Yunnan Sustainable Road Maintenance (Sector) Project

Environmental Monitoring Report

Project Number: 45030-002 July 2016

PRC: Yunnan Sustainable Road Maintenance (Sector) Project

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

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

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

Asian Development Bank

PRC-3074: Yunnan Sustainable Road Maintenance (Sector) Project

The 2nd Quarterly Environmental Monitoring Report in 2016

Drafted in July 2016

For phase I and phase II-Maintenance Components

Prepared by the Yunnan Highway Administration Bureau for the Asian Development Bank

Table of Contents

LIST OF FIGURES, TABLES AND PICTURES II EXECUTIVE SUMMARY VII I. BACKGROUND AND PROJECT PROGRESS 1 II. REPORT PREPARATION 4 A. Purposes and Objectives 4 B. Policy, Legal, and Administrative Framework 4 C. Report Period 5 D. Scope of Environment Monitoring 5 IV. IMPLEMENTATION OF EMP 6 A. Detailed design drawings and bidding documents 6 B. Institutional Arrangements 6 C. Construction Supervisors 6 D. Implementation status of the mitigation measures 7 E. Analysis of Environmental Monitoring Results 10 F. Institutional Capacity Building and Training 16 V. PUBLIC CONSULTATION, INFORMATION DISCLOSURE AND GRIEVANCE REDRESS MECHANISM 18 A. Public Consultation, Information Disclosure 18 B. Grievance Redress Mechanism (GRM) 21 VI. CONCLUSIONS AND SUGGESTIONS 23

APPENDIX 1: SUMMARY OF POTENTIAL ENVIRONMENTAL IMPACTS AND THE MITIGATION MEASURES IMPLEMENTED 25 APPENDIX 2: SITE PHOTOS 37

List of Figures, Tables and Pictures

Figure 1 Organizational Chart for Supervision of Environmental Protection, Water and Soil Conservation 7 Figure 2 Procudures of Project GRM 22

Table 1 Road Sections for Maintenance during the Phase I and II of the Project and Project Progress 3 Table- 2 Environmental Quality Standards for Surface Water（GB3838-2002） 10 Table- 3 Water Quality Monitoring Results of Phase I and Phase II Components 10 Table- 4 Ambient Air Quality Standard (GB3095-2012） 12 Table- 5 Air Quality Monitoring Results of Phase I and Phase II Components 12 Table- 6 Environmental quality standard for noise (GB3096-2008) 14 Table- 7 Emission standard of environment noise for boundary of construction site （GB12523-2011） 14 Table- 8 Major Noise Source 14 Table- 9 Noise Monitoring Results of the Environmental Sensitive Receptors Along Phase I and Phase II Components 15 Table- 10 List of Persons Consulted With 18

Picture A2- 1 Road pavement and safety control sign 37 Picture A2- 2 Quality Inspection 37 Picture A2- 3 Female Worker Hired for Road Cleaning 38 Picture A2- 4 Site Monitoring 38 Picture A2- 5 Interview with villagers 39 Picture A2- 6 Interview with villagers 39 Picture A2- 7 Bus Stop 40 Picture A2- 8 Female construction workers for G323 /Wenshan section 41 Picture A2- 9 Local female construction workers for G323 /Wenshan section 41 Picture A2- 10 Roadshoulder safety retaining wall 42 Picture A2- 11 Consultation with a villager 42 Picture A2- 12 Consultation with a villager 43 Picture A2- 13 Consultation with villagers 44 Picture A2- 14 Consultation with female construction workers 44 Picture A2- 15 Safety instruction boards 45 Picture A2- 16 Safety instruction boards 45 Picture A2- 17 Safety awareness propaganda 46 Picture A2- 18 Safety awareness propaganda 46 Picture A2- 19 Local female construction workers 47

Picture A2- 20 Water sprinkling for dust suppression 47 Picture A2- 21 Safety education for construction workers 48 Picture A2- 22 Safety emergency drilling 48 Picture A2- 23 Construction safety training 49 Picture A2- 24 Safety warning board- safety cone, deceleration warning board 49 Picture A2- 25 Safety warning sign 50 Picture A2- 26 Interview with roadside farmer 50 Picture A2- 27 Interview with roadside female construction worker 51 Picture A2- 28 Safety warning sign 51 Picture A2- 29 Construction notice 52 Picture A2- 30 Consultation with roadside construction workers 52 Picture A2- 31 Haulage vehicle covered with canvas 53 Picture A2- 32 Sprinkling water during construction 53 Picture A2- 33 Public consultation 54 Picture A2- 34 Construction notification board 54 Picture A2- 35 Culvert construction 55 Picture A2- 36 Construction notice 56 Picture A2- 37 Public consultation 56 Picture A2- 38 Safety awareness propaganda 57 Picture A2- 39 Notification for traffic control 57 Picture A2- 40 Public consultation 58 Picture A2- 41 Public consultation with local female construction workers 58 Picture A2- 42 Site Monitoring 59 Picture A2- 43 Onsite traffic diversion control 59 Picture A2- 44 Onsite traffic diversion control 60

CURRENCY EQUIVALENTS (as of 24 July 2016)

Currency unit – Yuan (CNY) CNY1.00 = $ 0.1498 $1.00 = CNY 6.6760

ABBREVIATIONS

ADB – Asian Development Bank ADB SPS – Asian Development Bank Safeguard Policy Statement 2009 CEWP – Construction Environmental Work Plan CIEE – Consolidated Initial Environmental Examination(i.e. many subprojects addressed in one IEE) dBA – A measure of audible (the ear) noise EARF – Environmental Assessment and Review Framework EIA – Environmental Impact Assessment EMP – Environmental Management Plan ESSU – Environment, Social and Safety Unit (established within YHAB) GRM – Grievance Redress Mechanism IEE – Initial Environmental Examination masl – metres above sea level PMO – Project Management Office PRC – People’s Republic of China RP – Resettlement Plan RoW – Right of Way SDAP – Social Development Action Plan subIDForm – Sub-identification form, provided in the project’s Operations Manual summarizing all features for a subproject vpd – Vehicles per day YEPD – Yunnan Environmental Protection Department YHAB – Yunnan Highway Administration Bureau YPDOT – Yunnan Provincial Department of Transportation YSRI – Yunnan Science and Technology Research Institute of Highways

WEIGHTS AND MEASURES

CO – Carbon monoxide kph – Kilometers per hour mu – Land measurement unit = 666.6m2

NO2 – Nitrate or Nitrogen Dioxide

SO2 – Sulphur dioxide

NOTE

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

Monitoring Indicators

Water Quality

SS – Suspended substance

CODcr – Chemical oxygen demand pH – pH value DO – Dissolved oxygen

Air Quality

PM10 – Inhalable particulate matter (particle size less than 10 microns, harmful to the lungs)

NO2 – Nitrogen dioxide

SO2 – Sulfur dioxide

Acoustic Quality

LAeq – equivalent continuous sound level A

This environmental monitoring report is a document of the borrower. The views expressed herein do not necessarily represent those of Asian Development Bank Board of Directors, Management, or staff, and may be preliminary in nature. Your attention is directed to the “terms of use” section of this website.

Executive Summary

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

2. The Project includes four outputs: maintenance of 866.8 km of national, provincial and county roads (Output 1); pilot of performance-based maintenance contracts (Output 2); development of a road asset management system (Output 3); and institutional development to enhance the performance and sustainability of YHAB road maintenance (Output 4). Maintenance activities will be implemented over five years in four Phases.

3. Phase I and phase II lines have started preparatory works and construction activities, and the rest of the ADB loan Project has not yet started construction, and still been under preparation.

4. The project management offices of Phase I and phase II lines, the constructors and construction supervision companies performed their respective duties in accordance with the EMP. During implementation, environmental mitigation measures were carried out to reduce the impacts of construction on the surrounding environment and people’s health to the minimum as possible. They had minimized the pollution and improved local public transport.

Map 1- Project Roads (phase I)- Location of G320 and G323

G320

Xiangyun

G323

Fu’ning

Map 2- Project Roads (phase II) -G213, S313 and Two Sections of G320

G320Dali(Yangbi~Yongping),91km

G320Baoshan (Yaoqiao~Baoshan) 83km S313 Yimeng to Yimeng,57km

G213 E’shan~Xinping,72km

I. Background and Project Progress 1. The Yunnan Sustainable Road Maintenance Project (the Project) is located in Yunnan Province in the People’s Republic of China. The Yunnan Department of Transport (YPDOT) is the executing agency and the Yunnan Highway Administration Bureau (YHAB) the implementing agency. The latter manages non-tolled national highways, provincial roads and important county roads in the province. Condition of the network has been deteriorating resulting in a reduced level of service and safety, increased transport costs and environmental degradation.

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

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

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

5. Phase I- G320 (Xiangyun section) is located in Dali Prefecture. Dali Prefecture is located in the central west of Yunnan Province. Its total land area is 29,459 square kilometers, among which, mountain area accounting for 83.7% of the total area and plain area accounting for 16.3%. Dali is located at the binding part of Yunnan-Guizhou Plateau and the Hengduan Mountains, with high terrain in the northwest and low southeast. Major rivers in Dali Prefecture include four major river systems (Jinsha River, Lancang River, Nu River, and Honghe River (Yuanjiang river)). More than 160 rivers and streams plume over the whole prefecture.

6. Phase I- G323 (Fu’ning section) is located in Wenshan Prefecture. Wenshan Prefecture is located in the northeast of Yunnan Province, south adjacent to border of Vietnam. Its total land area is 31,456 square kilometers, among which, mountainous and semi-mountainous areas accounting for 94.6% of the total area. In 2009, its GDP was CNY27.4 billion, with a yearly growth of 12.6%; rural household per capita disposal income achieved at CNY2.379, with a yearly growth of 17.4%; and urban household per capita disposal income was CNY13,200, with a yearly growth of 5%. Throughout the year 2009, the total industrial output was valued at CNY 20.8 billion, with a yearly growth of 9.4%.

7. During Phase II, maintenance is proposed for 4 road sections in 3 prefectures in Yunnan province. The proposed work will be confined to maintenance activities within existing RoWs. Much of the work will be minor, such as replacement of guard rails, painting of road markings, and repair of potholes. Most roads will have sections of pavement replaced and their horizontal alignments raised to reduce flooding. All construction earthwork materials used, including aggregate, quarry rock, concrete, and asphalt will be purchased from existing licensed operations located as close as possible to the work areas. No new facilities or access roads will be necessary.

8. The existing provincial highway, S313 (formerly County Road X313), is the important section of Yimen to Shuangbai. The route starts from the west exit of Yimen county (K0+000 = K39 + 900 of original X313, north latitude of 24 ° 39'36 " and east longitude of 102 ° 09'10", and an elevation of 1,590m), via Yongjinshao Village (K8 + 900, elevation of 2,050m), Puzishao Village (K13 + 000, elevation of 2,250m), Wanbaochang pass (K16 + 800, elevation of 2,350m), to Liangshanshao pass (K19 + 800 , elevation of 2,370m, the highest point of the route), then continuous downhill to Liangshanshao Village (K20 + 100, elevation of 2,340m), the opposite hillside of Daqing village (K26 + 200, elevation of 2,060m), Qibulang Village (K29 + 200, elevation of 1,970m), Xiaolvzhi Village (K38 + 800, elevation of 1,510m), Lvzhi town (Lvzhi copper mineral area, K44 + 800, elevation of 1,230m), then along the right bank of Lvzhi River to Sanjia Village Mining Area(K48 + 600, elevation of 1,200m), Xiaomuben Village (K52 + 500, elevation of 1,190m),across Lvzhi River (4-20m pre-stressed hollow slab bridge under construction and expected to open traffic at the end of 2015). The route continues along the left bank of the Lvzhi River to Mingtang Village (K53 + 100, elevation of 1,180m), ending at the divergence between Yimen and Chahe (junction of Yimen and Shuangbai in Chuxiong Prefecture, K58 + 000, north latitude of 24 ° 35'28 " , east longitude 101 ° 26 ' 38 " and elevation of 1,140m). The total route length is 58 km. The S313 maintenance subprojectarea belongs to Yimen County, situated in mainly mountain areas.

9. The existing National Highway G213 -E’shan (Xiaoiiejing) to Xinping (Shiyangchakou) section is located in E’shan and Xinping Counties in Yuxi Prefecture in Yunnan Province. The route starts at Xiaoiiejing Town (the junction of Hongta District and E’shan county in Yuxi Prefecture), via Shihua Village, E’shan County Seat, Damaidi Village, Baini Village, Changshang Village, Wangjiashao Village, Huanian Village, Dakaimeng Village and Yangwu Village, and ends at Shiyangchakou (the junction of three counties-Xinping County of Yuxi Prefecture, Shiping County in Honghe Prefecture, and Yuanjiang County in Yuxi Prefecture), with a total length of 71.683km.

10. The existing G320 (Dali section) is located in the Yangbi County and Yongping County of Dali Prefecture. It starts from at the chainage of K3,219+270, finally reaches the end point at K3,310+800.

11. Table 1 provides details of road sections where maintenance is proposed during Phase I and Phase II associated with types of maintenance proposed and sub-project progress.

Table 1 Road Sections for Maintenance during the Phase I and II of the Project and Project Progress (as of June 2016) Road No. Sect. No. YHAB Local Area Prefecture Road Width (m) Rehab Length Type of Maintenance: Project Progress Office Class (Km) Major(Mj), Medium(Md), MinorStarting date Completed Completed(%) (Mi) (%) (CNY, 10’000) Phase I G320(Xiangyun 1 Dali 17 Mj Jun 2015 2915.37 77.2 section) G323(Fu’ning 2 Wenshan 57 Mj Nov 2015 2850.51 46.5 section Phase II

S313-Yuxi General S313 1 Yuxi 3 6.5/7.5 57.3 Mj Feb 2016 2695.29 22.83 Section

G213-Yuxi General G213 2 Yuxi 3/4 7.5/8 61.56 Mj Feb 2016 4339.2 33.9 Section

Site preparation was completed. Subgrade construction is underway. Pavement has not started. Levelling of mixing plant ground G320-Dali General 3 Dali 2/3 6.5/7.5/8.5 91 Mj 30 Nov 2015 and mixing equipment installation have been Section completed, with 150,000 m3 of pavement G320 gravel purchased in place.

Subgrade side ditch curb structures are being

G320-Baoshan build, completed by 27,802m3 (or 76.2%) and 4 Baoshan 1/2/3 7.5/8.5/12 83 Md 1 Dec 2015 General Section the cement stabilized gravel were purchased with 328,532 m3 (or 54.64%)

Source: YHAB and the IAs database

II. Report Preparation A. Purposes and Objectives 12. This report aims to investigate, monitor and evaluate the ecology and environment quality alongside the phase I and phase II maintenance components.

13. Through qualitative and quantitative analysis of the environmental impact of the project during the construction period, the impact scope and extent will be reported to provide a basis for rational construction.

14. According to the impact scope and extent during the construction phase, corresponding environmental protection measures will be proposed to minimize negative impact caused by the project and well coordinate both development and environmental protection.

15. Emphasize public participation as a complementary to the environmental monitoring, improve construction management, optimize unity of environmental, social and economic benefits, and provide realistic basis for the project management and environmental management.

B. Policy, Legal, and Administrative Framework 16. For the proposed road maintenance and rehabilitation works associated with this project, the following legislation does: a) The Environmental Protection Law of PRC (1989), fundamental law; b) Management Directory of EIA Classification for Construction Project (MEP, 2008); c) Regulations on Review and Approval of EIAs for Construction Project (MEP, 2009); d) Regulation on Hierarchical Review and Approval of EIAs for Construction Project in Yunnan Province (2010), covering management of the whole EIA process; e) Environmental Protection Management Ordinance for Construction Project (1998); f) Environmental Protection Management Regulation for Transport Construction Project (MOT, 2003); g) Environmental Protection Ordinance of Yunnan Province (2004); h) Notice on Enforcement of Environmental Supervision in Transport Construction Project (MOT, 2004), covering environmental management for the life cycle of the transport construction project; i) Water Pollution Prevention Law of PRC (2008) and relevant regulations, mandatory requirements for water pollution prevention and mitigation; j) Air Pollution Prevention Law of PRC (2000) and relevant regulations, mandatory requirements for air pollution prevention and mitigation; k) Environmental Noise Pollution Control Law of PRC (1996) and relevant regulations, mandatory requirements for noise pollution prevention and mitigation; l) Solid Waste Pollution Control Law of PRC (2005) and relevant regulations, mandatory requirements for solid wastes pollution control and recycling; m) Water and Soil Conservation Law of PRC (2010) and relevant regulations, mandatory requirements for soil erosion control; n) Land Management Law of PRC (2004); o) Highway Safety Ordinance of PRC (2011); p) Quota for Land Use of Highway Construction Project (Ministry of Construction combined with Ministry of Land and Resources,1999), regulatory requirements for land acquisition of the highways;

q) Nature Reserve Ordinance of PRC (1994), Ordinance for Scenic Resorts and Historic Sites of PRC (2006); r) Ordinance for Management of Nature Reserves in Yunnan Province (1998), mandatory requirements for conservation of the protected areas; s) Ordinance for Redress of Public Complaints (the State Council, 2005), Interim Procedures for Public Consultation in EIA (SEPA, 2006), and Environmental Complaints Management Regulation (SEPA, 2006), requirements for EIA public consultation and environmental grievance redress; t) Notice on Strengthening EIA Management to Control Environmental Risks (SEPA, 2003); u) Interim Management Regulation for Contingency Plan of Environmental Incidents (MEP, 2010), management requirements for environmental risks control, preparation and implementation of environmental contingency plan; v) Environmental standards and guidelines, including environmental quality standards for surface water, air, and ambient noise; emission standards for polluting sources of wastewater, air pollutants, and noise; as well as EIA guidelines such as Technical Guideline on EIA published by MEP; and w) PRC guideline HJ/T169-2004, National Inventory of Hazardous Goods & MEP Dec.1, 2008.

17. Yunnan has a large number of international, national, provincial and local protected areas. For each Phase, determination of the location of any designated sites in relation to the roads to be maintained will be necessary. The phase I and phase II maintenance components do not involve any protected areas.

C. Report Period 18. This report, the 2nd quarterly EMR of 2016, focuses on atmosphere, water and acoustic environmental impacts during the construction and various indicators before and during construction are compared.

D. Scope of Environment Monitoring 19. (1) atmosphere environment: within 200m on the two sides of the roads’ centre; (2) noise: within 50m on the two sides of the road center, those nearest to the roads, such as residential areas, buildings, schools, parks, hospitals and other sensitive points; (3) surface water: water quality of the rivers section, nearest to the roads; and (4) ecological environment: the affected land, vegetation, animals and plants along the roads.

III Implementation of EMP A. Detailed design drawings and bidding documents 20. The construction drawings and design documents contains environmental management. The construction precautions list soil and water conservation, ecological protection, water, dust and noise control, human health and safety and environmental protection during the construction should be paid attention to (see construction drawing designs). EMP is also included in the bidding documents. (see the bidding documents)

B. Institutional Arrangements 21. Yunnan Highway Administration Bureau (YHAB), the implementing agency (IA), is responsible for organizing, coordinating and supervising the implementation of these two components. The project management offices of phase I and phase II components had been set up in Dali, Wenshan, Baoshan and Yuxi General Sections, under which, the safeguards departments were responsible for supervision and inspection of safety, occupation health, environmental protection on constructors, ensuring smooth road traffic, as well monitoring major hazards and investigating safety accident. The project management offices of phase I and phase II components formulated the implementation plans of environment protection and water and soil conservation, construction safety and traffic management according to approved EMP and SEPP.

C. Construction Supervisors 22. With good testing equipment and strong technical capacities of construction supervision, the CSCs have undertaken all types (I, II, III) of highway project supervision.

23. The organizational chart for supervision of environmental protection, water and soil conservation are shown as follows. The EHS personnel composes: a. Chief Construction Supervisor is also the chief of Environmental Protection, Water and Soil Conservation Department. b. The director of the Chief Construction Supervisor Office is also the EHS engineer in the Environmental Protection, Water and Soil Conservation Department. c. A full-time EHS engineer is set up in each residential office. And d. The subgrade, pavement, traffic engineering and test supervision engineers in the residential offices are concurrently environmental protection, water and soil conservation engineers, responsible for supervision and compliance of EMP and SEPP within their work scopes.

Chief Construction Supervisor

Chief Construction Supervisor Office

EHS engineers, and other professional engineers

Onsite supervisors Logistic personnel

Figure 1 Organizational Chart for Supervision of Environmental Protection, Water and Soil Conservation

24. Scope of supervision of environmental protection, water and soil conservation covers the areas directly influenced by the two components, including construction sites of main highway works and temporary works, construction camp, construction access road, borrow pit, disposal site, sand quarry, mixing plant, and other existing local roads bearing a large number of haulage.

25. The construction supervisors developed phase I and phase II road maintenance supervision plans, including contract-specific environmental supervision plans, safety supervision plans, and incorporated detailed guidelines for implementation of construction supervision, environmental protection and soil and water conservation into daily supervision work. Part-time environmental protection engineers were designated to be responsible for inspection on possible environmental impacts and soil and water loss, safety issues, on-site and inspection during the process of main construction process, in order to ensure mitigation measures to be well implemented.

D. Implementation status of the mitigation measures 26. Implementation status of the mitigation measures during this reporting period are summarized in the Appendix 1. The implementation status of the mitigation measures are summarized in the last columns of the tables for comparison with the designed mitigation measures stated in the EMP. In summary, the mitigation measures have to date been implemented effectively.

27. In accordance with clauses and technical specifications in the construction contracts and the EMP, corresponding mitigation measures are adopted during construction

8 management. Specific measures are shown as follows (The site photos pls. see the Appendix 2): i.Water: The construction area does not involve any drinking water source, irrigation water source or other important water body. A little construction waste water was generated, so the impact to the surface water is very minor. a. The entire construction process does not generate wastewater because the maintenance components were applied with in-situ cold recycling, gradation gravel pavement with warm asphalt, b. On construction sites, no new barrack was built. The phase I and phase II lines project management offices, the supervisors and the contractors rented house of local villagers as workplace, with toilet and septic tank. Domestic wastewater and catering wastewater was not directly discharged. c. Equipment maintenance and refueling were undertaken in the fixed places, rather than on the construction sites, which did not permeate into the water body. d. The equipments and vehicles were cleaned up in the vicinity of nearby car washing shops, so the maintenance section did not generate vehicle washing wastewater. e. Drainage ditches were built on both sides of the roads. The construction workers cleaned up the construction waste in a timely manner to ensure smooth drainage.

ii.Air: The impact of the air quality is mainly from smoke, dust and exhaust of construction machinery and vehicle, etc. Main mitigation measures are shown as below: a. The constructor was equipped with 7 sprinklers, 4 times a day, and increased to 6 times at construction section near the villages. b. Hauling trucks in bulk materials were covered by canvas as much as possible to reduce the dust during transport. c. A gradation mixing station is located about 1 km away from the construction site, and an asphalt mixing station and a cement mixing station were built together. The asphalt mixing station was equipped with bag dust removing equipments to reduce asphalt smoke emissions. And the cement mixing station was sprayed with a small amount of water in the hopper to reduce dust emissions. No any resident or farmland is located nearby, therefore, the generated dust had little impact to the public. iii.Noise: Noise pollution at construction stage is mainly caused by the construction machinery and vehicle hauling activities. The constructor worked from 8:00-18:00 time during daytime, and at night without construction. If at construction section near the villages, construction stopped during 12:00-14:00 to avoid disturbance with the villagers.

iv.Solid waste: During construction period, the earth materials, asphalt, gravel were piled in the slope less than 5% in the fixed places.

v.Soil erosion. Soil erosion of the component was mainly caused by solid waste, construction waste, leaking oil in case of rain runoff. Main mitigation measures are shown as below: a. Only a small amount of pavement material was used to repair the pavement, so did not need to dispose of solid waste. After in-situ cold recycling, the used asphalt is reused to repair the maintenance section. b. Before daily construction, firstly checking the construction vehicles and machinery status. If any problem, the vehicle was sent to the nearest vehicle repair shop for maintenance. Vehicle was refueled in the refueling station in

the vicinity. c. On the construction sites, there was no vehicle maintenance and refueling. d. Renting nearby village houses as a living area and office area, so the garbage generated by the construction workers was collected by the community sanitation department. e. The constructors leased the existing asphalt mixing station, which was set in the abandoned quarries, without any water body or resident nearby. The asphalt spill was also collected and processed in the container. The groundwater was not affected by surface runoff.

vi.Flora and Fauna: Within the scope of construction area, no ancient tree has been found. The construction sites was limited on the original road, without expansion or no excavation and blasting operations, therefore, it did not affect the roadside farmland and trees. vii.Health and Safety. Health and safety education is the important content during construction period. Most construction workers are local villagers. If any illness, they went to local community hospitals for medical treatment. In order to ensure the construction safety and quality, before construction, the constructors conducted safety and skills training for all the staff. Main mitigation measures are shown as below: a. Worker personal protection. Before construction, all construction workers are trained on use of personal protection equipments. b. At the construction sections, the bulletin boards, safety cones, marking and other warning signs were erected to indicate the project name, project brief introduction, constructors, designers, supervisors, and their telephone numbers. c. Traffic cones were used in the construction area with a designed construction staff in charge of traffic management. d. All workers were provided with protective masks, gloves, safety vest, helmet and protective shoes, etc. On-site construction workers were wearing eye-catching safety vest. e. Renting local village houses as office space, equipped with drinking water, life necessities, and clean public toilets. f. Daily supervision and inspection of the construction workers whether safety protection measures were completed, the construction equipments were under normal operation according to standard procedures. Daily or weekly logs of supervision were kept. g. Irregular maintenance on the vehicles and construction machinery. h. Regularly inspecting the cable lines in the construction area to eliminate the safety hazard. And i. Related disease prevention knowledge were frequently posted, such as H7N9 bird flu. viii.Landscape: The phase 1 and phase II lines are not within the scope of the scenic area, so the natural landscape will not be significantly impacted. The construction equipment and material was only temporarily stored, will be recovered after completion. Main mitigation measures are shown as below: a. The village houses were rented as office space and for living. Construction sheds were built along the sides of the road, so the landscape was not affected. b. Rented houses were equipped with garbage pool. The community sanitation management department regularly collected then transported to the landfill for disposal. c. Trucks with bulk materials were covered with canvas in order to keep the

vehicle clean and tidy as possible. d. No new path was built to avoid the destruction of land or vegetation. e. Mixing station and material yard were leased with local existing equipment and facilities, and will be recovered after completion. And

ix.Cultural Heritage: No any cultural heritage was found within the scope of at a radius of 25 km around the construction sites.

E. Analysis of Environmental Monitoring Results 28. Water quality monitoring: Phase I-G320(Xiangyun) and Phase II-G213-Yuxi General Section maintenance sections do not involve any river, reservoir, lake and other water body, while the other four maintenance sections involve. All the four rivers involved should meet the Class V or III standards of Environmental Quality Standards For Surface Water (GB 3838-2002, see Table 2). YSRI conducted on-site sampling and monitoring on four river sections. The monitoring results are indicated as follows (see Table 3).

Table- 1 Environmental Quality Standards for Surface Water（GB3838-2002） Unit：mg/L, except PH dimensionless

No. Item Class III Class V

1 CODCr 20 40

2 BOD5 5 10

3 pH 6-9 6-9

4 DO ＞5.0 ＞2.0

Table- 2 Water Quality Monitoring Results of Phase I and Phase II Components Unit：mg/L Sub- Monitoring Monitoring Date CODcr pH DO NH3-N SS components Point Phase I

Pre-construction Period 30 6.66 8.7 (2 December 2015)

Construction Period 18 7.5 9 0.66 65 (12 July 2016) G323(Fu’ning section) Guying Class V, River Environmental Quality Standards 40 6-9 2 2.0 80 for Surface Water （GB3838-2002）

Compliance Status Complied with

Sub- Monitoring Monitoring Date CODcr pH DO NH3-N SS components Point Phase II

Pre-construction Period 17 8.34 6.9 0.77 1097 (24 September 2015)

Construction Period 13 8.12 8.3 0.56 92 S313-Yuxi (5 July 2016) General Lvzhi River Class V, Section(Yimen Environmental g~Shuangbai) Quality Standards 40 6-9 2 2.0 80 for Surface Water （GB3838-2002）

Compliance Status Complied with

Pre-construction Period 0 7.67 8.4 0.52 86 (15 October 2015)

G320-Dali Construction Period 9 8.97 8.4 0.42 96 General (7 July 2016) Shunbi Section River Class V, (Yuejingqiao~Y Environmental Quality Standards 40 6-9 2 2.0 80 ongbaoqiao) for Surface Water （GB3838-2002）

Compliance Status Complied with

Pre-construction Period 15 7.83 9.2 0.03 9 (14 October 2015)

Construction Period 8 7.98 9.2 0.02 12 G320 (8 July 2016) Baimiao Yongbaoqiao/ Reservoir Class III, Baoshan Environmental Quality Standards 20 6-9 5 1.0 for Surface Water （GB3838-2002）

Compliance Status Complied with

29. Evaluation of water quality monitoring results. The monitoring results of the above four water bodies show its water quality can meet the class V or III of Surface Water Environmental Quality Standards (GB3838-2002). At the same time, it also shows that the water quality during construction of the phase 1 and phase II components is no worse than that pre-construction, excluding SS. The SS indicators of Guying River nearby G323(Fu’ning section, phase 1), Shunbi River nearby G320-Dali General Section

(Yuejingqiao~Yongbaoqiao, phase 2) and Baimiao Reservoir nearby G320 Yongbaoqiao/Baoshan (phase 2) during pre-construction stage were higher mainly due to washed flood flushing a lot of sediments to the rivers during the rainy season so that the water was turbid.

30. Air quality monitoring. The main pollutants in the construction period are dust and asphalt. Along the road, the Class II standard in the Ambient Air Quality Standard "(GB3095 - 2012) should be complied with, as shown in Table 4. YSRI undertook on-site air quality monitoring. The results are as follows (see Table 5).

Table- 3 Ambient Air Quality Standard (GB3095-2012） Unit：mg/ m3

Item Sampling Period Class I, Standard Limit Class II, Standard Limit

PM10 Daily Average 0.05 0.15

NO2 Daily Average 0.08 0.12

SO2 Daily Average 0.05 0.15

Table- 4 Air Quality Monitoring Results of Phase I and Phase II Components Unit: mg/m3 Monitoring Sub-components Indictor PM10 NO2 SO2 Point Phase I

Pre-construction Period 0.065 0.016 0.029 (21 November 2015)

Construction Period Longquan 0.04 0.012 0.00 G320(Xiangyun section) (6 July 2016) village

Class II 0.15 0.12 0.15

Compliance Status Complied with

Pre-construction Period 0.063 0.018 0.030 (2 December 2015)

Construction Period 0.051 0.010 0.011 (12 July 2016) Guichao G323(Fu’ning section) town Class II 0.15 0.12 0.15

Compliance Status Complied with

Phase II

Monitoring Sub-components Indictor PM10 NO2 SO2 Point

Pre-construction Period 0.071 0.068 0.01 (24 September 2015)

Construction Period 0.042 0.021 0.00 (4 July 2016) G213-Yuxi General Section Damaidi (E’shan~Xinping) village Class II 0.15 0.12 0.15

Compliance Status Complied with

Pre-construction Period 0.042 0.06 0.029 (25 September 2015)

Construction Period 0.021 0.012 0.01 (5 July 2016) S313-Yuxi General Section Yongjing

(Yimeng~Shuangbai) village

Class II 0.15 0.12 0.15

Compliance Status Complied with

Pre-construction Period 0.015 0.092 0.013 (14 October 2015)

Construction Period 0.036 0.023 0.011 (7 July 2016) G320-Dali General Section Longjiawan (Yuejingqiao~Yongbaoqiao) village Class II 0.15 0.12 0.15

Compliance Status Complied with

Pre-construction Period 0.035 0.063 0.016 (15 October 2015)

Construction Period 0.045 0.025 0.014 (8 July 2016) G320 Laoying Yongbaoqiao/Baoshan town Class II 0.15 0.12 0.15

Compliance Status Complied with

31. Evaluation of air quality monitoring results. The atmospheric impact scope is mainly focused within the 50m near both sides of the RoWs. The construction (road maintenance) period lasted short with very limited impact. From the above data, the air monitoring indicators, PM10, NO2 and SO2, before construction and construction period, had little change and both were better than Class II standard in the Ambient Air Quality Standard "(GB3095 - 2012). It shows that the construction activity has no serious influence on the surrounding air quality after taking effective mitigation measures, such as timely sprinkling water to suppress dust.

32. Noise monitoring: The construction noise has a certain effect on the sound environment quality, which is mainly caused by the construction machinery and vehicles.

33. For phase 1 and phase II Lines, the Class 4a standard in the Standards for Acoustic Environmental Quality (GB3096-2008) (see Table 6) should be complied with. During construction phase, Emission Standard of Environment Noise for Boundary of Construction Site（GB12523-2011(see Table 7) is applicable. The main noise source during the construction period sees Table 8, and the noise monitoring results are shown in Table 9.

Table- 5 Environmental quality standard for noise (GB3096-2008) Unit：dB (A)

Noise Limit LAeq（dB） Acoustic environment functional area Daytime Nighttime

Class 4a 70 55 1

Table- 6 Emission standard of environment noise for boundary of construction site （GB12523-2011）

Daytime (LAeq（dB）) Nighttime(LAeq（dB）)

70 55

Table- 7 Major Noise Source

Noise Limit LAeq（dB） Period Major Noise Source Daytime Nighttime

Construction All kinds of vehicles 70 55

Period All kinds of vehicles, concrete mixer, etc. 70 55

Noise Limit LAeq（dB） Period Major Noise Source Daytime Nighttime

Bulldozer, excavator, paver 75 55

Table- 8 Noise Monitoring Results of the Environmental Sensitive Receptors Along Phase I and Phase II Components

Unit: dB (A)

Distance to Environmental LAeq（dB） Compliance Period/ Sub-components Time Sensitive road center Monitoring Standard Status line(m) Receptors Value limit

Phase I

Xishan village 9:00-17:00, 12 58 70 Complied with primary school 6 July 2016, Taoshupo village Daytime 15 54 70 Complied with Construction- Tianbaoshao 30 44 70 Complied with G320(Xiangyun section) admin station Longmajing 18 56 70 Complied with village Xiazhuang town 20 42 70 Complied with primary school Nasha village 9:00-17:00, 10 59 70 Complied with 12 July 2016, Nayi village 10 49 70 Complied with Construction- G323(Fu’ning Daytime section) Xingqiao village 10 52 70 Complied with

Xinqiao Qiaoxing 30 43 70 Complied with primary school

Bansang village 10 46 70 Complied with

Phase II

Damaidi village 9:00-17:00, 5 59 70 Complied with 4 July 2016, Tomorrow Daytime primary school, 5 54 70 Complied with Changshang G213-Yuxi General Section village (E’shan~Xinping) Yangwu town 5 60 70 Complied with

Lianhuatang 5 53 70 Complied with

Distance to Environmental LAeq（dB） Compliance Period/ Sub-components Time Sensitive road center Monitoring Standard Status line(m) Receptors Value limit village

Yongjing village, 5 49 70 Complied with Tongchang town

9:00-17:00, Puzishao village 10 50 70 Complied with 5 July 2016, Tangliwan S313-Yuxi General Section Daytime 15 45 70 Complied with villlage (Yimeng~Shuangbai) Lvzhi town 5 62 70 Complied with

Dapingdi village 9:00-17:00, 5 55 70 Complied with 7 July 2016, Yangmeipo 10 49 70 Complied with Daytime village

G320-Dali General Section Longjia village 10 46 70 Complied with (Yuejingqiao~Yongbaoqiao) Dapingtan 15 53 70 Complied with village Wayao town 15 48 70 Complied with kindergarten 9:00-17:00, Laoying town 5 64 70 Complied with 8 July 2016, seat Daytime Beimiao town 10 46 70 Complied with G320 seat Yongbaoqiao/Baoshan Shengjiaping village, Banqiao 10 50 70 Complied with town

34. Evaluation of noise monitoring results. 26 representative monitoring points was set along the phase 1 and phase II lines. The main noise source during construction period is social traffic noise and construction machinery noise. Because construction is prohibited at night, construction machinery noise has little effect on the surrounding residents. All the monitoring result meets national standards.

F. Institutional Capacity Building and Training 35. To strengthen the implementation of the project, an ADB loan PMO was established in the Maintenance Department under YHAB. During the project implementation, the PMO is in charge of overall supervision on technical, quality, environmental, social and safety aspects, and responsible for implementing the environmental protection requirements in the approved EMP, and supervising the contractor's daily environmental mitigation and monitoring and preparing quarterly progress reports.

36. The PMO was led by the deputy director (a senior engineer) of Maintenance Department under YHAB, and designated a full-time senior engineer and other environmental, social,

and safety experts. The Department is responsible for coordination and supervision among the IA, the constructors the CSCs, and supervision and inspection of environmental mitigation measures in the EMP.

37. The PMO, the phase 1 and phase II Lines project management offices, CSCs, and the constructors assigned EHS staffs.

38. Before construction, the PMO, the constructors, CSCs, and the relevant departments undertook the relevant training on environmental management plan and road safety.

39. In order for implement the mitigation measures and environmental monitoring, before entering construction sites, ADB's environmental experts provided training related to environmental protection to the CSCs and constructors. The training was mainly focused on implement the mitigation measures and environmental monitoring. Training activities were held in the onsite project management office meeting room. Training activities include the following aspects: a. Understanding and application of internationally accepted environmental management practices. b. Compliance monitoring method, required equipment and methods. c. Compliance monitoring information analysis. d. Environmental safeguards enforcement methods and measures. e. Training contents include case studies and field trips.

IV. Public Consultation, Information Disclosure and Grievance Redress Mechanism

A. Public Consultation, Information Disclosure 40. During 4~13 July 2016, YSRI carried out a public opinion survey to the public along the phase 1 and phase 2 lines. The below questions asked are as follows: (i) Do you think there is any impact of the noise and dust generated during construction on your production and life? (ii) During the construction period, is there any influence on your trip due to traffic control? (iii) Any impact on your farmland and crops during the construction period? (iv) How do you think the constructors to take measures to mitigate environmental pollution? (v) Should overloading vehicles be controlled?

41. A total of 58 villagers/residents alongside the along the phase 1 and phase 2 Lines were consulted, including 30 women or 12 ethnic minorities, as shown in the below Table 10. During consultation, some villagers commented as below: (i) All (100% of) the villagers consulted with are very supportive of the Project, and want to upgrade it as soon as possible in order to reduce dust disturbance, especially for S313, where villagers had reflected the difficulty in travel for many years, suspended until this Project. (ii) G320(Xiangyun section) maintenance has been completed. The road pavement looked quite clean. (iii) The gravel originally dispersed nearby the roads had been cleaned up. (iv) More frequently watering at the sections nearby the villages and towns was expected to reduce dust from construction. (v) The maintenance works were expected to complete as early as possible to avoid dust disturbance. (vi) Few villagers suggested that the ditches be covered. The above comment (iv) to (vi) had been passed on to the contractors to further strengthen sprinkling water during future construction and the IA for consideration.

Table- 9 List of Persons Consulted With

No. Name Gender Minorities Profession Name of Village

Phase I

G320(Xiangyun section) ,6 July 2016

1 Yu Yulan F Han Villager Pupeng town, Xiangyun county of Yunnan province 2 Li Xiaomei F Han Villager Pupeng town, Xiangyun county of Yunnan province 3 Li Huiying F Han Villager Longquan village, Pupeng town, Xiangyun county of Yunnan province 4 Li Shuangfeng F Han Villager Longquan village, Pupeng town, Xiangyun county of Yunnan province

No. Name Gender Minorities Profession Name of Village 5 Li Kangxi M Han Villager Longquan village, Pupeng town, Xiangyun county of Yunnan province 6 Li Guojin M Han Villager Longquan village, Pupeng town, Xiangyun county of Yunnan province 7 Lu Liqun F Han Migrant worker Taoshupo village, Xiazhuang town, Xiangyun county of Yunnan province 8 Cai Shuai M Han Cycler Xiameng city, Fujian Province

9 Mo Dongming M Han Cycler Guangxi Zhuang Minority Autonomous Region 10 Tan Yilong M Han Migrant worker Guiling city, Guangxi Zhuang Minority Autonomous Region

G323(Fu’ning section) , 12 July 2016

1 Li Guifen F Zhuang Villager Guichao town, Funing county

2 Yang Shiwu M Zhuang Villager Langkun village, Guichao town, Funing county 3 Xiang Youming M Zhuang Villager Old street, Guichao town, Funing county 4 Zhang Libo M Han Migrant worker Guichao town, Funing county

5 Li Xiaoling F Han Villager Old street, Guichao town, Funing county 6 Luo Yulan F Han Migrant worker Dongbo town, Funing county

7 Tang Lijuan F Han Migrant worker Zhelilun town, Funing county

8 Xiao Ya F Han Migrant worker Zhelilun town, Funing county

Phase II

G213-Yuxi General Section (E’shan~Xinping) , 4 July 2016

1 Zhang Jianhua M Han Migrant worker E’shan county

2 Zhang Guoqin M Han Migrant worker Chengjiang county

3 Pan Siling M Han Migrant worker Xinping county

4 Zhou Bicui F Han Villager Shuangjiang town, E’shan county 5 Shi Zhengbian M Han Villager Changshang village committee, Shuangjiang town, E’shan county

No. Name Gender Minorities Profession Name of Village 6 Shi Xiuyu F Han Villager Lianhuatang village, Yangwu town, Xinping county 7 Fan Rongming M Yi Villager Shiliu village, Yangwu town, Xinping county 8 Li Chunxin F Han Villager Yangwu town, Xinping county

9 Liu Hua M Han Villager Yangwu town, Xinping county

S313-Yuxi General Section (Yimeng~Shuangbai) , 5 July 2016

1 Wa Jufen F Yi Villager Yongjing village, Tongchang town, Yimeng county 2 Wa Ying F Yi Villager Yongjing village, Tongchang town, Yimeng county 3 Wa Guowu M Yi Villager Yongjing village, Tongchang town, Yimeng county 4 Zhe Ruyun M Yi Villager Yongjing village, Tongchang town, Yimeng county 5 Li Meizhen F Yi Villager Yongjing village, Tongchang town, Yimeng county 6 Lu Xiufen F Han Villager Yongjing village, Tongchang town, Yimeng county 7 Lu Meizi F Han Migrant worker Lvzhi town, Yimeng county

8 Li Guoqin M Han Migrant worker Lvzhi town, Yimeng county

9 Yang Xiaolan F Han Migrant worker Lvzhi town, Yimeng county

10 Zhou Yi M Han Villager Lvzhi town, Yimeng county

G320-Dali General Section (Yuejingqiao~Yongbaoqiao) , 7 July 2016

1 Luo Hao M Han Villager Beidou town, Yongping county of Yunnan province 2 Li Jianmei F Han Villager Yunlong county of Yunnan province 3 Li Yuru F Han Villager Huanglianpu village, Beidou town, Yongping county of Yunnan province 4 Li Chunxiu F Han Villager Huanglianpu village, Beidou town, Yongping county of Yunnan province 5 Zhang Donggui M Han Villager Huanglianpu village, Beidou town, Yongping county of Yunnan province

No. Name Gender Minorities Profession Name of Village 6 Liu Hai M Han Migrant worker Chuxiong city

7 Wang Bing M Han Migrant worker Dali city

8 Yang Yulian F Han Migrant worker Yongping county

9 Guo Kai M Han Villager Shayang town, Yongping county of Yunnan province 10 Chen Guxiang F Han Catering service Xincun village, Beidou town, Yongping county of Yunnan province

G320 Yongbaoqiao/Baoshan , 8 July 2016

1 Yang Yulian F Bai Villager Xiahewan village, Wayao town, Baoshan city of Yunnan province 2 He Yongmei F Han Villager Xiahewan village, Wayao town, Baoshan city of Yunnan province 3 Shi Chunzhu M Bai Villager Libasha village, Wayao town, Baoshan city of Yunnan province 4 HeZhengxiang F Han Villager Libasha village, Wayao town, Baoshan city of Yunnan province 5 Shi Chunxiu F Bai Villager Wayao town, Baoshan city of Yunnan province 6 Li Guobao M Han Migrant worker Wayao town, Baoshan city of Yunnan province 7 Chen Haidong M Han Migrant worker Laoyin town, Longyang district, Baoshan city of Yunnan province 8 Yang Mei F Han Villager Shaba village Baimiao team, Longyang district, Baoshan city of Yunnan province 9 Pu Xuezhen F Han Migrant worker Yongping county

10 Yang Guofeng M Han Migrant worker Dali city

B. Grievance Redress Mechanism (GRM) 42. YHAB established environmental GRM, and publicized the relevant information, such as phones numbers, etc.

43. During construction, the constructors and the relevant village committees have not received any complaint on environmental protection or safety issue.

44. The procedures of GRM are shown as below.

STEP 1 Resolve issue with contractor or village 5 days committee

STEP 2 ESSU to Resolve issue with YHAB facilitate Maintenance or General 2 weeks and Section track resolutio n and STEP 3 report to Resolve issue with ADB 2 weeks Prefecture Government

Figure 2 Procudures of Project GRM

45. The basic grievance redress steps are described below and shown in Figure 4. The ESSU will be responsible for facilitating, tracking and reporting grievance resolution at each step: Step 1: The affected person should first try to resolve the issue of concern directly with the contractor and the local village committee. A solution must be presented within five days. If successful, no further follow-up is required. Step 2: If there is no resolution the person can file the grievance with the county office of YHAB, the Maintenance Section or the Prefecture level Office the General Section. A resolution must be reached within two weeks

Step 3: If no resolution is found the complainant can take the next step and contact the county or prefecture government offices where resolution will be required within two weeks.

V. Conclusions and Suggestions 46. During construction, the phase 1 and phase II Lines project management offices, the constructors and CSCs had taken the corresponding environmental impact mitigation measures in the EMP. The construction noise, dust and wastewater, and other impacts on the surrounding environment were reduced to a minimum.

47. Through field inspection, the constructors strengthened environmental protection, water conservation, safety and other aspects according to relevant national environmental protection laws and regulations, ADB's SPS (2009) and the EMP. No land acquisition, demolition, road widening, occupation of farmland and other resettlement issue were identified. The environmental impacts of the component during the construction period were limited, and the construction period was short. With the completion of the component, the pollution will be eliminated in time, and the environment will revert to the state better than the original. From the point of view of the whole process of construction, the constructors strictly abided by the provisions, actively took mitigation measures to reduce pollution. So it obtained the strong support of the local community and the village. Through carrying out public consultation, the local residents were satisfied with the Project. During this period, no any pollution complaint did occur.

48. Suggestions: (i) Local villagers were hired, and their mobility was frequent. To address their potential safety issue, it is recommended that safety and environmental protection awareness education should be carried out to improve safety and environmental awareness of the villagers and construction workers then to reduce environmental pollution and ecological damage. (ii) More frequently watering at the sections nearby the villages and towns is recommended to reduce dust from construction. And (iii) The road shoulder drainage ditches should be covered as necessary.

Appendix 1: Summary of Potential Environmental Impacts and the Mitigation Measures Implemented (As of June 2016)

Environmental Issue Mitigation Measures Compliance Status Proposed Corrective Action

1. PRECONSTRUCTION PERIOD

1.1 Lack of environmental technical 1.1 YHAB will establish a unit, the ESSU, to manage environmental, Complied with. Not applicable capacity within YHAB and its General social and safety aspects of maintenance projects. The ESSU and Maintenance Sections in will be staffed by 3 full-time suitably qualified people. ADB will environmental assessment and design, support international and national environmental consultancy ESSU was established prior to loan management, supervision and services to develop and deliver a 5-day environmental reporting. assessment and management training workshop for YHAB staff effectiveness. and a 2-day workshop for first year Contractors. YHAB training was completed during detailed design and prior to bidding.

Contractor training was undertaken on appointment. 1.2 Translation of IEE, EMP, contract 1.2 ESSU will provide the design team with translated copies of IEE, Complied with or to be complied with. Not applicable clauses and other templates for use by EMP and templates and check relevant clauses have been General and Maintenance Sections, included. YHAB/ESSU will provide the successful contractor with translated Translated during detailed design stage and copies of IEE/EMP and assist contractor to prepare the Construction Environmental Work Plan (CEWP). provided instructions prior to contractor field General Section will provide the Maintenance Section site engineer mobilization. with the IEE, EMP and other templates for use in their inspection process. Given the uncertainty of inspection qualifications , the workshops as defined above will be held at the six General As part of 1.1, workshop was held in Dali and Section offices Wenshan prefecture General Sections . 1.3 Consideration of IEE/EMP in 1.3 ESSU will check that design and bid documents are responsive Complied with. preparation of the detailed design and to key environmental, social and safety considerations. Not applicable bid documents.

Environmental Issue Mitigation Measures Compliance Status Proposed Corrective Action

1.4 Optimise design and planning of 1.4 During detailed design YHAB will incorporate mitigation Complied with. Not applicable works to minimise impacts measures defined in the IEE as follows:: 1. minimize the removal of mature trees from roadsides; 2. optimise traffic management to minimise access restrictions 3. provide step-by-step guidance on environmentally acceptable bridge and culvert replacement methods 1.5 Announcement of subproject with 1.5 Four weeks before work begins announce the project on Complied with. Not applicable road signs roadside sign(s), at a location(s) easily accessible by the public. Signs should be presented in a language that can be understood by affected people, in Yunnan, there may be a need to provide At both ends (boundaries) of the project. signs in multiple languages. At the same time, provide information on the construction activity via the Maintenance Section 3-4 weeks before the start of work

2. CONSTRUCTION PERIOD

2.1 Preparation of Environmental Documentation

2.1.1 Technical environmental capacity 2.1.1 Contractor team will include a specialist with environmental Complied with. Not applicable of Contractor to prepare the CEWP and assessment experience to prepare the CEWP and obtain all to implement all mitigation and relevant permits. The contractor will not be permitted to mobilize monitoring measures the workers without an approved CEWP and the appropriate Prior to the start of the construction work. permits in place. 2.2 Soils, Earthworks & Erosion 2.2.1 Management of earthworks 2.2.1 Large volumes of crushed quarry rock, aggregate and sand Complied with. Not applicable transport and Storage procedures, may be transported to and/or stored in the work site. These including cleaning; leading to dust and operations and storage areas will be constantly exposed to the air pollution elements and will create primarily dust during the frequent windy Construction roads were enclosed with colored conditions, and some silty runoff. Dust will be managed by daily use of watering trucks, subject to fence. availability of water. All topsoil needs to be collected, stored and reused to rehabilitate/revegetate the areas disturbed. This is applicable Hauling vehicles were not overloaded, and only to projects with IEEs covered with waterproof canvas.

Environmental Issue Mitigation Measures Compliance Status Proposed Corrective Action

The constructors sprayed water with sprinklers at 2 times a day. In the vicinity of the villages and the schools, the frequencies of watering were increased. 2.2.2 Erosion control and slope 2.2.2 Contractor will be required to know the subsoil materials that Complied with. Not applicable stabilization, risk of land slip and are being cut into and excavated and have ready appropriate chronic erosion at cuts and water plans to stop land slippage and erosion,. At water crossings where crossings. structures are to be upgraded, careful replacement and use of Based on an analysis of soil conditions by gabions with culverts and bioengineering methods for rapid revegetation and slope stabilization will be used. Bioengineering contractor and consultation with the General approaches to be explored as described in Annex D. Sections’ hydrology and geotechnical experts, construction activities were limited on the original road, without building a new road. 2.2.3 Slope slippage and landslide zones 2.2.3 In any road sections where maintenance takes place and Not applicable. Not applicable left unaddressed where there is a history of landslides and slope slippage, the contractor will be required to report any such conditions (if not already known) to the Maintenance Section and propose a costed remedial action, then undertake this work to stabilize the road and reduce risk of failure; including bioengineering solutions, metal netting and other proven methods. 2.2.4 Risk of erosion, landslide and 2.2.4 Any need for borrow material outside of the RoW will be Not applicable. Not applicable destruction of landscape from side subject to local environmental approvals and procedures and borrow operations should also be carried out in consultation with ADB. Bioengineering approaches should be considered. No borrow pit is required.

2.2.5 Side casting of waste by Contractor 2.2.5 Side casting of waste earthen materials is not permitted where Complied with. Not applicable degrading down-slope area and slope is more than 5% and a side cast waste materials cannot be blocking/ contaminating water body easily stabilized and prevented from eroding during a rain event, or extend outside the road RoW. No waste dumping. 2.2.6 Handling of contaminated 2.2.6 When encountering contaminated materials or it is a Complied with. Not applicable construction waste materials construction waste, contractors will follow PRC national and provincial requirements, consulting with EPBs if needed

Environmental Issue Mitigation Measures Compliance Status Proposed Corrective Action 2.2.7 Inappropriate disposal of spoil 2.2.7 Contractors will be required to a) attempt to recycle all clean Complied with. Not applicable from construction work leading to spoils material where possible and b) consider composting or b) contamination dispose of all other material at sites approved by the local EPB. No soil dumping. 2.3 Poor Contractor Operating Procedures 2.3.1 Failure to adhere to construction 2.3.1 Contractors will adhere to standard good housekeeping Complied with. Not applicable related good housekeeping practices, practices as defined in the contract Terms & Conditions and including solid and sanitary waste Contract Specifications. Special considerations will be given to management 1. management of construction waste and water Solid waste was collected in certain places and 2. equipment lubricants and fuel, including management and collection of waste oils and fuel particularly related to transported regularly. refuelling depots, maintenance areas and diesel generator sets 3. Sewage will require latrines or chemical toilets with complete Renting nearby farmers’ houses. clean up after the construction is complete. 4. Garbage will be collected and properly disposed of after recycling and sorting, Septic tank was equipped with. This work will be completed in accordance with PRC, regulations and standards which the contractor will be expected to know. Also, the contractor shall orient all construction workers in basic Fecal sewage and catering wastewater were sanitation and health care issues, and on the specific hazards of discharged separately. their work and will need to certify to that effect at the start of the construction period. 5. Once the site is no longer needed the contractor must fully Not affecting surface water. decommission it, with special emphasis on waste removal and clean up of any spills or hazardous materials plus any necessary revegetation. 2.3.2 Management of bitumen storage, 2.3.2 Complied with. Not applicable asphalt, sealcoat and concrete YHAB has indicated that no new facilities will be needed, but for production facilities to avoid leakage, smaller jobs bitumen will be stored at the worksites. Under these dust and air pollution for community in conditions, the contractor will be required to provide secure vicinity locations for storage, handing and safe disposal of any worksite bitumen supplies. PRC’s hazardous materials handling regulations ( as defined in IEE, Section II) will be adhered to. 2.3.3 Management of petroleum 2.3.3 Contractor will be required to have the following spill Complied with. Not applicable products such as fuel, lubricants and prevention measures in place at all work sites: bitumen to avoid spill and 1. all fuelling to be done on a concrete surface provided with contamination. spill catch surfaces that can be cleaned and all spilled fuel recovered and recycled based on discussions with fuel supplier.

Environmental Issue Mitigation Measures Compliance Status Proposed Corrective Action 2. All repair and maintenance work must either be done on a concrete surface with oil spill catch basin or oil catch pans must be provided at all service areas and training provided to all ‘mechanics’. 3. All fuel use areas where spills and leakage is possible, e.g. the generator, must have drip basins installed to prevent any leakage. These recovered materials must be recycled. 4. A fuelling areas must be equipped with proper non-drip fuel nozzles 5. All fuel tanks must have means for containment of accidental spills. 6. All bitumen handling must not permit any material from leaking to the ground, including transfer areas and any areas where bitumen is transported in drums. 7. Bitumen drums must be stored in a dry covered secure place where no leakage to water or ground is possible. Drums must be recycled at least once a year. 8. Any spills must be cleaned up and contaminated soils and water treated according to PRC regulations and standards within 24 hours of the occurrence. 2.3.4 Overloading of construction 2.3.4 The tonnage of material hauled must not exceed the road Complied with. Not applicable vehicles leading to damage to existing capacity. If the material mobilization causes damage of the road, roads then contractor must repair it immediately. No overloading in all materials hauling roads. 2.3.5 No or inadequate consideration for 2.3.5 The contractor will need to demonstrate that an attempt has Complied with. Not applicable recycling and reuse of construction been made to reuse, recycle, convert by composting ‘wastes’ by the contractor construction wastes such as asphalt, wooden materials, plant materials and other benign organic matter 2.3.6 Work Duration 2.3.6 Contractors will be encouraged to complete the work as Complied with. Not applicable quickly as possible, consulting with local communities on best timing and agreeing to such a timetable 2.4 Surface Water, Drainage and Water Pollution

2.4.1 Modification of surface drainage 2.4.1 When modifying or interfering with surface drainage of any sort Complied with. Not applicable during culvert and bridge replacement the contract will have to undertake the following: and/or raising of horizontal road 1. All culverts must be sized at or larger than the one being alignment replaced and with care about slope and erosion protection at No bridge or culvert involved. inflow and outflow. All construction materials at the entrance

Environmental Issue Mitigation Measures Compliance Status Proposed Corrective Action of culverts must be removed so as not to provide any obstruction. Culvert removal and replacement will be done Drainage ditch built. when there are low flows or no water in the channel and during the dry months of the year. Confirm culverts are clear of debris on completion. 2. Bridges will be repaired and widened and as such there will Well maintenance to keep smooth. be machinery at least at the water edge. Maximum care is needed to avoid degradation of the river, stream shore and to undertake excessive excavation at the shore and in the water (at least not when there is water in the stream). Demolition must be done in a way that prevents large chunks of material from falling into the river. Stabilization of disturbed crossing banks must take place as part of the construction work and include filter fabric, gabions and preferably bioengineering techniques. 3. Where horizontal alignments are raised to reduce flooding, extra care is needed to ensure that all drainage channels convey water properly. The contractor must undertake a surface drainage inventory of the future raised road sections, identifying where there will be new culverts or where existing culverts need to be replaced or relocated. This inventory needs to be submitted to the supervising engineer. 4. When modifying the existing drainage system through culvert replacement, the contractor must minimize flood risk by carefully confirming that all works to be undertaken will not flood roadside properties due to improper design or construction practices. The contractor will be required to fully rehabilitate property damaged due to flooding. 2.4.2 Management of contaminated 2.4.2 Where drainage from a construction site involves more than Complied with. Not applicable construction wastewater 20 linear meters of roadway, a drainage channel into a grassed area of some detention area allowing an suspended sediment and minor contaminants to settle, must be prepared by the contractor(s). 2.4.3 Fuel storage for generators 2.4.3 All fuel storage sites must be checked daily for leaks and held Complied with. Not applicable powering the asphalt plant, aggregate in an impervious site where spilled/leaking material can be preparation plant, and for vehicles and collected. avoidance of leakage of hazardous Had taken measures to prevent oil spills. materials into surface and groundwater.

Environmental Issue Mitigation Measures Compliance Status Proposed Corrective Action Without refueling facilities, equipment onsite and vehicle cleaning is not in the construction site, but in the vehicle washing area outside construction site. 2.4.4 Air pollution 2.4.4 TPM, SO2 and NO2 will be monitored once a month. Two Complied with. Not applicable samples will be taken (one during the morning traffic peak, and one when construction has stopped for the day) at each of six stations along the road. PM10, SO2 and NO2 were monitored.

2.5 Air and Noise Pollution 2.5.1 Construction-period air pollution 2.5.1 Emissions will be kept to a minimum by: Complied with. Not applicable 1. ensuring that the contractor’s fleet of vehicles are properly maintained according to manufacturers specifications; and 2. use acceptable fuel and haul loads within specified limits. 3. Vehicle idling time limits to no more than 2 minutes and 4. equipment maintenance specifications will be imposed through construction inspection and regular reporting, 5. Dust control at the construction site will be particularly stringently controlled by watering, setting strict speed limits of no more than 30kph in or near settled areas, and sweeping of paved haul roads. 6. Equipment such as the diesel generator will be included in the emission control program and will be and regularly tuned to prevent excessive TPM pollution. 2.5.2 Dust and noise from road milling 2.5.2 Due to respirable silica dust from cutter heads, contractor Complied with. Not applicable machine needs to have water spray nozzles on milling machine a) directed at the point of cutting and the drum, one nozzle every 30-40 cm and b) nozzles along the conveyor on both sides every ½ meter. Avg. water flow should be around 24L/min. Alternative is to provide dust masks to all operators and workers supporting the milling operation 2.5.3 Managing dust, noise and 2..5.3 Mitigation will involve Complied with. Not applicable drainage associated with earthworks 1. enforcing a speed limit of 30 kph within 500m of any village and haul roads. and the use of chemical dust suppressants at least on road for 500m on either side of a village, Same approach is to be taken if the other site is used.

Environmental Issue Mitigation Measures Compliance Status Proposed Corrective Action 2. restricting operating hours through roadside villages and settlements to between hours of 0800 and 1800. 2.5.4 Excessive Noise 2.5.4 At the same locations and times that surface water quality is Complied with. Not applicable tested, noise measurements will be completed, but with site variations focused on sensitive receptors such as schools, residential areas and health care facilities. Measurement frequency will be the same as for air quality 2.6 Flora and Fauna 2.6.1 Protection of roadside trees and 2.6.1 For each section of the road, contractors are required to Complied with. Not applicable shelter belt planting along roadsides develop a sketch map of the location number and species of trees along the roadside that are located within the area likely to be cleared. In areas where there are large trees creating a treed/shaded corridor, designers will be contacted and alternative designs, such as narrowing the carriageway and transforming this area into a roadside rest area should be discussed and an option found that requires the minimum tree loss. Any tree removed will be replaced by replanting several (>2) young trees of the same species. 2.6.2 Selection of landscape species and 2.6.2 Specify native species of local provenance that are appropriate Complied with. Not applicable management of arisings for the local setting for any new areas of landscaping. Ensure that any invasive species cleared during landscape works are managed in accordance with PRC regulations and standards. Consider opportunities for establishing composting facilities at General and Maintenance Sections, to enable recycling of green waste. 2.7 Cultural Sites and Local Communities 2.7.1 Loss of physical cultural resources 2.7.1 Since all the work is within existing RoWs and in previously Not applicable so far. Not applicable disturbed soil, the risk of loss of historical or cultural relics is highly unlikely. However when widening roads in villages and towns, contractors will have to meet with local mayor to consult about any possible past relics or foundations of old buildings along the road. Contractor will also need to consult the database on archaeological sites in Yunnan, retained with the Provincial Cultural Relics Department as well as the County Cultural Relics Bureau. Any finds during works must be reported to the Maintenance Section Head and all construction work stopped until authorities have inspected the site. 2.7.2: Loss of access for roadside 2.7.2 Contractor shall provide safe and convenient passage for Complied with. Not applicable

Environmental Issue Mitigation Measures Compliance Status Proposed Corrective Action residents vehicles and pedestrians to and from side roads and properties connecting the project road/area, whether public or private. Work that affects the use of side roads and existing access shall not be Before construction, a notice had been issued. undertaken without provision of adequate alternate routes; to the During the period of limited access, traffic control prior satisfaction of the Engineer and affected persons. persons were responsible for directing traffic.

On construction sites, public signs were established to provide phone numbers and other information of the IA, supervisors, and constructors. 2.7.3 Traffic/access diversions and road 2.7.3 Temporary bypasses will be constructed with the approval of Complied with. Not applicable dust management the Engineer and in consultation with affected persons. The temporary traffic detours shall be kept free of dust by frequent sweeping or application of water. 2.7.4 Spread of Vector-Born Diseases 2.7.4 Contractors will be required to conduct rigorous inspections Complied with. Not applicable of the work sites to be sure that there are no stagnant waters. This will include removal of items such as old tires, drums and other receptacles where water can collect. These are all breeding grounds for malaria, encephalitis and dengue fever mosquitoes. 2.7.5 Community safety 2.7.5 In order to protect the safety of communities on the Complied with. Not applicable construction zone contractors will need to provide appropriate traffic management, lighting, management of excavations and making communities aware of any particular hazards. 2.7.6 Hiring locally 2.7.6 Contractors will be encouraged to hire at least unskilled Complied with. Not applicable labour locally

2.7.7 Work outside the RoW 2.7.7 Construction activities may, in rare instances, be necessary Not applicable Not applicable outside the RoW. Where this becomes necessary, the use of land outside the RoW must be planned and agreed with owners of the affected land and properties prior to the start of the construction 2.8 Occupational Health And Safety 2.8.1 Protecting the workforce and 2.8.1 Contractor to implement adequate traffic management Complied with. Not applicable maintaining a safe working measures, including safety cones, marking and use of traffic environment control personnel to maintain a safe environment for workforce

Environmental Issue Mitigation Measures Compliance Status Proposed Corrective Action and community. Providing workers with health knowledge. Contractor must provide safety vests, hard hats and protective footwear for all workers handling heavy materials, and working with caustic and hazardous materials such as concrete, asphalt, Setting traffic signs on construction site. paints, cleaning agents, herbicides and pesticides. Contractor must provide protective masks to milling machine operators, and anyone working in the area of the milling machine Community hospitals providing health dust- with masks of a micron size, capable of capturing dust down to 2 microns. counseling and disease prevention knowledge to Contractor must provide high-visibility clothing for workers at sites the villagers. that have active traffic. Any works at night should be adequately lit and high visibility clothing worn. The contractor should provide basic training on use of protective Providing safety equipment for construction clothing and equipment workers.

Traffic control personnel responsible for directing traffic.

2.8.2 Medical facilities and assistance 2.8.2 Contractor must have first aid services available to all staff Complied with. Not applicable and workers at all times; Contractor must have at least one emergency treatment specialist on call at all times and available for emergency treatment as required. 2.8.3 Storage, handing and use of toxic 2.8.3 Complied with. Not applicable and/or hazardous materials Handling of all caustic, petroleum based materials, and other hazardous materials, such as pesticides/herbicides and cleaning agents, must be done, wearing protective footwear and clothing and application on steep slopes avoided Storage of such materials must be protected from the weather, clearly marked and safe from potential tampering and theft. Transport of such materials will be made according to PRC regulations and standards including pre-notification of shipment to local EPB 2.8.4 Provision of sanitary toilet facilities 2.8.4Contractor must provide sanitary toilet for all full-time workers Complied with. Not applicable on the construction site and make sure it is serviced daily.

Environmental Issue Mitigation Measures Compliance Status Proposed Corrective Action 2.8.5 Control of movement of large 2.8.5 Ensure large vehicles have safety equipment such as reverse Complied with. Not applicable equipment and handling of construction alarms and assistants are available to provide traffic control and items direction when large equipment is moved on the construction site. Demarcate work areas and use traffic cones as needed. 2.8.6 Child Labour 2.8.6 No Children (less than 16 year of age ) can work on any Complied with. Not applicable contract 2.8.7 Records of Safety and Health 2.8.7 The Contractor shall maintain such records and make such Complied with. Not applicable reports concerning safety, health, and welfare of persons and damage to property available for inspection as the Engineer may from time to time prescribe 2.8.8 Reporting of Accidents 2.8.8 The Contractor shall report to the Engineer details of any Not applicable. Not applicable accident as soon as possible after its occurrence. In the case of any fatality or serious accident, the Contractor shall, in addition, notify the Engineer immediately by the quickest available means 2.8.9 Provision of Potable Water 2.8.9 The contractor shall provide potable water to all staff working Complied with. Not applicable on the worksite and at all times 2..8.10 Working into the night and 2.8.10 Generally contractors will be restricted to work only during the Complied with. Not applicable disturbing communities ( see also daylight hours. However consultation and agreement with local 2.2.5) communities will allow for modifications. Contractor consultation with subproject corridor communities will be important No construction at night. 3. OPERATING PERIOD 3.1 Increased risk of pedestrian accidents 3.1 The project includes a road and community safety programme, Not yet due. Not applicable due to improved roads, faster speeds which will include various mitigation measures to control traffic and greater traffic volume speed, reduce hazards and to increase awareness of local communities. Post-maintenance consultation with local communities is proposed to check that provisions are adequate. 3.2 Diverted traffic damaging roads and 3.2 A number of the subprojects parallel toll road and it has been Not yet due. Not applicable endangering communities observed that under these conditions, improvements to non tolled roads results in truck traffic shifting to avoid tolls. To prevent that YHAB will install height barriers at both entrances to the affected roads 3.3 Social and community-based 3.3 YHAB will support financial incentives for transport entities to Not yet due. Not applicable enhancements in support of positive re-establish public transport services along subproject roads and impacts will monitor roads to assess changes in the provision of public transportation.

Appendix 2: Site Photos

Phase I -G320 Dali Xiangyun/ section

Picture A2- 1 Road pavement and safety control sign

Picture A2- 2 Quality Inspection

Picture A2- 3 Female Worker Hired for Road Cleaning

Picture A2- 4 Site Monitoring

Picture A2- 5 Interview with villagers

Picture A2- 6 Interview with villagers

Picture A2- 7 Bus Stop

Phase I - G323 /Wenshan section

Picture A2- 8 Female construction workers for G323 /Wenshan section

Picture A2- 9 Local female construction workers for G323 /Wenshan section

Picture A2- 10 Roadshoulder safety retaining wall

Picture A2- 11 Consultation with a villager

Picture A2- 12 Consultation with a villager

Phase II- G320-Dali General Section (Yuejingqiao~Yongbaoqiao)

Picture A2- 13 Consultation with villagers

Picture A2- 14 Consultation with female construction workers

Picture A2- 15 Safety instruction boards

Picture A2- 16 Safety instruction boards

Picture A2- 17 Safety awareness propaganda

Picture A2- 18 Safety awareness propaganda

Picture A2- 19 Local female construction workers

Picture A2- 20 Water sprinkling for dust suppression

Phase II- G320 Yongbaoqiao/Baoshan

Picture A2- 21 Safety education for construction workers

Picture A2- 22 Safety emergency drilling

Picture A2- 23 Construction safety training

Picture A2- 24 Safety warning board- safety cone, deceleration warning board

Picture A2- 25 Safety warning sign

Picture A2- 26 Interview with roadside farmer

Picture A2- 27 Interview with roadside female construction worker

Picture A2- 28 Safety warning sign

Phase II- G213-Yuxi General Section (E’shan~Xinping)

Picture A2- 29 Construction notice

Picture A2- 30 Consultation with roadside construction workers

Picture A2- 31 Haulage vehicle covered with canvas

Picture A2- 32 Sprinkling water during construction

Picture A2- 33 Public consultation

Picture A2- 34 Construction notification board

Picture A2- 35 Culvert construction

Phase II- S313-Yuxi General Section (Yimeng~Shuangbai)

Picture A2- 36 Construction notice

Picture A2- 37 Public consultation

Picture A2- 38 Safety awareness propaganda

Picture A2- 39 Notification for traffic control

Picture A2- 40 Public consultation

Picture A2- 41 Public consultation with local female construction workers

Picture A2- 42 Site Monitoring

Picture A2- 43 Onsite traffic diversion control

Picture A2- 44 Onsite traffic diversion control