource fee Other costs (RMB / 0.003 0.094 (RMB/kWh) kW) Total investment From Central of the refurbished FIRR Finance / project （%） (104 yuan) (104 yuan) 616.60 416.00 0 8.47 Total investment From Central From GEF of the refurbished FIRR Finance Grant project （%） (104 yuan) (104 yuan) (104 yuan) 616.60 416.00 96.60 10.43

4. Conclusion After refurbishment, Xinpingya Hydropower Plants will increase 2170 MWh of power output per year, directly reducing 1,529 tCO2e/y of GHG emission. The total investment will be 6.166 million yuan. After refurbishment, the plant will aim to meet Green SHP grade A and Safe Production Standardization Grade A. The plant will meet the efficiency and safe requirement of the original programme. Boost transformer will meet the energy-saving index S11 or above. The refurbishment will also improve the automation level.

Summary of PDR of Guanxi Hydropower Plant

1. Introduction This report is a summary of the full Preliminary Design Report for the rehalibitation and upgrading of Guanxi hydropower plant in Ruyuan County, Guangdong Province. The Full report is available in Chinese on request if required.

2. Current situation & the necessity for refurbishment 2.1 Current situation The project is located on Nanshui River, in Ganxi Village, Ruyuan County, Guangdong Province. The current installed capacity is 4.8MW (3*1600kw), and annual output is 15,000Mwh. After refurbishment, the capacity will increase to 6MW (3*2000KW), expected annual output will be increase to 17,996Mwh.

The project was commissioned in 1986, owned by Ruyuan County Guanxi Hydropower Co. Ltd, a state owned company.

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2.2 Hydrology analysis The project is a run-off-river project. The average annual rainfall above dam site is 2400mm, the mean average discharge is 40.6m3/s, drainage area is 838km2.

2.3 Seismic analysis and construction method and age of project There is no obvious collapse and landslip, the dam and other civil structures are stable. The dam safety was assessed by Shaoguan Water Conservancy and Hydraulic Consulting Co. Ltd in July 2011, which was considered as” safe and stable”.

2.4 Environmental assessment There is no national and provincial protected fish in the river section of the project. There is no migratory fish neither.

There is no natural protection area and cultural relics and historic sites within the project area.

There is no environmental outstanding issues.

2.5 Social assessment There are about 280 residences lived nearby the project. The project provides irrigation devices and for living water for villagers. The project will spend about 40,000yuan every year for the repair and maintenance of irrigation channels, pipes, pond and pumps etc. it will also provide 60Mwh power per year for pumping for free.

3 Refurbishment project overview Reservoir Name Owner Dam height (m) capacity （104 m3） Ruyuan County Ruyuan County Guanxi Guanxi 12 72 Hydropower Plant Hydropower Co. Ltd The year of Province County Type of dam commissioning Guangdong Province Ruyuan County Gate dam 1986 Installed Average Designed annual power Capacity Annual Power Installed Capacity GHG Emission output after before Output before after refurbishment Reduction refurbishment (104 refurbishment refurbishment (kW) (tCO2e/y) kWh) (kW) (104 kWh) 4800 1500 6000 1799.6 2,030

Total Investment Electro-mechanical equipment/upgrading measures investment (104 yuan) (104 yuan) 1. replace 3 turbines (ZZK15-LH-280)/ 3generators (SF2000- 804.65 48/4250) 2.updates excitation systems, governors(wst-100) 171.81 2108.12

3.update oil, gas and water system, 30/5t crane 118.21

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4.update mechanical and electronical equipments (switch board, 330.68 DC devices, monitoring system, cable etc)

5.update Sub-station S11-2500kVA,S11-5000kVA etc. 109.81 6.hydraulicstructure refurbishment( powerhouse repair, booster- 12.82 station etc) 7.other updates(metal structure, fire protection etc) 46.98 1. install ecological flow device & monitoring Ensure the 10 system ecological flow Improve flood 2. river channel desilting and bank control and safe 36 protection repiar production 3. landscaping in powerhouse area Green SHP 35 Improve water 4.reduce oil leakage 15 quality 5. Safe Production Standardization Grade A 19

6. Green SHP Assessment Grade B 10

Key Assumptions： Tariff following Loan interest rate 0.4382 5.15 upgrade (RMB/kWh) (%) Income rate Tax / construction tax/ Operating period 25/5/2 20 education fee (% / %/ (y) %) Repair rate/ Depreciation rate (%) 4.75 1 maintenance (%) Water resource fee Other costs (RMB / 0.005 18 (RMB/kWh) kW) Total investment of the From Central Finance FIRR refurbished project 4 / 4 (10 yuan) （%） (10 yuan) 2108.12 420 0 9.3

Total investment of the From refurbished project GEF 4 From Central Finance FIRR (10 yuan) 4 Grant (10 yuan) 4 （%） (10 yuan) 2108.12 420 125 10.4

4 Conclusion After refurbishment, the project is expected to increase 2,996MWh of power output per year, and directly reduce 2,030CO2e GHG emissions. The total investment will be 2.10812million yuan. After refurbishment, the plant will aim to meet the following requirements: 1. Green SHP grade B; 2. Safe Production Standardization Grade A; 3. Complete the SHP Capacity Expansion and Efficiency Improvement Programme of MWR and MOF; 4. The transformer meet the energy saving index S11 or above; 5. High automation, meeting “five Tele- operation”.

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Summary of PDR for Sandieling & Dongpai HydropowerPlants

1. Introduction This report is a summary of the full Preliminary Design Report for the rehabilitation and upgrading of Sandieling and Dongpai Hydropower Plant in Jingxi County, Baise City of Guangxi Province. The full report is available in Chinese on request if required.

2. Current situation & the necessity for refurbishment 2.1 Current situation of the plant This project is a portfolio combined with Sandieling Hydropower Plant and Dongpai Hydropower Plant. These two plants are at Luoshuihe River, Jingxi County, Baise City of Guangxi Province. They are owned by Jingxi County Hydropower Co., ltd which is a state owned enterprise. Sandieling Hydropower Plant commissioned from June 1996, with 13.5MW （3×4500kW） of installed capacity and 27,675 MWh of average annual power output. The annual utilization hour is 2050h. After refurbishment, the installed capacity will keep the same but design output will increase to 32,000 MWh. Dongpai Hydropower Plant commissioned from July 1999, with 1.5MW （3×500kW ）of installed capacity and 3,404 MWh of average annual power output. The utilization hour is 2269h. After refurbishment, the installed capacity will keep the same and design output is 4,200 MWh.

The electromechanical equipment of two plants is too old with many potential safety hazards. The operation efficiency and automation level are low. In order to improve the efficiency and stability of the equipment, it is necessary to update turbine-generator units and other auxiliary equipment. Besides, the earth dikes along the river are too low. Therefore, the flood always submerges the farmland upstream of two plants, causing economic loss to the farmers. Original irrigation canals are too old which may seriously affect the irrigation mission. The operation of two plants mainly depends on the water regime upstream and hydrological information collection. Therefore, it is also necessary to increase a water/rainfall regime telemetering station.

2.2 Hydrological analysis The catchment area above the intake of Sandieling Hydropower Plant is 607km2 and the catchment area above the intake of Dongpai Hydropower Plant is 507km2. The perennial mean precipitation is 1800mm and perennial mean flow is 15.59m3/s.

2.3 Seismic analysis and construction method and age of project The dam of two plants is grouted stone gravity dam within 60 years of service life. Currently, the dam works well and the operating staff carries out inspection and maintenance to the dam every year. Therefore, the dam has no safety hazard. 2.4 Environmental assessment Two plants are at right side downstream of the Luoshuihe River. The rainstorm is frequently in summer and autumn. This basin has rich tourism resource with good vegetation. Two plants not only have no impact to the landscape, but also contribute to the energy shortage. 2.5 Social assessment Two plants are all diversion plants without resettlement issue. They have no impact to the residents nearby, but provide power to them. Two plants contribute to the local economic development.

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Through watercourse and irrigation canal renovation, the water and soil loss caused by scouring will be reduced, which effectively protect the local farmland. The irrigation canal can guarantee water consumption and help the farmers increase income. It plays a positive role in the development of local agricultural economy. 3. Refurbishment Project Overview Reservoir Dam height Name Owner capacity (104 (m) m3) Jingxi County Sandieling & Dongpai Hydropower Co., 1.5 1.8 Hydropower Plant ltd The year of Province County Type of dam commissioni ng Grouted stone Guangxi Jingxi 1996.6/1999.7 gravity dam Installed Average Designed Capacity Installed Capacity GHG Annual Power annual power before after Emission Output before output after refurbishmen refurbishment Reduction refurbishment refurbishment t (kW) (tCO2e/y) (104 kWh) (104 kWh) (kW)

15000 3107.9 15000 3620 3,469

Total Investment Electro-mechanical equipment/upgrading measures investment (104 yuan) (104 yuan) 1. Construction engineering (renovation for retaining dam, diversion canal, forebay and booster station) 280.19 2. Equipment update (turbine-generator units, electric equipment, booster equipment) 2042.79

3. Metal structure (gate and hoisting equipment) 43.08 4. Others. 759.94 Guarantee the 1. Ecological flow discharging and ecological flow 3256 8.15 monitoring discharging and monitoring. The farmland can 2. Watercourse and irrigation never damaged by 61.85 canal renovation. the flood. The water regime 3. Water regime automatic can be collected 45 forecasting system. and reduce the loss.

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4. Safe production Safe Production standardization construction and Standardization 15 Green SHP assessment Grade A Key Assumptions：

Tariff following upgrade 0.30 Loan interest rate (%) 5.25 (RMB/kWh) Income rate Tax / construction tax/ 3/5/3 Operating period (y) 35 education fee (% / %/ %) Repair rate/ Depreciation rate (%) 9.2 2.3 maintenance (%) Water resource fee Other costs (RMB / 0.003 1928.36 (RMB/kWh) kW) Total investment of From Central FIRR the refurbished Finance / （%） project (104 yuan) (104 yuan) 3256 1485 0 9.89 Total investment of From Central From GEF FIRR the refurbished Finance Grant （%） project (104 yuan) (104 yuan) (104 yuan)

3256 1485 130 11.06

4. Conclusion After refurbishment, two plants will increase 5,121 MWh of power output every year, directly reducing 3,469 tCO2e/y of GHG emission. The total investment will be 32.56 million yuan. After refurbishment, two plants will aim to meet the following requirements: 1. Green SHP grade A; 2. Safe Production Standardization Grade A; 3. Complete the SHP Capacity Expansion and Efficiency Improvement Programme of MWR and MOF; 4. Boost transformer meets the energy- saving index S11 or above; 5. High automation with “5 remote controls”.

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Summary of PDR of Aibu Cascade II & III Hydropower Plant

1. Introduction This report is a summary of the full Preliminary Design Report for the rehalibitation and upgrading of Aibu Cascade II & III hydropower plant in Jingxi City, Guangdong Province. The Full report is available in Chinese on request if required.

2. Current situation & the necessity for refurbishment 2.1 Current situation The project is located on Longtan River, in Aibu Village, Huadong County, Guangdong Province. The current installed capacity of Aibu II is 1.26MW (2*630kw), and annual output is 7,760Mwh; current installed capacity of Aibu III is 0.4MW, with an annual output of 3,600Mwh. After refurbishment, the capacity of Aibu II will increase to 3.2MW (2*1600KW), expected annual output will be increase to 14,890Mwh; Aibu III will increase to 2.4MW (1600+800kw), expected annual output will be increase to 9,650Mwh

Aibu II & III were commissioned in 1969 and 1973 respectively, owned by Jingxi County Hydropower Co. Ltd, a state owned company.

2.2 Hydrology analysis Aibu Cascade II & III are division type projects, built on Longtan river. The mean average discharge at Aibu II dam site is 16.64m3/s, mean average discharge at Aibu III dam site is 16.97m3/s.

2.3 Seismic analysis and construction method and age of project The dam is rock fill gravity dam, with height of 3m. There is no obvious collapse and landslip, the dam and other civil structures are stable. It is not required to do dam safety assessment report, however, internal checks were carried out intensively to ensure the good maintenance and safety operation.

2.4 Environmental assessment The projects were located in karst mountainous area. It will not cause negative impacts to the surrounding environment.

2.5 Social assessment The refurbishment will increase electricity supply to the local people, which can alleviate the electricity shortage problem.

3 Refurbishment project overview Reservoir Name Owner Dam height (m) capacity （104 m3） Jinxi County Aibu Cascade II & III Hydropower Co. 3 2 Hydropower Plant Ltd The year of Province County Type of dam commissioning Guangxi Province Jinxi County Rock fill gravity dam 1969/1973 Installed Average Annual Installed Designed annual Capacity before Power Output Capacity after power output after GHG Emission

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refurbishment before refurbishment refurbishment (104 Reduction (kW) refurbishment (kW) kWh) (tCO2e/y) (104 kWh) 1860 1136 5600 2454 8,929

Investment Total investment Electro-mechanical equipment/upgrading measures (104 yuan) (104 yuan) 1. civil enginerring ( dam, channel, forebay, powerhouse, 1224.33 boost station refurbishment) 2.electronical and mechanical equipment( turbine, generator, 1142.96 sub-station ) 3.metal structure (gate, hoisting deveices) 262.55

4.others 330.68 1. install ecological flow device & Ensure the ecological 8.15 monitoring system flow 3666.4 2. automatic control system and 70.55 monitoring system 3. landscaping in powerhouse Improve ecological 14.3 area environment 4.install refuse collection machine before trash rack and Protect water quality 12 treatment device 5. Green SHP Assessment 15

Key Assumptions： Tariff following upgrade 0.30 Loan interest rate (%) 6.84 (RMB/kWh) Income rate Tax / construction tax/ 6/5/3 Operating period (y) 35 education fee (% / %/ %) Repair rate/ maintenance Depreciation rate (%) 4.75 2 (%) Water resource fee 0.0035 Other costs (RMB / kW) 20 (RMB/kWh) Total investment of the From Central FIRR refurbished project Finance / 4 4 （%） (10 yuan) (10 yuan) 3666.4 728 0 9.81

Total investment of the From Central From GEF FIRR refurbished project Finance Grant 4 4 4 （%） (10 yuan) (10 yuan) (10 yuan) 3666.4 728 120 10.57

4.Conclusion After refurbishment, the project is expected to increase 13,180MWh of power output per year, and directly reduce 8,929CO2e GHG emissions. The total investment will be 36.664 million yuan. After refurbishment, the plant will aim to meet the following requirements: 1. Green SHP grade B; 2. Safe Production Standardization Grade B; 3. Complete the SHP

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Capacity Expansion and Efficiency Improvement Programme of MWR and MOF; 4. The transformer meet the energy saving index S11.

Summary of PDR for Qingshuitan Hydropower Plant

1. Introduction This project is a summary of the full Preliminary Design Report for the rehabilitation and upgrading of Quzhou Qingshuitan Hydropower Plant in Quzhou City, Zhejiang Province. The full report is available in Chinese on request if required.

2. Current situation & the necessity for refurbishment 2.1 Current situation of the plant Quzhou Qingshuitan Hydropower Plant is at Shangshanxi stream of the Qujiang River, Qujiang District, Quzhou City of Zhejiang Province. It is owned by Quzhou Qingshuitan Hydropower Plant which is a state-owned enterprise. The plant commissioned from 1997, with 0.96MW (3×320Kw) of installed capacity and 3309.5 MWh of average annual power output. The annual utilization hour is 3,870h. After refurbishment, the installed capacity will increase to 1.2MW (3×400Kw), and the design output will be 4,587 MWh/y.

2.2 Hydrological analysis The perennial mean precipitation of Qingshuitan Hydropower Plant is 1842.01mm and the perennial average runoff depth is 1290mm and its average annual flow is 2.86 m3/s.

2.3 Seismic analysis and construction method and age of project The stability of the reservoir is well and according to the Seismic Ground Motion Parameter Zonation Map of China, the seismic peak acceleration is < 0.05g, and the basic seismic fortification intensity of this project area is lower than degree Ⅵ.

The dam is grouted block stone gravity dam with 5m of height. It is commissioned from 1997. Since the operation of the plant, Quzhou Qingshuitan Hydropower Plant carried out the annual inspection to the dam and the result is safe. The last annual inspection is on December 7th 2014.

2.4 Environmental assessment The ecological water demand of the river is 10% of the natural average flow. The perennial mean natural inflow of Qingshuitan Hydropower Plant is 90.29 million m3, and the ecological water demand is 0.286 m3/s. As the ecological flow discharging pipe updated, the plant will meet the ecological store water demand. The dam of the plant is low and the reservoir capacity is 28000 m3.

The original plant has never carried out the EIA. Through analysis, the impact to the surrounding environment is very limited. Qingshuitan Hydropower Plant is at water source protection area of Shangshanxi stream, so there is no production or living facility inside the reservoir area. Therefore, the plant has no impact to the water quality. The affected part of river has no national or local key protection or endangered aquatic life. However, the right side of the dam is the main passage to the southern mountain area. The plant seriously affects the transportation.

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The plant is located at the upstream of Shanshanxi stream surrounded by mountains and greens. After refurbishment to the external walls, the powerhouse will be harmony with the surrounding environment.

After refurbishment, the plant will have obvious substitute effect and reduction emission efficiency.

2.5 Social assessment There are 100 people living between downstream of the dam and the powerhouse. The dam causes dehydration section downstream, which affects the living water supply. After update the ecological flow discharging culvert, the plant will meet the 100% of the minimum flow discharging, which improve the impact caused by dehydration and improve people’s life.

3. Refurbishment Project Overview Reservoir Dam height Name Owner capacity（ (m) 104 m3） Quzhou Quzhou Qingshuitan Qingshuitan 5 2.8 Hydropower Plant Hydropower Plant The year of Province County Type of dam commissioni ng Grouted block Qujiang District of Zhejiang Province stone gravity 1997 Quzhou City dam Installed Average Designed Capacity Installed Capacity GHG Annual Power annual power before after Emission Output before output after refurbishme refurbishment Reduction refurbishment refurbishment nt (kW) (tCO2e/y) (104 kWh) (104 kWh) (kW) 960 330.95 1200 458.7 955 Total Electro-mechanical equipment/upgrading Investment investment measures (104 yuan) (104 yuan) 1. Update the electrical equipment beyond their service lives; install computerized monitoring system and industrial TV 136.83 system. 2. Update the turbine-generator units from 3×320kW to 51.15 3×400kW and update the runners and generators. 3. Update the manual governor to the manual and electric governor; change the main valve, and update the technical 12.75 water supply system. 421.55 4. Construct the drain at the south of the powerhouse; mend the cross section of diversion canal; reconstruct the cable 30.37 trench inside the powerhouse; paint the internal wall of the powerhouse. 5. Metal structure 4.08 6. Fire-fighting 0.99

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7. Ground connection 0.6 8. 10kV access system 10 9. Safe production facilities 20 10. Others 85.17 Meet 100% of the 1. Update the ecological flow minimum discharging 11.31 discharging culvert. flow. Effectively protect the 2. Install trash rack at the aquatic life in the 2.1 intake. river. Improve local 3. Remediation upstream and watershed and 17.13 downstream of the dam. strengthen the riverbank. 4. Construct landscape For leisure use and water-raise weir and 7.28 public service. create landscape node. Improve the overall appearance of 5. Improve the external powerhouse, environment of the 11.12 coordinating with the powerhouse. surrounding environment. 6. Others 20.67 Key Assumptions： Tariff following upgrade Loan interest rate 0.45 4.9 (RMB/kWh) (%) Income rate Tax / construction tax/ 25/7/5 Operating period (y) 25 education fee (% / %/ %) Repair rate/ Depreciation rate (%) 3.233 1 maintenance (%) Water resource fee Other costs (RMB / 0.008 18 (RMB/kWh) kW) Total investment of From Central the FIRR Finance / refurbished （%） (104 yuan) project (104 yuan) 421.55 84 0 9.82 Total investment of From Central From GEF the FIRR Finance Grant refurbished （%） (104 yuan) (104 yuan) project (104 yuan) 421.55 84 69.61 10.07

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4. Conclusion After refurbishment, Quzhou Qingshuitan Hydropower Plants will increase 1,277.5 MWh of power output per year, directly reducing 955 tCO2e/y of GHG emission. The total investment will be 4.2155 million yuan. After refurbishment, the plant will aim to meet the following requirements: 1. Green SHP grade A; 2. Safe Production Standardization Grade A; 3. Complete the SHP Capacity Expansion and Efficiency Improvement Programme of MWR and MOF; 4. Boost transformer meets the energy-saving index S11 or above; 5. High automation with “5 remote controls”.

Summary of PDR for Panxi Cascade Ⅱ&Ⅲ&Ⅳ Hydropower Plants

1. Introduction This report is a summary of the full Preliminary Design Report for the rehabilitation and upgrading of Panxi Cascade Ⅱ& Ⅲ& Ⅳ Hydropower Plants in Jinyun County, Lishui City of Zhejiang Province. The full report is available in Chinese on request if required.

2. Current situation & the necessity for refurbishment 2.1 Current situation of the plant Jinyun Panxi Cascade Ⅱ& Ⅲ& Ⅳ Hydropower Plants are at Panxi River, Jinyun County, Lishui City of Zhejiang Province. They are owned by Jinyun County Cascade Hydropower Plant which is a state-owned enterprise. Panxi Cascade Ⅱ Hydropower Plant commissioned from 1973, with 2.4MW (3×800kW) of installed capacity and 7,980MWh of average annual power output. The annual utilization hour is 3323h. After refurbishment, the installed capacity will keep 2.4MW, and the design output will be 8,770 MWh/y. Panxi Cascade Ⅲ Hydropower Plant commissioned from 1977, with 2.4MW (3×800Kw) of installed capacity and 8,390 MWh of average annual power output. The annual utilization hour is 3496h. After refurbishment, the installed capacity will increase to 3MW(3×1000kW), and the design output will be 9,280 MWh/y. Panxi Cascade Ⅳ Hydropower Plant commissioned from 1981, with1.6MW ( 2×800Kw) of installed capacity and 4,700 MWh of average annual power output. The annual utilization hour is 2942h. After refurbishment, the installed capacity will keep 1.6MW, and the design output will be 5,060 MWh/y.

Through many years of operation, the equipment of three plants is too old and the electrical equipment cannot meet the requirement of the grid. The generating efficiency and water utilization ratio are quite low. The cost for operation and maintenance is too high. All above mentioned cannot guarantee the safety of the plants. It is not sustainable. Therefore, Panxi Cascade Ⅱ& Ⅲ& Ⅳ Hydropower Plants are necessary for refurbishment.

2.2 Hydrology analysis Panxi River is originated from Daping Mountain in Jinyun County, with 31.26km of length and 90. 77km2 of drainage area. Panxi Cascade Ⅰ Hydropower Plant is on the upstream of Panxi River with a reservoir built in 1970. Panxi Cascade Ⅱ Hydropower Plant is on the downstream of the Cascade Ⅰ Plant, and the catchment area between two plants is 9.35 km2. Panxi Cascade Ⅲ Hydropower Plant is in the Jiaokeng Village downstream and the catchment area

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between Cascade Ⅱand Ⅲ is 5.26 km2. Panxi Cascade Ⅳ Hydropower Plant is in Hu Village and the catchment between Cascade Ⅲ and Ⅳ is 12.08 km2.

2.3 Seismic analysis and construction method and age of project The geological structure of the plants is relatively stable and the new tectonic movement is not strong. The seismic activity is weak. According to the Seismic Ground Motion Parameter Zonation Map of China, the seismic peak acceleration is < 0.05g, and the basic seismic fortification intensity of this project area is lower than degree Ⅵ.

2.4 Environmental assessment The perennial mean temperature of the plants is 16.9 and the perennial mean vapor pressure is 16.7 hpa. The relative humidity is 78% and perennial mean precipitation is 1450.9mm. Panxi river belongs to subtropical monsoon climate with adequate rainfall and sunshine. The spatial- temporal distribution of precipitation is uneven. The annual variation is large and the difference within one year is also obvious. The rain peak generally occurred in May and June with plum rains and August and September with typhoon rains. The average flow of Panxi Cascade Ⅱ, Ⅲ and Ⅳ is 1.051 m3/s、1.225 m3/s and1.626 m3/s respectively.

Panxi Cascade plants have no remaining problems on environment. There is no nature reserve and famous scene in this area, so the plants never carry out the EIAs.

2.5 Social analysis Panxi Cascade Plants were constructed very early and already have stable shared interest benefits with the local residents downstream. Now the dehydration section has adverse impact to the ecological environment. However, the branch streams fall in to the downstream of the river, so it has no impact to the daily life of the local residents. This area has no ethnic minority population.

3. Refurbishment project overview Reservoir Dam Name Owner capacity（ height (m) 104 m3） Jinyun Panxi Jinyun County Cascade Hydropower Cascade Ⅱ& Ⅲ& Ⅳ Plant Hydropower Plants The year of Type of Province County commissioni dam ng Zhejiang Province Jinyun County Designed annual Average GHG Installed Capacity power Annual Power Installed Capacity Emission before output Output before after refurbishment Reduction refurbishment after refurbishment (kW) (tCO2e/y) (kW) refurbish (104 kWh) ment (104 kWh)

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6400 2107 7000 2311 1,526 Investmen Total Electro-mechanical equipment/upgrading measures t investment (104 yuan) (104 yuan) 1． Electromechanical equipment update, and will use three CJA475-W-99/1×10 of turbines and three SFW800-10/1430 of Jinyun Panxi generators; Cascade Ⅱ 2． Booster station update; 991 Hydropower Plant 3． Original powerhouse renovation; 4． Install computerized monitoring system; 5． Diversion system refurbishment; 6． Replace some penstocks. 1． Electromechanical equipment update, and will use three CJ-W-95/1×11.5 of turbines and three SFW1000-10/1430 of Jinyun Panxi generators; Cascade Ⅲ 2． Booster station update; 974 Hydropower Plant 3． Original powerhouse renovation; 4． Install computerized monitoring system; 5． Diversion system refurbishment; 6． Replace the penstocks. 1． Electromechanical equipment update, and will use two HL-WJ-60 of turbines and two SFW800-6/1180 of generators; Jinyun Panxi 2． Booster station update; Cascade Ⅳ 594 3． Powerhouse and sub-powerhouse Hydropower Plant renovation; 3619 4． Install computerized monitoring system; 5． Diversion system refurbishment; Update the discharging pipe of Dayang Ecological flow reservoir at Cascade Ⅰ and install real- discharging and 100 time monitoring equipment at the monitoring bottom of the dam of Dayang reservoir. Construct two ecological retaining dam on the dehydration section to impound Environmental water; improve the landscape of the remediation for original concrete dam; ecological bank 280 dehydration protection for 400m of the river to sections strengthen the riverbank and avoid water-soil loss. Through education and biological Protection of aquatic seeding dropping to cultivate aquatic 50 life population. Construct two 150 t/d of high pools and Increase local water three 100 t/d of high pools for water 70 supply and irrigation supply. Increase facilities to Install debris device in front of the dam, collect and dispose and construct garbage disposal 30 of floating debris facilities.

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Ecological recovery Plant 12000 m2 of trees to protect the / natural landscape 80 river ecological environment. recovery Monitor water Install water monitoring equipment at 30 quality each cross section/point. Safe production standardisation and To meet the requirements of safe Green Small 50 production and green SHP. Hydropower Assessment Improve sound Install sound insulation glasses in 20 insulation facilities control room and duty room. Reduction in oil Install the oil collection facilities. 30 leakage Renovate the external walls of Powerhouse and powerhouse and staff dormitory and Site area 200 recover the ecological communities afforestation surrounding the plant. Construct two 120t/d of sewage Clear water basin treatment pools to treat the waste water 120 and cesspool of the villages along the river and staff dormitory. Key Assumptions： Tariff following upgrade Loan interest rate 0.45 5.15 (RMB/kWh) (%) Income rate Tax / Operating period construction tax/ education 25/1/3 30 (y) fee (% / %/ %) Repair rate/ Depreciation rate (%) 3.33 1 maintenance (%) Water resource fee Other costs (RMB 0.008 12 (RMB/kWh) / kW) Total investment From From Central of the refurbished Provincial FIRR Finance / project Fiance （%） (104 yuan) (104 yuan) (104 yuan) 3619 490 210 0 9.73 Total investment From From From Central of the refurbished Provincial GEF FIRR Finance project Fiance Grant （%） (104 yuan) (104 yuan) (104 yuan) (104 yuan)

3619 490 210 375 10.56

4. Conclusion After refurbishment, Jinyun Panxi Cascade Ⅱ& Ⅲ& Ⅳ Hydropower Plants are expected to increase 2,040 MWh of power output per year, and directly reduce 1,526 tCO2e GHG emission

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per year. The total investment will be 36.19 million yuan. After refurbishment, the plant will aim to meet the following requirements: 1. Green SHP grade A; 2. Safe Production Standardization Grade A; 3. Complete the SHP Capacity Expansion and Efficiency Improvement Programme of MWR and MOF; 4. Boost transformer meets the energy-saving index S11 or above; 5. High automation with “5 remote controls”.

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Appendix A – Environmental and Social Management Plan (ESMP): Draft template 4

1. Project Description

In this section, a brief description of the project should be provided, as this indicates the relevant context for the ESMP. The location of all project actions should be described and a map showing their location provided. Basic information on the environment at these locations should also be included as this helps provide the environmental context to which the environmental management plan applies. Additionally, environmental and social (E&S) risk category and identified E&S issues should be defined.

2. Policy, legal, and administrative framework

In this section, a brief description of the relevant national policy, legal, and administrative framework which could define/help shape issues/risks that need to be included into the EMSP, should be provided. Additionally, compliance with applicable international, national and local policies laws, regulations, safeguards, performance safeguards, policies, procedures should be indicated.

3. Environmental and social risks and mitigation measures

In this section, information about the relevant environmental and social risks that are identified should be provided. Since ESMP should serve as an active tool, additional risks that are identified during the project implementation should be included as they are identified. For each identified risk, mitigation measure should be briefly described including the conditions under which the measure is required (for example, continuously or in the event of contingencies). The mitigation measures should be accompanied by, or referenced to, project design and operating procedures which elaborate on the technical aspects of implementing the various measures. Additional information, such as technical details of the mitigation technology, location of the potential E&S impact, timelines, responsibility and cost of the mitigation measure should be included.

4 Please note that the suggested template should to be tailored to the project specific circumstances.

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The table format provided below is recommended: Technical details of Timeline, the mitigation including Mitigating Cost of Mitigation E&S risks technology, process, Location frequency, Responsibility Measure equipment, design and start and end operating procedures date

Risks identified

Additional risks identified during

the project

implementation

4. Environmental and social sustainability monitoring

In this section the monitoring program of the identified E&S risks, should be described. The monitoring program should clearly indicate the linkages between risks/impacts identified, measurement indicators, detection limits (where appropriate), and definition of thresholds that will signal the need for corrective actions.

The table format provided bellow is recommended:

Monitoring methods Parameters to be Timing/Frequency Definition of Sampling/monit Responsibilit E&S risks and procedures Detection limit measured of measurement thresholds oring location y used (e.g. sampling)

Risks identified

Additional risks identified during the project implementation

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5. Capacity development

In line with the overall project strategy on capacity development, the ESMP should detail a plan to assess and develop implementation capacity. This will involve determining if there is sufficient capacity within the responsible organizations or institutions for implementing the ESMP. If not, a determination should be made as to whether it will be possible to develop the appropriate capacity and, if so, at what cost and in what timeframe.

The capacity development section of the ESMP will include the following subsections: a. Recommended management arrangements for the project, including structure, roles, responsibilities, and authorities; b. Designated specific personnel, including management representative(s), with well-defined and clearly communicated lines of responsibility and authority; c. Required oversight and human and financial resources.

If needed, the capacity development section of the ESMP will outline a plan for strengthening capacities of UNIDO staff, Project Executing Organization staff, and contractors with direct responsibility for activities relevant to the environmental and social sustainability of the proposed project.

The capacity development plan will have the following components: a. Identification of capacity needs b. Development of a capacity development plan to address defined needs c. Monitoring and evaluation of capacity development plan

6. Communication

Please complete this section of the ESMP in line with the following clarification: As part of the GEF Annual Monitoring Report (AMR), UNIDO will annually communicate implementation progress on issues that involve ongoing risk to or impacts on the project stakeholders, and on issues that the consultation process or grievance mechanism has identified as of concern to those stakeholders. The ESMP and the relevant progress reports (PIRs) will be disclosed on the UNIDO public website, under the following link: http://www.unido.org/en/resources/factsheets/unido-gef-projects.html.

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