Document of The World Bank Public Disclosure Authorized
ReportNo. 15160-CHA
STAFF APPRAISAL REPORT Public Disclosure Authorized
CHINA
SECOND SHAANXI PROVINCIAL HIGHWAY PROJECT Public Disclosure Authorized
FEBRUARY 5, 1996 Public Disclosure Authorized
Infrastructure Operations Division China and Mongolia Department East Asia and Pacific Regional Office
CURRENCY EQUIVALENTS (As of December 1995)
Currency Name = Renminbi Currency Unit = Yuan (Y) I Yuan I 00 fen $1.00 Y 8.30
Y 1.00 - $0.12
FISCAL YEAR
January 1 - December 31
WEIGHTS AND MEASURES
Metric System
ABBREVIATIONS AND ACRONYMS
7FYP - Seventh Five-Year Plan 8FYP - Eighth Five-Year Plan 9FYP - Ninth Five-Year Plan BOT - Build-operate-transfer E&M - Electrical, electronic and mechanical EA - Environmental Assessment EAP - Environmental Action Plan EIA - Environmental Impact Assessment EIRR - Economic Internal Rate of Return FJTH - Famensi-Jiangzhuang-Tangyu Highway GNP - Gross national product GOVAI - Gross output value of agriculture and industry HRI - Highway Research Institute HSDI - Highway Survey and Design Institute ICB - International competitive bidding IS - Institutional Strengthening IST - Institutional Strengthening and Training ITC - International Tendering Company JST - Joint Supervision Team LA&R - Land Acquisition and Resettlement LAB - Levying Administration Bureau LGTPA - Leading Group for Transportation for Poverty Alleviation LTWMH - Lintong-Terra Cotta Warriors Museum Highway LXH - Lantian-Xiaoshangyuan Highway MAAP - Microcomputer Accident Analysis Package MOC - Ministry of Communications MOF - Ministry of Finance mte - Medium truck equivalent mvpd - Motor vehicles per day NTHS - National Trunk Highway System O-D - Origin-Destination pcu - Passenger car unit PSB - Public Security Bureau PTS - Provincial Traffic School PTTS - Provincial Traffic Technical School RAP - Resettlement Action Plan RIPA - Roads Improvement for Poverty Alleviation RMF - Road maintenance fee SAA - State Audit Administration SASS - Shaanxi Academy of Social Sciences SHGHAB - Shaanxi High-Grade Highway Administration Bureau SOE - Statement of Expenditures SPAO - Shaanxi Poverty Alleviation Office SPC - State Planning Commission SPG - Shaanxi Provincial Government SPHAB - Shaanxi Provincial Highway Administration Bureau SPHSDI - Shaanxi Provincial Highway Survey and Design Institute SPPC - Shaanxi Provincial Planning Committee SPRBC - Shaanxi Provincial Road and Bridge Company SPTD - Shaanxi Provincial Transport Department STC - Staff Training Center TCU - Technical Coordination Unit ton-km - Ton-kilometer THH - Tongchuan-Huangling Highway TRL - Transport Research Laboratory VS - Vocational School WTE - Weinan-Tongguan Expressway CHINA
SECOND SHAANM PROVINCIAL HIGHWAYPROJECT
LOANAND PROJECT SUMMARY
Borrower: People's Republic of China
Implementing Agency: Shaanxi Provincial Transport Department
Beneficiary: Shaanxi Province
Poverty: Not applicable. However, a component of the project targets poor counties in Shaanxi Province by imnprovingaccess to them.
Amount: $210 million
Terms: 20 years, including 5 years of grace, at the standard interest rate for LIBOR-based US dollar single-currency loans.
Commitment Fee: 0.75 percent on undisbursed loan balances, beginning 60 days after signing, less any waiver.
Financing Plan: See para. 3.48.
Economic Rate of Return: 15.8 percent for the project overall
16.0 percent for the High-Grade Highways and their linking roads
15.0 percent for the first package of the Road Improvements for Poverty Alleviation (RIPA)
Project ID Number: CN-PA-3652
CONTENTS
1. TRANSPORT BOTTLENECKS AND REFORMS ...... 1 A. Background ...... 1 B. Traffic ...... 1I C. Transport Reforms...... 2 D. The Highway Subsector ...... 2 E. Bank Group Participation ...... 5 F. Lessons From Previous Bank Operations ...... 6
2. SHAANXI PROVINCIAL TRANSPORT SECTOR ...... 8 A. Situation and Economy ...... 8 B. Transport Network ...... 8 C. Traffic Characteristics and Growth ...... 9 D. The Vehicle Fleet ...... 10 E. The Trucking Industry ...... 10 F. Highway Safety ...... 10 G. Highway Administration ...... 11 H. Planning, Budgeting and Financing ...... 11 I. Engineering, Construction and Maintenance...... 13 J. Training ...... 14 K. Highway Development ...... 14
3. THE PROJECT .. 16 A. Project Formulation and Preparation ...... 16 B. Project Objectives and Rationale for Bank Involvement ...... 16 C. Project Scope...... 17 D. Environmental Assessment ...... 27 E. Land Acquisition and Resettlement...... 28 F. Cost Estimates ...... 31 G. Financing ...... 32
This report is based on the findings of a July 1995 Appraisal Mission comprising Hatim Hajj (Transport Specialist, Task Manager), Yasuhiro Kawabata (Highway Engineer), Robin Carruthers (Economist), Claude Salem (Institutional Strengthening/Training Specialist), Katsunori Suzuki (Environmental Specialist), Maninder Gill (Resettlement Specialist), V. Setty Pendakur (Consultant, Rural Transport Specialist) and Richard Muskaug and Adriaan Schelling (Consultants, Road Safety Specialists). Ms. Xin Chen of the Bank's Resident Mission in China also contributed to the preparation of the project. The peer reviewers of the project were Chris Hoban (Sector and Engineering), Simon Thomas (Transport Economics), Ellen Schaengold (Poverty and Resettlement), Michael Cohen (Institutional Strengthening and Training), and Stein Lundebye (Roadway Safety). The Division Chief is Richard Scurfield and the Department Director is Nicholas C. Hope. - ii -
H. Implementation ...... 33 I. Procurement ...... 36 J. Disbursements ...... 40 K. Auditing ...... 41 L. Project Supervision, Reporting and Monitoring ...... 41
4. ECONOMIC EVALUATION...... 44 A. Main Benefits and Beneficiaries...... 44 B. Evaluation of High-Grade Highways ...... 45 C. Evaluation of RIPA Component ...... 52 D. Project Risks and Actions ...... 52
5. AGREEMENTS REACHED AND RECOMMENDATION...... 56
FIGURES
Figure 2.1: Highway Revenues and Expenditures in Shaanxi in 1994...... 12
TABLES
Table 1.1: Traffic Turnover by Mode, 1980-93.59 Table 1.2: Road Accident Risks in Various Countries, 1993 .60 Table 1.3: China: Bank Group-Financed Transport Projects.61
Table 2.1: Economic Data, 1993 .. 63 Table 2.2a: Shaanxi: Passenger Traffic, 1980-94 .64 Table 2.2b: Shaanxi: Freight Traffic, 1980-94.64 Table 2.3: Shaanxi: Road Network, 1994.65 Table 2.4: Shaanxi: Length of Highway by Traffic Mix and ADT, National and Provincial Roads Only .. 66 Table 2.5: Shaanxi: Freight Handled by Public and Private Trucks, 1985-94. 67 Table 2.6: Shaanxi: Road Accidents (1985-94) .67 Table 2.7: Shaanxi: Road Accidents (1985-94) .68 Table 2.8: Shaanxi: HIghway Revenues and Expenditures .69 Table 2.9: Shaanxi: Fuel Prices .70 Table 2.10: Planned Highway Development in 9FYP (1996-2000) .71
Table 3.1: High Grade Highways: Geometric and Pavement Design Characteristics 73 Table 3.2: The Upgrading and New Construction Program for Linking Roads. 74 Table 3.3: Summary of Institutional Strengthening and Training .75 Table 3.4: Training Program.76 Table 3.5: Project Cost Summary .80 Table 3.6: Estimated Disbursement Schedule.82 - iii -
Table 4.la: Traffic Volume Growth on the Weinan-Tongguang Highway, 1980-93 ... 83 Table 4. lb: Traffic Volume Growth on the Tongchuan-Huangling Highway, 1980-93...... 84 Table 4.1c: Traffic Volume Growth on the Xiaoshangyuan-Lantian Highway, 1980-93...... 85 Table 4.l d: Traffic Volume Growth on the Famensi-Jiangzhuang-Tangyu Highway, 1980-94 ...... 86 Table 4.le: Number of Tourists to the Terra Cotta Warriors Museum, 1983-92 ...... 87 Table 4. le(l): Annual Growth Rates in Numbers of Tourists to the Terra Cotta Warriors Museum-Medium Traffic Forecast ...... 87 Table 4.2a: Projected Daily Traffic Volumes for Selected Years by Section on Proposed and Existing Weinan-Tongguan Highway ...... 88 Table 4.2b: Projected Daily Traffic Volumes for Selected Years by Section on Proposed and Existing Tongchuan-Huangling Highway and Yaoxian-Tongchuan Highway ...... 89 Table 4.2c: Projected Daily Traffic Volumes for Selected Years on Proposed and Existing Xiaoshangyuan-Lantian Highway ...... 90 Table 4.2d: Projected Daily Traffic Volumes for Selected Years by Section on Proposed and Existing Famen Buddhist Temple-Jiangzhuang- Tangyu Highway ...... 91 Table 4.2e: Projected Daily Traffic Volumes for Selected Years by Section on Proposed and Existing Jiangzhuang-Tangyu Highway ...... 92 Table 4.2f: Projected Daily Traffic Volume for Selected Years on Proposed and Existing Routes to Terra Cotta Warriors Museum ...... 93 Table 4.3: Typical Economic Vehicle Operating Costs on Existing and Proposed Highways ...... 93 Table 4.4a: Summary of Internal Rates of Return and Sensitivity Analysis by Section of Weinan-Tongguan Expressway ...... 94 Table 4.4b: Summary of Internal Rates of Return and Sensitivity Analysis by Section of Tongchuan-Huangling Class I Highway ...... 94 Table 4.4c: Summary of Internal Rates of Return and Sensitivity Analysis for Xiaoshangyuan-Lantian Highway...... 95 Table 4.4d: Summary of Internal Rates of Return and Sensitivity Analysis of Jiangzhuang-Famensi Highway, Jiangzhuang-Tangyu Highway and Lintong-Terra Cotta Warriors Museum Highway ...... 95 Table 4.5: Economic Evaluation Parameters for First Package of RIPA...... 96 - Iv -
ANNEXES
Annex 1: Roads Improvement for Poverty Alleviation (RIPA) ...... 97 Annex 2: Terms of Reference for Feasibility Study of Xian Bypass...... 104 Appendix 1 to Annex 2: Study of Xian Bypass: Study Organization and Staffing ...... 115 Appendix 2 to Annex 2: Study of Xian Bypass: Terms Of Reference for Intemational Experts ...... 118 Annex 3: Terms of Reference for Highway Maintenance Study...... 121 Appendix 1 to Annex 3: Plan and Timetable of Provincial-Level Road Database Study...... 131 Annex 4: Road Safety Improvement...... 132 Appendix 1 to Annex 4: Outline Terms of Reference for Driver Training Study ...... 139 Annex 5: Environmental Assessment and Action Plan Summary ...... 141 Appendix 1 to Annex 5: Environmental Standards...... 162 Appendix 2 to Annex 5: Key Elements of the EAP for the Second Shaanxi Provincial Highway Project ...... 164 Annex 6: Land Acquisition and Resettlement ...... 172 Annex 7: Implementation Schedule ...... 182 Annex 8: Supervision Mission Plan...... 189 Annex 9: Monitoring Project Implementation and Operational Impact ...... 193 Annex 10: Selected Documents in the Project File ...... 202
CHARTS
Chart 1 Shaanxi Provincial Transport Department Chart 2 Shaanxi Provincial Highway Administration Bureau Chart 3 Shaanxi Provincial High-Grade Highway Administration Bureau Chart 4 Shaanxi Provincial Highway Survey and Design Institute Chart 5 Supervision of Construction Under Shaanxi 2 Chart 6 RIPA Management Structure Chart 7 Shaanxi Provincial Traffic School Chart 8 Shaanxi Provincial Traffic Technical School Chart 9 Xian Highway Research Institute Chart 10 Project Execution Office-Shaanxi 2 Chart 11 Diagram of Maintenance Organization of Shaanxi Provincial Highway Project II
MAPS
1. China: Major Highway Development Program-National Trunk Highway System (NTHS), IBRD 27046 2. Transport System in Shaanxi Province, IBRD 27047 3. Second Shaanxi Provincial Highway Project's High-Grade Highways, IBRD 27048 - I -
1. TRANSPORT BOTTLENECKS AND REFORMS'
A. BACKGROUND
1.1 The transport system in China has grown considerably over the last four decades. Since 1952, the length of the highway system increased by a factor of nine and the length of the railway network more than doubled. Despite this development, the transport network is one of the sparsest in the world compared with the area and population it serves. There is now a gap between transport supply and demand that is manifested by the existence of transport bottlenecks, the administrative rationing of limited transport capacity, the poor quality of services and losses to the economy.
B. TRAFFIC
1.2 China had experienced rapid growth of traffic during 1980-89 when the economy grew at an average annual rate of 9.5 percent. Traffic growth declined when the economic growth slowed down during 1989-90, as the supply constraints became more conspicuous. However, resumption of high economic growth since 1991 has brought about a corresponding surge in transport demand.
1.3 Traffic Growth. Despite the capacity constraints and related bottlenecks, between 1980 and 1993 the ton-km of freight have grown at 7.4 percent per year and the passenger-kilometers at 11.8 percent per year. Highway freight traffic grew at the highest annual rate of 13.7 percent, compared with 5.8 percent for railway traffic and 8.1 percent for coastal and inland waterway traffic. Despite its rapid growth, intercity passenger travel per capita in China remains very low, at about two thirds of the level for India. This is due primarily to the severe capacity constraints. Civil aviation traffic is rapidly expanding and has grown 20.9 percent per year since 1980, but still represents a small share of total traffic with most long-distance journeys made by rail (Table 1.1).
1.4 Transport Demand and Modal Split Trends. Although the railway's share of traffic has declined over the last decade as the share of road traffic has grown, rail transport still dominates freight and passenger traffic in China. In 1993, 39.2 percent of freight and 44.3 percent of passenger traffic turnover were attributable to rail, with the remainder moved by road, inland waterway, coastal shipping, pipeline, and civil aviation. The movement toward a market economy will increase demand for market-responsive transport services, favoring a shift to road transport but still leaving a growing market for the relatively low-cost rail transport system.
l This chapter is an abstract of the Bank sector report (No. 11819-CHA) China Highway Development and Management Issues, Options and Strategies, February 1994. - 2 -
C. TRANSPORT REFORMS
1.5 In the past decade, China's economic reforms have aimed to increase economic efficiency through measures designed to reduce national government intervention in the production and distribution process, reduce the Government's deficits and subsidies to state-owned enterprises, and open the economy by expanding trade and allowing further participation of private and collective enterprises. In the transport sector, several reforrns have been undertaken in line with these objectives-many with Bank assistance.
1.6 These initiatives are helping to spur the growth and modernization of the transport system. However, much more needs to be done to bring about the changes required to deal effectively with the emerging issues. To alleviate the transport bottlenecks and rationalize the transport system, the Government will need to take the following measures by the year 2000:
(a) increase the total level of transport investment in relation to GNP, to expand capacity to meet the new traffic demands and to clear up the backlogs caused by past underinvestment;
(b) aim for balanced investments among the major freight transport modes of railways, highways, and waterways in terms of optimal economic cost of transport;
(c) realign further the prices of freight transport services and those of the major commodities, especially coal, to bring them closer to their real costs;
(d) increase further the productivity of existing transport assets through technological modernization and management reforms; and
(e) improve and expand the multimodal transport system, both across and within modes, with particular emphasis on more extensive use of containers.
D. THE HIGHWAY SUBSECTOR
The National Highway Network and its Utilization
1.7 China's road network consists mainly of aging roads with neither the capacity nor strength to carry current and projected future traffic. Many of the roads need upgrading in addition to normal maintenance and rehabilitation. A Bank policy study on road deterioration in developing countries classified China among the countries with an extensive and obsolete road network in need of modernization to meet the rapid growth in road transport demand. Although China has not neglected road maintenance, its outmoded maintenance technology would not be sufficient to arrest the accelerated deterioration of the aging road system network. China needs to mobilize domestic and external resources for modernizing its road system with special emphasis placed on technology transfer, institutional improvement, and development of skills. 1.8 The rapid growth of highway traffic stems not only from the country's rapid economic growth but also from other factors such as the national policy of shifting short- haul transport from rail to road as well as the expansion of the service sector and rural industries. Furthermore, with the increase in foreign trade, growth in transport demand will be concentrated in transport corridors serving the main ports and their hinterlands and, with containerization of higher-value commodities, most domestic movements of this foreign trade are expected to go by road.
1.9 Growth in the truck and bus fleet has been fairly steady at an average annual rate of 12.3 percent over the last 12 years, with particularly strong growth in small passenger vehicles. Growth in the tractor and motorcycle fleets has increased sharply, with motorcycles showing the strongest growth of all vehicle types. The composition of vehicles using China's roads is diverse, including a variety of motorized and a large number of other (nonmotor) vehicles. The tractor and motorcycle fleets, for example, at 5.4 million and 6.5 million respectively, well exceed the size of the truck and bus fleet. Tractors and motorcycles offer a relatively cheap and basic form of transport, but contribute significantly to traffic congestion and are among the major causes of road accidents.
1.10 The trucking industry consists of publicly-owned trucks operated by trucking companies affiliated with local (provincial or district) highway authorities, and other trucks operated by factories, cooperative organizations and, recently, private individuals. The relaxation of trucking regulations in the early 1980s allowed own-account trucks to haul cargo for other factories and cooperatives and thus promoted competition between public and own-account trucks. While market forces are expected to play a more important role in shaping the industry in the future, it is necessary to understand the current constraints to such development and to identify the measures needed to allow the reshaping of the industry to take place. In order to explore these issues more fully, a Provincial Trucking Study was included as a component of the Bank-assisted Henan Provincial Highway Project and was completed in 1994, and a separate study of the trucking industry was completed by the Bank in 1995.
1.11 Road safety is an important issue in the development of China's road sector, as traffic continues to grow rapidly on all roads and a high-speed, national highway network is developed. The frequency and numbers of people involved in traffic accidents have reached serious proportions in China. The annual fatality rate per 10,000 vehicles in China is 46, as compared with rates of 33 in India, 12 in Indonesia, 5 in Mexico, 9 in Thailand, 18 in Hungary, and 2 in the United States, Canada, and the United Kingdom (Table 1.2). However, the annual fatality rate per 100,000 population in China is the same or less than that for developed countries. This reflects the low motorization rates (vehicles per 1,000 population) in China.. The social and economic costs of these accidents to the Chinese economy reached almost $1 billion annually.2
2 The costs analyzedin this case included lossof life, injury,property damage, reduced productivity,and medical,funeral, and legal costs. - 4 -
1.12 Responsibility for highway safety matters was transferred from MOC and the provincial Communications Departments to the Ministry of Public Security and its provincial units in 1988. This decision created transitional administrative problems. Cooperation between the provincial highway administration bureaus and the concerned public security units is still weak. Under the Bank-financed Shanghai-Zhejiang Highway Project (Loan 3929), a road safety manual and a safety audit system will be developed. The Bank-financed Xinjiang Highway Project (Loan 3787) and the Guangdong Provincial Highway Project (Loan 3530) contain pilot programnsthat address the traffic accident black spot problem. The Second Conference on Asian Road Safety is scheduled to be held in Beijing October 28-31, 1996. The Bank is discussing with GOC the possibility of holding a National Road Safety Seminar in 1997, to be followed by a similar Provincial Road Seminar in 1998.
Highway Administration, Planning and Finance
1.13 Administration of the highway network is the responsibility of the provincial governments, through the Highways Bureaus of the Provincial Communications Departments. The central government's MOC provides general policy guidance and support to the provinces through its nationwide policies and regulations, specifying design and construction standards. However, the Provincial Communications Departments are financially independent of MOC and carry out all road planning, construction, maintenance, and operation of roads and waterways in the provinces.
1.14 While the provinces manage the country's highway network, MOC is responsible for planning and investment strategies for the development of the National Highway System. MOC has been evolving a long-term strategy for the systematic upgrading of the national system in key corridors over a 30-year planning horizon. Known as the National Trunk Highway System (NTHS), the system, comprising 12 major roads for the exclusive use of motor vehicles (Map IBRD 27046) would connect all the provincial capitals and cities with populations exceeding 500,000. Development of the NTHS has been accorded highest priority in investment planning for the highway sector. Priority for early construction is being given to two north-south corridors (Beijing-Zhuhai and Tonjiang- Harbin-Shenyang-Qingdao-Shanghai-Fuzhou-Guangzhou-Sanya);two east-west corridors (Lianyuang-Zhengzhou-Xian-Lanzhou-Urumqi-Houerguosi and Shanghai-Nanjing- Jiujiang-Wuhan-Chengdu) and the three corridors of Beijing-Shanghai, Beijing-Shenyang and Chongqing-Beihai, and to those routes already identified as congested and hindering economic activity.
1.15 A system for funding highway construction and maintenance is well established, although there are differences between provinces according to local needs and circumstances. The main revenues are generated by the Road Maintenance Fee (RMF), typically levied on the revenue of freight and passenger transport companies and on the capacity of own-account vehicles. The RMF is levied by the provinces who retain the majority of the monies after remitting a portion to Central Government agencies. MOC also directly receives revenues from the Added Vehicle Purchase Fee, a supplementary - 5 - earmarkedtax on vehicle imports and sales, and uses these funds, which currently reach about Y 2 billion/year,to contributefinancing for: (a) the roads included in the national highwaynetwork, providing a highershare of financingfor the poorer,inland provinces and a lower share for the richer,coastal provinces, and (b) constructionor rehabilitationof rural roads locatedin economicallyless-developed areas.
E. BANK GROUPPARTICIPATION
1.16 The Bank Group has supported initiatives by the Govermnent in the transport sector through loans and credits totaling $5.6 billion for 33 projects (Table 1.3). The dialogue betweenthe Govermnentand the Bank Groupon transport sectoroperations and strategy has been strengthenedthrough long-termstrategy studies for railways, highways and ports development,and through project preparation activities and project-financed studiesas well as sector studiescarried out in collaborationwith Chineseauthorities. The various studieshave, inter alia, emphasizedthe areas of multimodaltransport investment and the setting of sectoral priorities based on systemwide economic evaluation techniques.3
Transport Sector Work
1.17 Recent Bank Group reports on the transport sector include China's Railway Strategy (No. 10592-CHA, February 1993), Highway Development and Management: Issues, Options and Strategies (No. 11819-CHA,February 1994), and Strategies for Road Freight Development (No. 12600-CHA, January 1995). In addition, studies on the trucking industry and highway financing have been completed under ongoing projects, a study of the provincial road construction industry is being undertaken under the Fujian Provincial Highway Project, a study of interprovincialtraffic facilitation and a highway capacity study are being undertakenunder the National Highway Project (Hebei/Henan), a study of intercity passengertransport is being carriedout under the Xinjiang Highway Project, and a study of highway maintenanceis being included in the proposed project. In addition, a study for improved prioritization of highway investments and improved highway feasibility study methodology is currently under preparation and is expected to be completed by the end of 1995. A program for institutional strengthening of MOC is being prepared and will be supported under a technical assistance credit (China Reform, Institutional Support and Preinvestment Project-CRISPP, Credit 2447-CHA). The Bank Group also conducted a survey of the national water transport system in the mid-I 980s, which has reaffirmed the need to further exploit the large potential of the Chinese waterways.
3 Six of the studies have exploredmultimodal pricing and investmentissues in a more comprehensive and more economically oriented analytical framework than was formerly available to China's decisionmakers: the GuangdongComprehensive Transport Planning Study (GCTPS); the Yangtze EconomicZone Transport Study (YEZTS);the Coal TransportStudy (CTS); the Railway Investment Study (RIS); the SoutheastCoastal Region StrategicIssues in Ports and ShippingDevelopment Study (SIPS); and the Price ReformStudy. - 6-
1.18 On the basis of its projectand sectorwork, the Bank has an opportunityto deepen its involvementand assist the Govermnentin the design and implementationof institutional and sectoral reforms in areas such as strategyformulation, investment planning, pricing, financing, deregulation of transport services, operational efficiency, and transfer of advanced transport-relatedtechnology through training and provision of up-to-date equipment. Chinese authorities and the Bank Group are currently preparing a comprehensivetransport sector strategy paper that is expected to help guide sector developmentin a consistent,cohesive policy framework.
The Bank's Experience and Strategy in Highways
1.19 Of the 14 Bank-assisted highway projects in China, two have so far been completed (the First Highway Project and the Shaanxi Highway Project). The former project achieved its original objectives and demonstrated the benefits of improved accessibilityto economicallyless-developed regions. Economic activity in the area of influence of most project roads surged and income levels increased noticeably. Furthermore, the Bank's involvement facilitated the acceptance of competition in the contracting for road works in preference to force account operations even for smaller civil works contracts, as well as the merits of supervision of construction by specially assigned units.
1.20 The Bank strategy for highway lending in the medium term is detailed in Highway Development and Management: Issues, Options and Strategies. The strategy is to continue supporting institutional development and sectoral reforms aimed at modernizing the highway system and its management, and supporting investmnentsfocused on high-priority links of the NTHS and the provincial road networks that feed into it.
1.21 While some institutional development and sectoral reform components will normally be included in every project, specific issues identified during the Bank's dialogue with the government, will be addressed selectively in individual provincial projects. During the next few years, the projects' investment components will continue to focus on high- priority links of the national highway system, to support the development of the provincial road networks, and to provide all-weather access to the poor areas to help alleviate poverty.
F. LESSONSFROM PREvious BANKOPERATIONS 1.22 Previoushighway projects in Chinaemphasize the importanceof rigorous,early preparationfor majorcivil andtraffic engineering works and for procurementprocesses, where tendering often takes longer than expected.Advance preparation of bidding documentation and independent design reviews have also fostered smooth implementationand have helpedreduce variationsduring the implementationperiod. The design of traffic engineeringfacilities (traffic monitoring,telecommunications, tollingand lighting)must be advancedso that theseworks would be finishedshortly after completionof the civilworks for high-gradehighways. - 7 -
1.23 Land acquisition and resettlement of affected people have also led to implementation difficulties, including delays, in Chinese highway projects. A large number of people are typically affected by resettlement in China, particularly along important economic corridors where highways are being upgraded and constructed. The institutional requirements for resettlement of these numbers of people are significant; under the proposed project, resettlement has received considerable attention to ensure institutional capability to provide adequate compensation and to implement Resettlement Action Plans.
1.24 Experience in the environmental area in China has generally been favorable. However, more attention should be paid to environmental supervision during construction, training of environmental personnel, and environmental monitoring during both the construction and operation phases.
1.25 Bank experience emphasizes the importance of adequate construction quality of roads. Poorly constructed roads lower economic benefits and vehicle operating cost savings, and may reduce reliability and/or accessibility of the road. Higher costs also result from premature deterioration, where corrective actions in the form of increased maintenance and/or rehabilitation are required. Construction quality has also been highlighted as a sector issue for Bank highway projects. Effective remedial actions include careful formulation of supervision arrangements, including engagement of foreign experts, training of local supervision staff and equipping the supervision teams with the necessary laboratory equipment, surveying instruments, transportation and telecommunications facilities.
1.26 There is a growing concern that adequate funding for highway maintenance is not now being generated to cover an expanding and more expensive highway system. Previously, this was not an issue-adequate funds were being set aside for this purpose. Experience with rural highways in Africa and South Asia and with the Bank's Shaanxi Highway Project in China has shown that provision of basic access through all-weather roads and provision of nonmotorized transport are effective means of reducing poverty in rural areas, especially when combined with programs for socioeconomic development.
1.27 Based on the Bank's experience with institutional and policy aspects of highway projects, the phasing of studies and technical assistance and the intensity of Bank supervision are important for positive, sustainable outcomes. Institutional components that are implemented early in the project period tend to have a greater impact, as compared with free-standing studies carried out in the advanced stages of a project. Systematic supervision and follow-up of the findings of studies and technical assistance components by Bank missions also enhance project outcomes. Ultimately, the success of the road safety component of the project depends upon the Borrower's commitment to the objectives of the component and its ability to ensure effective coordination between the Traffic Police and the Highway Department-the main two agencies involved in the implementation of this component. - 8 -
2. SHAANXI PROVINCIAL TRANSPORT SECTOR
A. SITUATION AND ECONOMY 2 2.1 Shaanxi Province, located in China's middle west, has an area of 205,000 km and a population of 34 million (1993). The average population density is 162 persons per km2 , almost double the national average. Administratively, the Province is divided into 107 counties under 10 prefectures. Its capital, Xian, has a population of about 2.75 million. The climate is cold in winter and hot in summer, with an annual rainfall of 653 mm.
2.2 Shaanxi's GNP per capita is about 32 percent below China's average, and the Province has large areas of poverty (Table 2.1). Shaanxi has the second largest number of officially designated poor counties in China (50 out of 107) and the fifth largest poor population (5.0 million or 6.25 percent of China's poor), 80 percent of whom live in two northern and three southern prefectures. Lack of transport infrastructure is one of the factors behind the depressed economic conditions in these areas.
B. TRANSPORT NETWORK
2.3 Shaanxi has a well-developed, transport network, heavily dominated by road and railway transport (May IBRD 27047). The railway network in Shaaulxi includes the Longhai, Baocheng, Xiantong, Xihou, Xiyan, Xiangyu and Yangan railway lines with a total length of 2,149 km (in 1992). The Xian-Ankang railway line is now under construction. Also, the Longhai railway line is being electrified. It is planned that during the Ninth Five-Year Plan (9FYP), the Yanan-Shenmu railway line would be constructed.
2.4 The airline network of Shaanxi consists of five airports, of which Xianyang airport (for Xian City) is classified as international, and is now being expanded. The number of air passengers has increased rapidly (15.2 percent per year), from 140,000 in 1980 to 1,010,000 in 1994 (Table 2.2a).
2.5 The inland waterway system in Shaanxi provides a local service, with an average hauling distance of 73 km in 1994. The province's major navigable river, the Hanjiang, runs west to east across the south of the province. Because Shaanxi is an inland province with short river estuaries, the role of inland waterways is rather limited. It transported 0.34 million tons in 1994 (Table 2.2b) or 0.1 percent of the total.
2.6 Shaanxi's highway system extends about 39,000 km (in 1994), which ranks thirteenth in China. Of this total, 16 km (0.04 percent of the total) are expressways, 73 km (0.2 percent) are Class I roads, 1,387 km (3.6 percent) are Class II roads, 10,772 km (27.6 percent) are Class III roads, 19,286 km (49.3 percent) are Class IV - 9 - roads, and the remaining 7,522 km (19.3 percent) are unclassified roads (Table 2.3). The administrative classification of the road system in 1994 was as follows:
km %
National 3,999 10.3 Provincial 4,798 12.3 County 15,211 38.9 Township 13,164 33.7 Other 1,887 4.8
ITtal 39,059 100.0
2.7 Highways provide a major means of transport in Shaanxi and are the only means of transport for some areas. The density of the system is 18.75 km per km2 , ranking thirteenth in China. However, the highway network is not well-distributed in the Province: it is dense in the central belt of the Province, moderately dense in the north and sparse in the south. At present, 1,000 townships and 11,000 villages (concentrated in the southern and northern parts of the Province) have no all-weather access to a road suitable for motor vehicles. It is not surprising that these are also the main poverty areas in the Province. Most of the network was built in the 1960s to low design standards suitable for light vehicles and low traffic levcls. About 70 percent (27,096 km) of the roads are paved, but the pavements are generally of low bearing capacity for the vehicles that presently circulate on them. Due to the substantial growth in traffic volume and steady rise in the use of heavy vehicles, these roads increasingly are becoming inadequate to meet needs. The provincial government is giving high priority to repairing and strengthening these roads and to expansion of the highway network, especially high-grade highways and roads to alleviate poverty.
C. TRAFFIC CHARACTERISTICSAND GROWTH
2.8 Over the period 1980-94, traffic has been rising strongly in all modes, with growth rates on highways being significantly higher than those on railways. In 1994, highways transported 87 percent of the passengers and 32 percent of the passenger- kilometers and 87 percent of the freight tons and 18 percent of the ton-kilometers in Shaanxi (Tables 2.2a and 2.2b). Railways carried a lesser portion of freight tonnage (13 percent) and the largest amount of ton-kilometers of freight (82 percent), reflecting the very long haul distances (1,263 km by rail vs. 41 km by road). Air transport, albeit very small, is playing an increasingly important role in Shaanxi because of the increase of foreign visitors to various historical and cultural attractions, particularly the Terra Cotta Warriors Museum. Highway traffic, nevertheless, rose at high rates, 10.5 percent per - 10- year for freight ton-kilometers and 13.5 percent per year for passenger-kilometers (Tables 2.2a and 2.2b).
2.9 The increase in road freight and passenger transport is mostly related to the improvement and upgrading of low-class roads. During 1980-94, the total length of Class III and IV roads increased by about 890 km and 3,600 km, respectively. In 1980, highways transported 46 million passengers, growing to 202 million passengers in 1994, which represents an annual growth rate of about 11.1 percent.
2.10 Highway traffic includes slow-moving vehicles, mainly tractors of various sizes, bicycles and other nonmotorized vehicles. In 1994, this slow-moving traffic accounted for about 10 to 20 percent (in the converted traffic volume) of all motorized traffic along major roads. Although this traffic is decreasing on main roads, it is still a major factor in road congestion and traffic accidents. To tackle this problem, Shaanxi has started development of access-controlled highways where traffic volumes are sufficiently high to justify them, including the proposed high-grade highways.
D. THE VEHICLE FLEET
2.11 The total vehicle fleet has expanded rapidly (14.3 percent per year for motorized vehicles) in the nine years between 1985 and 1994 (Table 2.4). During this period, the fleets of medium- and small-size trucks, and buses and passenger cars grew by 41 percent and 16 percent per year, respectively, reflecting the growth in prosperity and also the light-vehicle needs of the growing number of smaller enterprises in the economy. Also, motorcycles registered an impressive annual growth rate of 31 percent. Tractors, which reached 256,000 units in 1993, are mainly used for agricultural purposes, but also travel on the roads. This rapid growth poses particular problems to transport planners, in and around the larger cities, especially the capital, Xian.
E. THE TRUCKING INDUSTRY
2.12 Road freight services have expanded significantly. Between 1985 and 1994, the total volume of freight carried by trucks grew by about 6 percent annually, while freight turnover grew by 7.1 percent annually (Table 2.5). During the same period, the share of total freight ton-kilometers carried by private transport companies increased from 34 percent to 42 percent. The average haul distance for both public and private transport companies remained almost stable for the past 10 years-about 60 km by public trucks and about 30 km by private trucks.
F. HIGHWAY SAFETY
2.13 Road safety is a serious problem in Shaanxi, as elsewhere in China. In 1994, 1,604 persons were killed and 3,982 persons were injured in the 7,664 accidents reported to the police in that year (Table 2.6). The relatively low number of accidents reflects a low degree of police reporting, especially in rural areas. But the severity of accidents (the number killed in relation to the total number killed and injured) is high. International comparisons of the number killed in traffic accidents per 10,000 vehicles show that the rate in Shaanxi is about 30 times higher than that for Western Europe and North America..
2.14 While there is increasing concern about road safety, the Shaanxi Provincial Transport Department (SPTD) has had less scope for action following the reorganization of responsibility for road safety matters in China in 1988. Most responsibility for matters affecting road safety now lies with the Traffic Police of the Public Security Bureau (PSB), including that for vehicle testing and inspection, driver training and licensing, propaganda on safety, enforcement of traffic laws, including imposition of fines, operation of traffic signals, highway patrols, and all aspects of accident, reporting, investigation and research. However, SPTD retains responsibility for all matters concerning safe highway design and traffic signs and markings. SPTD and the Traffic Police would work together under the project to develop a modest program to address the road safety problem in Shaanxi (paras. 3.30 - 3.31).
G. HIGHWAY ADMINISTRATION
2.15 SPTD controls all highway undertakings in the province (Chart 1). SPTD reports directly to the provincial government and acts as its administrative arm for planning, budgeting and financing of highway transport in the province. SPTD conforms to the general transport policy and technical guidelines issued by MOC.
2.16 The administration of the road network in the province takes place at three levels: (a) Shaanxi Provincial Highway Administration Bureau (SPHAB) (Chart 2); (b) general highway bureaus in each prefecture and city; and (c) local-level highway units of the county highway bureaus. SPTD administers all highways in the province through SPHAB. Apart from the high-grade highway, SPHAB is responsible for all highway matters, including construction and maintenance, but receives professional and technical guidance from the Engineering Administration Department of MOC. It has a staff of 200. The 10 municipal and prefectural highway bureaus and local highway units of county highway bureaus have a total staff of about 34,950 (or I person per kilometer), of which technical personnel are 1,655.
2.17 The Shaanxi High-Grade Highway Administration Bureau (SHGHAB) (Chart 3) was established in 1989 and is under the administration of SPTD. SHGHAB has 100 headquarters staff and is responsible for construction, maintenance and operation of high- grade highways in the province. Specifically, it is in charge of three highway management departments: Xian-Tongchuan Highway, Xian-Weinan Highway and Xian- Baoji Highway. It currently has a staff of about 580 in these three department offices.
H. PLANNING, BUDGETING AND FINANCING
2.18 Planning. SPTD has overall responsibility for planning, construction, operation and maintenance of the provincial highway network. The prefectural and county authorities have considerable autonomy in planning smaller road investments, but the - 12 - planning of trunk roads is subject to the approval of SPTD. Each administrative group prepares investment plans for the highway network under its jurisdiction and submits them to the planning division of SPTD by September of each year for the next year's plan. SPTD approves the next year's plan for each county or local authority concerned before the end of March. Similarly, using inputs from lower-level administrative groups, SPTD prepares the five-year road development plan, reflecting national or provincial development policy guidelines and objectives. After review and approval by Shaanxi Provincial Government (SPG), the plans are implemented.
2.19 Budgeting. In common with other provincial communications departments in China, SPTD's planning division adopts a balanced budget policy. The proposed highway expenditures are balanced against the revenues earmarked for highway development; the amount of investment approved for each year is closely related to the revenues expected for the same year. The necessary adjustments are made after October of the same year.
2.20 Financing. Highway funding sources and expenditures are summarized in Table 2.7. Data for 1994 are displayed in Figure 2.1. The largest source of finance is the road maintenance fee (RMF), accounting for 36.7 percent of the total for the province in 1994. SPTD retains 72.5 per cent of revenues from RMF.
FIGURE 2.1: Highway Revenues and Expenditures in Shaanxi in 1994
Revenue Expenditures
Others 8.6% ERFBAFP
Local contribu- Repaynent of 9.8% tions 29.V load Roue Road 3.5% maeemmce /mantensnce 6 % fee 36.7%
Ad.inistratio n expense Periodic , S~~~~~~~~~~84% t e n mam enac 4.3%
Extet borrow aIls from domestic loans hways 16.2% 4.6%
13.5% Rehabilitation and new construction 58 6% Note: ECFBAFP = Energy and Communications Fund, Budget Adjustment Fund and Police subsidy
2.21 Other sources of revenue include grants from MOC, (13.5 percent of total) in 1994, and various sources of self-raised funds (49.8 percent). The province also raises highway funds by adding a passenger tariff surcharge, currently Y 0.01 per passenger-km. - 13 -
The amounts collected from this source are used mainly for the construction of bus terminals.
2.22 In addition to road user charges discussed above, fuel taxes are levied by MOF but are not allocated back to highway funding. Fuel taxes currently amount to 43 percent of the base price of gasoline and 13 percent of the base price of diesel fuels. Total fuel prices, including taxes, are significantly higher than international market prices, both for planned allocations and for open-market consumption (Table 2.8).
I. ENGINEERING, CONSTRUCTION AND MAINTENANCE
2.23 Engineering. Road and bridge projects are designed by the planning and design institutes at the provincial, prefectural and county levels. The Shaanxi Provincial Highway Survey and Design Institute (SPHSDI) (Chart 4) is qualified for Class I roads and expressways and is responsible for all major road, bridge and tunnel projects. SPHSDI is competent and has qualified and experienced personnel, as well as equipment. The design institutes at the municipal and county levels are responsible for lower-grade county and township road design works. These design institutes are, in general, competent and have experienced personnel for carrying out their respective highway design tasks.
2.24 Construction Supervision. The Quality Control Center under SPTD, established in 1988, is responsible for quality testing, bidding, and overall supervision of all transport projects in Shaanxi on behalf of SPG. The Quota Center under SPTD, established in 1990, is in charge of auditing the project costs of all transport projects in Shaanxi, and takes part in the feasibility study, project assessment and budget compilation. Generally, these centers have relatively competent personnel to supervise and audit the works adequately.
2.25 Construction. The Shaanxi Provincial Road and Bridge Company (SPRBC) is mainly responsible for the construction of key highway projects, especially high-standard highways and large bridges in Shaanxi. The municipal and county highway bureaus have their own construction units to carry out construction of minor projects within their administrative districts. However, in recent years, competitive bidding has been introduced in the province, following the SPC directive that all major civil works be awarded after competitive bidding. Many of the larger regional and urban construction bureaus, railway engineering and mining engineering units have been reorganized into financially independent contracting companies. Thus, the construction units under the communications departments of the various cities and provinces can also participate in transprovincial bidding activities. Contractors for 17 civil works contract sections for the proposed high-grade highways will be selected through prequalification and international competitive bidding (ICB) (para. 3.61).
2.26 Maintenance. Highway maintenance is carried out by county highway bureaus under the control of municipal authorities. Presently, the methods of maintenance work are generally labor-intensive. Out of the total 39,059 km (as of 1994) highway network - 14 - in Shaanxi, about 27,000 km (70 percent of the total) are paved and 58 percent are all- weather roads. But the pavements are of low bearing capacity for the vehicles. The high- grade highways are maintained by SHGHAB, and other highways by SPHAB. The main maintenance problem has been the poor riding quality of road surfaces stemming from labor-intensive and low-technology practices. Most of the pavements have exceeded their design life and need major overhaul. Also, overloading of trucks and tractors is a serious problem, which accelerates deterioration of the pavement. The quality of road maintenance will be addressed under the proposed project through a study of highway maintenance (para. 3.29), provision of maintenance equipment (para. 3.24), and training of personnel involved in the management and execution of maintenance activities (para. 3.33).
J. TRAINING
2.27 The staff of SPTD are, in general, experienced, but have not been exposed to new technology and therefore often use outmoded work methods and equipment. The staff of SPTD have benefited from the training provided under the completed Bank-financed Shaanxi Provincial Highway Project (Loan 2952-CHA). The proposed project will support the training efforts of SPTD by (a) providing training to personnel of the relevant institutes and schools; (b) strengthening the basic administrative and operational functions of SPTD; (c) strengthening maintenance planning and its implementation, which involves the management of maintenance organization and equipment, the collection of traffic data, and the establishment of a road data bank; through training of their staff and provision of modem equipment.
K. HIGHWAY DEVELOPMENT
2.28 Shaanxi's investments in highways have increased from Y 2.51 billion during the 7FYP to Y 6.14 billion during the 8FYP (1991-95). The details of the highway network expansion over the 8FYP and 9FYP are shown in Table 2.7.
2.29 The highway development plans of Shaanxi set goals for three different time horizons: long term up to the year 2020, medium term up to 2010 and short term up to the year 2000. The short-term plans for highway development are embodied in the 9FYP for Shaanxi (Tables 2.9 and 2.10). By the year 2000, it is anticipated that 130 km of new expressways, 110 km of new Class I highways, 140 km of new Class II auto-only highways and 790 km of new general Class II highways would be constructed. Also, about 4,900 km of county and township roads would be rehabilitated or constructed on new right-of-way.
2.30 The most serious problem for realizing the planned developments by the year 2000 would be the availability of the required financial resources. SPTD's 9FYP calls for expenditures of about Y 14.08 billion and revenues of about Y 12.24 billion, or a shortage of about Y 1.84 billion. The expenditures include Y 5.64 billion for new construction (including high-grade highways), Y 3.16 billion for rehabilitation and upgrading of existing roads; Y 0.64 billion for periodic maintenance and Y 0.69 billion or - 15- routine maintenance. The expected deficit is expected to be met from: (a) sale of land (Y 120 million); (b) fees on coal and oil transport (Y 200 million); (c) increase in fees on transport of passengers (Y 200 million); (d) sale of operating rights of some of the completed high-grade highways (Y 400 million); (e) adoption of build-operate-transfer (BOT) schemes for three new tunnels (Y 400 million); (f) increased contribution from MOC (Y 100 million); and (g) domestic loans (Y 170 million).
2.31 The Province's Master Plan for Poor Areas (8-7 Year Plan for Poverty Alleviation 1994-2000) has set as its goal to provide year-round access to every poor township and 80 percent of the villages in Shaanxi. The transport component of this plan calls for the completion of 403 road projects (totaling 8,918 km), of which 4,858 km are to be rehabilitated, 1,670 km to be newly constructed on Class IV roads, 2,024 km to be upgraded from unclassified status to all-weather roads, and 366 km to be upgraded from Class IV to Class III. The total cost of these improvements is about Y 1.5 billion ($175 million) or about 15 percent of the Province's 9FYP highway sector investment.
2.32 The proposed highway developments are ambitious, and there is a danger that maintenance could be sacrificed for new construction. As a percentage of total highway expenditures in Shaanxi, maintenance has decreased from about 18.0 percent in the 7FYP to 13.0 percent in the 8FYP and is expected to be 9.4 percent in the 9FYP, largely as a result of large increases in construction expenditures. SPTD is, however, aware of these trends and plans to improve highway investment planning and prioritization. Also, it is considering ways of allocating a greater share of financial resources to maintenance. The institutional strengthening/ training contained in the proposed project (paras. 3.32-3.33), the provision of maintenance equipment (para. 3.24) as well as the study of highway maintenance should help improve investment planning and highway maintenance and increase SPTD's institutional capacity to implement its future development and maintenance programs. - 16 -
3. THE PROJECT
A. PROJECT FORMULATIONAND PREPARATION
3.1 The support of highway development in Shaanxi is particularly important in light of the province's national strategic transport location, in addition to its own infrastructure development requirements. One of its key transport corridors is the east-west Tongguan (Henan Border)-Xian-Baoji (Gansu Border) route. This route is a part of one of the two east-west high-priority corridors in the National Trunk Highway System (NTHS). The Bank's strategy for highway lending has supported the development of this NTHS. The Weinan-Tongguan Expressway (WTE), which is one component of the proposed Second Shaanxi Provincial Highway Project constitutes an important link of the above-mentioned east-west corridor of the NTHS. Under the proposed Second Henan Highway Project, which was appraised in November 1995, the 136 km section between Luoyang and Sanmenxia would be undertaken. Under the proposed Second Xinjiang Highway Project, which is now being prepared, the 262 km section between Urumqi and Kuitun would be constructed.
3.2 The proposed project was prepared under the directives of the Shaanxi Provincial Transport Department (SPTD), with the guidance of SPC, MOF, MOC and the People's Bank of China. The feasibility studies for the major highways contained in the project were prepared by SPHSDI. Following the identification mission in October 1994 and the preparation mission in April 1995, the project was appraised in July 1995.
B. PROJECT OBJECTIVES AND RATIONALE FOR BANK INVOLVEMENT
3.3 The proposed project has the following objectives:
(a) support continuing development of road infrastructure to relieve congestion, improve access to important archeological and tourist sites, facilitate mobility and increase the efficiency of road transport in the interest of stimulating economic activity by supporting a slice of the Shaanxi highway investment program (including national, provincial, county, and village roads) during the 9FYP;
(b) assist in the implementation of policies to alleviate poverty in the poor areas of the province;
(c) promote development of institutional capabilities of SPTD, through training and other means, in planning, design, operations and maintenance of Shaanxi's highway network; and - 17 -
(d) increase the safety of road transport.
3.4 Rationale for Bank Involvement. The Bank's Country Assistance Strategy (CAS) for China, presented to the Board in June 1995, supports China's strategy to reduce poverty and to relieve infrastructure bottlenecks by, inter alia, rapidly modernizing and expanding its highway system. The proposed project furthers both of these goals by reducing poverty in Shaanxi through a program of rural highway improvements targeted at the poor counties and implementing the Weinan-Tongguan Expressway segment of the NTHS. Furthermore, Bank assistance to NTHS construction should facilitate interprovincial trade and promote long-distance and transit road traffic, which in turn would help arrest a growing regionalism while furthering the liberalization, facilitation and cost reduction of transport, key requirements for market-oriented reforms to succeed. Bank support is also justified by project assistance to institutional development, which among other things would include a study of the various options to provide an east-west bypass around Xian (which is a part of the east-west corridor of the NTHS) and a highway maintenance study to improve the allocation of highway maintenance funds among various maintenance activities, introduce the market mechanism in highway maintenance, and improve methods of highway maintenance through introduction of a higher degree of mechanization. Bank involvement is also expected to benefit the design and the quality of construction of works to be constructed (this has been problematic in some other projects) as well as the traffic safety on roads. The project would also foster improved practices in the areas of environment and land acquisition and resettlement of affected people.
C. PROJECT SCOPE
3.5 The scope of the project includes:
(a) Construction of five high-grade highways (Map IBRD 27048) comprising:
(i) a 78.1 km four-lane expressway between Weinan and Tongguan (Henan Border);
(ii) a 73.6 km four-lane Class I highway between Tongchuan and Huangling and doubling of the existing two-lane Class I highway between Yaoxian and Tongchuan (18.4 km);
(iii) a 48.3 km two-lane Class II auto-only highway between Lantian and Xiaoshangyuan;
(iv) a 5.9 km two-lane Class II auto-only highway connecting Lintong and the Terra Cotta Warriors Museum;
(v) an 34.8 km two-lane Class II auto-only highway between Famen Buddhist Temple and Jiangzhuang; and between Jiangzhuang and Tangyu. - 18-
(b) upgrading of the 32 km Xian-Sanyuan Class I highway by providing full control of access, traffic safety devices, and installation of a telecommunication system;
(c) construction, rehabilitation and upgrading of three linking roads with a total length of about 8.2 km that would interconnect and feed traffic to the proposed high-grade highways at interchanges;
(d) improvement and new construction of about 4,100 km of rural roads in a program to help alleviate poverty (RIPA) in poor counties in Shaanxi;
(e) provision of equipment for:
(i) control of construction quality and for monitoring of the environment during the construction of the high-grade highways and their linking roads;
(ii) operation and maintenance of the high-grade highways;
(iii) maintenance of the Shaanxi provincial highway network (other than the high-grade highways); and
(iv) institutional strengthening of the SPTD and related institutions and the traffic police;
(f) a road safety component to help reduce accidents on Shaanxi's highways; and
(g) institutional strengthening and training (IST) of the staff of SPTD and its related agencies and institutes by enhancing capabilities in high-grade highway construction supervision and operations; highway investment planning, including the carrying out of the study of alternative locations of the Xian east-west bypass; maintenance of high-grade highways and other roads, including a study of highway maintenance; and implementation of RIPA and highway traffic safety components of the project.
(a) Construction of High-Grade Highways
3.6 The basic design characteristics of the five proposed high-grade highways, as well as the status of the design and bid documents for these highways, are shown in Table 3.1. These high-grade highways would be operated as toll highways. This would entail: (a) supply and installation of electrical, electronic and mechanical equipment for toll collection, telecommunications and lighting facilities. However, the equipment to be provided to each highway would vary depending on the class of highway and the projected traffic volume, and; (b) construction of management and maintenance buildings, parking areas and service areas; - 19-
3.7 Weinan-Tongguan Expressway (WTE). The proposed WTE would serve one of the most heavily developed corridors in Shaanxi Province and form part of one of the 12 NTHS corridors in China selected by MOC for expressway development and as the eastem gateway to Xian and would parallel National Highway No. 312.
3.8 The existing road between Weinan and Tongguan (National Highway 312) is a Class III road, with no separation of motorized and slow-moving traffic and presently carries about 5,000 mte per day and cannot accommodate projected traffic beyond 2000. Widening of the existing road would not be feasible because of extensive side development in several townships and the poor construction of the existing pavement and drainage structures.
3.9 The eastemmost 20 km would not achieve their full economic benefits unless the WTE were to be connected to the existing National Highway 310. This would be accomplished through construction of a 6.1 km Connecting Road between Yangjia and Baijiazhai, completely in Henan Province. Shaanxi and Henan Provinces have agreed that construction of this connection would be completed at about the same time as the WTE. This Connection has been included in the proposed Second Henan Highway Project (to be financed by the Bank) and to be presented to the Board in June 1996. Assurances were obtained from MOF at negotiations that the Connecting Road will be open by December 31, 1999, the time that construction of the Weinan-Tongguan Expressway is expected to be completed
3.10 Tongchuan-Huangling Highway (THH). In addition to a four-lane Class I highway between Tongchuan and Huangling, the proposed THH would include doubling of the existing half Class I highway between Yaoxian and Tongchuan, completed under the Bank-financed Shaanxi Provincial Highway Project (Loan 2952-CHA). Also, since the existing road from Xian to Sanyuan (also completed under the Bank-financed Shaanxi Provincial Highway Project) is a Class I highway without access control, SPTD agreed to upgrade this highway to a four-lane highway with full control of access by the year 1997, to be compatible with the THH. This upgrading is included as a component of the proposed project.
3.11 The THH would serve as the northern gateway to Xian and provide access to the coal mining base of Tongchuan, and the energy resource base of Huangling county. Also, it would serve the important touristic attraction of the Yellow Emperor in Huangling. Construction of the THH would constitute a main step in Shaanxi's effort to better serve the northern part of the province a region that contains many of the poor in Shaanxi.
3.12 Lantian-Xiaoshangyuan Highway (LXH). The proposed LXH two-lane Class II auto-only highway would provide service to the poor Shangluo prefecture and improve the access from the south to Xian.. - 20 -
3.13 Lintong-Terra Cotta Warriors Museum Highway (LTWMH). The proposed two-lane Class II auto-only highway would form a branch from the Xian-Lintong Expressway to serve the Terra Cotta Warriors Museum.
3.14 Famen Buddhist Temple-Jiangzhuang-Tangyu Highway (FJTH). This highway would provide access to both the Buddhist temple at Farnensi, the National Taibaishan Forest Park and the Tangyu Hot Springs.
(b) Upgrading Xian-Sanyuan Class I Highway.
3.15 Initially, this highway was constructed without access control and many accidents are taking place. It carries a high traffic volume (about 10,000 mte per day). With the construction of the THH, the Xian-Sanyuan Highway would be the only section between Xian and Huangling without access control, although it carries the highest traffic volume. The proposed works consist of: (a) construction of about 42.9 km of service roads; (b) construction of 13 overpasses for tractors and bicycles, 5 overpasses for pedestrians, 2 underpasses for vehicles, 4 overpasses for vehicles and 3 interchanges; (c) provision of safety facilities comprising 122 traffic signs, 55.6 km of fence, 43.6 km of guard rail, 5.4 km of concrete guard rails, and about 25,700 m2 of pavement markings; (d) planting of grass and shrubs; and (e) installation of 86.2 km of communication cables and 174 emergency telephones. Because of the urgency of these improvements, work on them is expected to start in May 1996 and be completed by June 1997.
(e) Linking Roads.
3.16 The opening of the high-grade highways would bring a significant increase in traffic to the roads connecting them to the cities along the existing roads and to other transversal provincial roads. Without the proper linking to the cities and towns from interchanges, these high-grade highways would not be effectively used. Based on a comprehensive review of these linking roads, SPTD selected three roads with a total length of 8.2 km for new construction and improvement (Table 3.2). Due to the short length of these roads, they are included within the designs of the related sections of the high-grade highways. In addition, four other roads with a total length of 21 km would be constructed or improved by 1999. But, these will be implemented by SPTD in cooperation with the local towns/counties using their own funds. SPTD assured the Bank that these improvements will be implemented and completed on time. Moreover, 1 km on both sides of the linking roads at each interchange would be improved under the high- grade highway component, if the existing road condition cannot meet the required standards.
Supervision of Construction of the High-Grade Highways and Linking Roads
3.17 Based on the experience gained from completed and ongoing Bank-financed highway projects in Shaanxi and other provinces, a combined team of local engineers, technicians and other personnel and foreign consultants would be set up to supervise the construction of the high-grade highways and linking roads. The organizational - 21 - arrangements and terms of reference for the construction supervision of these highways have been drawn up by SPTD and were found to be adequate (Chart 5). The team would consist of about 314 local staff and 8 international experts. The total input by the international staff is estimated at about 196 person-months including 4 person-months to train 311 local supervision staff for one month in China, as well as 30 local staff for one month (30 person-months) abroad. The international supervising engineers would be integrated into the organization with operational responsibilities. Furthermore, the international consultants would help establish procedures at all levels of the supervisory work, including on-site inspections and laboratory testing, and train local staff both through formal training sessions and on-the-job. The international experts would be retained until completion of the construction of the major highways.
(d) Improvement and new road construction for Poverty Alleviation (RIPA)
3.18 Poverty in Shaanxi Province. Shaanxi Province has a population of 34.4 million, with 10 prefectures and 107 counties. Fifty of these counties, with a combined population of 5.0 million (6.3 percent of China's total poor population), have an annual per capita income of less than Y 500 and are classified as poor counties. Shaanxi has the second largest number of poor counties in China and is the Province with the fifth largest poor population. The Province's Master Plan for Poverty Alleviation (1994-2000) has set its goal for every poor county township and 80 percent of the villages in Shaanxi to have all-weather access to a main provincial road axis.
3.19 Road Transport in Poverty Areas. Currently, six of the Province's townships and some 11,000 administrative villages do not have all-weather access to highways. Due to financial shortfalls, there is also a shortage of needed bridges and culverts and this contributes to a further deterioration in the existing road network from poor drainage and water erosion. Additionally, 191 roads have serious traffic congestion and 46 roads (a total of 738 km) are not linked to the rest of the Province's rural road network. SPTD, in cooperation with the Shaanxi Provincial Planning Committee (SPPC), Shaanxi Poverty Alleviation Office (SPAO) and the Leading Group for Transportation for Poverty Alleviation (LGTPA), has developed a program of Roads Improvement for Poverty Alleviation (RIPA) to rehabilitate, upgrade and construct road systems in the province's 50 poor counties in order to provide the rural poor better access to the main provincial highways.
3.20 RIPA Component. The component will finance some of the road improvement projects that meet agreed economic and social criteria, under procedures similar to the Roads Improvement Program (RIP) components in other provincial projects in China (Zhejiang, Henan, and Guangdong). Priority will be given to rural road segments that, through related road systems, are clearly linked to: (a) current (or planned) productive and economically viable development projects; and (b) investments enabling productive, though landlocked, populations to have easier access to education, health and other social services. - 22 -
3.21 Selection of RIPA Packages. The criteria, screening and selection process to be used were agreed with SPTD, and are detailed in Annex 1. As a result, a RIPA program consisting of 31 highway systems in 25 poor counties and with a total length of about 4,068 km was agreed with SPTD. On the basis of initial analysis of aggregate data for poor counties and road systems, and of the cost effectiveness of road systems under the RIPA program, SPTD selected a first batch of RIPA systems for further technical, economic and social feasibility analyses. The first batch covers five systems with a total length of about 320 km in three prefectures (Yulin, Shangluo and Ankang).
3.22 Processing of RIPA Packages. The road systems to be financed under this component will be drawn from the pool of RIPA systems mentioned above (para. 3.21) and their submission for approval to the Bank will be effected in manageable batches of projects. The documentation developed as part of the Bank approval process will constitute a Project File including: (a) an Economic and Social Benefit Analysis (as detailed in Annex 1) including evidence that each of the proposed systems meets the agreed EIRR criteria; (b) a Technical Analysis, including proposed works, alternative engineering designs and estimated costs; (c) an Environmental Action Plan for each system, and an Environmental Impact Assessment for subprojects that involve new road construction or substantial widening/land acquisition (para. 3.35); and (d) a Resettlement Action Plan for each system (where at least 200 people are affected by land acquisition and/or resettlement). For systems affecting less than 200 persons, specific information related to impacts, cost estimates and the implementation schedule should be provided (para. 3.44).
3.23 Supervision and Maintenance of RIPA. Each batch submitted for approval will also include an Implementation and Supervision Plan, covering the implementation process,4 supervision5 and monitoring of works, both for each system as well as for the prefecture and county agency responsible for each system. SPTD will also submit a Maintenance Plan describing who (township, county or prefecture) will maintain the system after completion, the organizational structure for maintenance of the RIPA system, the equipment and personnel needed to implement each maintenance plan and the training needs anticipated under this plan over the implementation period.
4 The process involvesthe preparationof design and bid documents,invitation of bids, bid evaluation, selection of the contractors,signing of contracts, mobilizationby contractors and time to physically implementthe works. 5 A RIPAsupervision plan will show the constructionsupervision tasks to be undertaken,organizational structure for construction supervision, staffing requirements,training of the supervision staff if necessary, office space, transport and communicationrequirements, laboratory requirements, and surveyingequipment as well as the estimatedcost of supervision. - 23 -
(e) Equipment
3.24 The equipment to be provided under the project has been identified by SPTD and reviewed by the Bank. The agreed lists of equipment, together with their estimated costs, are available in the project files. These lists include equipment required for operation and maintenance of the high-grade highways, construction quality control and highway research, environmental monitoring, maintenance of the existing highway network including RIPA roads, institutional strengthening of selected institutions, and equipment for highway safety. The preliminary total equipment cost is estimated at about Y 132 million ($16.0 million), of which $8.3 million would be in foreign currencies. The Bank and SPTD agreed that the equipment lists should be looked at as subject to reasonable change with regard to type and number, and consequently, some flexibility should be exercised during project implementation to properly allow for changing circumstances and needs.
3.25 Equipment for High-Grade Highways. To set up and efficiently operate the central laboratory in Xian and the regional laboratories in Huaxian, Jinsuoguan, Jiangzhuang and Lantian in support of the construction supervision activities, there is a need for equipment and instruments, particularly for soils and asphalt concrete testing. In the course of drawing up the Environmental Action Plans (EAPs), the equipment and instruments required to implement the environmental protection measures have been identified. For the operation and maintenance of the high-grade highways, equipment requirements have also been identified.
3.26 Equipment for Maintenance of Roads. This equipment consists of urgently required equipment for routine, periodic maintenance and heavy repair of roads to replenish the equipment fleet of the provincial and county maintenance units. This equipment would be used for maintenance of the existing highway network including RIPA roads.
3.27 Equipment for Institutional Strengthening. These consist of specialized equipment for support of the institutions and training schools affiliated with SPTD that would be strengthened under the proposed project (para. 3.33), as well as equipment for traffic safety. The latter consist of equipment required for enforcement of speed regulations, as well as a computer and related software for treatment of accident data.
Highway Maintenance
3.28 Highways in Shaanxi are generally well maintained. In 1995, only 30 km (0.3 percent) of the 8,942 km of trunk highways (national and provincial) were in poor condition, 30.5 percent in excellent condition, 58.0 percent in good condition and 11.2 percent in average condition. The corresponding conditions for the prefectural roads (12,445 km) in 1994 were as follows: 3.6 percent excellent, 68.2 percent good, 26.7 percent acceptable and 1.5 percent bad. The conditions for the remaining roads (about 17,600 km) are not known at this time, but it is generally believed that they are in worse condition than the other roads. SPTD intends to reduce the percentage of roads in - 24 - acceptable and bad conditions. To this effect, assurances were obtained at negotiations from SPTD that it would, by April 30 of each year commencing in 1997 and ending in 2003, furnish an annual highway maintenance report for the Bank's review and comments, which would: (a) show the length of each class of road by condition (excellent, good, fair and bad), (b) establish targets for the following year, including an estimate of the required physical works (routine maintenance, periodic maintenance, rehabilitation and upgrading) and the cost thereof, and; (c) measure the results and the actual expenditures against the targets and the budgetedfunds thereof
3.29 SPTD would carry out a highway maintenance study consisting of four parts: the first focused on organizational structure and the introduction of market mechanisms in highway maintenance; the second on improving maintenance methods and techniques, with emphasis on more mechanization; the third on improved methods of collecting and analyzing traffic volume data, and; the fourth on the development of a provincial Road Data Bank system. Annex 3 summarizes the TOR for the proposed study, which will be undertaken by a team of local specialists assisted by international experts. The results of the study would benefit MOC and all provincial Communication/Transport Departments in China. Assurances were obtained at negotiations that SPTD shall. (a) by June 30, 1996, establish a Leading Group to guide the highway maintenance study and to provide comments on the results and recommendations thereof; (b) undertake and, by September 30, 1998, complete the said study in accordance with terms of reference satisfactory to the Bank; (c) by December 31, 1998, furnish the said study, together with the comments of the said Leading Group, to the Bank for review; and (d) take appropriate steps to implement the said study's recommendations, taking into consideration the comments thereon of the Bank and the said Leading Group.
(f) Road Safety Program
3.30 During 1990-94, an average of 8,000 traffic accidents per year occurred on Shaanxi's highways, resulting in 1,530 fatalities and 4,500 injuries. Annex 4 summarizes the existing road safety situation in Shaanxi and related problems and presents an implementable road safety program, which was confirmed with SPTD and the Traffic Police for inclusion it in the proposed project.
3.31 The design of the high-grade highways included in the project as well as their linking roads was reviewed from a safety point of view by the Italian design review consultants and Danish and Norwegian safety experts. Consequently, those designs have been prepared to a high standard and reflect safety considerations adequately. The road safety program included under the project comprises: (a) establishing a Leading Group for Traffic Safety Coordination to coordinate between SPTD and the Traffic Police (the main agencies involved in highway safety). It is expected that the Leading Group for Road Safety Coordination would be established by the end of February 1996. Its establishment would be a condition of project presentation to the Board and its continued operation would be confirmed in the annual Project Monitoring Reports; (b) improving traffic accident reporting forms, reviewing the geographic location (of accidents) coding - 25 - system, installing a Microcomputer Accident Analysis Package (MAAP); (c) establishing a Traffic Safety Unit in SPTD and training its staff to undertake accident black spot identification and design and carry out a pilot program of black spot improvements and establish safety and audit procedures and checks; (d) undertaking a study to evaluate the driver training system, including one month of support by an international expert (see Appendix 1 of Annex 4 for terms of reference); (e) provision of equipment to support the above-mentioned activities, and; (f) evaluation of the implementation of the Shaanxi Road Safety Program by an independent local expert (I person-month). SPTD agreed to provide a special budget of Y 10 million ($1.20 million) over four years to cover the cost of the accident black spot pilot program and traffic safety studies under (d) and (f) above. Assurances were obtained at negotiations that Shaanxi would maintain: (a) a Leading Group with representatives from SPTD and the Traffic police, for traffic safety coordination, policy-making and planning, with functions and responsibilities acceptable to the Bank, and (b) a Traffic Safety Unit within SPTD, with functions and responsibilities acceptable to the Bank, to serve as the Secretariat for the said Leading Group and to carry out a pilot black spot improvement program under terms of reference acceptable to the Bank Also, agreement was reached during negotiations that SPTD would, pursuant to terms of reference acceptable to the Bank: (a) by December 31, 2000, complete a black spot identification and improvement program; (b) by December 31, 2001, have an expert acceptable to the Bank prepare an evaluatio of its Road Safety Program according to indicators acceptable to the Bank
(g) Institutional Strengthening and Training
3.32 The purpose of the Institutional Strengthening and Training (IST) component is to strengthen the SPTD capabilities in the following priority areas: (a) High-Grade Highway construction supervision and operations; (b) Project Implementation Management; (c) Highway Planning; and (d) maintenance of High-Grade Highways and Other Roads. It will also strengthen SPTD's capabilities in new areas of investment, specifically in: (e) studying the feasibility and preferred location of the Xian east-west bypass; (f) Roads Improvement for Poverty Alleviation and (g) Road Safety. The total cost of the Institutional Strengthening and Training component is estimated at Y 45.10 million, of which $3.10 million are in foreign currencies (Table 3.3).
3.33 The IST Component will consist of three elements:
(a) Intensive Strengthening (IS) of research and training organizations through the development of staff capabilities to deliver training in new areas and in bolstering their hardware and equipment for new functional capacity. This element would include activities in the following institutes and centers
(i) the Provincial Traffic School (PTS) (Chart 7) and the Provincial Traffic Technical School (PTTS) (Chart 8), which are both under the supervision of SPTD's Education Division, strengthening of - 26 -
staff capabilities and program offerings in traffic engineering and in high-grade highway maintenance programs;
(ii) the in-service Vocational School (VS) (Chart 8) and the SPTD's short-term management in-service Staff Training Center (STC );
(iii) the Highway Research Institute (HRI) (Chart 9) and at the Shaanxi Provincial Highway Survey and Design Institute.(SPHSDI);
(iv) other institutions of SPTD such as the Provincial Information Center.
(b) Training for SPTD and project personnel within Shaanxi (2,975 trainees for 2,490 person-months of training), in other Chinese provincial training institutes and schools (80 person-months) and abroad (63 person-months). The total level of training under the project involves 3,278 persons for a total of 2,898.6 person-months at an estimated cost of Y 10.13 million ($1.22 million), of which $0.91 million in foreign currencies. This estimate includes projected training in the areas of environmental monitoring and supervision (Annex 5), and construction supervision (see para 3.17). Table 3.4 presents a short description of each training activity, both in China and abroad, number of trainees and the total person-months.
(c) Strengthening New Functional areas. This element would consist of:
(i) Study of Xian Bypass. The Xian Bypass constitutes a part of the east-west NTHS corridor passing through Xian. The study would investigate the various reasonable alternative locations, compare them from traffic service, economic and financial, environmental, archeological and resettlement aspects; select the best alternative and determine its economic and financial viability as well as the interim improvements until the bypass is implemented. Annex 2 includes the terms of reference (TOR) for the proposed study. The study will be conducted by a team of local experts supported by nationally renowned traffic, city planning, economic, environmental and archeological experts, as well as three international experts in the areas of urban planning and transport development, traffic engineering and highway design, and archeology, resettlement and environment. Assurances were obtained at negotiations that SPTD shall (1) maintain a review panel comprising representatives of the concerned provincial agencies and the central government to guide the study of the Xian east-west bypass and provide comments on the results and recommendations thereof; (2) undertake and, by June 30, 1997, complete tne said study in accordance with terms of reference satisfactory to the Bank; (3) by August 31, 1997, furnish the study - 27 -
to the panel and the Bank for review; and (4) take appropriate steps to implement the recommendations of the said study, taking into account the comments thereon of the said review panel and the Bank
(ii) Road Maintenance Studies will be carried out as part of the IS component. The various parts will focus on improving the organization of highway maintenance, the allocation of funds among different maintenance activities, methods of maintenance, the monitoring of maintenance and the use of an RDB/PMS system to make these more useful as tools of highway investment planning (para. 3.28);
(iii) Support of the Roads Improvement for Poverty Alleviation (RIPA) component through two main avenues: (1) strengthening of the capacity of the Unit in SPTD's Highway Administration Bureau dealing with Poverty Alleviation; and (2) provision of training, particularly in Road Maintenance (both management and technical aspects) to county- and township-level personnel.
(iv) Support to the Road Safety component through provision of training and hardware for staff in the SPTD's Traffic Safety Unit.
D. ENVIRONMENTALASSESSMENT
3.34 Environmental impact assessments (EIAs) have been carried out for all the major highways and link roads included in the proposed project. Environmental Action Plans (EAPs) have been prepared, incorporating Bank comments on earlier drafts, and found satisfactory to the Bank, as were the EIAs. However, as the documents for the Xian- Sanyuan Highway have only recently been received and are currently being reviewed, the submittal of an acceptable environmental assessment and action plan for this highway wouildbe a condition of negotiation.
3.35 For the RIPA component of the proposed project, it was agreed that a Sectoral Environmental Assessment approach would be applied. All RIPA subprojects will be classified into two categories. Category I subprojects are those with no new road construction nor substantial widening/land acquisition, etc. Since no major adverse impacts are anticipated, only EAPs will be prepared for this category of subprojects. Category II subprojects are those with new road construction or substantial widening/land acquisition, etc. For these, both EIAs and EAPs will be prepared. EIA reports and EAPs for the first-year package of subprojects were prepared and submitted to the Bank in May 1995. Only one of these systems was classified as Category II subproject. All project EIPs and EIAs are satisfactory to the Bank.
3.36 Major enviromnental impacts include noise and air pollution during the construction and operation phases (particularly Weinan-Tongguan Expressway, - 28 -
Tongchuan-Huangling Class I Highway and Xian-Sanyuan Class I Highway), alteration of hydrological regimes, soil erosion and impacts on local ecology during the construction (all projects but particularly Tongchuan-Huangling Highway and Lantian- Xiaoshangyuan Highway), impacts on cultural relics (particularly Tongchuan-Huangling Highway and Weinan-Tongguan Expressway), and transportation of construction materials (all projects).
3.37 The EAPs specified the appropriate mitigation measures, enviromnental monitoring plans, institutional arrangements to implement the EAPs, training and equipment requirements, and the budget needed for environmental protection. Major mitigation measures include adequate selection of alignment, appropriate design of culverts and overpasses/underpasses to minimize social disruption, reconstruction of irrigation channels where appropriate, water sprinkling to prevent dust during the construction, construction of noise barriers and forest belts, installation of double-glass windows, etc., to minimize noise and air pollution during the operation phase. The engineering design and technical specifications for the highways will incorporate appropriate measures required to be taken for environmental protection. It was ascertained that the proposed highways would not affect ecologically sensitive areas and that their construction and operation should have no adverse impact on the environment through the implementation of EAPs. The summary of the EIAs and EAPs are presented in Annex 5 and copies of the EIAs and EAPs are available in the Project File and the Public Information Center. Assurance were obtained at negotiations from SPTD that: (a) the environmental protection measures stipulated in the EAPs and preparation of EAPs for RIPA systems for subsequent years would be carried out in a manner satisfactory to the Bank; and (b) SPTD would furnish to the Bank an annual environmental monitoring report for the high-grade highways during the construction phase andfor each of the first three years following completion of construction..
E. LAND ACQUISITION AND RESETTLEMENT
3.38 In compliance with Chinese laws and regulations, which generally conform to the Bank's policies on involuntary resettlement, SPTD prepared the resettlement action plans (RAPs) for all project high-grade highways (including the respective linking roads), and the first year package of the RIPA component. As the RAP for the Xian-Sanyuan Highway has only recently been received in the Bank and is still being reviewed, the submittal of a RAP acceptable to the Bank for this highway would be a condition of negotiations. These RAPs form the basis for implementation of resettlement and land acquisition in the proposed project. The main objective of the resettlement program is to ensure that all categories of affected persons are able to at least restore, if not improve, their standard of living after resettlement. Also, every effort is exerted to minimize acquisition of productive farmland and residential areas and enterprises in order to reduce adverse project impacts. - 29 -
High-Grade Highways
3.39 Approximately 14,213 mu of land (948 ha) affecting 13,097 persons will need to be acquired and 548 houses (2,477 persons) and 34 enterprises (employing 2,156 workers) will be affected by the high-grade highways. About 3,734 mu (249 ha) will also need to be leased temporarily during construction. The total number of persons affected is 17,730. Most of those affected by the loss of land will be rehabilitated through redistribution of land in their existing villages. However, 1,042 affected people will be provided with nonagriculture-based resettlement and their residence registration will be changed from "rural" to "urban." As for affected enterprises, 23 (employing 1,736 people) will need to be relocated. The total number of people relocated will be 2,154 (467 households). A detailed socioeconomic survey of the affected persons will be carried out by the Shaanxi Academy of Social Sciences (SASS) before the RAPs are implemented. The total cost of land acquisition and resettlement for the entire project is about $45 million.
3.40 Information Dissemination, Participation and Consultations. The affected people will be informed through newspaper, radio, television, etc. about the project and the proposed land acquisition and resettlement program. The Land Acquisition and Resettlement (LA&R) institutions will also disseminate information through meetings, documents and notices. The affected persons will be informed about the compensation standards, the LA&R institutions at the various levels, the arrangements for provision of nonagricultural jobs, the provisions for redressal of grievances and the proposed arrangements for internal and external monitoring of the LA&R program. This will be done by distributing a Resettlement Information Booklet (RIB) to each affected household. The RIB will be distributed to the affected households two months after completion of project negotiations.
3.41 Implementation. Implementation of the RAPs (except for Tongchuan-Huangling Highway) was initiated in October 1995 and will be completed by the end of September 1996, i.e., at least one month before the proposed start of construction. The implementation of the Tongchuan-Huangling RAP will start in August 1996 and will be completed in May 1997. The resettlement process will be administered by the respective local governments at city/county, township and village levels in accordance with the terms of agreement between SPTD and the local governments involved, which will be based on the provisions of the RAPs. A leading group will be set up for each high-grade highway for coordination with local governments in accordance with the provisions of the RAPs. A summary of the RAPs for the high-grade highways and linking roads is presented in Annex 6. A copy of the RAPs will be deposited in the Public Information Center. Assurances were obtained at negotiations from SPG that all LA&R activities with respect to the high-grade highways and linking roads as well as the RIPA subprojects would be completed according to the RAPs in a manner satisfactory to the Bank - 30 -
3.42 Grievance Redressal and Appeals Process. If any affected person is dissatisfied with any aspect of LA&R, they can lodge a complaint wit the respective county-level LA&R office or directly to the LA&R monitoring office under the LARLG. If the issue is not resolved within three weeks, a written grievance can be submitted to the LARLG. The LARLG should resolve the issue within four weeks. If the affected person is not satisfied by the decision of the LARLG, he/she can lodge a written appeal to the county- level people's court. In case the decision of the county-level court fails to satisfy the affected person, a second appeal can be lodged in the court of the city/prefecture. The decision of this court will be final and binding. These arrangements are considered satisfactory.
3.43 Monitoring and Evaluation. Implementation of the RAPs would be internally and externally monitored for physical progress, disbursements and audits and socioeconomic impacts.
(a) Internal Monitoring. The internal monitoring, to be carried out by the provincial government, will monitor the implementation of the RAPs. A summary of internal monitoring will be submitted every six months to the Bank. The first internal monitoring report will be submitted by September 30, 1996.
(b) External Monitoring. The task of external monitoring of RAPs' implementation by an independent agency has been entrusted by SPTD to SASS. Apart from physical monitoring of the LA&R program, which will also be carried out by the internal monitoring agencies, SASS will concentrate on evaluation of the implementation of the RAPs. External monitoring will start along with the initiation of LA&R activities and will continue one year beyond project completion (until 2001). Monitoring reports will be prepared every six months and submitted to the project head office and to the Bank. The first external monitoring report will be submitted to the Bank by December 31, 1996. A final monitoring and evaluation report will also be prepared after project completion (based on "follow-up" socioeconomic survey of the affected persons) and submitted to the Bank by December 31, 2001.
Assurances were obtained at negotiations that the monitoring of the socioeconomic impact of the resettlement process for the high-grade highways and linking roads as well as for the Xian-Sanyuan Highway and the RIPA roads would be carried out against the RAPs in a manner satisfactory to the Bank. Implementation of the RAPs would also be monitored through the routine project supervision and project quarterly progress reports (paras. 3.74-3.76).
RIPA
3.44 The RAPs for the first year's package of the RIPA component have been prepared by SPTD and found to be satisfactory by the Bank. Separate RAPs will be prepared for - 31 - each system under the RIPA component where 200 or more persons are affected by land acquisition and/or resettlement. For systems affecting less than 200 persons, specific information related to project impacts, cost estimates and the implementation schedule will be prepared. Approval of the RAPs for the RIPA component will be a condition of disbursement for these systems. About 1,248 mu (83.2 ha) of land will be acquired for the roads under the RIPA component, constituting the first year's package. About 1,291 persons will be affected by land acquisition and 355 persons will need to be relocated. The compensation and resettlement policies and the implementation framework for land acquisition and resettlement under the RIPA component are the same as those for the high-grade highways and the linking roads. The external monitoring and evaluation of resettlement implementation under the RIPA component will be carried out by SASS on the same lines as described for the high-grade highways.
F. COST ESTIMATES
3.45 The total project is estimated to cost about Y 4.62 billion or about $557 million equivalent, including land acquisition and physical and price contingencies, as summarized in the table on the following page and as detailed in the Project Cost Summary (Table 3.5). The foreign exchange cost is estimated at about $213 million, or about 38 percent of the total. Base costs are estimated in December 1995 prices. Physical contingencies are calculated at 10 percent of the base cost of works and construction supervision of the high-grade highways, linking roads and RIPA component. Price contingencies have been calculated for foreign costs, using international annual escalation factors of 3.3 percent in 1996, 2.3 percent in 1997, and 2.5 percent in each of 1998, 1999 and 2000. Price contingencies for local costs are based on local annual escalation factors of 10.5 percent in 1996, 8.5 percent in 1997, 7.0 percent in 1998, 6.5 percent in 1999, and 6.2 percent in 2000.
3.46 The costs of civil works are based on work quantities calculated from preliminary or final engineering designs. The costs were computed on the basis of MOC's standard manuals for labor and equipment productivity, the related annually updated costs and the current market costs of materials. The unit rates were checked against the unit prices provided in recent bids for similar highway works executed under Bank financing.
3.47 The estimated cost of equipment is based on prevailing prices and those quoted by manufacturers and suppliers and includes the cost of equipment delivered in Xian, taxes, spare parts, and related training if needed to operate and maintain the equipment. The estimated cost of consulting services are based on recent contracts for similar services under ongoing highway projects. - 32 -
PROJECTCOST SUMMARY (December 1995 prices: $1.00 = Y 8.3)
Y million | $ million Foreigncost Local Foreign Total Local Foreign Total of total (%)
High-gradehighways and linking roadsLa 1,296.9 1,226.8 2,523.7 156.2 147.8 304.0 49 Xian-SanyuanClassIhighway2 56.9 56.9 113.8 6.8 6.9 13.7 50 RIPA 405.0 135.0 540.0 48.8 16.3 65.1 25 Highways safety (black spot) 8.6 2.2 10.8 1.0 0.3 1.3 20
Subtotal 1,767.4 1,420.9 3,188.3 212.8 171.3 384.1 46
Supervisionof construction 54.2 31.2 85.4 6.6 3.7 10.3 37 EquipmentL 63.6 68.8 132.4 7.5 8.3 15.8 52 Training 2.6 7.5 10.1 0.3 0.9 1.2 74 Studies 5.1 4.7 9.8 0.6 0.6 1.2 48
Total BaseCost 1,892.9 1,533.1 3,426.0 227.9 184.7 412.6 45
Physical contingency 182.2 145.2 327.4 21.9 17.5 39.4 46 Price contingency 339.3 84.7 424.0 40.9 10.2 51.1 20
BaseCost with Contingencies 2,414.4 1,763.0 4,177.4 290.6 212.5 503.1 42
Land acquisition and resettlement 443.0 0.0 443.0 53.4 0.0 53.4 0
Total Project Cost 2,857.4 1,763.0 4,620.4 344.0 212.5 556.5 38
/a Includes taxesof Y 77 million ($9.2 million) but excudescommitment fees and intereston Bank loan during construction. /b Includes taxesof Y 0.9 million (S0.1million) /c Includes taxesand duties of Y23 million ($2.8 million) /d Ten percent of the cost of high-grade highways and linking roads, Xian-SanyuanHighway, highway safety, RIPA and supervisionof construction.
G. FINANCING
3.48 The Bank loan of $210 million would finance about 38 percent of the total project cost or 100 percent of the foreign exchange cost. The Central Government (MOC) would provide the equivalent of about $144.6 million, while Shaanxi Province would provide the equivalent of about $201.9 million to meet the remaining costs of the project, including contingencies. MOC's funding would be restricted to the construction of the high-grade highways and RIPA. The Bank loan of $210 million would be at the standard interest rate for LIBOR-based US dollar single-currency loans. It would be lent to the Ministry of Finance for a maturity of 20 years, including 5 years of grace. The proceeds of the Bank loan would be onlent to Shaanxi Province at the same rate payable to the Bank by the Borrower with 0.75 percent per annum commitment fee on the outstanding balance, beginning 60 days after loan signing, less any waiver. Agreement was reached - 33 - with the Borrower at negotiations that it would onlend the proceeds of the loan to the SPG on these terms. SPG would bear the foreign exchange risks. The Government of China and Shaanxi Province have selected LIBOR-based US dollar single-currency loan terms for the project in order to facilitate management of the foreign exchange risk of their borrowings by more closely matching the currency of their liabilities with that of their net trade flows, about 75 percent of which are US dollar denominated. They selected the LIBOR-based product in order to preserve the full maturity of the loan, compared to the fixed-rate option that would have resulted in a 15-year loan. The Borrower judges that it can manage any interest rate risk. China is eligible for single- currency loans under the expanded program. This loan represents 8.5 percent of the fiscal year 1996 IBRD lending program to China, well within the 50 percent volume guideline approved by the Bank The details of project financing are shown in the following table.
FINANCING PLAN ($ million)
Shaanxi Central Bank Total
High-grade highways Civil works 40.8 118.6 123.4 282.8 E&M supply and installation 1.7 - 6.8 8.5 Buildings 7.1 - 5.6 12.7 Xian-Sanyuan highway 7.7 - 6.0 13.7 RIPA 15.2 26.0 23.9 65.1 Highway safety 1.3 - - 1.3
Subtotal 73.8 144.6 165.7 384.1
Supervision 6.6 - 3.7 10.3 Equipment 7.5 - 8.3 15.8 Training 0.3 - 0.9 1.2 Studies 0.6 - 0.6 1.2 Contingencies 50.7 - 39.8 90.5 Land acquisition 59.7 - 30.8 53.4
Project Total 201.9 144.6 210.0 556.5 Percent of total 36.3 26.0 37.7 100.0
H. IMPLEMENTATION
3.49 Implementing Agencies. The implementation of the project would be the responsibility of SPTD. The execution of WTE, THH, FJTH, LTWMH and their linking roads would be organized by the Project Execution Office-PEO-in SPTD (Chart 10) and SHGHAB. The execution of LXH and RIPA component would be organized by PEO and SPHAB. The General Supervision Office under SPTD would be in charge of - 34 - supervision of construction of the project. Concerning the high-grade highways, the supervision of construction would be undertaken by a joint international/local supervision team. PEO would carry out the implementation of equipment procurement, IST and studies on the Xian bypass, road maintenance and road safety. Implementation of the road safety component will be the responsibility of SPTD and the Traffic Police in PSB, with the Leading Group for Traffic Safety Coordination providing coordination between them. The International Tendering Company (ITC) would be retained by SPTD as the procurement agency for all aspects of civil works of the project requiring ICB and for equipment to be procured from abroad. Upon completion of the high-grade highways, it is expected that SHGHAB and SPHAB would be responsible for the operation and maintenance of the highways in accordance with their own job scope. Since the high- grade highways are segments of the national highway system, MOC would also provide general supervision and guidance for execution of the project.
3.50 High-Grade Highways and Linking Roads. The implementation program for high-grade highways is shown in Annex 7. All civil works except for THH would be tendered at the same time. THH is expected to be tendered in early 1997. The traffic engineering contracts would be tendered about the middle period of the civil works for each high-grade highway. The invitation for prequalification of contractors for civil works for high-grade highways was issued in November 1995 and the whole prequalification process would be finished by March 1996.
3.51 The detailed designs and draft bidding documents (17 contract sections) were completed by the end of December 1995. Acquisition of land and the resettlement process are expected to be completed by the end of September 1996. The installation of E&M systems for the operation of WTE would be scheduled to commence around March 1999 and be completed by June 2000. The construction of service facilities along the high-grade highways would be a continuous process during the implementation period. The high-grade highways are expected to be completed by December 2000.
3.52 Supervision of Construction of the High-Grade Highways and Linking Roads. A team of provincial personnel, local engineers and technicians, and international consultants would be established to supervise the construction of the high- grade highways and the linking roads. The joint supervision team (JST) would be headed by a Chief Supervision Engineer. A Resident Engineer would be stationed on site for each of the 17 civil works contracts. Terms of reference for the consultants were approved by the Bank. Invitations to short-listed consulting firns (to be approved by the Bank) for supervision of construction would be issued in February 1996. A firm would be selected in July 1996. The consultants would be mobilized in September 1996 to begin training of local personnel in construction supervision and help set up the supervision organization.
3.53 RIPA. The relevant highway departments at city or prefecture levels are responsible for the preparation of designs and bid documents for the systems included in RIPA and these documents would be reviewed and approved by SPHAB. The - 35 - construction of the systems included in the first package is expected to start in July 1996 and to be completed by March 1998. The construction of the subsystems to be included in the second, third and fourth packages is expected to start in 1997, 1998 and 1999, respectively, and to be completed by the end of 1998, 1999 and 2000, respectively. For procurement purposes, RIPA systems will be divided into several manageable contract (bid) sections. Construction of the RIPA roads will be supervised in accordance with the arrangements summarized in para. 3.23.
3.54 Training. Because of the large size and diversity of the training component, SPTD would appoint a full-time Institutional and Training Coordinator responsible for managing the component. He would relate to all organizations in the sector with which the component is concerned and would share financial control over the resources allocated under this component. Formal selection procedures for candidates to be trained would be developed and agreed with the Bank. Training abroad would be preceded by training within China with the best performers selected for training abroad. Also, all trainees to be sent abroad would have a good working knowledge of English or else would take a three-month English language course prior to traveling abroad. Each trainee would be required to submit a report on training received to his/her parent department or agency. Moreover, SPTD has indicated that training to be provided under the project would be related to career development and the professional growth of the selected staff. At negotiations, agreement was reached that Shaanxi Province shall, by June 30 of each year commencing in 1996, furnish a rolling two-year training implementation schedule to the Bank and shall carry out the training under a program acceptable to the Bank.
3.55 Equipment. PEO would be responsible for procurement of equipment. The equipment required for laboratories, environmental monitoring, strengthening of highway network maintenance and institutional strengthening would be procured at an early stage of project implementation (1996/97), while that for the operation and maintenance of the high-grade highways is scheduled to be procured toward the end of the high-grade highway construction (1998/1999).
3.56 The project as a whole is scheduled to be completed by the end of June 2001, with the loan closing date stipulated as December 31, 2001. The implementation schedule for the project is presented in Annex 7.
3.57 Operation and Maintenance of High-Grade Highways. Shaanxi Province intends to operate the new highways as toll facilities consistent with their design. Tolls would be collected at about 19 points (Map IBRD 27048). To ensure that the toll rates would be appropriately structured and that toll levels would not lead to a substantial reduction in the benefits of highway investment, the rationale for setting the level of tolling would be determined based on the findings of a study to be undertaken by the Province, which takes into consideration latest experience with operation of toll roads in China as well as similar studies done under Bank-financed highway projects in China. Assurances were obtained at negotiations from SPG that SPTD shall undertake, and by June 30, 1999, furnish to the Bank for its review and comments, an analysis and - 36 -
recommendation for the structure of toll rates on the high-grade highways, taking into consideration the results of the recent studies on toll rate structures under the Bank- financed highway projects in China, and the recent experience with toll rates on major roads in Shaanxi Province and other parts of China.
3.58 High-grade highways except LXH will be operated and maintained by SHGHAB, with headquarters in Xian (Chart 11). This bureau is expected to establish three management departments, among which one is in charge of Xian-Tongguan Expressway, one in charge of Xian-Huangling Class I Highway, and the other in charge of Xian-Baoji Highway. Under the Xian-Tongguan Expressway Management Department, there are three Management Offices. One of these management offices is responsible for LTWMH and the remaining two offices are responsible for WTE. The Xian-Huangling Class I Highway Management Department has four management offices under its jurisdiction. Two of these offices are in charge of THH. Also, the Xian-Baoji Highway Management Department has four management offices, of which Jiangzhuang Management Office is responsible for FJTH.
3.59 The Lantian-Xiaoshangyuan Class II auto-only Highway will be operated and maintained by SPHAB with two management offices in Heilongkou and Lantian. Construction of these management offices, as well as their equipment needs, are included in the proposed project. SHGHAB is already operating some high-grade highways in Shaanxi and, following the institutional strengthening contained in the proposed project, SHGHAB is expected to be capable of properly operating and maintaining the high-grade highways.
1. PROCUREMENT
3.60 Procurement under the project would be carried out as shown in the following table. The procurement arrangements for the project have taken into account the experience gained from previous Bank-financed highway projects. The documentation, for procurement, which covers the prequalification of contractors, ICB and National Competitive Bidding (NCB) for civil works, ICB for goods and consultant services contracts has been standardized for Chinese conditions in cooperation between the Chinese government and the Bank. Standard documents would be used for all relevant procurement processes under the project. - 37 -
PROCUREMENTARRANGEMENTS ($ million)
Total Procurement method project ICB NCB Other/a NBF/b cost High-Grade Highways and Linking Civil works 345.5 15.7 - - 361.2 (143.2) (5.7) (148.9) E&M supply and installation 11.0 - - - 11.0 (8.8) (8.8) Xian-Sanyuan Highway - 4.3 12.2 - 16.5 (1.9) (5.3) (7.2) RIPA - 39.7 39.7 - 79.4 (14.7) (14.8) (29.5) Traffic Accidents (black spots) - - 1.6 - 1.6 (0.0) (0.0) Equipmnt 8.5 - 4.1 5.1 17.7 (5.9) (3.2) (0.0) (9.1) Consultants and Training k Supervision of construction - - 12.9 - 12.9 (4.7) (4.7) Training - - 1.4 - 1.4 (1.1) (1.1) Studies - - 1.4 - 1.4 (0.7) (0.7) Land AcQuisition and Resettlement - - - 53.4 53.4 (0.0) (0.0)
Total 365.0 59.7 73.3 58.5 556.5 (157.9) (22.3) (29.8) (0.0) (210.0) la Other includes force account, international shopping and limited international bidding, and consultants and training. lk NBF means not Bank-financed. k Selection of consultants according to the Bank's Guidelines for Use of Consultants.
Notes: (1) Figures in parentheses represent the amounts financed by the Bank Group. (2) All figures are rounded and include estimated physical and price contingencies but exclude the cost of land acquisition and resettlement, which is shown as a separate component.
3.61 Works. The civil works for the high-grade highways would be divided into 17 contract sections. WTE would be divided into five contract sections, THH into seven contract sections, LXH and FJTH into two sections each, and one contract section for LTWMH. Electromechanical works would be handled as three contracts. Administration - 38 - and maintenance buildings, service areas and toll plazas would be carried out in several small contracts. The linking roads (three road sections) would be included in the corresponding contract sections of the main high-grade highways because of the small size of the works involved. Contracts for civil works and for electromechanical works for the high-grade highways (100 percent of total) with a total cost of $356.5 million would be procured under ICB procedures. Contracts would be bid on a slice and package basis; qualified firms would be allowed to bid for more than one contract so as to attract international contractors and large Chinese contractors. The contracts for electromechanical works would be bid later during the construction of the high-grade highways. All contractors for the 17 ICB contracts for civil works would be prequalified. Domestic contractors competing under ICB would be eligible for a 7.5 percernt price preference. Domestic contractors are expected to be competitive for all contracts under this project
3.62 Other works, including small service facilities (toll plazas, maintenance depots, service and rest areas, administrative buildings, etc.), Xian-Sanyuan Highway, and RIPA roads, would be awarded following NCB procedures acceptable to the Bank. These works would involve contracts estimated to cost less than $2 million per contract, up to an aggregate amount of about $59.7 million. Since these contracts are small in value and scattered throughout the Province and would be implemented over a four-year period, ICB would therefore be neither justified nor practical, but international firms would not be precluded from bidding.
3.63 Based on experience with the Road Improvement Program (RIP) in the ongoing Zhejiang (Loan 3471-CHA), Guangdong (Loan 3530-CHA, and Henan (Loan 3531- CHA) Provincial Highway projects, generally not more than three bids are received for contracts whose value is $2.0 million or less. Moreover, most of the bidders come from the immediate area of the contract works. RIPA involves smaller works and lower value contracts than RIP, and the works are spread over a very large geographic area. Hence, for RIPA contracts whose cost is $0.5 million (Y 4.2 million) or less and up to $23.8 million in aggregate, simplified procurement procedures, whereby a minimum of three bids are invited, would be followed. This has the advantages of time savings in the bidding process as well as creating more job opportunities for the poor during construction. Since employment creation is important in the case of RIPA roads, when the two lowest evaluated bids are within 5 percent of each other, the number of local people to be employed by each contractor would be considered in the final award of contract. This will be done by assigning a value of Y 300 per person-month and by deducting the value of employment from the bid price. The bidder with the lowest "adjusted" evaluated bid price would be selected.
3.64 Implementation of the Xian-Sanyuan Highway involves a large number of small- value contracts spread over a large geographic area. As this highway is already open to traffic and carries a high traffic volume, these works have to be carried out with least disruption to traffic. Hence, some of these works, with a total value of about $12.2 million would be procured through force account. Also, in the case of very small RIPA - 39 - contracts, and under special conditions to be justified by SPHAB, force account could also be used for procurement of civil works with a total estimated cost of 20 percent, about $15.9 million, of the total RIPA component. Force account would also be used for improvement of black spots, with a total estimated value of $1.6 million. This is justified on the basis of the small value of the works and their wide geographic distribution. The total estimated cost of the works to be procured by force account is $29.7 million.
3.65 Equipment. Generally, all contracts for goods and equipment costing more than $250,000 equivalent would be awarded under ICB. However, for equipment where the number of suppliers is small, limited international bidding would be followed, in an aggregate amount not exceeding $1 million. All other items or groups of items covering minor maintenance equipment, laboratories, research and environmental protection purposes estimated to cost less than $250,000 per contract package, in an aggregate amount not exceeding $2.5 million would be procured following shopping procedures on the basis of a comparison of price quotations solicited from at least three suppliers eligible under the Bank Guidelines for Procurement. Domestic manufactures competing under ICB would be eligible for a margin of preference in the comparison of bids of 15 percent for goods, or the prevailing custom duties, whichever is lower.
3.66 Consultants. All consultants required for construction supervision, staff training and studies of the Xian Bypass, highway maintenance, and highway safety would be selected and employed under terms and conditions acceptable to the Bank in accordance with Bank Guidelines on the Use of Consultants. Local expertise available in the various provincial universities and institutes in the highway subsector would be used as much as possible.
3.67 Advance Contracting and Retroactive Financing. SPTD requested advance contracting and retroactive financing in the following areas:
(a) Traffic Engineering for Xian-Sanyuan Highway. This would allow safe operation of this road as a fully access-controlled highway by mid- 1997. The amount subject to retroactive financing is estimated at about $2.3 million.
(b) Consultants for the Study of the Xian Bypass. This would allow timely preparation of the study of alternatives and selection of best alternative to ensure continuity of a high level of traffic service on the east-west trunk highway (312) through Xian. The amount subject to retroactive financing is about $60,000.
(c) Consultants for Development of RDB. This would ensure completion of development of a provincial level RDB, before the end of 1998, to serve as an important input into MOC's plans for development of a national RDB. The amount subject to retroactive financing is about $100,000. - 40 -
3.68 Agreement to the above three requests for advance contracting and retroactive financing is recommended, subject to SPTD completing all Bank requirements, including those for procurement, environment and resettlement. The total amount subject to retroactive financing is estimated at about $2.5 million. All of this amount would apply to expenditures after July 1, 1995.
3.69 Bank Review. Prior review procedures would be used for: (a) civil works contracts with an estimated cost of $2 million (Y 17 million) or more; (b) equipment with an estimated cost of more than $250,000 per contract; and (c) consulting services with an estimated contract cost of more than $100,000 for firms and $50,000 for individuals. This represents about 76 percent and 71 per cent of the estimated value of works contracts and goods respectively. For contracts below the above-mentioned limits, post-review procedures would be followed.
J. DISBURSEMENTS
3.70 The proposed Bank loan of $210 million would be disbursed over a period of about six years, as follows:
Category Amount of the Percent of Expenditures to be Financed Loan Allocated ($ million)
Civil works Construction of high-grade 129.0 44% of total expenditures highways and linking roads Xian-Sanyuan highway 6.0 44% of total expenditures RIPA 23.9 37% of total expenditures Electrical and mechanical works High-grade highways 6.8 80% of total expenditures Equipment 8.3 100% of foreign expenditures for directly imported equipment or 100% of local expenditures (ex-factory) for locally manufactured equipment and 75% of local expenditures for other items procured locally for Consultant services and training 5.2 100% of foreign expenditures Unallocated 30.8 Total 210.0
3.71 To facilitate disbursements, a Special Account would be opened with an authorized allocation of $17 million equivalent, the estimated average expenditures for a four-month period. The account would be opened in US dollars in a bank acceptable to the Bank, and managed by the Shaanxi Provincial Finance Bureau. Applications for replenishment of the Special Account would be submitted monthly or whenever the Special Account is drawn down to 50 percent of its initial deposit, whichever comes first. - 41 -
A schedule of estimated disbursements is given in Table 3.6, which takes into consideration the project disbursement profile for transport projects in China and the potential risks of delay in project implementation.
3.72 Disbursements would be made against authorized payment requests for work done under priced contracts for the civil works and for the delivery and installation of the equipment. Interim certification of civil works completed and costed at unit rates in the contracts will be prepared by the contractors, reviewed by the supervision teams/units and payments authorized by PEO. Retroactive financing of up to $2.5 million would be applied to expenditures made after July 1, 1995 for providing full access control to the Xian-Sanyuan Highway and consultants for the Xian Bypass Study and the Highway Maintenance Study. Disbursements for staff training in China or abroad would be made from the Special Account against the actual costs of travel, subsistence and tuition or training fees. For expenditures relating to contracts for works of $2 million of less, training, force account, contracts for goods, each valued at $250,000 equivalent or less, and contracts for services each valued at $100,000 equivalent or less for firms and $50,000 equivalent or less for individuals, reimbursement would be made on the basis of Statements of Expenditures (SOEs). Documentation supporting SOEs would be retained by the implementing agencies and made available for review by the Bank supervision missions.
K. AUDITING
3.73 The Foreign Investment Audit Bureau of the State Auditing Administration (SAA) would be responsible for auditing of project expenditures. Actual audits would be carried out for SAA by the Shaanxi Branch of SAA or the Shaanxi Provincial Audit Administration Agreement was reached with SPG during negotiations that the project accounts and the Special Accounts, including SOEs, would be audited annually by independent auditors acceptable to the Bank and that audit reports would be sent to the Bank for review within six months of the close of each fiscal year. In the case of the SOEs, the audit report would contain a separate opinion by the auditors as to whether the SOEs submitted during the fiscal year, together with the procedures and internal controls involved in their preparation, can be relied upon to support the related withdrawals. The Bank Group currently accepts SAA audits for this purpose.
L. PROJECT SUPERVISION, REPORTING AND MONITORING
3.74 Supervision. The project would be supervised through Bank missions whose frequency would be guided by the progress of the works. However, on the average, a mission at about nine-month intervals would be mounted; a Supervision Mission Plan is presented in Annex 8. In addition to field missions, staff input would be provided at headquarters for project-related activities such as completion of supervision reports, procurement documentation and contracts, staff training and equipment proposals and follow-up and review of the studies on the Xian Bypass, highway safety, and highway maintenance. Moreover, the Bank would monitor progress of implementation of all - 42 - project components through quarterly progress reports to be submitted to the Bank. In addition, SPTD would submit to the Bank monthly reports on progress of works for the high-grade highways. A copy of each of the outline quarter and monthly progress reports is available in the Project File. It is estimated that over the implementation period of the project the total time expended on supervision would be in the order of 80 person-weeks.
3.75 Monitoring. During implementation, project performance, including the achievement of physical targets and attainment of other project objectives will be monitored by SPTD, PEO, SHGHAB and SHAB through the use of performance indicators, reports on the environment and land acquisition and resettlement, progress reports and auditing of project accounts. In addition, upon completion, the project will be reviewed in an Implementation Completion Report. Annex 9 presents the outline monitoring plan for the project. The plan defines for each of the project components indices that will track annual progress in attaining targets during implementation and impact objectives after the project is completed. The plan specifies how, with what frequency and by whom, the data for the indicators will be collected. Assurances were obtained at negotiations that SPTD shall, on the basis of performance indicators acceptable to the Bank, prepare and furnish to the Bank by March 31 of each year commencing in 1997 and ending three years after completion of the project, an annual monitoring report, in a form satisfactory to the Bank covering all components of the project and assessing the extent to which different implementation and development objectives have been attained in the course ofproject execution and operation.
3.76 Reporting. Based on the monitoring activities described in Annex 9, SPTD will submit to the Bank an annual monitoring report. This report will be based on the following reports, which will be submitted to the Bank during the course of a given year:
(a) A series of internal and external (independent) monitoring reports assessing the impact of land acquisition and resettlement on various segments of the local population, describing the income restoration strategies followed and the number of people rehabilitated (para. 3.43 and Annex 6);
(b) Annual environmental monitoring reports during the construction phase and the first three years of the operation phase of the high-grade highways (Annex 5);
(c) Annual audit reports for the project accounts and financial statements (para. 3.73);
(d) Quarterly progress reports for all project activities (including highway safety) and up-to-date performance indicators (para. 3.74);
(e) A report, by an independent agency/expert, on the completion of the highway safety component within six months of the completion of this component; and - 43 -
(f) A Project Implementation Completion Report would be prepared and submitted to the Bank not later than six months after the loan closing date. - 44 -
4. ECONOMIC EVALUATION
4.1 The economic analysis for the proposed project focuses on the civil works components that, together with associated construction supervision and design, survey, and testing, account for over 97 percent of the project base cost. There are two major subcomponents: (a) the five high-grade highways and their linking roads, and (b) the RIPA component. Because of the relatively short length and corresponding low construction cost of the linking roads (21 km for roads), no separate economic analyses were conducted for these roads. Instead, they were included in the analyses for the high- grade highways. The economic analyses were initially prepared by the Shaanxi Provincial Highway Survey and Design Institute (SPHSDI) and were reviewed and updated by the Bank staff in consultation with SPHSDI personnel during project preparation and appraisal.
A. MAIN BENEFITS AND BENEFICIARIES
4.2 Benefits from the project would accrue to road users in the form of transport cost and time savings. Many road users are own-account operators for the producer enterprises and, mostly in rural areas, a growing segment of privately-owned operators and farmers, who would capture the benefits of the project directly. Public freight and passenger services are also likely to respond to increased competition so that transport costs savings would be passed on to the users. Passengers would, in addition, enjoy the time savings offered by the project, and the greater riding comfort from better road surfaces. In the case of RIPA subprojects, social benefits will accrue in the form of improved access to health and educational facilities and access to clean drinking water (resulting in lower death rates, fewer work days lost due to sickness, lower educational dropout rates and increased adult literacy level) and a reduction in expenditures for the food-for-work program. Also, the feeling of "isolation" would be reduced and the greater reliability of transport service resulting from the provision of all-weather roads should provide incentives for more intensive and diversified productive activities.
4.3 The project is intended to encourage better highway management and maintenance through institutional strengthening of various departments, institutes and training schools of SPTD, the studies of the Xian Bypass and highway maintenance, and the provision of modem maintenance equipment. The road safety program can be expected to result in a reduced number of accidents due to the support it gives to the traffic police and SPTD and due to the demonstration effect of the accident black spot pilot program. The project also is intended to strengthen public works procurement procedures and to upgrade management of the construction entities. The proper design of all highways included in the infrastructure components of the project should reduce the number of accidents, and reduced congestion on the existing roads along the high-grade - 45 - highways should improve conditions for local traffic, including bicycles and agricultural vehicles.
B. EVALUATION OF HIGH-GRADE HIGHWAYS
4.4 Economic evaluation was conducted for each of the five high-grade highways included in the project. SPHSPDI prepared a separate technical feasibility study for each of these highways. These studies form the basis for the presentation in this report and are available in the project file.
4.5 Weinan-Tongguan Highway (WTH). The existing Weinan-Tongguan Highway (WTH, No. 310) has a low technical standard (mostly Class III) with many sections with steep grades or sharp curves, and bridges and culverts with limited loading capacities for modem heavy-load truck traffic. Also, many sections carry traffic volumes that exceed their capacity, particularly along the built-up sections of the road. During 1990-92, annual traffic accidents averaged about 454 in total, resulting in 45 fatalities and 208 injuries.
4.6 Tongchuan-Huangling Highway (THH). About one third of the existing highway has been improved to Class II standard with the remaining two thirds still Class III. Several sections have steep grades reaching 9 percent and very sharp horizontal curves. Again, as in the case of WTH, the existing culverts and bridges limit the size and weight of trucks that can pass over them. During snowfall in the winter, the road is blocked on the average two to three times a year, each lasting four to five days. The existing traffic volumes exceed the capacity of many sections of this highway. Many accidents occur on this highway, with an annual average of about 385 accidents resulting in 39 dead and 86 injured people.
4.7 Lantian-Xiaoshangyuan Highway (LXH). The existing highway has a very low technical standard (mostly Class IV) with some sections below that. This road lies in the Qinling Mountains, has narrow pavement width (generally 6.0 to 6.5 m, but with some sections of 5.0 m width), contains many sections with very steep grades and/or very sharp curves, and poor sight distance. The operating speed is about 25 to 30 km per hour. As in the case of WTH and THH, the capacity of this road is exceeded at various sections and the bridges and culverts restrict the size and load of trucks that can travel on this highway. Also, the road is blocked by snow and by traffic accidents. During 1988-90 (the latest available data), accidents averaged 117 per year, resulting in 19 fatalities and 103 injuries.
4.8 Famen Buddhist Temple-Jiangzhuang-Tangyu Highway (FJTH). The existing highways are Class III, and deficient from the standpoints of traffic capacity, strength of pavement and geometrical (vertical and horizontal) alignment. Traffic accidents in 1992-93 (latest available information) on Jiangzhuang-Famensi Highway averaged about 24 per year, resulting in 1 dead and 16 injured persons. - 46 -
4.9 Traffic on the Existing Roads. There was a moderate to high growth in traffic throughout the 1980s and early 1990s, of between 10 and 17 percent per year. The following table provides a summary of the most recently available comprehensive traffic data, and compares the daily traffic total with the estimated highway capacity. Many sections of the existing highways are operating at or above capacity, and given the high projected traffic growth rates, substantial additional capacity will be needed for all of them by the end of the decade. More detailed traffic data is provided in Tables 4.1a through 4.1 d.
1995 Trafficvolume EstimatedCapacity Volume/ Highway (mte/day)lb (mte/day) Capacity
Weinan-Tongguan Minimum 3,226La 5,500 0.59 Maximum 4,802/a 5,500 0.87
Tongchuan-Huangling Minimum 2,042 5,500 0.37 Maximumn 9,698 6,000 1.6
Lantian-Xiaoshangyuan Minimum 1,525La 3,500 0.44 Maximum 3,859/a 3,500 1.10
Lintong-TerraCotta. Minimum Not applicableas variousroutes available WarriorsMuseum Maximum
Famen BuddhistTemple- Minimum 1,855 3,800 0.49 Jiangzhuang-Tangyu Maximum 3,879 3,800 1.02
Za Trafficdata refers to 1993 lb mte signifiesmedium truck equivalent.
4.10 The presence of mixed traffic, including slow-moving nonmotorized vehicles and relatively high traffic volumes compared to the capacity of the existing roads, result in traffic speeds of about 30 to 40 km/hour for motor vehicles with urbanized sections presenting often substantial delays. The high frequency of accidents and breakdowns of vehicles cause long traffic delays on the 2-lane existing highways, where emergency vehicles have difficulty in reaching the accident site.
4.11 Traffic Projections. Origin-destination (O-D) surveys were conducted to provide a good basis for traffic projection and allocation, in particular diversion from the existing roads to the new highways. Traffic projections for the proposed new highways take into consideration diversion of traffic from the existing highways and generation of traffic through (a) releasing suppressed demand by capacity limits on the existing highways, especially in the sections close to urban areas; and (b) by the facilitation of economic growth. Diversion of traffic from the railway was considered where pertinent-in the case of WTE. A comprehensive study of coal production and transport in northern - 47 -
Shaanxi was conducted in order to detennine the modal split of coal traffic between rail and THH and the volume of coal traffic to be carried by THH. Also, the trend toward use of heavier trucks that carry larger loads of coal was assumed to accelerate if the THH were to be built. In the case of FJTH, special consideration was given to the transfer of traffic from tractors to trucks.
4.12 Growth rates for traffic along the various high-grade highways were based primarily on the economic growth rates for the area of influence of each highway. Because of the uncertainty in forecasting economic growth rates, three scenarios were analyzed: high growth, medium growth and low growth. Economic growth rates took into account the plans of the state, province, prefectures, municipalities and counties within the area of influence of each high-grade highway.
4.13 It is now recognized that the diversion of traffic from an existing road to a new toll road takes time to build up to the long-term equilibrium level. Incentives and inducements are often offered to shorten the period of buildup, sometimes referred to as the "ramp period." The equilibrium level of diversion for the new highways was estimated at about 80 percent, except for the Jiangzhuang-Famensi (68 percent), Jiangzhuang-Tangyu (60 percent) and Lintong-Terra Cotta Warriors Museum (23 percent) highways, which will have a number of alternative routes available. Traffic would also be generated by the improvements brought about by the new highway, at a level estimated at about 6 to 8 percent of normal traffic. The projected traffic volumes for each high-grade highway by section and that remaining on the existing road(s) for the medium-growth scenario and for cases both with and without tolls, for the years 2000, 2005, 2010, 2015, 2020 (2018 in some cases) are presented in Tables 4.2a through 4.2f. The corresponding traffic volume projections for the low- and high-growth scenarios are available in the technical feasibility study reports.
4.14 The Proposed New High-Grade Highways. On the basis of the traffic forecasts summarized in these Tables, the appropriate technical standard for each high-grade highway was determined, as shown in Table 3.3 Staged construction (building a two-lane Class II highway initially and expanding it in the future to a four-lane expressway) was considered for the Qilicun-Baijia section (near the Henan Border) of WTE and for the THH. However, it was rejected in both cases because the net present value of the total transport cost (construction cost plus maintenance cost plus vehicle operating cost) for the four-lane expressway was found to be lower than that for staged construction.
4.15 Alternative Alignments. The recommended alignment for each of the high- grade highways was selected after consultation with the affected local and regional governments from several alternative alignments on the basis of minimization of total transport costs, amount and difficulty of land acquisition and resettlement, and archeological and environmental considerations. Besides the existing road, three alternative alignments were considered for WTE, two for THH and two for the doubling of the existing highway frorn Yaoxian to Tongchuan, four for LXH, three for FJTH, and two for LTCWMH. In addition, the selected alignments focused on analyses of - 48 - alternatives for the different difficult and expensive high-cost items such as tunnels for THH and LXH, very long bridges, soft soils, and large-scale flooding such as in the case of WTE.
4.16 Economic Analysis. The economic analysis was carried out separately for each of the five high-grade highways. For the purpose of calculation of the indices of economic analyses, the highways were divided into sections as shown in Tables 4.4a through 4.4d. The economic analysis was prepared using April 1995 prices. Only the medium and low traffic projections were used. Two toll options were analyzed, operation of the highway with tolls and without tolls. The economic costs were derived from financial costs by deducting taxes and duties and price contingencies. The cost of materials were adjusted on the basis of border prices and that of land on the basis of the net market value of the land's production.
4.17 Each high-grade highway was assumed to be constructed according to the implementation program depicted in Annex 7 and to have an economic life of 20 years. In addition to the cost of construction, the costs of period maintenance (pavement overlays) in the eighth and sixteenth year after the road is put into operation and the annual costs of routine highway maintenance and toll operations were included. The residual value of each highway section was assumed to be 50 percent of the initial construction cost.
4.18 Benefits were estimated to accrue primarily from savings in vehicle operating costs and travel time. Additional quantifiable benefits arise from generated traffic, reduced congestion on the existing road, and savings in accident costs. Average economic vehicle operating costs by vehicle class for the existing and proposed roads are shown in Table 4.3. These costs vary by vehicle speed, which in turn varies with the traffic volume and the capacity of the highway. The benefits due to reduction in traffic accidents took account only of the savings in physical damage to vehicles and were estimated by assuming that the accident rate on the new highway is one half of that on the existing road.
4.19 Effect of Tolls. It is intended that the five high-grade highways be operated as toll roads, which would involve higher costs of construction and operation, due to the toll facilities, and a loss of potential benefits. Imposition of tolls would have the effect of reducing traffic volumes along the high-grade highways. There is not yet enough practical experience in China to forecast accurately the impact of tolls on traffic volumes, economic viability and financial viability of the tolled highways. Tolls would be set at a level to pay back the loans involved (the Bank loan in the case of this project) and not the whole construction cost. Usually, they are set at about one third of the difference in vehicle operating costs between the existing highway and the new tolled highways. Generally, this level of toll is expected to reduce traffic volumes by about 20 percent. However, toll levels would not be known until the highway is about to be open to traffic. SPTD is to submit to the Bank by June 30, 1999 a study of the tolls to be charged on the high-grade highways (para. 3.57). - 49 -
4.20 The results of the basic economic evaluations of the highways are shown in the following table, with more complete results shown in Tables 4.4a through 4.4d. These tables show the economic internal rates of return (EIRRs) for both the medium and low traffic projections, with and without tolls in each case. The table shows that the expected value of the EIRR, assuming that both the medium- and low-traffic projections have a 50 percent probability of occurrence, and that all these values are above the minimum acceptable value. The full sets of economic analyses showing the streams of annual costs and benefits and the EIRRs and sensitivity analyses for each high-grade highway by section for high, medium and low traffic growth scenarios and with and without tolls are available in the engineering feasibility study report for the various high-grade highways.
With tolls Without tolls Road Section EIRR EIRR EIRR EIRR Medium Low Expected Medium Low Expected traffic traffic EIRR traffic traffic EIRR (%) (0b) (%) (%) (%) (%)
Weinan Tongguan 19.1 14.2 16.7 20.2 15.2 17.7 Tongchuan Huangling 18.3 14.2 16.3 18.9 14.9 16.9 Yaoxian Chuankou 17.6 16.1 16.9 18.5 17.0 17.8 Lantian Xiaoshangyuan 15.9 12.7 14.3 16.8 14.5 15.7 Lintong TerraCotta Warriors 16.3 13.1 14.7 18.1 15.4 16.8 Famensi Jiangzhuang 14.6 9.7 12.2 15.4 9.7 12.6 Jiangzhuang Tangyu 14.9 11.0 13.0 15.0 13.2 14.1
Total 18.1 14.0 16.0 18.9 14.9 16.9
Note: When the economic evaluations were made, the Famensi-Tangyu Highway was considered as two independent projects.
4.21 Sensitivity Tests. The EIRRs in Tables 4.4a through 4.4d, summarized in the following table, show the impacts of changes that could affect the economic justification of constructing the new highways. They show the impact of eliminating the value attrib-uted-tosavings in the time of the vehicle occupants, of a halving in the effect of the new highways in generating additional traffic and of adopting a low forecast of traffic growth. The following table also shows what increases in project costs or reductions in project benefits would be necessary to result in their having unacceptably low values of EIRR. With very few exceptions, the sensitivity tests indicate that it would be economically feasible to construct the highways as proposed and operate them as toll facilities. The four exceptions, which merit further comment, are Lintong to Terra Cotta Warriors Maseum. Famensi to Jiangzhuang and Famensi to Tangyu with a low traffic projection, and Lintong to Terra Cotta Warriors Museum with a zero value of time savings. - 50-
SUMMARY OF SENSITIVITY TEST RESULTS
Road Basic EIRR EIRR EIRR EIRR % Cost % Benefit % Benefit reduction Length EIRR Without No value of Generated Low traffic increase reduction and% Cost increase Origin Destination km (with toll) toll time savings traffic 50f/6 projection for LtR <12% for IRR <12% for IRR < 12%
Weinan Tongguan 781 19.1% 20.2% 161% 16.01/o 14.2% + 400/h - 405/. 30%/. Tongchuan Huangling 71.3 183% 18.9% 16.9% 17 6% 14.2% + 40% -35% 20% Yaoxian Chuankou 18.4 17.6% 18.5% 16.7% 16 2% 15.5% +40% -40%/ 25% Lantian Xiaoshangyuan 48.3 15.9% 16.8% 15.6% 13.9%/, 12.7P/ +30%/. -30% 15% Lintong Tera CottaWarriors 5.9 16.3% 18.8% 11.5% 14 2% 13.1% +400/o -33% 201/. Famensi Jiangzhuang 20 1 14.6% 15.4% 13.4% 13.5% 8 3% +22% -25% 15% liangzhuang Tangyu 15 7 14.9%/ 15500/ 13.7% 14.3% 10.7% +30% -25% 15% Total 2578 18 1% 18.9% +35% -3(0/o 200/.
Note:Basic evaluationis for mediumlevel traffic projection,with tolls appliedto the proposednew road. Whenthe economicevaluations were made,the Famensi-TangyuHighway wasconsidered as two independentprojects.
4.22 The road to the Terra Cotta Warriors Museum is a tourist road. The number of tourists is difficult to predict and has shown large variations in growth in the last 10 years. The numbers of national tourists appears to be closely correlated with the state of the national economy, while the number of international tourists appears to be closely correlated with China's political relationship with Japan and the United States, the origin countries of most foreign tourists. The projected growth in the number of tourists has been estimated conservatively based on the growth in the last 10 years, but there are expectations of a higher tourism growth in a period of stability in China's international relations. So, in the case of this highway, the probability of a high traffic outcome is greater than the zero value assumed generally (para. 4.23). It would need a probability of only 10 percent to be attached to the high traffic forecast for all the sensitivity tests of the Terra Cotta Warriors Museum Highway to produce acceptable results, and this level of probability is appropriate for this particular highway. The implications of a zero value of time savings is that tourists would be prepared to spend all their time in traffic jams waiting to reach the sites they wish to visit rather than visiting the sites themselves. This is a highly improbable assumption, particularly for the type of visitor to the Terra Cotta Warriors Museum, most of whom visit the museum for a single day and wish to maximize their time at this important site. So the importance of a zero time value evaluation of the project is relatively low.
4.23 Similar arguments apply to the Jiangzhuang-Famensi Highway, which leads to the Famensi Temple, a historic site of major international significance, having been the center of Chinese civilization in the Early Zhou period and considered to be the source of many aspects of Chinese culture. The pagoda at the Famensi Temple dates back at least to the second century A.D. Four pieces of finger bone revealed when the pagoda collapsed following an earthquake in 1986 (it has since been reconstructed) are widely credited with being those of Buddha and are possibly the holiest religious relics in Buddhism. When the proximity to the Temple to the Terra Cotta Warriors Museum is considered, the number of foreign tourists likely to visit the Temple is expected to increase rapidly and the number of national visitors will also increase rapidly as it is becoming a center for Buddhist worship again. For this reason, the expected value of the EIRR of the project should take account of a greater than zero probability of the high traffic projection and as with the Terra Cotta Warriors Museum Highway, a probability of - 51 - just over 10 percent or more for the high traffic projection would be sufficient to make the expected value of the EIRR acceptable.
4.24 Additional sensitivity tests were carried out in relation to the Tongchuan- Huangling Highway, to investigate the optimization of the opening date of this Highway, given that more than half the traffic on this road comprises trucks carrying coal from two groups of mines, those at Yijun and Huangling itself. Both groups of mines are close to the proposed alignment of the Highway. In the medium projection for the economy, coal production in Huangling is projected to more than triple between 1990 and 2000, from 4.41 million tons to 15 million tons. Even in the low projection, output is expected to reach 13.55 million tons. In the same level of projection, self-consumption of coal in Huangling for the year 2000 is projected at 300,000 tons, while a further 270,500 tons will be transported north. The railway will have capacity for only 12 million tons, leaving about 2.4 million tons to be transported south by road. When, as in this case, the estimated road traffic is the difference between two rather uncertain projections, then the confidence that can be placed on the estimates is even less than usual, and given the high proportion of coal trucks on the THH, particular attention must be paid to the sensitivity of economic evaluation results to variations in the traffic projections.
4.25 Most of the coal produced at the Huangling mine is transported by rail, so far as the railway has capacity, to the high consumption areas in the south of China , and the excess is transported by road to Tongchuan or Xian. Coal transported by road, with a final destination outside Shaanxi, is transferred to rail at Tongchuan, while coal for domestic and commercial consumption in Xian is transported all the way by road. The Huangling mines cannot transport all their output by rail because of the limited capacity of the rail link and the future need of the railway to transport the increased output of mines in the north of Shaanxi where road transport is not a viable alternative. A new rail line from Xian to the north of Shaanxi was opened in 1991, but its capacity for transporting coal to the south of China is constrained by the capacity of the Lintong-Xian section, which it must use to reach its destination.
4.26 The existing mines in the Huangling group are nearing the end of their productive life but will be replaced by new mines currently being developed. The rate of production of these new mines will be constrained by the capacity of the transport systems that serve them. The proposed THH will provide sufficient capacity for the mines to operate close to or at their optimum technical rate of production. The mines at Yijun, which are part of the Jiaoping mining area, also have problems of transport capacity for their output, with the rail link only having capacity for 4.7 million tons compared with a current and projected output of 6 million tons. The highway system is having to provide capacity for about 1.3 million tons, a figure that is not expected to change significantly over the next 20 years.
4.27 As part of the evaluation of the alternative of phased construction, an analysis was made of the optimum opening date for the first phase, of the full four-lane THH. It was found that the optimum opening date was as early as possible, and that the net economic - 52- benefits of the project reduced by about 10 percent for each year of delay up to five years, and escalated much faster for further delay. The traffic need for the second stage would be only about four to five years after completion of the first stage, but the earthworks and civil works component of the total cost amounts to more than 65 percent of the total and all this must be incurred from the outset. Not surprisingly in these circumstances, the economically preferable solution turns out to be to construct the road in a single stage.
C. EVALUATION OF RIPA COMPONENT
4.28 The RIPA component of the project is aimed at rehabilitating and upgrading basic-access roads in low-income counties of the province, with a view to increasing accessibility to basic health, social and education services as well as to markets to increase the social sustainability of these areas. It is expected that in the long term, the program will stimulate increased economic activity and employment and significantly contribute to a reduction of rural poverty.
4.29 The nature of the expected benefits of the component precludes many of them from a quantified analysis, and many others can only be estimated approximately, so the expressed economic rates of return must be considered as minima and as representing only part of the value of this project component. For the first year subprojects of this component, the quantified benefits include only reductions in vehicle operating costs, reduced accident costs, and time savings to vehicle occupants. Unquantified benefits include improved health, higher education achievement, increased social relations, and increased output and incomes. For second and subsequent year subprojects, the quantified benefits will take account of generated trips for health, social, education, employment and commercial purposes. The total population that will benefit from this component is the total population in the area of influence of the proposed highway systems in the selected counties with a low income. The counties for inclusion in the subproject were selected using a mix of economic and social indicators. A total of 31 road systems with a length of 4,067 km in 25 counties were chosen for rehabilitation, upgrading or new construction. The total number of people who are expected to benefit from the RIPA component is about 2.72 million, or about 54 percent of the poor in Shaanxi Province. Only those components identified for inclusion in the first year of the project have been evaluated. These projects will benefit about 520,000 people. The estimated economic rate of return for these five systems varied from 13.5 to 18.7 percent with an average of 15.6 percent (Table 4.5).
D. PROJECT RISKS AND ACTIONS
4.30 The principal risks facing the project are:
(a) delay in completion of the connecting road between the WTE and the continuation of Route 310 in Henan province;
(b) delays in completion of the highways themselves as a consequence of design changes; - 53 -
(c) maintaining a high quality of construction when there is strong pressure for the projects to be con'pleted on time and within budget;
(d) ensuring that sufficient funds are allocated to maintenance of the remainder of the highway network when there is strong pressure to complete the construction of the project and other new highways;
(e) ensuring that operational efficiency and traffic safety are accorded high priority;
(f) that the traffic projections will not be realized, that traffic will not divert to the new highways to the extent projected and that users will not take full advantage of these and other new highways to update their vehicles to introduce larger and more cost effective trucks.
4.31 (a) Connecting Road. The first significant risk facing the project is the possibility of delay in completing construction of the 6.1 km connection between Yangjia and Baijiazhai, which would affect the utilization (and consequently the benefits) of the Weinan-Tongguan Expressway. However, this risk has practically disappeared since the connection has been included in the proposed Second Henan Provincial Highway Project, which is expected to be presented to the Board in June 1996.
4.32 (b) Design Changes. Based on experience with the ongoing highway projects, risks center on delays in implementation, particularly for the highway investment component, due to design changes and the long time required to handle variation orders during construction as well as to the late start in the traffic engineering component, objections raised by people living along the right-of-way caused by insufficient consultation, and unexpected archeological finds. However, preparation of this project has benefited significantly from the Bank's experience in similar highway projects in China, as well as from the active involvement of MOC and the review of the design and bid documents for the high-grade highways by qualified experts. Moreover, the conceptual design of the traffic engineering component has been completed and more attention is being given to the resettlement and land acquisition problem, including more consultation with the local people affected by the high-grade highways. Extensive archeological surveys were conducted to reduce the probability of unexpected finds. Also, the relatively large value of contracts for construction of the high-grade highways would attract the larger and more capable contractors and would ensure successful completion with little or no delays.
4.33 (c) Construction Quality and Cost Overruns. Uneven and sometimes substandard quality of works as well as cost overruns are another risk that should be addressed. This problem is generally caused by laxity of construction supervision as well as the points mentioned in para. 4.32. In this project, more attention will be given to construction supervision arrangements, including engagement of foreign experts and training of local supervision staff. Also, the Bank will increase its supervision efforts by involving the Resident Mission and utilizing local consultants in the supervision of the - 54 -
RIPA component. In addition, SPTD is one of the strongest provincial highway organizations in China and is familiar with Bank procedures since the proposed project is the second highway project to be financed by the Bank in Shaanxi Province.
4.34 (d) Allocation of Resources to Highway Maintenance. In view of the relatively fast expansion of the NTHS and other high-grade highways and their related high construction costs, there is growing danger that not enough resources will be devoted to the maintenance of non high-grade highways, including roads contained in the RIPA component under the project. As pointed out in para. 3.28, SPTD has agreed to allocate sufficient resources to highway maintenance during the 9FYP and continue to monitor the condition of existing roads. The proposed project includes a study of highway maintenance, training of staff in highway maintenance, and provision of equipment for highway maintenance.
4.35 (e) Operational Efficiency and Traffic Safety. Recent experience suggests that once the high-grade highways are in operation, operational and safety risks will need to be addressed. The traffic engineering component of the project will be reviewed by qualified technical experts. Also, the proposed project includes equipment and training of staff for the operation and maintenance of the high-grade highways. SPTD would further benefit from a study of management, operations and maintenance of high-grade highways to be included in the proposed Second Henan Provincial Highway Project.
4.36 The success of the highway safety component also depends on good cooperation between SPTD and the Traffic Police, which has in the past been difficult. However, under the proposed project, a Leading Group for Road Safety Coordination will be created, and consideration is being given to holding a highway safety seminar in China in 1997 to help raise awareness of the safety problem and to increase the level of support at various governmental levels to this very important issue.
4.37 (f) Traffic Growth, Diversion to the New Highways and Truck Replacement Policy. The medium projections of traffic growth are dependent on a continued growth in the national and provincial economy and the maintenance of a high rate of growth for a period of 20 years. With the exception of the subprojects described in para. 4.21, all of the highways show an acceptable result for their economic evaluation, even with low traffic projections that would result in traffic levels about 60 percent of those of the medium-level projection. The risk that traffic will not even reach the level of the low traffic projection is very low and would only arise if there were to be a collapse of the national economy, not considered a significant risk.
4.38 A greater risk is that traffic will not divert to the new highways in the volumes expected (para. 4.13) and that measures would be taken to induce a higher use of these highways that would significantly reduce their economic benefit. Experience from China and other countries indicates that it takes about four years for the traffic diversion to a new road to build up to its expected level, and that it is essential for maximizing the final diversion rate that this period be used for an intense promotion of the benefits of the new - 55 - highway to potential users. There is a significant risk that if the diversion to the new highways is not as high as projected, especially in the early years of their operation, the Shaanxi High-Grade Highway Administration Bureau might be tempted to introduce measures to artificially increase the diversion, such as increasing the level of tolls on parallel unimproved roads or cutting back on maintenance or development of those roads. Any such policy, while possibly resulting in a more favorable financial outcome to the SHGHAB, will at the same time reduce the economic benefit of the new highways and should therefore be discouraged. This risk can be reduced by ensuring that all possible measures are taken that do not increase the costs of using the parallel roads but that do increase the attractiveness of the new highways. Such measures would be proposed by the technical assistance for institutional development in relation to operation of the new highways.
4.39 The lack of a high-grade national highway network is a severe impediment to the introduction of high-capacity and high-efficiency large trucks. Although the construction of such a network is a necessary condition for the use of such trucks, many other conditions must also be created for their use to become widespread. If these measures are not taken and truck operators continue to use two-axle trucks, the expected benefits of the new highways will not be fully realized. Many of the other necessary conditions need to be applied at a national level and to be taken in coordination by several different ministries. Since China does not have a good record of interministerial cooperation in the transport sector, there is a significant risk that these conditions will not be created. It will require pressure from truck operators for the necessary policy changes to be made, and this in turn will require pressure from the clients of truck operators for more efficient services. The results of a study of traffic facilitation across provincial boundaries, included in the National Highway Project: Hebei/Henan (Loan 3748-CHA), will be used as a basis for Hebei and Henan Provinces to implement changes in this regard, and these could also be of benefit to Shaanxi and other provinces in China. SPTD should monitor the progress of these changes and act to implement those of them that produce positive results. - 56-
5. AGREEMENTS REACHED AND RECOMMENDATION
5.1 Agreement was reached with the Central Government at negotiations that it would onlend the proceeds of the loan to Shaanxi Provincial Government (SPG) on the same terms as those of the Bank loan to it: 20 years, including 5 years of grace, at the same rate payable to the Bank by the Borrower, with 0.75 percent per year commitment fee on the outstanding balance, beginning 60 days after signing, less any waiver (para. 3.48).
5.2 The Central Government shall cause to be constructed the 6.1 km connection between Yangjia and Baijiazhai (which lies in Henan Province) so that this connection is ready by December 31, 1999, the time the construction of the Weinan-Tongguan Expressway is expected to be completed (para. 3.9).
5.3 During negotiations, assurances were obtained from Shaanxi Province that:
(a) SPTD shall, by April 30 of each year commencing in 1997 and ending in 2003, furnish an annual highway maintenance report for the Bank's review and comments, which would: (a) show the length of each class of road by condition (excellent, good, fair and bad); (b) set realistic targets for the following year, including an estimate of the required physical works (routine maintenance, periodic maintenance, rehabilitation and upgrading) by class of road and the costs thereof; and; (c) measure the results and the actual expenditures of the past year against the targets and budgeted funds thereof (para. 3.28);
(b) SPTD would (i) by June 30, 1996, establish a Leading Group to guide the highway maintenance study and to provide comments on the results and recommendations thereof; (ii) undertake and, by September 30, 1998, complete the said study in accordance with terms of reference satisfactory to the Bank; (iii) by December 31, 1998, furnish the said study together with the comments of the said Leading Group to the Bank for review; and (iv) take appropriate steps to implement the said study's recommendations, taking into consideration the comments thereon of the Bank and the said Leading Group (para. 3.29);
(c) SPG shall maintain: (a) a Leading Group for traffic safety coordination, policy making and planning, with functions and responsibilities acceptable to the Bank; and (b) a Traffic Safety Unit within SPTD, with functions and responsibilities acceptable to the Bank, to serve as the Secretariat for the said Leading Group and to carry out a pilot black spot improvement program under terms of reference acceptable to the Bank (para. 3.31); - 57-
(d) Shaanxi shall, pursuant to terms of reference acceptable to the Bank: (i) by December 31, 2000, complete a black spot identification and improvement program; (ii) by December 31, 1998, complete a study of the driver training system; and (iii) by December 31, 2001, have an expert acceptable to the Bank prepare an evaluation of its Road Safety program according to indicators acceptable to the Bank (para. 3.31);
(e) SPTD shall (i) maintain a review panel comprising representatives of the concerned provincial agencies and the central government to guide the study of the Xian east-west bypass and provide comments on the results and recommendations thereof; (ii) undertake and, by June 30, 1997, complete the said study in accordance with terms of reference satisfactory to the Bank; (iii) by August 31. 1997, furnish the said study to the said panel and the Bank for review; and (iv) take appropriate steps to implement the recommendations of the said study, taking into account the comments thereon of said review panel and the Bank (para. 3.33);
(f) the environmental protection measures stipulated in the EAPs, with respect to the Weinan-Tongguan Expressway, Tongchuan-Huangling Highway, Xiaoshangyuan-Lantian Highway, Famensi-Jiangzhuang- Tangyu Highway and Lintong-Terra Cotta Warriors Museum Highway, hereinafter called high-grade highways, and linking roads, as well as the Xian-Sanyuan Highway and the RIPA roads included in the first year package would be carried out in a manner satisfactory to the Bank. Also, RAPs and EAPs for RIPA systems for subsequent years would be prepared in accordance with principles acceptable to the Bank and their environmental protection measures would be implemented in a matter satisfactory to the Bank (para. 3.37);
(g) SPTD shall furnish to the Bank an annual environmental monitoring report for the high-grade highways during the construction phase and for each of the first three years following completion of construction (para. 3.37);
(h) all land acquisition and resettlement activities with respect to the high- grade highways and their linking roads as well as the Xian-Sanyuan Highway and the RIPA roads would be completed according to the RAPs in a manner satisfactory to the Bank (para. 3.41);
(i) the monitoring of the effectiveness and socioeconomic impact of the resettlement process for the high-grade highways and their linking roads as well as the Xian-Sanyuan Highway and the RIPA roads would be carried out according to the monitoring plans in a manner satisfactory to the Bank (para. 3.43);
(j) SPTD shall, for the high-grade highways, furnish to the Bank: (i) by March 31 and September 30 of each year starting September 30, 1996, - 58 -
internal monitoring reports prepared by appropriate agencies of Shaanxi, and (ii) by June 30 and December 31 of each year starting December 31, 1996, external monitoring reports prepared by an independent agency acceptable to the Bank, regarding the implementation and impact of the resettlement activities during the previous six months (para. 3.43);
(k) SPG shall, by June 30 of each year commencing in 1996, furnish the rolling two-year training implementation schedule to the Bank and shall carry out the training under a program acceptable to the Bank (para. 3.54);
(1) SPTD shall undertake and, by June 30, 1999, complete and furnish to the Bank for its review and comments, an analysis and recommendation for the structure of toll rates on the high-grade highways, taking into consideration the results of the recent studies of toll rate structures under the Bank-financed highway projects in China and the experience with tolls on major roads in Shaanxi Province and other parts of China (para. 3.57);
(m) the project accounts and the Special Accounts, including SOEs, would be audited by independent auditors acceptable to the Bank and that audit reports would be sent to the Bank for review within six months of the close of each fiscal year (para. 3.73); and
(n) SPTD shall, on the basis of performance indicators acceptable to the Bank, prepare and furnish to the Bank by March 31 of each year commencing in 1997 and ending three years after completion of the project, an annual monitoring report, in a format satisfactory to the Bank, covering all components of the project and assessing the extent to which different implementation and developmental objectives have been attained in the course of project execution and operation (para. 3.75).
5.4 Submission of evidence regarding establishment of a Leading Group for Road Safety Coordination would be a condition of Board presentation (para. 3.31).
5.5 Approval of the Loan Agreement by the Borrower's State Council would be a condition of loan effectiveness.
5.6 Subject to the foregoing, the proposed project would be suitable for a US Dollar Single-Currency Bank Loan of $210 million to the People's Republic of China. The loan would be for a term of 20 years, including a grace period of 5 years, at the Bank's standard variable interest rate for LIBOR-based US dollar-denominated single-currency loans. - 59 -
TABLE 1.1: TRAFFiCTURNOVER BY MODE, 1980-93
TURNOVERVOLUME OF FREIGHT TRAFFC (billion ton-km)
PetrOIUm Civil and gas Year Total Railway Highway Waterway aviation pipelines
1980 1,202.60 571.69 76.40 505.28 0.14 49.10 1990 2,620.70 1,062.24 335.81 1,159.19 0.82 62.70 1993 3,051.00 1,195.46 407.05 1,386.08 1.66 60.80
Compoundannual 7.42 5.84 13.73 8.07 20.89 1.66 growthrate, 1980-93(%)
Compoundannual 5.20 4.02 6.62 6.14 26.53 -1.02 growth rate, 1990-93(%)
TURNOVERVOLUME OF PASSENGERTRAFFIC (billion passenger-kIn)
Civil Year Total Railway Highway Waterway aviation
1980 228.1 138.32 72.95 12.91 3.96 1990 562.8 261.26 262.03 16.49 23.05 1993 785.8 348.33 370.07 19.65 47.76
Compoundannual 9.98 7.36 13.31 3.28 21.12 growthrate, 1980-93(%)
Compoundannual 11.77 10.06 12.20 6.01 27.49 growthrate, 1990-93(%) - 60 -
TABLE1.2: RoAD ACCIDENTRISKS IN VARIOUSCOUNTRIES, 1993
Number of Vehicles per Number of Fatalities per Fatalities per Vehicles 1,000 Fatalities 10,000 100,000 Country ('000) za 000) L Population (Person) L Vehicles Population
CHINA 1,185,170 13,823 12 63,551 46.0 5.4 Shaanxi (1994) 34,800 214 6 1,604 75.0 0.5 Henan (1994) 90,300 452 5 3,648 80.7 0.4 Brazil 153,900 13,469 88 5,500 4.1 3.6 Canada/d 27,400 20,632 753 3,485 1.7 12.7 Costa Rica 3,200 396 124 235 5.9 7.3 Denmark 5,200 1,991 383 573 2.9 11.0 Egypt/L 54,700 1,986 36 4,315 21.7 7.9 France 57,400 32,440 565 9,052 2.8 15.8 Germany/d 80,600 43,826 544 10,643 2.4 13.2 HungaryLd 10,300 2,510 244 4,577 18.2 44.4 IndiaL 883,600 16,479 19 54,058 32.8 6.1 IndonesiaL/ 184,300 8,889 48 10,887 12.2 5.9 Japan 124,500 79,761 641 10,942 9.6 8.8 MexicoLd 85,000 11,368 134 5,252 4.6 6.2 Norway 4,300 2,981 693 281 0.9 6.5 Pakistan 119,300 2,279 19 6,299 27.6 5.3 Poland 38,400 9,247 241 6,341 6.9 16.5 Korea 43,700 8,210 188 10,402 12.7 23.8 Spairld 39,100 19,128 489 6,014 3.1 15.4 Thailand 58,000 10,243 177 9,496 9.3 16.4 Turkey 58,500 5,648 97 6,444 11.4 11.0 UK 57,800 25,448 440 4,229 1.7 7.3 USA/A 255,400 195,706 766 39,235 2.0 15.4 Zimbabwe/4 10,400 377 36 1,021 0.1 9.8
La Mid -1992 population;World DevelopmentReport, 1994,pp. 162-3. L2 Analysisof accidentrates may be limitedby the fact that numberof vehiclessometimes includes only motor vehicles. However,figures vehicles have been adjustedto includenonmotor vehicles where data was available. Provincialdata on the incidenceof accidentsis basedon motorvehicles plus tractorsand motorcycles;however, does not includebicycles or other vehiclesthat may contributeto the rate of accidents. L World Road statistics1989-1993, International Road Federation. La Data for 1992. L Data for 1990. Table 1.3: CHINA: BANK GROUP-FINANCEDTRANSPORT PROJECTS
Loan/ Loan amount, (credit) Board Date Closing $ million (SAR) Project name number date effective date Bank IDA Status
RAILWAYS Railway Project 2394 03/27/84 07/10/84 12/31/90 220.00 Closed Second Railway 2540 05/14/85 11/22/85 06/30/94 235.00 Closed Third Railway 26781(1680) 04/15/86 01/13/87 06/30/93 160.00 70.00 Ongoing Fourth Railway 2968 06/23/88 03/27/89 12/31/93 200.00 Ongoing Inner Mongolia Local Railway 3060/(2014) 05/12/89 01/03/90 12/31/96 70.00 80.00 Ongoing Fifth Railway 3406 09/24/91 01/09/92 12/31/98 350.00 Ongoing Sixth Railway 3581 03/25/93 07/14/93 12/31/99 420.00 Ongoing Seventh Railway 3897 06/01/95 12/31/2002 400.00 Ongoing
Subtotal 2,055.00 150.00
Total Loan and Credit Amount 2.205.00
IICGIIWAYa Highway Project 2539/(1594) 05/14185 12/04/85 06/30/91 42.60 30.00 Closed Beijing-Tianjin-TangguExpressway 2811/(1792) 05/12/87 12/08/87 12/31/92 25.00 125.00 Ongoing Sichuan Provincial Highway 2951/(1917) 06/09/88 05/31/89 12/31/94 75.00 50.00 Ongoing Shaanxi Provincial Highway 2952 06/09/88 05/31/89 12/31/94 50.00 Closed Jiangxi Provincial Highway (1984) 02/07/89 05/31/89 12/31/95 61.00 Ongoing Shandong Provincial Highway 3073/(2025) 05/25/89 12/11/89 06/30/95 60.00 50.00 Ongoing Zhejiang Provincial Highway 3471 05/19/92 09/02/91 12/31/96 220.00 Ongoing Guangdong Provincial Highway 3530 11/17/92 04/16/93 06/30/99 240.00 Ongoing Henan Highway 3531 11/17/92 04/16/93 06/30/98 120.00 Ongoing Fujian Highway 3681 12/14/93 07/24/94 06/30/2000 140.00 Ongoing National Highway 3748 06/07/94 10/24/94 06/30/2000 380.00 Ongoing Xinjiang Highway 3787 08/30/94 02/09/95 12/31/2000 150.00 Ongoing Shanghai-ZhejiangHighway 3929 08/01/95 06/30/2001 260.00 Ongoing
Subtotal 1.762.60 31600
Total Loan and Credit Amount 2,078. Loan/ Loan amount, (credit) Board Date Closing S million (SAR) Project name number date effective date Bank IDA Status
PORTS AND WATERWAYS Three Ports 2207 11/02/82 02/02/83 06/30/88 124.00 Closed Tianjin Port 2689 05/06/86 03/20/87 12/31/92 130.00 Ongoing fluangpu Port 2877/(1845) 10/06/87 10/03/88 12/31/93 63.00 25.00 Ongoing Dalian Plor 2907/(1975) 02/09/88 10/03/88 12/31/93 71.00 25.00 Ongoing Ningbo and Shanghai Ports 3006 12/13/88 05/09/89 12/31/93 76.40 Ongoing Xiamen Port 3007 12/13/88 01/09/90 03/31/94 36.00 Ongoing Ship Waste Disposal 2391 06/17/92 12/12/92 06/30/96 15.00 Ongoing Shanghai Port Restructuring and Development 3552 12/22/92 05/13/93 06/30/99 150.00 Ongoing Inland Waterways 3910 06/20/95 06/30/2001 210.00 Ongoing
Subtotal 860.40 0.00
Total Loan and Credit Amount 925.40
MULTIMODAL JiangsuProvincial Transport 3316/(2226) 04/09/91 09/06/91 06/30/96 100.00 53.60 Ongoing 0>
Total Loan and CreditAmount 153.60
URBAN TPRANSPORT Shanghai Metropolitan Transport (2296) 09/10/91 09/10/91 06/30/98 60.00 Ongoing Second Shanghai Metropolitan Transport 3652 10/14/93 150.00 Ongoing
Total Loan and Credit Amount 210.00
GRAND TOTAL 5.S72.60
Source: Compilcdby the mission. - 63 -
TABLE2.1: ECONOMICDATA, 1993
GOVAI Laper capita Population GOVAI La (Y) As a multiple of (million) (Y billion) national average
China(national total) 1,185.2 6,368.8 5,374 1.0
Shaanxi Province 34.4 106.3 3,090 0.7 Xian b 6.3 34.3 5,444 1.0 Tongchuan 0.8 2.2 2,750 0.5 Baoji 3.4 15.2 4,471 0.8 Xianyang 4.5 16.0 3,556 0.7 Weinan 5.0 8.7 1,740 0.3 Hanzhong 3.6 9.6 2,667 0.5 Ankang 2.9 3.9 1,345 0.3 Shangluo 2.3 2.7 1,174 0.2 Yanan 1.9 5.0 2,632 0.5 Yulin 3.0 3.1 1,033 0.2
Ohier Provinces Henan Province 89.5 311.6 3,482 0.6 Sichuan Province 111.0 370.2 3,335 0.6 Jiangxi Province 39.7 129.6 3,264 0.6 Xinjiang Autonomous Region 16.1 64.6 4,012 0.7 Shandong Province 86.4 696.4 8,060 1.5 Guangdong Province 66.1 613.6 9,283 1.7 Jiangsu Province 69.7 797.1 11,436 2.1 Zhejiang Province 42.7 447.2 10,473 1.9
Li Gross Output Value of Agriculture and Industry. al Data on prefectural levels is as of 1992.
Sources: China Statistical Yearbook 1994; Shaanxi Statistical Bureau. - 64-
TABLE2.2A: SHAANXI:PASSENGER TRAFFIC, 1980-94
Annual growth(%/6) 1980 1985 1989 1990 1991 1992 1993 1994 (1980-94)
PassengersTransported (millions) Railways 23.81 28.80 27.71 22.91 23.17 24.70 27.85 30.18 1.7 Highways 46.32 125.76 168.00 177.77 192.62 193.46 214.73 201.79 11.1 Civil aviation 0.14 0.32 0.47 0.54 0.66 0.85 0.96 1.01 15.2 Inland waterway 0.07 0.28 0.60 0.75 0.69 0.70 0.77 1.01 21.0
Total 70.34 155.16 196.78 201.97 217.14 219.71 244.31 232.98 8.9
Passenger-Kilometers Railways 5,746 9,267 12,278 10,457 11,634 12,537 14,066 17,229 8.2 Highways 1,623 4,475 -6,470 7,234 6,717 . 6,972 9,702 9,518 13.5 Civil aviation 117 537 1,038 1,438 1,827 2,162 2,878 2,738 25.3 Inland waterway 1 4 9 11 11 11 11 16 25.3
Total 7,487 14,283 19,795 19,140 20,189 21,682 26,657 29,501 10.3
Averaee Travel DistanceLa Railways 241 322 443 456 502 508 505 571 6.4 Highways 35 36 39 41 35 36 45 47 21.1 Civil aviation 833 1,679 2,209 2,663 2,768 2,544 2,998 2,711 8.8 Inland waterway 10 14 15 16 16 16 15 16 3.6
LaAverage travel distance= passenger-kilometers/passengerstransported.
TABLE 2.2B: SHAANXI: FREIGHT TRAFFIC, 1980-94
Annualgrowth (%/6) 1980 1985 1989 1990 1991 1992 1993 1994 (1980-94)
Tons Transported (millions) Railways 23.93 28.98 30.69 31.06 29.95 30.43 31.22 35.01 2.8 Highways 37.99 144.27 170.82 181.12 196.25 205.47 237.82 243.70 14.2 Civil aviation 0.002 0.007 0.01 0.01 0.01 0.014 0.201 0.152 36.3 Inland waterway 0.142 0.160 0.20 0.24 0.26 0.33 0.31 0.34 6.4
Total 62.06 173.42 201.72 212.25 226.47 236.24 269.55 279.20 11.3
Ton-Kilometer (millions) Railways 16,457 24,521 32,549 33,678 35,183 35,517 35,906 44,219 7.4 Highways 2,466 5,362 7,745 7,206 7,368 8,237 9,918 9,954 10.5 Civil aviation 3 14 22 27 31 30 48 45 21.0 Inland waterway 12 18 26 18 20 27 23 25 5.7
Total 18,939 29,915 40,342 40,928 42,601 -43,784 45,895 54,243 7.8
AverageHaul DistanceLa (km) Railways 688 846 1,061 1,084 1,175 1,167 1,150 1,263 4.4 Highways 65 37 45 40 38 40 42 41 -3.2 Civil aviation 1,560 1,979 2,200 2,700 3,062 2,143 2,394 2,961 4.7 Inlandwaterway 85 115 132 74 76 81 73 73 1.1
LaAverage haul distance= ton-kilometers/tonstransported. - 65 -
TABLE2.3: SHAANXI:ROAD NETWORK, 1994
Classification Express- Unclas- Total Percentage By administration way I II III IV sified (km) of total
National 16 67 842 2,015 987 72 3,999 10.3 Provincial - 6 415 2,623 1,277 476 4,797 12.3 County - - 107 4,592 8,721 1,795 15,214 38.9 Township - - 19 1,246 6,729 5,169 13,163 33.7 Other - - 4 296 1,576 10 1,886 4.8
Total 16 73 1,387 10,772 19,286 7,522 39,059 100.0
Percentage of total 0.0 0.2 3.6 27.6 49.3 19.3 100.0
Source: Shaanxi Provincial Transport Departnent. Table 2.4: SHAANXI: VEHICLE FLEET, 1985-94
Annual growth (%) 1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1985-94
Large trucks (>7 tons) 52,983 53,461 57,033 59,855 65,522 68,412 67,647 70,593 109,668 121,208 9.5 Medium&smalltrucks 5,292 8,191 11,943 14,653 16,314 19,242 22,777 27,711 104,806 116,205 40.9 Buses(>25 seats) 6,192 6,967 7,419 6,730 8,053 7,243 8,763 9,572 12,170 14,521 9.9 Small buses& passengercars 15,623 20,041 22,120 25,411 29,721 32,056 38,036 46,464 55,445 66,152 17.4
Trucks for specialuse/a 597 2,062 2,146 2,754 3,524 3,894 3,052 1,827 2,360 3,232 20.6 Othervehicles for specialuse /b 463 2,134 2,220 2,849 3,645 4,028 4,107 4,324 10,058 9,524 40.0 Specificvehicles Lc 615 2,916 3,034 3,893 4,982 5,505 5,685 5,164 4,862 5,093 26.5
Subtotal 64,323 95,772 105,916 116,145 131,760 140,380 150,067 165,655 189,701 214,737 14.3
Wheeltractors 163,176 184,727 208,413 217,905 233,280 251,154 260,299 258,054 255,963 249,191 4.8 Motorcycles 18,489 28,575 45,834 46,665 55,832 66,521 109,454 133,215 166,974 208,092 30.9 Other vehiclesLd 2,777 3,290 3,383 8,700 6,667 8,706 10,284 15,657 29,827 32,390 31.4
Total 271,404 349,359 401,716 431,557 473,825 516,004 530,604 572,572 642,465 704,400 11.2 la Includesdump trucks, oil tankers,refrigerated trucks andcement tankers. L2 Includeswater bowsers, workshop cars, post delivery cars,veterinary cars, cars for epidemicprevention and truck cranes. lL Includesfire trucks,ambulances, wreckers and sentrytrucks. ad Includeselectric cars and agriculturaltransport vehicles.
Source: PublicSecurity Bureau. -67-
TABLE2.5: SHAANXI: FREIGHT HANDLEDBY PUBLIC ANDPRIVATE TRUCKS, 1985-94
1925 1986 1987 1988 1989 1990 1991 1992 1993 1994 Annualgrowth, 1985-94(%) AnnualInagm (millin ) Publictrucks LA 47.75 54.83 67.85 64.05 68.76 76.58 75.16 81.60 97.22 98.35 8.4 PrivatetrucksL 96.52 75.19 73.27 92.07 102.06 104.54 121.09 123.87 140.60 145.35 4.7
Total 144.27 132.02 141.12 156.12 170.82 181.12 196.25 205.47 237.82 243.70 6.0
AnnulTo-r (millinn) Publictrucks La 3,653 3,894 4,466 4,475 5,140 4,386 4,348 4,518 5,833 5,803 5.3 Privatetruckslb 1,808 2,494 2,134 2,268 2,605 2,820 3,020 3,719 4,085 4,151 9.7
Total 5,362 6,3U8 6,600 6,763 7,745 7,206 7,368 8,237 9,918 9,954 7.1
Avenra Haul Dislace (kni! Publictrucks LS 76 71 66 70 75 57 58 55 60 59 Privatetrucks 19 33 29 25 26 27 25 30 29 29
Total 37 49 47 43 45 40 38 40 42 41
LbPublic carrier; includingall govenmmenttransport sectors and collectiveenterprises. & Publiccarrier; private ownership.
Source: ShaanxiProvincial Transport Department.
TABLE2.6: SHAANXI: RoAD ACCIDENTS(1985-94)
Number of accidents Number of fatalities Number of persons injured
1985 2,393 719 1,443 1986 9,560 1,726 6,062 1987 10,224 1,906 6,265 1988 8,820 1,762 5,188 1989 8,771 1,546 4,773 1990 8,352 1,479 4,724 1991 8,573 1,594 4,722 1992 7,169 1,483 4,099 1993 7,531 1,548 3,918 1994 7,664 1,604 3,982
Source: Public Security Bureau, Shaanxi. Table 2.7: SHAANXI: HIGHWAYREVENUES AND EXPENDITURES (Y million) Actual I Estimate SeventhFive-Year Plan EighthFive-Year Plan | NinthFive-Year Plan 1986 1987 1988 1989 1990 7FYPtota/ 1991 1992 1993 1994 1995 8FYPTota 1996 1997 1998 1999 2000 9FYPTotal
R- Maintenancefee 262 260 319 357 410 1,608 427 458 498 554 630 2,567 711 774 840 910 987 4.222 Of which: Amount retainedby SPTDfor 227 223 273 272 312 1,307 326 350 380 423 480 1,959 541 589 638 691 750 3,209 constructionand maintenance Tolls from high-gradehighways 0 0 0 0 9 9 18 28 51 70 85 252 102 110 144 155 247 758 Other roadand bridge tolls 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 GrantsfromMOC 17 39 55 57 97 265 39 124 159 203 210 735 266 316 376 326 326 1,610 Fund and productsfor poverty alleviation 36 36 36 36 36 180 17 17 17 55 55 161 49 48 49 48 48 242 Grantsfromthe Province 4 5 7 57 72 145 61 81 74 71 92 379 110 123 137 153 168 691 Evaluationofobligatorylabor II II II II 1 55 19 19 19 20 20 97 29 29 29 29 29 145 Extemalborrowing 0 5 11 97 47 160 98 106 22 197 200 623 407 431 474 344 138 1,794 Domesticloans 5 5 0 71 0 81 2 49 13 47 100 211 100 100 100 100 150 550 Other/a 0 0 0 0 11 11 66 155 282 291 319 1,113 344 370 399 538 574 2,225
'rotal 335 361 439 686 693 2,514 747 1,037 1,135 1,508 1,711 6,138 2,118 2,301 2,548 2,603 2,667 12,237
Expendilurs Transfersto Energyand CommunicationFund 35 37 46 51 59 228 61 65 71 78 90 365 102 IH1 121 131 142 607 Transfersto BudgetAdjustment Fund 0 0 0 34 39 73 40 43 47 52 60 242 68 74 81 88 95 406 SubsidyforPublic SecurityBureauregulation 7 21 10 14 12 64 11 13 13 15 16 68 16 17 17 18 18 86 expenses Maintenanceand construction 263 246 283 396 464 1,652 499 758 741 1,061 1,040 4,099 1,806 2,008 2,238 2,219 2,102 10,373 Routinemaintenance 35 36 39 43 46 199 56 65 75 101 109 406 121 130 137 146 156 690 Periodicmainenance 41 43 48 51 53 236 61 69 81 63 90 364 105 115 126 138 151 635 Rehabilitationand new construction 177 150 179 287 348 1.141 364 604 563 868 807 3,206 1,541 1,719 1,925 1,880 1,735 8,800 Of which: New construction 88 87 113 299 272 859 274 468 414 701 606 2,463 1,017 1,210 1,340 1,130 946 5,643 Emergencyand naturaldisasters 7 10 9 7 8 41 10 12 9 12 14 57 17 20 23 25 27 112 OtherL 3 7 8 8 9 35 8 8 12 17 20 65 22 24 27 30 33 136 Admiinistrativeexpenses/c 31 32 41 44 52 200 62 73 99 125 138 497 162 179 198 220 243 1,002 Otherexpenses/g 21 15 35 49 60 180 55 68 98 99 100 420 102 102 103 104 105 516 Repaymentofloans 5 0 5 4 5 19 7 29 39 52 126 253 163 160 204 228 335 1,090
Total 362 351 420 592 691 2,916 735 1,049 1,108 1,482 1,570 5,944 2,419 2,651 2,962 3,008 3,040 14,080 /a Othersources include: the highway constructionfund and the operation-addedcharge. The criteria of constructionfund changesfrom Y 20/ton/monthin 1990to Y 50/ton/monthfor freight trucks andY 75/passenger car/month.The operation-addedcharge for eachfreight truck wasY 30/ton/month. This revenuewill totally be usedfor the constructionof trunk highways. Lb Othercosts include: works of ferry, highway greening,maintenance gang housing and surveyand designexpenditures. & Administrativeexpenses include: material storehouses,workshops, scientific research,new technologydevelopment, training and education,road condition and traffic surveys,staff housingand offices,road administration, maintenanceequipment cost, bridge inspection,etc. /d Other expensesinclude: salary of retired staff, social security,expenses of affiliated middle schools,etc.
Source: SPTD Table 2.8: SHAANXI: FUEL PRICES (Yuan per liter)
September 10, 1986 May 1993 July 1995 International Planned L/ Market Planned Market Market prices la
Gasoline (70 oct) Lb 0.62 0.88 0.62 1.20 1.91 1.17 Index
Gasoline (90 oct) lb 0.69 0.98 0.69 1.31 2.15 1.37 Index
Diesel /g 0.42 0.84 0.42 1.18 1.88 1.10 Index
Consumer price index -d------106.5------208.4------(base year 1985)
La Planned allocation prices. /b Prices of gasoline include an aggregate of 43 percent central government fuel taxes. /c Prices of diesel include a 13 percent central government fuel tax. /d Consumer price index at end of year 1986 and 1993, respectively. Lg Average wholesale prices for regular/premium unleaded gasoline and No. 2 diesel fuel, FOB refineries, pipeline terminals and inland waterway barge terminals (August 3, 1995, Baltimore).
Sources: Shaanxi Provincial Transport Department; Platt's Oilgram Price Report, McGraw-Hill Inc., New York, USA, 1995, Vol. 73, No. 149, p. 5. Table2.9: PLANNEDHIGHWAY DEVELOPMENT IN 9FYP (1996-2000)
Roadtype Length(km) Estimatedcost (Y million) Remarks
High-gradehighways Expressways 131 1,890.7 Class I highways 106 2,531.6 ClassII motorvehicle only highways 137 777.2
Sublotal 374 5,199.5
Nationaland provincialroads New constructionof Class 11highways 117 636.3 Includingtunnels and bridges Upgradingto Class II highways 672 1,558.8 Upgradingto Class IIl highways 755 505.3
Subtotal 1,544 2,700.5
Countyand township roads (262 projects _, Improvementof Class IIl roads 240 60.4 ° New constructionof Class IV roads 1,220 250.0 Improvementof Class IV roads 3,440 536.5 Bridges 4,500m/ 53.1 56 sites
Subtotal(new constructionand improvement) 4,904 900.0 (bridges) 4,500 m/ 53.1 56 sites
Total Roads 6,821.8 8,800.0 Table 2.10: SHAANXI: PLANNED HIGHWAY DEVELOPMENT PROGRAM FOR ARTERIAL HIGHWAYS IN 9FYP (1996-2000) (Y million)
Construction Estimated Investment Upgrading New construction Road scope cost in 9FYP 1996 1997 1998 1999 2000 Total 1996 1997 1998 1999 2000 Total
Total 7,900 403 388 502 500 466 2,259 1,092 1,296 1,323 1,202 728 5,641
Lintong-Weinan Expressway,41km 493 193 ------193 - - - - 193 Weinan-Tongguan Expressway,78km 1,397 1,397 - - - - - 400 360 360 277 - 1,397 Xian bypass Expressway,12km 300 300 - - - - 100 100 100 - - 300 Tongchuan-Iluangling Class 1,70km+18km 1,950 1.950 ------400 500 650 399 1,950 FamenTemple-Jiangzhang-Tangyu ClassIf only 194 194 ------50 80 64 - 194 motorway, 36km Lingtong-TerraCotta Class 11only 30 30 ------26 - - - - 26 motorway. 5.6km Lantian-Xiaoshangyuan Class 11only 353 353 ------100 180 73 - - 353 motorway,48km Baoji-Niubei Class1, 17.8km, 612 515 - - - 27 28 55 90 90 90 90 99 459 Class If motorway 8.2km,Class 1148km Xi'an-Zhashui Class 11,69km 560 560 ------100 100 120 120 120 560 Weinan-Yumenkou Class 1, 190km 3,500 100 ------100 100 . Yanan-Yulin Class11, 280km 750 750 90 90 190 190 190 750 ------Huangling-Yanan Class 11,13 km 42 32 16 16 - - - 32 bridge, 250m/1 tunnel,262m/1 Hanzhong-Jizhai Class 11only 90 90 - 30 30 30 - 90 motorway,24km Zhouzhi-Yangxian Class 11,61km 109 109 15 17 19 25 33 109 Taiyu-Huoshizui Class 11only 125 65 65 - - - - 65 motorway, 15km + tunnel (1,300m) Huanglong-Yichuan ClassII], 180km 150 112 28 28 28 28 - 112 Ankang-Xunyang Class 11,50km 110 110 - - 30 40 40 110 Huoshizui-Theboundary between Class 11,41 km 76 60 20 20 20 - - 60 Gansuand Shaanxi Ansai-Jingbian ClassIII, 102km 90 84 42 42 - - - 84 Yanan-Wuqi-Pengtan ClassIII, 48km 30 20 10 10 - - - 20 Dacheng-Fuping-Pucheng Class 11,62km 121 121 - - 30 40 51 121 Yulin-Jiaxian Class111, 70km 70 40 10 10 20 - - 40 Shuhebridge 320mA1 13 7 - - - - - 7 Lueyang-Wujiahe ClassIII,45km 33 33 - - 10 10 13 33 Langao-Zhenping Class111, 119km 76 76 15 18 18 25 - 76 - - - - - Pingli-Ankang ClassIII, 50km 46 38 13 13 12 - - 38 Xunyang-Baihc ClassIII, 132km 80 80 - 10 15 20 35 80 Shanyang-Linyou Class111, 9km 9 7 3 4 - - - 7 Construction Estimated Investment Upgrading | New construction Road scope cost in 9FYP 1996 1997 1998 1999 2000 Total 1996 1997 1998 1999 2000 Total
Sanyuan-Jingyang-Xianyang Class11, 41km 80 80 - - 20 25 35 80 Jinsuoguan-Zhengtongcha Class11, 21km 45 37 17 20 - - - 37 Baoji-Qianyang Class11, 45km 65 59 19 20 20 - - 59 Shangzhou-Shangnan Class11, 130km 200 200 40 40 40 40 40 200 Xian-SanyuanAccess Control Upgrading 107.5 87.5 87.5 - - - - - 73 -
TABLE 3.1: HIGH GRADE HIGHWAYS: GEOMETRIC AND PAVEMENTDESIGN CHARACTERISTICS
Lintong- Famensi- Weinan- Tongchuan- Lantian- Terra Cotta Jiangzhuang- Tongguan Huangling Xiaoshangyuan Warriors Museum Tangyu
Geometric Design Characteristics
Length(km) 78.1 73.6(18.4)LA 48.3 5.9 34.8 Toll system Closed Closed Open Open Closed Interchanges 6 10 0 0 3 At grade intersections 0 8 6 2 0 Tunnels 0 4 6 0 0 Viaducts 0 3 0 0 0 Grade separations 20 7 2 4 9 Long bridges 8 34 6 0 4 (3) Medium bridges 9 29 20 0 3 Short bridges 6 26 13 0 4 Underpasses 178 65 16 5 27 Overpasses 17 18 0 4 1 Culverts 164 194 116 15 64
Pavement Design Characteristics
Surface 4cm mgAC 3cm fgAC 2.5cm fgAC 4cm mg AC 3cm fg AC Subsurface (1) 5cm cg AC 4cm mg AC 5cm mg AC 5cm cg AC 5cm mg AC Subsurface (2) 6cm cg AC Base 20cm ls/sg 20cm ls/sg 18cm 20cm ls/sg 20cm lfa/sg Subbase 25cm Is 20-25cm Is 27-36cm 25cm Is 20-241fa/sag Total 54cm 53-58cm 52.5-61.6cm 54cm 48-52cm
Detailed Design and Bid Document Completion and Review Schedule
Completion Dec 1995 Jan 1996 Dec 1995 Dec 1995 Dec 1995 Review by Italian Feb 1996 Feb 1996 Feb 1996 Feb 1996 Feb 1996
La Upgrading of Xian - Sanyuan
Note: Abbreviations for Pavement Design: fg Fine grain mg Medium grain cg Coarse grain AC Asphalt Concrete Is lime sg sand-gravel f-a fly-ash Ifa lime fly-ash Table 3.2: TIlE UPGRADING AND NEW CONSTRUCTION PROGRAM FOR LINKING ROADS
Improvemerplan ( ulfenmsiluamion Asphalt Poposed Planned Type& Curren ADIT | Traffic volumeprojecrion Lengthto be crrcrete Width of imple- Total imple- No of widlh of Shoulder conditionof Truck 2000 2005 2010 201S inrptoved No of pavement shoulder nenlariun cost memation Linking roadro Class lanes surface width(m\ pavemen Year lequrv - - (ir-ck equiv)------Class (k.) lanes widthIn) (m) period (Y nilhon) prograu
NEW CONSTRUCTION
Weinan-TonmmuanExpresrsa GangkusInreechange No existingroad I.800 2760 3,960 4,550 11 1 5 2 2x4 5 2x1 5 1946-99 106 Bank loastnew Branchline uunstnur6in
fL)e!gLS'll k-immi,:WglHlins &wBY Shajia.e-Yijulnl Nu cc-cirtgtud 310 6o0 1,040 2,270 II 1 2 2x4 s 2 1S 1i90-qM 20 4 Ir-L1 kL.r. .. s
Sanhek Iu-Iluanglinglu No exisringroad 2,450 3,200 4,020 5,00 II 16 2 2x4 5 2x1 5 1996-99 157 Bankloan, new coaruWtroton
Subtotal 1.2 46.7
IhMPROVEEXISTING ROADS
Wei na-Tongg.an GorrgLou-Tongguan III 2 2x3 5 2xo0S Fair, asphalt 1995 1,210 2,040 3,150 4,510 7,950 II 8 5 2 2x4 5 2xl 5 1996-9g 128 Upgrading nd widening. cuustru,uedhy C.orty using o.n funds
2 Qinjishe-Burdia IV I 45 2x0 5 Bad,gravel 1994 350 380 390 420 430 III 50 2 2x 5 2x0 75 1996-92 75 Upgrading nd widening, *sphals,using userfunds Pengcan-Sarrhu IV 2 2o30 2n075 Fair. gravel 1994 45 90 ISO 240 420 III 4.5 2 2n3S ZoO75 1996-92 628 Upgraditngand widening, sspakdc,using useRfunds Famensi-JianzImrnsa-Tans, AnncFufemg III 2 2x] 2x0 75 Goed,dnphlt 1994 1,200 2,100 2,650 3,120 4,370 11 30 2 2x4 5 21.5 1996-9S 4 5 Upgrding nd widening;aning ownfunds
Subw 21.0 31,.6 Table 3.3: SUMMARY OF INSTITUTIONALSTRENGTHENING AND TRAINING
Training Equipment /a Total US Dollars Yuan Share S Share Yuan Share S Share In Yuan In $ % of Total (000) (000) (000)
INTENSIVE STRENGTHENING Shaanxi Provincial Transport Department 73.20 94.18 653.29 186.54 3,056.47 368.25 76.2 Highway Survey and Design Institute 121.40 99.48 2,788.12 996.68 12,007.65 1,446.70 75.8 Highway Research Institute 73.60 44.00 299.70 261.60 2,909.78 350.58 87.2 Provincial Traffic School 4.40 16.00 1,301.78 85.00 2,144.48 258.37 39.1 Technical Training School (SHAB) 14.40 13.74 106.44 103.90 1,097.25 132.20 89.0 Staff Training Center 4.40 21.74 184.84 22.27 97.6 Project Execution Office 0.00 16.00 132.80 16.00 100.0 Road Safety Group 0.00 16.00 400.00 0.00 532.80 64.19 24.9
OTHER TRAINING High-Grade Highway Administration Bureau 211.00 88.18 942.89 113.60 77.6 Highway Administration Bureau 1,069.80 132.10 2,166.23 260.99 50.6 Traffic Engineering Quality Supervision Station 6.00 5.74 53.64 6.46 88.8 General Supervisor Office 910.00 240.00 2,902.00 349.64 68.6 Traffic Engineering Allotment Station 4.00 13.74 118.04 14.22 96.6 Information Station 40.20 14.00 156.40 18.84 74.3
STUDIES Xian Bypass 0.00 0.00 0.00 0.00 3,940.00 474.70 20.2 STUDIES IN ROAD MAINTENANCE 0.00 0.00 1,951.20 467.00 5,827.30 7,02.08 66.5
Total 2,622.00 906.12 13,583.53 2,100.72 45,102.30 5,434.01 57.1
/a Includes cost of Studies in Road Maintenance Table 3.4: TRAINING PROGRAM
TRAINING IN CHINA *1 | TRAINING ABROAD Study Tours_| TOTAL[ SUBJECT OF TRAINING AGENCY CONTENT OF TRAINING NVrM CONTENT OF TRAINING N P/M N P/M j b YUAN in USS
______= =_=_ (,OOO°) ______I _ __ I ______= = TrafficEngineering SPTD Locationof semvia Deignmethods for 3 3 R u developmentin trffic engineering 3 2 149.36 18.00 ______mm~~~~~~~~~~munica,tontnd monitoing faicilities; pnzbkmsof trafirTcmangement; Visits h ~~~~~~~Designof huab interchangef surveyof tmfficengineering pr bctim
______PEO Trafricenginee:ing deipnd impl:mentation 2 2 Recenttheories tmd praices in wTic = 2 1.4 99.68 12.01 1 engineering;visits of selecedmodel sites
Coordinationwith traffic alignmentand volume; 9 9 internatiolal practicesin trfric engineerng 4 4 333.04 40.13 ._.___._. HSDI ______,______33i Auto-chargc& interchangesurveillance system Visits to cDnstuctionsites nd traLTic .
design design ma gmen
HRI Signaling;Safety devices, Interchangs design 2 2 Surveillace chage lites; pivotal 2 2 137.20 16.53 . __. _ _ . ~~~~~~~Survelillanceandch"r facilities __ . |_ interchanges.safetydrvice modcls |__ _ |_ _ ! ~~~~~~~~~~~~~~~~~~~~~~~~~~~~ViSitto mDnstructionsites
. PTS Safetyfilitiesatheories of sscuturedesign of 2 2 surveillnce,chargin&pivotal interchange 2 2 137.20 16.53 insrchange& alignment.volume distribution. f VisitS to constution sites Surveillnce andtolling ______
HGiHAB Engineeringdesign priiciples; site visius 2 2 Engineeringdesign theory site visits 1 0.7 118.44 14.27
Tunnel Design HSDI Theoriesof tunneldesign. rock suppor ad| 7 7 Tunnel design.rock siuppon & protecion. 3 6 364.00 43.86 protection;ventilation and lighting (visibility, T_ ventilation; lighting and surveillance Visit 0- -and trasition);surveillance of ompleedtumnel ______
______HRTTheoriesoftunneldesign; rocksuppon and 3 3 Tunneldesign;rock upport&protetion; I 2 122.80 14.80 protecion; ventilationand lighting; surveillance T_ ventilation; lighting dwsurveillance Visit | of completedtunnel ______
Enviromnental Protection PEO Monitoringmeurnents pollutioncontrol, noise 26 16 3 6 381.80 46.00 and Monitoring control; water & soil conservation;visit control facility ad operatemonitoring equipment(6)
Courseon environmentalsupervision ( 20)
_ _ HSDI Monitoring meamrmnent:pollution control, noise 3 3 lnterbational einmsfor environmental I 0.7 53.64 6.46
control; water & soil conservation;visit control monitoring. preventionand control for
facility andoperate monitoring equipment ____|pollution. noise vibration andsoil erosion ______
HGHAB Monitoring measurenent:pollution control. noise 7 7 workshopon environmentalprotection _ 1 0.7 61.64 7.43
control; water & soil conseivation;visit control Sitevisits
facility ad opeate monitoringequipment
HAB Monitoring erasuresent: pollution control,noise 7 7Handlingd use of mmitoring devices 1 0.7 61.64 7.43
control; water & soil conservation;visit control - | - dvaned expefiencesin pollution and
_facility andoperate monitoring equipment noisecontol; mr nvey of protectiondevices I Table 3.4: TRAINING PROGRAM
|______TTRAINING1 IN CHINA TRAINING ABROAD 1 Study Tours TOTAL SUBJECT OFT AGENCY CONTENT OF TRAIN P/M CONTENT OF TRAINING N P/M[ N PM YUAN USS
______- N G _ _ _ IN ______
TEQSS M iontxingmeasurement pollution control. noise 3 3 ntruattiona;meuens forenvioemental _ 0.7 53.64 6.46
control; water& soil conservation;visit control monitoring, preventionand control for
facility andoperte monitoringequipment pollution, noise,vibrtion andsoil erosion
ConstruclionSupervision GSO ContractManagement Quality Management 450 450 Theoriesand practice of constrution 30 30 2902.00 349.64
Completioncontrol. Expendituremanagement supervision;Case analyis and sitevisits
(4 cyclesof 100supervisors), Theories and (30 supervisors)
practiceofConstnidionsupervision (for50
supeisors in other pamsof China)
Project Management SPTD Bid invitation andevaluation, 2 Bid invitation andproject management _ I 2 1.4 165.68 19.9 Projectmanagement & construction supervision |Constructionmanagement theory and
_currentpractices = __ PEO Bidinvitation h evaluation,Engineering 8 8 Bid invitationand evaluation. Project 2 21 1 0.7 196.11 23.63
superision . Methodsof contractorselection, administration& engineeringsuperision
______Projectmanagement mehods Trends in projectmanagement _ _ _ HGHAB Bidinvitation and evaluation, Engineering 8 8 Bidinvitation and selection; engineering _ I I 0.7 130.04 15.67 Supervision - supervision;Project implementation
B_-AB Bid invitation andevaluation, construction 0 10 Bid invitation, Projectmanagement and I1 2 1.4 181.68 21.89 managementand engineering supervision 4 engineeringsupervision, surveys and site local sitevisits visits -_____t______
TEQC Tenderpricing andevaluation; trendsin costing 2 2 Advancedcost management; rational I 1 07 118.04 14.22
of constructionprojects; Case study analysis tende priceaffirmation. Managementof engin eeinscost ______! _
ComputerTraining HAB Computerapplications for monitoring of RIPA 30 30 Managementof monitoring systemsL 6 4.2 345.52 41.63
program using computem ______
Highway Planning SPTD Systemsplanning, appraisals and methods 21 41 Advancedissuen in Prediction.Analysis I 2 125.00 15.06
______(e g prediction,optimiztion, distribution,tic) Optimiztion. Distributionand Appraisal
HSDI Theociesof planning,prediction, analysis ad S 16 Predictiot aralysis selection,appraisal 1 2 _ 151.40 18.24
selectivedistribution and ppraisal |Principles for relevtnt parmtmierffirmatin Visitat national sites Visitsmodel sites of highwayplanning ______
.tHI Theoriesof planning.prediction, analysis and 4 8 Predictionanalysis, selection, appraisai 1 2 133.80 16.12
_seective distribution andappraisal Principlesfor relevantpaurtaser annatiarmn
Visit at nstionalsites j Viits modelsites of highwayplanning ______HAB Theonyofplanningprojections,analysis, 3 6 Advancedstudyinarmnscovered in 1 2 129.40 15.59
optimization Speciricapplications to national _ - training within China Table 3.4: TRAINING PROGRAM
______~~_ _ ~_ ~ ~ ~ I I I Im _ _ I _ TRAINING IN CHINA TRAINING ABROAD Study Tours TOTAL SUBJECTOF TRAINING AGENCY CONTENTOF TRAINING | N P/M CONTENTOF TRAINING N P/M N jP/M YUAN US$ __ _ . ______(,000)
economy,traffic volumeprojections,distribution _ _ _ T_ ____ andappraisal systems and methods I - I - F TIC Theoriesof planning,prediction, analysis and 3 6 Predictionanalysis, selection, ppraisal 1 2 12940 15.59
selectivedistribution and appraisal Principlesfor relevantparamter affinmatin ______.______Visit at national sites Visits modelsites of highwayplanning _ T_
Iligh-Curade lighiway SPTD Operationsand Maintenance management 2 2 Avancedmanagement skills: trendsin I I I 0.7 118 44 14 27
Maintenance and Manageiiicnt c g toll determination,monitoring. operations HGH maintenanceand survey of model
of communicationsfaciliies mfngemetm organizations
HGHAB Operationsmanagementmethodsandsitevisit 203 153 Operationsandmaintenance 4 4 2.8 506.77 61.06
(45) MaintenancetheDry &visit (g), Advauncedmanagement systems. HGH ___
Maintenance.tolling.monitoring, site survey(I SO) nmaintenance and machienery applications
and servicing t I _ PTrS High gradepavement and sub-grademaintennce 7 7Maintenanceof high gade highways. 2 2 1 0.7 194.84 23.47 Bridgeand culvert, tunneland safety facility Visits of high gradehighway facilities
_ _- ______maintenance;Use nd protection of maintenance __|_|______t
devices, tolling ______00 GeneralRoad Maintenance SPTD Subgradeand pavement maintenmnce; bridge nd 1 21 2 Advancedhighway maintenance practices 1 I 1 0.7 118.44 14.27 culvert maimenanceand service mceds andmeasures ______
HAB Subgradeand pavement maintenance; Bridge & 308 308 Studyof highwaymaintenance nd 3 3 6 4.2 1102.65 132 85 culvert maintenance;machienery maintmenance(300) _ J |machieneryservicing Tunnel maintmnce(B) I_
_TTS(HAB) Subgradeand pavementmaintenance, bridge and 2 2 Advancespractices in Highway nd 2 2 I 0.7 184.84 22.27
culvert; tunnelprotection; machienery operation machinerymainenance
and scrvicing;organizationof maintenanceworks ______
RIPA Road Maintenance HAB 20 to be trainedas Trainem. These will train 30 2000 1500 | 300.00 36.14 in eachof 5 prefectures.Over 4 yea.
330 trainedin counties. Contest similar to
descriptions above L I_I_I_I_I_I_I
Financial Management SPTD -Highy constuction rinancial appraisal 2 2 132.80 16.00
PEO Economicanalysis tfinanci assessment 2 2 132.80 16.00
with applicationsto constuectionprojects
STC(CD) 2. 2 _ 132.80 16.00
1~l l ll Table 3.4: TRAINING PROGRAM
1 1 TRAININGIN CHINA | TRAINING ABROAD Study Tours | TOTAL SUBJECTOF TRAINING AGENCY CONTENT OF TRAINING IN P/M CONTENTOF TRAINING N i/M|NJP/M YUAN USS ______I ______tJ _ _ _ = (f000) EnglishLanguage Training SPTD,PEO EnglishGrammar, vocabulary and Tr!!,laion 9 54 81.00 9.76 _HSDI,HRI skills,oral communicAtions ndtechnica I 0 60 = ______=90.00 10.84 HGHABHAB translations 10 60 90.00 10.84 TIC 3 18 27.00 3.25
RoadSafety RSG Localworkshops with foreign experts on -=Workshop andsemina on current pracice 2 2 132.80 16.00 drivertraining nd road safety. data processmig inrad safetyaNd safety evaluation aspectsoftraffic engineering measures.evaluation of driver training
TOTAL _____ 31621 27821 1 78 90.0 38 26.8 10127.371 1220.16
at In s t h g in Ih Io a/ Includes training in Shaanxi province and in other parts of China - t- - I - - - - ______-----|-- K------_~ --- _---_-~ - l - _ __---
-1 - 80 -
TABLE 3.5: PROJECT COST SUMMARY
(December 1995 prices: $1.00 = Y 8.30)
Y million $ million Foreign Local Foreign Total Local Foreign Total costs (%)
A. WORKS
High-Grade Highways Weinan-TonEguan Expressway Civil works 416.5 392.2 808.7 50.2 47.2 97.4 48 Supply and installation (E&M) 4.8 19.1 23.9 0.6 2.3 2.9 80 Buildings 28.9 12.4 41.3 3.5 1.5 5.0 30
Subtotal 450.2 423.7 873.9 54.3 51.0 105.3 48
Tongchuang-Huangling Class I Civil works 595.9 561.6 1,157.5 71.8 67.7 139.5 49 Supply and installation (E&M) 7.9 31.8 39.7 0.9 3.8 4.7 80 Buildings 31.4 13.4 44.8 3.8 1.6 5.4 30
Subtotal 635.2 606.8 1,242.0 76.5 73.1 149.6 49
Lantian-Xiaoshangyuan Class 11 Civil works 117.6 110.7 228.3 14.2 13.3 27.5 48 Supply and installation (E&M) 1.3 5.4 6.7 0.2 0.7 0.9 80 Buildings 12.0 5.2 17.2 1.4 0.6 2.0 30
Subtotal 130.9 121.3 252.2 15.8 14.6 30.4 48
Lintong-Terra Cotta Warriors Museum Civil works 10.1 9.5 19.6 1.2 1.1 2.3 48 Supply and installation (E&M) ------Buildings ------
Subtotal 10.1 9.5 19.6 1.2 1.1 2.3 48
Famensi-Jiangzhuang-Tangvu Class II Civil works 68.5 64.7 133.2 8.3 7.8 16.1 49 Supply and installation (E&M) 0.1 0.0 0.1 0.0 0.0 0.0 0 Buildings 1.9 0.8 2.7 0.2 0.1 0.3 30
Subtotal 70.5 65.5 136.0 8.5 7.9 16.4 48
Subtotal-High-Grade Highways Civil works Ia 1,208.6 1,138.7 2,347.3 145.6 137.2 282.8 48 Supply and installation (E&M) b 14.1 56.3 70.4 1.7 6.8 8.5 80 Buildings 74.2 31.8 106.0 8.9 3.8 12.7 30
Subtotal High-Grade Highways 1,296.9 1,226.8 2,523.7 156.2 147.8 304.0 49
Xian-Sanyuan Class I Highwayk 56.9 56.9 113.8 6.8 6.9 13.7 50
RIPA 405.0 135.0 540.0 48.8 16.3 65.1 25
Highway Safety (Black Spots) 8.6 2.2 10.8 1.0 0.3 1.3 20
Total Works 1,767.4 1,420.9 3,188.3 212.8 171.3 384.1 46 - 81 -
Y million $ million Foreign Local Foreign Total Local Foreign Total costs (%)
B. SUPERVISION OF
Five high-grade highways and 52.8 30.9 83.7 6.4 3.7 10.1 37 RIPA 1.4 0.3 1.7 0.2 0.0 0.2 18
Total Supervision 54.2 31.2 85.4 6.6 3.7 10.3 36
C. EQUIPMENT
Five High-Grade Highways and Laboratories 12.6 13.7 26.3 1.5 1.7 3.2 52 Operation and maintenance 17.1 15.6 32.7 2.0 1.9 3.9 48 Environmental monitoring 0.7 1.1 1.8 0.1 0.1 0.2 61
Subtotal 30.4 30.4 60.8 3.6 3.7 7.3 50
Maintenance of Highway Networks 15.9 16.8 32.7 1.9 2.0 3.9 51
RIPA Roads 3.7 4.2 7.9 0.4 0.5 0.9 53
Institutional Strengthening 13.6 17.4 31.0 1.6 2.1 3.7 56
Total Equipment /d 63.6 68.8 132.4 7.5 8.3 15.8 52
D. INSTITUTIONAL STRENGTH-
Total IST 2.6 7.5 10.1 0.3 0.9 1.2 75
E. STUDIES
Xian Bypass 3.1 0.8 3.9 0.4 0.1 0.5 21 Highway maintenance 2.0 3.9 5.9 0.2 0.5 0.7 66
Total Studies 5.1 4.7 9.8 0.6 0.6 1.2 48
Total Base Cost 1,892.9 1,533.1 3,426.0 227.8 184.8 412.6
Physical contingencyLe 182.2 145.2 327.4 21.9 17.5 39.4 46 Price contingency 339.3 84.7 424.0 40.9 10.2 51.1 20
Base Cost with Contingencies 2,414.4 1,763.0 4,177.4 290.6 212.5 503.1 42
Land acquisition and resettlement 443.0 0.0 443.0 53.4 0.0 53.4 0
TOTAL PROJECT COST 2,857.4 1,763.0 4,620.4 344.0 212.5 556.5 38
La Includes taxes of Y 70 million ($8.4 million) but excludes commitment fees and interest on the Bank loan during construction. Taxes and duties would not be financed from the proceeds of the loan. /b Includes taxes of Y 7 million ($0.8 million). Taxes would not be financed from the proceeds of the loan. L/ Includes taxes of Y 0.9 million ($0.1 million). /d Includes taxes and duties of Y 23 million ($2.8 million). Taxes and duties would not be financed from the proceeds of the loan. /e Ten percent of Works and Supervision categories. - 82 -
TABLE 3.6: ESTIMATEDDISBURSEMENT SCHEDULE
($ million)
Disbursement profile Bank fiscal year Estimated disbursements of transport projects and semester Semester Cumulative % in China (%)
19k6 June 30, 1996 6 6 3 6
1992 December31, 1996 16 22 10 11 June 30, 1997 21 43 20 16
1998 December 31, 1997 22 65 31 26 June30, 1998 28 93 44 38
1999 December31, 1998 20 113 54 48 June 30, 1999 25 138 66 60
2000 December 31, 1999 20 158 75 69 June 30, 2000 25 183 87 78
2001 December 31, 2000 17 200 95 90 June 30, 2001 10 210 100 100
Notes: (1) Project Completion Date: June 2001. (2) Loan Closing Date: December 2001.
Source: Mission estimates. Table 4.1a: TRAFFIC VOLUME GROWTH ON THE WEINAN-TONGGUAN HIGHWAY, 1980-93 (Mediumntruck equivalent)
MiaoqianStation | WufangbanStation BataiStation | GaoqiaStation TongguanStation Total Total Total Total Total Vehi- vehicles Vehi- vehicles Vehi- vehicles Vehi- vehicles Vehi- vehicles Year clesL Other/b equiv.L clesLa Other/b equiv./ clesLi Other equiv.& cles/ Other/b equiv./ _es/I Otherl equiv./e
1980 1,277 381 1,658 1,404 367 1.771 1,277 3S2 1,659 - - 737 626 1,363 1981 1,270 427 1,697 1,207 271 1,478 1,270 429 1,699 - - - NA NA NA 1982 1,439 509 1,948 1,412 371 1,783 1,439 499 1,938 - - - 1,138 NA NA 1983 1,195 481 1,676 2,124 655 2,779 1,195 481 1,676 787 356 1,143 NA NA NA 1984 1,374 612 1,986 1,692 536 2,228 1,374 612 1,986 890 384 1,274 NA NA NA 1985 1,782 631 2,413 2,050 710 2,760 1,782 631 2,413 2,330 538 2,868 NA NA NA 1986 2,392 802 3,194 2,471 940 3,411 2,419 262 2,681 1,830 384 2,214 897 279 1,176 1987 3,312 876 4.188 3,784 1.297 5,081 3,565 878 4,443 1,550 290 1,840 1,660 646 2,306 1988 2,914 931 3,845 3,585 1,164 4,749 NA NA NA 1,782 277 2,059 1,590 607 2,197 1989 2,178 697 2,875 3,115 965 4,080 3,644 NA 4,318 1,721 328 2,049 1,923 716 2,639 1990 2,223 599 2,822 3,414 845 4,259 NA NA NA 1,386 500 1,886 1,324 584 1,908 1991 1,993 132 2,125 4,016 805 4,821 2,107 402 2,509 1,972 606 2,578 NA NA NA 1992 3,092 447 3,539 4,375 801 5,76 2,490 355 2,845 2,310 567 2,877 NA NA NA 1993 3,383 568 3,951 4,127 675 4,802 - - - 2,646 580 3,226 3,787 858 4,645 1994 00
Annual 7.8 3.1 6.9 8.6 4.8 8.0 5.7/a - 4.6!d 12.9/i 5.0/a 10.9LC 13.4 2.5 9.9 growth(%) 1980-93
Lg Includesall sizesof trucks,automobiles, minibuses, buses and trailers. & Incluesall sizesof tractors,animal-drawn carts, rickshaws and bicycles. L Totalof vehiclesand other [(c)=(b)+(a)]. Ld Annualgrowth rate for 1980-92. & Annualgrowthrate for 1983-93.
Note: Numbersshown above all all convertedto mediumtruck equivalents.
Source: ShaanxiProvincial Highway Survey and Design Institute, Engineering Feasibility Study Report for theWeinan-Tongguan Section of Xian-TongguanExpressway, Xian, May 1995. NS
Table 4.1b: TRAFFIC VOLUME GROWTH ON THE TONGCHUAN-HUANGLING HIGHWAY, 1980-93 (Medium truck equivalent)
l l | JinsuoguanStation KangyadiStation Zhifang Station PianqiaoStation I LongshouStation (Provincial Road311) (Provincial Road310) Yaoxian Station Total Total Total Total Total Total Vehi- vehicle Vehi- vehicle Vehi- vehicle Vehi- vehicle Vehi- vehicle Vehi- vehicle Year clesLa Other/b s cles/a OtherLb s cles/a Other/b s cles/a Other/b s ces/a Other/b 5 cles/a OtherLk s equiv./ equiv.l equiv.l equiv.l equiv.l equiv.l c_c c c
1980 2,881 344 3,225 1,571 107 1,78 931 279 1,210 908 87 995 1,994 566 2,560 1,841 706 2,547 1981 2,293 140 2,433 1,623 194 1.817 683 245 928 930 83 1,013 1,079 117 1,196 1,891 729 2,620 1982 2,530 174 2,704 1,379 183 1,562 575 142 717 1.170 112 1,282 1,058 122 1.180 2,217 698 2,915 1983 2,795 156 2,951 1,536 85 1,621 547 129 676 1,216 96 1,312 1,406 149 1,555 2,690 735 3,425 1984 3,186 191 3,377 1,717 75 1,792 619 177 796 1,440 122 1,562 1,753 208 1,961 3,203 920 4,123 1985 3,774 199 3,973 2,245 75 2.320 728 217 945 2,333 197 2,530 3,039 252 3,291 4,205 1,046 5,251 1986 4,251 220 4,471 2,395 73 2.468 895 267 1,162 2,991 201 3,192 2,748 185 2,933 4,798 1,095 5,893 1987 4,368 215 4,583 2,766 77 2,843 1.80 253 1,333 1,329 91 1.420 2,985 152 3,137 5,655 1,062 6,717 1988 4,026 164 4,190 2,128 91 2,219 1,237 255 1,492 1,039 89 1,128 2,904 298 3,202 5,389 900 6,289 1989 4,993 105 5,098 3,039 97 3,136 1,758 277 2,035 1,843 90 1,933 4,513 264 4,777 5,334 873 6,207 1990 4,672 131 4,803 3,036 91 3,127 1,889 310 2,199 1,851 134 1,985 4,772 112 4,884 5,654 589 6,243 1991 5,420 374 5,794 3,288 135 3,423 2,172 323 2,495 2,019 145 2,164 3,892 120 4,012 6,316 789 7,105 x 1992 5,141 165 5,306 2,980 126 3,106 1,777 335 2,112 2,110 194 2,304 4,438 98 4,536 6,513 946 7,459 . 1993 5,524 247 5,771 3,135 154 3,289 1,756 268 2,024 1,680 185 1,865 4,203 39 4,242 8,676 1,022 9,698 1994
Annual 5.1 (2.5) 4.6 5.5 2.8 5.3 5.0 (0.3) 4.0 4.8 6.0 5.0 5.9 (18.6) 4.0 12.7 2.9 10.8 growth (%) 1980-93
La Includes all sizesof trucks, automobiles,minibuses, buses and trailers. /b Inclues all sizesof tractors,animal-drawn carts, rickshaws and bicycles. & Total of vehicles andother [(c)=(b)+(a)J.
Note: Numbersshown above all all convertedto mediumtruck equivalents.
Source: Shaanxi Provincial Highway Survey and Design Institute,Engineering Feasibility Study Reportfor the Tongchuan-HuanglingClass I Highway, Xian, May 1995. Table 4.1c: TRAFFIC VOLUME GROWTH ON THE XIAOSHANGYUAN-LANTIAN HIGHWAY, 1980-93 (Medium truck equivalent)
QianchengStation HeilongkouStation Totalvehicles Totalvehicles Vehicles/a Otherlb equiv.& VehiclesLn OtherLb equiv.Lc Year
1980 830 236 1,066 1981 711 258 969 1982 688 232 920 1983 632 244 876 1984 89 229 818 1985 1,112 424 1.536 1,147 255 1,402 1986 1,424 641 2,065 1,116 231 1,347 1987 2,387 847 3,234 1,426 282 1,708 1988 1,702 557 2,259 1,642 227 1,869 1989 2,549 891 3,440 1,013 1,155 2,168 1990 2,555 1.065 3,620 4,204Ld 586 4,790/d 1991 2,340 833 3,173 1,403 465 1,868 1992 2,882 1,025 3,907 2,313 531 2,844 1993 2,844 1,015 3,859 1,305/e 220/c 1,525/e 1994
Annualgrowth (%) 9.9 11.9 10.4 10.5f 11.0IL 10.6/f 1980-93
/a Includesall sizesof trucks,automobiles, minibuses, buscs and trailers. lb Incluesall sizesof tractors,animal-drawn carts, rickshaws and bicycles. & Totalof vehiclesand other [(c)=(b)+(a)I. a4 SPTD. IS Trafficdecreased in 1993because of constructionof Xian-Lantianand Lantian-Shangluo Sections. Lf Annualgrowth rate for 1985-92.
Note: Numbersshown above all all convertedto mediumtruck equivalents.
Source: ShaanxiProvincial Highway Survey and Design Institute, Engineering Feasibility Study Report for Xiaoshangyuan-LantianHighway, Xian, May 1995. Table 4.1d: TRAFFIC VOLUME GROWTH ON THE FAMENSI-JIANGZHUANG-TANGYU HIGHWAY, 1980-94 (Medium truck equivalent)
Jiangzhang-FamensiHighway Jiangzhang-TangyuHighway TangyuMaintenance Gang Junyi Station DuanjiaStation Station TangyuokoStation Total Total Total Total Vehi- vehicles Vehi- vehicles Vehi- vehicles Vehi- vehicles Year cles/j Other/b equiv.L cles/ Other/b equiv.& cles/i OtherLb equiv.& cies/ Other/ equiv.L
1980 1981 90 396 486 212 315 527 1982 60 194 254 213 397 610 1983 82 278 360 140 388 528 1984 80 229 309 185 285 470 1985 319 639 958 474 1.145 1,619 422 519 941 396 632 1,028 1986 331 813 1,144 675 1.607 2,282 509 854 1,363 171 120 291 1987 483 789 1,272 710 1.828 2.538 133 708 841 141 184 325 1988 744 1,398 2.142 783 2,398 3,181 386 1.325 1,711 330 517 847 1989 938 542 1,480 695 880 1,575 687 849 1,536 200 429 629 1990 1,308 950 2,258 1,603 1.350 2,413 310 361 671 412 546 958 1991 1,128 1,644 2,772 451 794 1,245 1,018 1,460 2,478 191 280 471 1992 1,307 1,323 2,630 1,395 2.703 4,098 822 1,013 1,835 147 530 677 x 1993 2,031 2,099 4,130 1,275 1,013 2,288 461 817 1,278 231 875 1,106 0" 1994 2,388 1,491 3,879 1,688 1,449 3,737 1,100 755 1,855 715 1,515 2,230
Annual 25.0/d 9.9d 16.8L/ 15.1L 2.7/1 7.6& 11.2 4.2 7.8 6.8 10.2 9.0 growlth(%) 1980-94
L/ Includesall sizesof trucks,automobiles, minibuses, buses and trailers. L Incluesall sizesof tractors,animal-drawn carts, rickshaws and bicycles. /L Totalof vehiclesand other [(c)=(b)+(a)]. Id Annualgrowth rate for 1985-92.
Note: Numbersshown above all all convertedto mediumtruck equivalents.
Source: ShaanxiProvincial Highway Survey and Design Institute, Engineering Feasibility Study Report for Jiangzhang-Famensi-TangyuHighway, Xian, May 1995. - 87-
TABLE 4.1E: NUMBER OF TOURISTS TO THE TERRA COTTA WARRIORS MUSEUM, 1983-92 ('000)
Year National tourists Foreign tourists
1983 1,626 104 1984 1,568 132 1985 1,822 162 1986 2,111 194 1987 2,088 258 1988 2,076 273 1989 1,568 140 1990 1,542 218 1991 1,828 246 1992 1,738 357 1993 1994
Annual growth (%) 1983-92 0.7 14.7
TABLE 4.1E(1): ANNUAL GROWTH RATES IN NUMBERS OF TOURISTS TO THE TERRA COTTA WARRIORS MUSEUM-MEDIUM TRAFFIC FORECAST
Percent annual growth rate Passengers/bus Time period National Foreign National Foreign tourists tourists tourists tourists
1993-2000 3.0 8.5 10.6 15.5 2001-05 1.2 3.3 9.8 13.7 2006-10 4.8 13.9 9.1 12.2 2011-15 3.0 8.5 8.3 10.7
Source: Shaanxi Provincial Highway Survey and Design Institute, Engineering Feasibility Study Report for Terra Cotta Warriors Museum Highway, Xian, May 1995, pp. 56-58. - 88 -
TABLE 4.2A: PROJECTED DAILY TRAFFIC VOLUMES FOR SELECTEDYEARS BY SECTION ON PROPOSEDAND EXISTINGWEINAN-TONGGUAN HIGHWAY
CASE OF MEDIUM TRAFFIC GROWTH AND WITH AND WITHOUTTOLLS (Medium truck equivalent)
Length (km) The proposed highway Traffic Diverted Diverted Gener- Diverted on traffic from traffic from ated traffic from Total existing Section & year Terrain Existing New Hwy 310 Hwy 108 traffic railway traffic highway
WITHOUT TOLLS Chengiia-Huavin Section 1993 2000 Undulating 47.8 6,422 813 842 284 8,361 2,165 2010 14,647 1,924 1,065 284 17,920 3,745 2018 23,732 3,280 1,151 284 28,447 5,639
Huayin-Baijia Section 1993 2000 Undulating 36.7 4,424 667 566 284 5,941 1,842 2010 9,981 1,578 720 284 12,563 3,067 2018 16,079 2,690 778 284 19,831 4,478
WITH MEDIUM TOLLS Chenpjia-Huayin Section 1993 2000 Undulating 47.8 5,538 813 635 284 7,270 3,049 2010 13,244 1,924 1,016 284 16,468 5,148 2018 22,409 3,280 1,156 284 27,129 6,962
Huayin-Baiiia Section 1993 2000 Undulating 36.7 3,839 667 451 284 5,241 2,427 2010 9,030 1,578 711 284 11,603 4,018 2018 15,154 2,690 803 284 18,931 5,403 - 89 -
TABLE 4.2B: PROJECTED DAILY TRAFFIC VOLUMES FOR SELECTEDYEARS BY SECTION ON PROPOSEDAND EXISTING TONGCHUAN-HUANGLINGHIGHWAY AND YAOXIAN- TONGCHUANHIGHWAY
CASE OF MEDIUM TRAFFIC GROWTH AND WITH AND WITHOUTTOLLS (Medium truck equivalent)
The proposed highway Length (km) Noncoal traffic Gener- Diverted Traffic on Diverted ated traffic from Coal Total existing Section & year Terrain Existing New traffic traffic railway traffic traffic highway
WITHOUT TOLLS Chuanko-Banjiegou Section 2000 3,254 262 - 3,439 6,955 1,820 2005 5,090 459 - 3,962 9,511 2,464 2010 Undulating 20.6 7,555 760 - 4,412 12,727 3,273 2015 10,980 988 - 4,513 16,481 4,114 2020 15,182 1,214 - 4,530 20,926 5,029
Banjiefou-Yioun Section 2000 3,103 251 - 2,799 6,153 1,502 2005 4,861 438 - 3,160 8,459 2,052 2010 Undulating 23.5 7,230 727 - 3,445 11,402 2,743 2015 10,559 950 - 3,395 14,904 3,389 2020 14,604 1,168 - 3,250 19,022 4,163
Yiiun-Huaneling Section 2000 2,121 170 - 2,851 5,142 1,158 2005 3,309 298 - 3,222 6,829 1,533 2010 Undulating 27.2 4,905 493 - 3,512 8,910 2,010 2015 7,107 639 - 3,461 11,207 2,486 2020 9,819 785 - 3,317 13,921 3,009
Yaoxian-Tongchuan Section 2000 11,303 3,941 2005 14,608 4,616 2010 Undulating 18.3 18,165 5,273 2015 21,111 5,724 2020 23,590 6,018
WITH MEDIUM TOLLS Chuanko-Ban"ie2ouSection 2000 2,792 225 - 3,155 6,172 2,603 2005 4,402 397 - 3,671 8,470 3,505 2010 Undulating 20.6 6,633 667 - 4,120 11,420 4,580 2015 9,806 882 - 4,245 14,933 5,662 2020 13,799 1,103 - 4,289 19,191 6,764
Ban*ie2ou-Yiiun Section 2000 2,643 214 - 2,559 5,416 2,239 2005 4,181 377 - 2,915 7,473 3,039 2010 Undulating 23.5 6,326 636 - 3,210 10,172 3,973 2015 9,405 846 - 3,180 13,433 4,860 2020 13,202 1,056 - 3,063 17,321 5,864 - 90 -
The proposed highway Length (km) Noncoal traffic Gener-- Diverted Traffic on Diverted ated traffic from Coal Total existing Section & year Terrain Existing New traffic traffic railway traffic traffic highway
Yiiun-Huan2lina Section 2000 1,812 145 - 2,615 4,572 1,728 2005 2,856 257 - 2,978 6,091 2,271 2010 Undulating 27.2 4,299 432 - 3,276 8,007 2,913 2015 6,342 570 - 3,247 10,159 3,534 2020 8,916 713 3,138 12,767 4,163
Yaoxian-Tongchuan Section 2000 10,173 4,888 2005 13,165 5,617 2010 Undulating 18.3 16,392 6,275 2015 19,076 6,646 2020 21,343 7,085
TABLE 4.2c: PROJECTED DAILY TRAFFIC VOLUMES FOR SELECTEDYEARS ON PROPOSEDAND EXISTING XIAOSHANGYUAN-LANTIANHIGHWAY
CASE OF MEDIUM TRAFFIC GROWTH AND WITH AND WITHOUTTOLLS (Medium truck equivalent)
Length (km) The proposed highway Traffic Diverted Generated Total on existing Section & year Terrain Existing New traffic trafric traffic highway
WITHOUT TOLLS 2000 2,801 171 2,972 20 2005 4,090 244 4,334 30 2010 Undulating 54.3 48.3 5,856 354 6,210 56 2015 8,234 476 8,710 141 2020 11,305 635 11,940 319
WITH MEDIUM TOLLS 2000 2,448 158 2,606 386 2005 3,645 222 3,867 497 2010 Undulating 54.3 48.3 5,230 303 5,533 733 2015 7,198 370 7,568 1,283 2020 9,450 440 9,890 2,140 - 91 -
TABLE 4.2D: PROJECTED DAILY TRAFFIC VOLUMES FOR SELECTEDYEARS BY SETON ON PROPOSEDAND EXISTINGFAMEN BUDDHIST TEMPLE-JIANGZHUANG-TANGYU HIGHWAY
CASE OF MEDIUM TRAFFIC GROWTH AND WITH AND WITHOUTTOLLS (Medium truck equivalent)
Length(km) The proposedhighway Converted Trafic on Diverted Generated from Total existi Section& year Terrain Existing New traffic traffic tractors traffic highway
WITHOUT TOLLS Famensi-AbancunSection 2000 2,280 107 121 2,508 1,936 2005 3,595 142 164 3,901 2,490 2010 Undulating 10.0 5,086 213 222 5,601 3,070 2015 6,731 268 302 7,301 3,719 2018 7,677 352 363 8,392 3,763
Abancun-JiangzhuangSection 2000 2,403 116 121 2,640 1,769 2005 3,768 147 164 4,079 2,237 2010 Undulating 9.4 5,334 197 222 5,753 2,708 2015 7,059 241 302 7,602 3,237 2018 7,971 300 363 8,634 3,336
WITH MEDIUMTOLLS Fa=ensi-AbancunSection 2000 1,712 88 121 1,921 2,461 2005 2,832 116 164 3,112 3,025 2010 Undulating 10.0 4,300 202 222 4,724 3,717 2015 6,083 246 302 6,631 4,194 2018 6,710 326 363 7,399 4,623
Abancun-Jiangzhuane Section 2000 1,958 93 121 2,172 2,169 2005 3,129 115 164 3,408 2,323 2010 Undulating 9.4 4,586 170 222 4,978 3,377 2015 6,400 235 302 6,937 3,777 2018 7,377 295 363 8,035 3,796 - 92 -
TABLE 4.2E: PROJECTED DAILY TRAFFIC VOLUMES FOR SELECTEDYEARS BY SECTION ON PROPOSEDAND EXISTINGJIANGZHUANG-TANGYU HIGHWAY
CASE OF MEDIUM TRAFFIC GROWTH AND WITH AND WITHOUTTOLLS (Medium truck equivalent)
Length (0cm) The proposed highway Converted Traffic on Diverted Generated from Total existing Section & year Terrain Existing New traffic traffic tractors traffic highway
WITHOUT TOLLS Jianuzhuanz-GualizhaiSection 2000 1,139 36 1,175 104 2005 1,911 44 1,955 203 2010 Undulating 2,865 78 2,935 256 2015 3,962 83 4,045 324 2018 4,503 141 9,644 354
Gualizhai-Tangvu Section 2000 1,400 62 1,462 660 2005 2,389 68 2,457 1,066 2010 Undulating 3,565 117 3,682 1,480 2015 4,940 137 5,077 1,990 2018 5,631 181 5,812 2,289
WITH MEDIUM TOLLS JianfgzhuanUtGualiuzhaiSection 2000 1,131 33 1,163 208 2005 1,881 41 1,922 322 2010 Undulating 2,803 80 2,883 385 2015 3,878 114 3,922 458 2018 4,383 141 4,524 498
Gualizbai-Tangvu Section 2000 1,352 55 1,407 708 2005 2,289 63 2,352 1,166 2010 Undulating 3,407 115 3,522 1,638 2015 4,721 98 4,819 2,208 2018 5,375 148 5,523 2,564 - 93 -
TABLE 4.2F: PROJECTED DAILY TRAFFIC VOLUME FOR SELECTED YEARS ON PROPOSED AND EXISTING ROUTES TO TERRA COTTA WARRIORS MUSEUM
CASE OF MEDIUM TRAFFIC GROWTH WITH AND WITHOUT TOLLS (Medium truck equivalent)
Lintong-Qin Qin Shihuang's Proposed Lintong- Shihuang's Mausoleum-Qin Southem Route of Terra Cotta Mausoleum Lin- TCWM Section of Qin Shihuang's Year Warriors Museum Ma Route Li-Ma Route Mausoleum
WITHOUT TOLLS 1995 - 1,897 663 352 2000 2,357 1`908 207 320 2005 3,152 2,556 286 429 2010 4,446 3,547 396 578 2015 6,539 5,037 583 770
WITH MEDIUM TOLLS 1995 - 1,897 663 352 2000 1,969 2,069 301 351 2005 2,630 2,771 413 464 2010 3,700 3,855 573 636' 2015 5,447 5,510 830 846
Source: Shaanxi Provincial Highway Survey and Design Institute, Engineering Feasibility Study Report for Terra Cotta Warriors Museum Highway, May 1991, pp. 59-60.
TABLE 4.3: TYPICAL ECONOMICVEHICLE OPERATING COSTS ON EXISTING AND PROPOSED HIGHWAYS
(Financial Costs measured in Y/l,000 passenger-km and per ton-km, April 1995 prices)
Passengervehicle Truck Economic/ Economic/ Expressway Financial Expressway Finmncial Cost component and Class I Class 2 Class 3 Cost and Class I Class2 Class 3 Cost
Purchaseprice 26.0 35.7 38.5 86.7% 209.5 287.8 303.2 93.3% Crew salary 3.8 5.2 5.6 100.0% 25.4 34.9 36.7 100.0% Fuel 7.0 9.6 10.4 81.3% 53.9 74.0 77.9 105.0% Tires 1.2 1.6 1.7 79.7% 16.2 22.2 23.4 79.0% Major maintenance 1.9 2.5 2.8 96.8% 12.1 16.6 17.4 96.9% Minor maintenance 3.5 4.8 5.2 93.7% 35.4 48.6 51.2 93.8% Depreciation 1.5 2.1 2.3 276.0% 20.5 28.2 29.7 201.4% Vehicle tax 0.1 0.1 0.1 0.0% 1.8 2.5 2.6 0.0% Road maintenancefee 4.3 5.9 6.3 0.0% 30.3 41.6 43.8 0.0% Other costs 2.8 3.9 4.2 100.0% 14.1 19.4 20.4 100.0% Management 4.9 6.8 7.3 100.0% 46.9 57.0 67.9 100.0%/ Total OperatingCosts 30.9 42.4 45.8 88.8% 256.5 344.8 371.1 94.3% Variationby Road Class 1.00 1.37 1.48 1.00 1.37 1.45 - 94 -
TABLE 4.4A: SUMMARY OF INTERNAL RATES OF RETURN AND SENSITIVITY ANALYSIS BY SECTION OF WEINAN-TONGGUAN EXPRESSWAY
CASE OF MEDIUM TRAFFIC GROWTH AND WITH AND WITHOUT TOLLS
Sensitivity Analysis Benefits due Generated to travel Costs +10%/ Base traffic time Total costs Total and benefits Low trffic Section case -50% savings +20% benefits -10% forecat excluded -20%
WITHOUT TOLLS Chengjia-Huayin 21.3 - - 18.9 18.3 18.6 Huayin-Qilicun 15.2 - - 13.5 13.1 13.2 Qilicun-Baijia 26.5 - - 23.5 22.8 23.1 Chengjia-Baijia (total) 20.2 18.2 17.0 17.9 17.4 17.6 15.2
WITH MEDIUM TOLLS Chengjia-Huayin 20.1 - - 17.8 17.3 17.8 Huayin-Qilicun 14.4 - - 12.7 12.4 12.7 Qilicun-Baijia 25.2 - - 22.3 21.6 22.3 Chengjia-Baijia (total) 19.1 16.3 16.0 16.9 16.4 16.9 14.2
TABLE 4.4B: SUMMARY OF INTERNAL RATES OF RETURN AND SENSITIVIrY ANALYSIS BY SECTION OF TONGCHUAN-HUANGLING CLASS I HIGHWAY
CASE OF MEDIUM TRAFFIC GROWTH AND WITH AND WITHOUT TOLLS
SensitivityAnalysis Benefitsdue Generated to traveltirne Costs +10% Base traffic savings Total costs Totalbenefits and benefits Lowbtrffic Section case -50% excluded +20% -20% -10% fecad
WITHOUTTOLLS Chuanko-Banjiegou 16.1 - - 13.7 13.4 13.6 Banjiegou-Yijun 17.6 - - 16.0 15.5 15.7 Yijun-Huangling 21.5 - - 16.3 15.8 16.1 - Chuanko-Huangling(total) 18.9 17.5 18.1 15.3 14.8 15.0 14.9 Yaoxian-Tongchuan 18.5 - - - - - 17.0
WITH MEDIUMTOLLS Cbuanko-Banjiegou 15.6 - - 13.3 12.9 13.1 - Banjiegou-Yijun 17.0 - - 15.5 15.0 15.2 Yijun-Huangling 20.8 - - 15.8 15.4 15.6 - Chuanko-Huangling(total) 18.3 16.9 17.6 14.8 14.3 14.5 14.2 Yaoxian-Tongcbuan 17.6 - - - - - 16.1 - 95 -
TABLE 4.4c: SUMMARY OF INTERNAL RATES OF RETURN AND SENSITIVITY ANALYSIS FOR XIAOSHANGYUAN-LANTIAN HIGHWAY
CASE OF MEDIUM TRAFFIC GROWTH AND WITH AND WITHOUT TOLLS
SensitivityAnalysis Benefitsdue Generated to travel Costs+10% Base traffic time Total costs Total and benefits Low traffic Section case -50% savings +20% benefits -10% forecast excluded -20%
WITHOUT TOLLS 16.8 14.5
WITHTOLLS Low toll 16.3 Mediumtoll 15.9 15.6 13.9 13.7 13.4 13.6 12.7 High toll 14.6
TABLE 4.4D: SUMMARY OF INTERNAL RATES OF RETURN AND SENSITIVITY ANALYSIS OF JIANGZHUANG-FAMENSI HIGHWAY, JIANGZHUANG-TANGYU HIGHWAY AND LINTONG-TERRA COTTA WARRIORS MUSEUM HIGHWAY
CASE OF MEDIUM TRAFFIC GROWTH AND WITH AND WITHOUT TOLLS
Sensitivity Analysis Benefits due Generated to travel time Costs +10%A Base traffic savings Total costs Total benefits and benefits Low traffic Section case -50% -50%/ +20% -20% -10% forecast
WITHOUT TOLLS Jiangzbuang-Famensi 15.4 13.4 13.1 13.3 9.7 Jiangzhuang-Tangyu 15.0 13.0 12.7 12.9 13.2 Famensi-Jiangzhuang-Tangyu 15.2 14.4 12.0 13.2 12.9 13.1 11.6 Lintong-TesraCotta Warriors 18.8 12.5 16.5 16.4 15.9 16.2 15.4 MuseumHighway
WITH MEDIUMTOLLS Jiangzhuang-Famensi 14.6 12.7 12.4 12.6 8.3 Jiangzhuang-Tangyu 14.9 13.0 12.6 12.8 10.7 Famensi-Jiangzhuang-Tangyu 14.7 14.1 13.5 12.8 12.5 12.7 10.5 Lintong-Tera Cotta Warniors 16.3 11.5 14.2 14.1 13.7 13.9 13.1 Museum Highway Table 4.5: ECONOMIC EVALUATION PARAMETERS FOR FIRST PACKAGE OF RIPA
Class Estimated Innluence Motor Motor vehicle Traffic volume Economic growth Traffic growth highway Type of cost area vehicles, growth rate (%) La ADT Lb(mte), rate (%) Li rate (%) Li EIRR System no. and length work (Y million) population 1993 (1990-94) 1995 1995-2015 1995-2015 (%)
#4 UL UpgrLdto 14.7 190,000 3,553 11 107-309 8-11 7-10 16.1 93 km Class IV
# 9 ll lJpgrto 9.0 92,000 1,515 10 200 8-10 8 18.7 86 km Class IV
#36 U Upgrto 13.6 7,100 463 17 172 9-11 7.6-9.3 14.6 44 km Class IV
#41 U Upgrto 16.3 150,000 633 18 147 8-9 7.2-8 13.5 55 km Class IV
#46 U 1Jew 18.3 81,000 1,829 16 1,182 8-9 7.2-9 14.9 43 km Class IV
Total 5 systems U Upgr to and 72.0 520,000 7,993 10-18 -- 8-11 7-10 13.5- (in 6 counties) 321 km XNew Class 18.7 IV
La Ainnual growth rate. Lb ADT = Average daily tralfic and mte = medium truck equivalent. L U = Unclassified. Ld Upgr = Upgrade. - 97 - ANNEX1
ANNEX 1: ROADS IMPROVEMENT FOR POVERTY ALLEVIATION (lUPA)
1. China has an estimated population of 80 million at or below the poverty line (less than Y 300 per year/person in 1993). Nearly all of them are rural poor, concentrated in resource-deficient areas, and comprising entire communities located mostly in the upland sections of the interior provinces of northern, northwestern (including Shaanxi) and southwestern China. The 9FYP's strategy for poverty alleviation has the following priorities: (a) integration of production, education, health, family planning and transport programs into comprehensive local intervention packages; (b) expansion of the Food for Work Program to cover the construction of terraced agricultural lands; and (c) increased support for agricultural extension and training and farmers' marketing systems. Lack of road access to an area increases transport costs so substantially that only high value-to weight products will be profitable to market. Overall, 16.1 percent of poor county townships lack road access, most others have such access available only in the dry seasen.
2. A threefold screening process was agreed: (a) an initial screening designed to select into the pool of possible projects those that are located in "priority counties," counties whose composite ranking on selected demographic, economic and social criteria, identifies them as most in need of "poverty alleviation" measures; (b) a second screening focusing on the cost effectiveness of each roads improvement system per population served; and (c) a detailed economic and social analysis of those RIPA systems that successfully meet the criteria of the first two screening procedures.
First-Stage Screening
3. Identification and Definition of Poor Counties. In 1986, the State Planning Commission (SPC) designated all counties with annual per capita income of < Y 150 as poor counties. Thirty-four counties of Shaanxi were included in this category. In addition, Shaanxi Provincial Government (SPG) designated another 35 counties where the annual per capita income was Y 150-200 as poor counties. In 1993, SPG used the following criteria for defining poor counties:
(a) counties that received poverty alleviation funds from SPC and SPG during 1986-93, and in 1993, their per capita annual income was < Y 600;
(b) the 35 counties that were defined as poor by SPG in 1986 and in 1993, if their income was < Y 500; and - 98 - ANNEX I
(c) all other counties whose per capita annual income in 1993 was < Y 400.
Accordingly, 50 counties were designated as poor by SPG. This was subsequently approved by SPC in 1993. These 50 counties are the ones that were considered in the initial screening for RIPA projects.
4. Ranking and Selection of Poor Counties for RIPA. Rank ordering, based upon socioeconomic and poverty criteria, was necessary to prioritize the geographic locations of RIPA components. Shaanxi's countries were ranked according to a composite score taking into account the following indicators:
(a) Income Ranking. To assess the extent of poverty in the poor counties, this ranking used average incomes as an indicator. Average per capita income in 1993 varied from Y 200 to Y 500, and was allocated 5 points in the ranking system. Counties with the lowest incomes were given the highest ranking. The counties with per capita average incomes of Y 200- 260 were given 5 points, Y 261-320 with 4 points, Y 321-380 with 3 points, Y 381-440 with 2 points and Y 441-500 with only 1 point.
(b) Poverty Ranking. This indicator is intended to identify the "very poor" in each county (people with incomes of < Y 300 in 1993). The indicator is based on the actual number of "very poor" per 10,000 persons in the county. The index varies from 1 to 36, and was allocated 5 points. The counties with highest index were given the highest rank. The counties with the index of 29-36 were given 5 points, index of 22-28 with 4 points, index of 15-21 with 3 points, index of 8-14 with 2 points and index 1-7 with 1 point.
(c) Value of Agricultural Production. As most of the poor are agriculture and forestry dependent and are unskilled laborers, counties with larger land areas in agriculture and forestry are ranked higher. Total land area in agriculture and forestry (mu per km2 of county land) was used as a surrogate index and was allocated 5 points. This varied from 1200 mu per km2 to 8,800 mu per km2. When this index was in the highest range of 7,300-8,800, 5 points were allocated, 4 points for 5,800-7,299, 3 points for 4,300-5,799, 2 points for 2,800-4,299 and 1 point for 1,200-2,799.
(d) Value of Mineral Production. Lack of access increases the transport cost of mineral resources and hinders their exploitation; therefore, counties with higher value of mineral production were ranked higher. This ranking index was allocated 5 maximum points and varied from Y 12 to 132 million (1993 value). When the value of annual mineral production reached Y 108.01-132.00 million, that county was given 5 points, Y 84.01-108.00 million 4 points, Y 60.01-84.00 million 3 points, Y 36.01- 60.00 million 2 points and Y 12-36 million 1 point. - 99 - ANNEX I
(e) Social Development Indicators. Education and literacy, health care, access to clean drinking water suffer when there is inadequate all-weather access. Counties with the least social development by these measures (based on 1993 data) were ranked the highest for RIPA. These indicators were allocated 5 points as follows: (i) Population without clean drinking water varied from 5 to 77 percent of total county population. When this was 241 percent, that county was allocated 1 point. Other counties were allocated zero points. (ii) The number of health workers per 10,000 persons was used as an indicator of access to health services and was allocated 1 point. It varied from 12 to 40. Counties with lower access (< 25 health workers per 10,000 persons) were given 1 point. All other counties with higher degree of health access were given zero points. (iii) Percent of people who cannot read or write (number of persons per 10,000 population) was used an educational indicator. This varied from 0.29 to 15.33. Counties with the higher illiteracy (Ž7.7 persons per 10,000 population) were allocated 1 point. All other counties with higher literacy were allocated zero points. (iv) Food for Work Program (FWP) expenditures in each county varied from zero to Y 1.2 million per year. They were used as a surrogate to unemployment and were allocated 2 points. Counties in the bottom one-third range of FWP annual expenditures (
Selection of Prefectures for RIPA
5. Based on the above ranking for all the 50 poor counties, the average range for each of the 10 prefectures was then computed; the average ranking by prefectures varied from 9.0 to 18.0:
(a) Lantian county in Xian prefecture had the highest rating of 18.0. It was decided not to include this county for RIPA as it is adjacent to Xian and economic development of Xian will likely spill over into this county.
(b) Weinan prefecture had the next highest average ranking of 15.5. Road density (km of roads per km2) is quite high in Weinan now. It is also near to Xian. Its high rating comes from its economic indexes (used in the ranking system) rather than poverty conditions. Hence this prefecture was not chosen for RIPA.
(c) Lin You (Baoji City) prefecture had the lowest rating of 9.0 and therefore, it was not included.
(d) Xian Yang prefecture had a rating of 11.6, although the total population of the very poor is very low. Its higher rating was derived mostly from its -100 - ANNEX 1
economic base rather than poverty conditions. It is also close to Xian. All of its administrative villages are now fully accessible by all-weather roads. Hence it was not selected for RIPA.
(e) Tongchuan prefecture had a rating of 10.3 and it is mostly urban and suburban in its settlement pattern. Population of the very poor is small and the poor had a little better income than in the other prefectures. There is also a major highway financed by the Bank in this prefecture. There are more roads in this prefecture than elsewhere. Hence it was not chosen for RIPA.
6. The remaining five prefectures containing 34 counties were chosen for RIPA. These are:
(a) In Northern Shaanxi:
(i) Yulin Prefecture. Yulin prefecture has 12 counties and an average ranking of 12.58. Although Yulin City county had a low rating of 9.0, it is included in RIPA because all the systems should connect to this administrative center. Wubao county is excluded from RIPA because it has excellent water transport systems now. All the other 11 counties are included in RIPA.
(ii) Yanan Prefecture. There are eight counties in this prefecture whose average rating was 9.50. Three counties below the average rating were dropped from RIPA (Yencheng, Zhichang and Yichuan) leavingfive counties in RIPA.
(b) In Southern Shaanxi:
(i) Hanzhong Prefecture. The average ranking for this prefecture was 11.25. Zhengbai county had a ranking of 10.0 and it is included because 59 percent of the villages do not currently have any road access. Allfour counties are included in RIPA.
(ii) Ankang Prefecture. Ankang has seven counties and had an average ranking of 11.14. Only two counties had below the average ranking: Baihe (8.0) and Zhengping (10.0). These two counties are included because they do not have adequate access now. Therefore, all seven counties are included in RIPA.
(iii) Shanglo Prefecture. Shanglo prefecture had an average ranking of 13.28, the highest among the five prefectures chosen for RIPA. All seven counties are included in RIPA. -101- ANNEX I
Second-Stage Screening of Poor Counties
7. Identification of RIPA Road Systems. Based upon the proposed road improvements (segments) in the Shaanxi Provincial Poverty Alleviation Plan, roads were grouped into RIPA systems based upon: (a) continuity of the system; (b) maximization of the population served, and (c) connectivity to as many settlements as possible. Using the above criteria, 59 RIPA Road Systems were identified in 34 RIPA counties. The estimated total cost of these 59 systems was Y 1.03 billion.
8. Screening of RIPA Initial Basket for Implementation. The System Cost Ratio (SCR) or the cost of proposed improvements per population served in the influence area of the systein (proposed investment divided by the population) was used to screen the initial RIPA systems basket. The "influence area population" was defined as the total population getting new access and better or improved access because of construction or upgrading of new RIPA Systems. RIPA system costs varied from a very low Y 90/person in the influence area to a high of Y 1,619/person served. This high range is due to variations in the density of settlements and differences in topography.
9. RIPA Implementation Basket. By applying the above rank ordering procedure and deleting the very high cost systems, the basket of proposed RIPA Road Systems was further reduced to 31 systems adding up to about 4,068 km in 25 counties with an estimated cost of Y592 million.
10. Initial Basket. For the first batch of systems to be implemented during the first year of implementation of the Second Shaanxi Provincial Highway Project, it was agreed that a start will be made both in the northern and southern Shaanxi as follows:
(a) Yulin Prefecture (system #4): 93 km (49 km of new construction and 44 km of rehabilitation to Class IV level) located in Fugou County within the Loess Plateau in northeast Shaanxi. Total cost estimated at Y 14.7 million;
(b) Yulin Prefecture (system #9): 82.6 km road upgrading to Class IV level. Located in Shuide County adjacent to Shanxi Province. Total cost estimated at Y 8.9 million;
(c) Shanglo Prefecture (system #46): 42.8 km in adjoining mountainous Zhashui and Zhenan Counties. Total cost estimated at Y 18.29 million;
(d) Ankang Prefecture (system #36): 47.02 km of upgrading to Class IV level road. Located in Langao County adjacent to Sichuan province. Total cost estimated at Y 12. 88 million; and
(e) Ankang Prefecture (system #41): 55 km for upgrading two road segments of unclassified to Class IV level road. Located in Baihe County adjacent to Hubei Province. Total cost estimated at Y 16.35 million -102 - ANNEX 1
The above five RIPA systemswere estimatedto cost about Y 71.1 million.
Third-StageScreening of RIPA System
11. The third-stage screening consists of an analysis of the economic and social benefits of each of the road systems included for considerationat the end of the second screening. The followingcriteria will be used in this stage:
(a) Analysis as Groups of Small Systems. The road segments will be analyzedas groups of small systemsrather than on a segment-by-segment basis. RIPA roads need not be paved roads but must provide all-weather access, and thus the proposed systems can include "unclassified Nonmotorized Transport" (NMT), (e.g., bicycles, animal-drawn carts, tractors, and jeeps) roads, "unclassified-under Class IV" all-weather roads, and "classifiedroads-Class IV and Class III."
(b) - Use of MotorizationData to IdentifyNMT Requirements. Data on the number of motor vehicles(in different classificationssuch as cars, trucks, motorcycles, tractors) in the counties to be connected by the proposed RIPA systems is required for this analysis. This information should be reviewed in the context of recent high growth of motorizationin many parts of China. The primary purpose of the review is to assure that the type of road systemsproposed (classified,motorized, nonmotorized) fits with the trends in the motor vehiclepopulation and their use. Where there are very few motor vehicles, NMT road connectionsshould be carefully considered.
(c) Variationsin Expected MinimumEconomic Internal Rate of Return (EIRR). This will depend upon the types of roads within the proposed system. The systemclassification for analysis of EIRR will be based upon the dominant class of road within the system. For example, if the dominantpart (>50 percentof length in km) is unclassified,then the EIRR expected will be that for unclassifiedroads (both new and rehabilitated). If the dominantpart of the system is Class IV, the expectedEIRR will be that for the Class IV roads (new, upgradedand rehabilitated).
12. The expectedEIRR will vary as follows:
(a) UnclassifiedRoads: ExpectedMinimum EIRR of 8-10 percent.
(i) All new roads for NonmotorizedTransport (bicycles and animal carts) and farmers' vehicles (tractors and jeeps), which may not necessarily be designed for trucks but primarily to provide access to farmersand their localeconomic activities; and
(ii) New and rehabilitatedall-weather unclassified roads. -103 - ANNEX 1
The expected EIRR for primary access roads is lower than the other classes of roads. Therefore, the EIRR, in this case, must be supported by higher social benefits (population getting new access, population getting better access and improvement in the social indicators included in the county ranking system (outlined below).
(b) Class IV Roads: Expected Minimum EIRR 10-12 percent
These roads include upgrading of unclassified roads to Class IV, rehabilitation of existing Class IV roads, and any new Class IV roads. If the EIRR is low, then social benefits (as discussed below) should be high.
(c) Class III Roads: Expected Minimum EIRR 12 percent
These roads include new and rehabilitated Class III roads , and roads upgraded from Class IV to Class III.
13. Social benefits will be defined as increases in access to health (potable water), educational services (reduced educational dropout rates and adult literacy) and improved access to employment (reduced dependence on FWP expenditures). These rates will be calculated by extrapolation with the existing situation in nearby comparator counties with greater access to roads. The proportion of the total population getting new and better all- weather access (through improved connectivity and reduction of travel time and cost) will also stand as an indicator of social benefits. These social benefits will be calculated for each RIPA system to be evaluated prior to its inclusion into an implementation package for Bank approval.
14. Population getting new all-weather access and population getting better access (improved connectivity and reduction of travel time and cost) because of RIPA systems will also be an indicator of social benefits. This will be calculated for each RIPA system. -104 - ANNEX2
ANNEX 2: TERMS OF REFERENCE FOR FEASIBILITY STUDY OF XIAN BYPASS
Introduction
1. Xian is one of the birthplaces of China's ancient civilizations. It was the capital of 12 Chinese feudal dynasties (including Zhou, Qin, Han and Tang) and had an important role in Chinese history and the political, economic and cultural development. For centuries it was not only the most prosperous city of China and perhaps the largest in the world, but also as the origin of the Silk Road from China to India and Europe, at the center of economic and cultural trade between the eastern and western civilizations. This long history has left Xian a wealth of cultural relics, and now the territory of Xian resembles a huge underdeveloped historical site and museum.
2. Since a group of invaluable cultural relics, including the Banpo Relics and the Terra Cotta Warriors and Horses, Xian has been a popular national and international tourist city, famed as one of the four ancient capitals of the world. The unique tourist resources provide one of the economic advantages of Xian city: With exploitation and preservation of cultural relics in Xian, its position as a world-famous historical city will grow and its tourism will develop rapidly. Xian has the potential to become the major historical tourist holy land in the Far East.
3. Today, Xian is one of the largest cities of China. It is located at the border between eastern and western China and has already become a key traffic hub. Two of the recently designated national highways of China go through the city. That from Lianyungang port on China's east coast to Huorguesi at the west border is the principal east-west highway artery, which is planned to be constructed before 2000. In addition, Xian is also planned to become the largest highway transportation hub in western China.
4. Through more than 40 years of construction and development, Xian has become the principal center of politics, economics, culture, science and technology and infornation in northwest of China. At the same time, it has also become the largest commercial and trade center in northwest China. However, in road construction Xian falls far behind its development in other areas. In recognition of its pivotal status in the national transportation network, and of the impact of the volume of through traffic on the environment of the historic city center, early in 1985 the first study for a Xian Bypass scheme was started. Since then the city has continued to expand, but its highway development has failed to keep pace. Already, city development has extended far beyond the proposed the city's Second Ring Road, while the ring road itself is still not finished. -105- ANNEX2
5. The city lacks even one through expressway and transiting vehicles still have to go through the city along the urban roads designed and built for nonmotorized transport, firther aggravating the rapidly growing problem of urban traffic congestion. Since the Seventh Five-Year Plan period (1986-90), several high-grade highways, such as the Xian- Lintong expressway, the Xian-Tongchuan Class I highway, the Xian-Baoji expressway, etc., have been completed; so that vehicles can be easily and rapidly collected from or distributed to the area outside the city center. But, it is very difficult for vehicles to go through or enter and exit through the other side.
6. Today, the problems of traffic in the downtown are very serious. The capacity of urban roads is low, impeded by frequent intersections; traffic jams and accidents occur with high frequency; and there are increasing conflicts between pedestrians, nonmotorized and motorized transport. The average speed of vehicles on urban roads is less than 20 km/hr and decreasing rapidly and vehicle emissions are creating problems for pedestrians, cyclists and residents. Even the fabric of the historic city walls is being destroyed by the impact of vehicle-induced pollution. The problems arising from this chronic traffic situation have become the main constraints on regional socioeconomic development.
7. For many years the vehicle fleet of Xian city has been increasing at an annual rate of more than 10 percent, and the taxi fleet has been growing even faster. Unless remedial measures are taken to address the city's transport problems and to mitigate the rapid motorization, the environment and cultural relics in downtown Xian city will be seriously affected.
8. In order to allow the social development of the city, reduce traffic congestion and improve the environmental quality of the city, it is planned to construct a further ring road as well as complete the second ring road, the latter by the end of 1997. Although this will reduce traffic congestion for a time, the construction of a bypass to take through traffic out of the city center will also be needed.
9. Study of the possible location and alignrnent of the Xian Bypass has now been going on for 10 years. After much investigation, research and discussion involving collection of data on social, economic, traffic and engineering conditions of Xian city, the following reports have been produced:
(a) Report of the Trunk National Highways I (Shaanxi Province);
(b) Alignment Schemes Statement of Xian Bypass-A Section of a Trunk National Highway (Prefeasibility Study Report of a Xian Bypass);
(c) Feasibility Study Report of Xian Bypass;
(d) Supplementary Feasibility Study Report of the Section from Youjiazhuang to Guanting of Xian Bypass Study; -106- ANNEX2
(e) Report on Alignment Scheme of Xian Bypass and North Section of Ring Road 2 and Viaduct Scheme; and
(f) Study Report on Alignment Adjustment of Xian Bypass Investigation and Study Report on Viaduct Scheme of Xian Bypass-Preliminary Design of the section from Youjiazhuang to Guanting of Xian bypass.
10. In the course of these studies, governors of the provincial government, city government and the Shaanxi Provincial Transport Department (SPTD) have devoted many resources of time and money in arranging conferences, in which many leaders of relevant provincial and city departments and experts participated. Furthermore, experts from the China International Engineering Consultant Corporation (CIECC), the Ministry of Communications (MOC) and the MOC Highway Planning and Design Institute have reviewed the project reports. Evaluation, in all its senses, and choice of an alignment of the Xian Bypass is the focus of this additional study.
11. Xian lies at the center of the Guanzhong Plain, which extends from Henan Province in the east to Gansu Province in the west. The satellite cities, Xianyang and Lintong, are both to the north of the city. Eastbound and westbound traffic makes up the majority of transit traffic. So, based on the principle that as a major section of a trunk national highway through a large city, the alignment of Xian Bypass should be short, economical and convenient to link the Xian-Lintong expressway, the Xian-Tongchuan Class I highway and the Xian-Baoji expressway, forming a high grade highway network with its center at Xian. It is accepted that the alignment of the Xian Bypass should pass to the north of the city. After many years of study on the alignment of the Xian Bypass, three alternative alignment concepts have emerged:
(a) Scheme 1: Near-to-Downtown Concept (also known as the Viaduct Scheme). The alignment of this route would be short and close to the city center, and able to attract more traffic than the other possible routes. But because it is very close to the downtown area, the damage to the city environment would be serious and the land acquisition construction costs would be very high.
(b) Scheme 2: Extension of the Eastern Bypass Concept (of Han Dynasty). The alignment of this concept would be further to the north of the city center, able to attract both east-west through traffic and much traffic destined for the center as well. Furthermore, it would conveniently link the existing high-grade highways in three directions-east, north and west. But the west section of the scheme would inevitably pass through the ancient Changan City (of the Han Dynasty), an area of preservation by the State. Although the eastern half of the route (from Youjiazhuang to Guanting) has been approved by the State Planning Committee (SPC), agreement on the western half has still to be reached. Because the western section goes through a site of important cultural relics, it has to be -107 - ANNEX2
studied and reviewed and agreed by the State Cultural Relics Preservation Authorities. If the answer from the state cultural relics preservation authorities is negative, this scheme will not be considered further.
(c) Scheme 3: North of the Changan City Relic, close to the Wei River Concept. This route could avoid the above relic preservation and city environmental problems, and could attract most of the east-west transit traffic from the city. However, it is too far away from the city center to attract the inbound and outbound traffic, and would therefore have a smaller impact on relieving traffic congestion in the center than the other concepts..
12. MOC, SPTD and the World Bank have agreed that a Xian Bypass would be a very important section of the whole trunk national highway from Lianyungang port to Huorguesi, and its construction is important for the social and economic development of Xian city. However, there has not yet been a comparative study of the engineering, economic, financial, environmental and historic consequences of the alternative route concepts. Consequently, it was agreed that such a study would be included in the World Bank-financed Second Shaanxi Provincial Highway Project
13. These Terms of Reference have been prepared by the Shaanxi Provincial Highway Survey and Design Institute (SPHSDI) and agreed with MOC and the World Bank.
Study Organization
14. Because of the importance of the Xian Bypass and the complexity of the issues involved, and in order that the study work can proceed successfully and reach a conclusion within a reasonable time, a Leading Group will be formed, comprising representatives of the interested parties of the Provincial and Municipal governments. Its task will be to guide, coordinate, check and review the work of the Study Team. Under the leading group, the Study Team will comprise engineers, economists and technicians, mainly from SPHSDI and relevant research units. The Study Team's task will be to undertake the technical work of the study, under the direction of the Leading Group. Appendix 1 presents the detailed organization structure of the Leading Group and the Study Team as well as the allocation of study team members to study tasks and the related person-months.
International and National Experts
15. Because of the complexity of the Xian Bypass Study, international and national experts will be contracted to give technical guidance to the study, maintain the excellence of the analyses and review the draft reports of the Study Team, and to make suggestions for modifications or additions to them. -108- ANNEX2
16. Three international experts will be needed in the following areas:
(a) City planning and transport development;
(b) Traffic environment impact, with special experience in archeology and cultural relics; and
(c) Traffic engineering and highway design.
The first expert (city planning and transport development) will visit Xian for 15-20 days before the Inception Report, Traffic Report and draft Final Report are prepared; the second and third experts should arrive in Xian 20 days before the Traffic Report and draft Final Reports are prepared. Each visit to Xian will require 10 days time, including three days' report reading time in their country before traveling. Travel time will be considered as four days, so the average paid days per trip will be 14. The total international experts' time will be equal to about 4.5 person-months. Appendix 2 presents the terms of reference for the international experts.
17. SPHSDI will directly contract the three experts, following World Bank guidelines and from a short list of consultants for each position agreed with the Bank
18. A team of 13 experienced national experts will also be established to provide advice as requested by the study team and review the three reports. Experts with the following specializations will form the team:
(a) Highway Planning (2 persons)
(b) Highway design (4 persons)
(c) City planning and city traffic (3 persons)
(d) Traffic enviromnental impact (2 persons)
(e) Archeology and cultural relics (2 persons)
19. All the national experts shall arrive in Xian about 15 days before each report (Inception, Traffic and draft Final Report) are prepared and will stay in Xian about 7 days each time. The total input will be about 12 person-months.
Main Study Activities
20. Social Economic Development of Xian and Related Areas.
(a) Study social economic development history (1985-95) of Xian and related areas; and collect data on population, GOVIA, GNP and vehicle fleets, and analyze the main social and economic development trends. -109- ANNEX2
(b) Investigate and collect data relating to the Ninth Five-Year Plan (9FYP: 1996-2000) and indicate the prospective plans of national economy and social development as they relate to Xian. The years for which indications are needed are 2000, 2005, 2010 and 2020. [The data for Xian city will be provided by the Xian City Planning and Design Institute (XCPDI), the data for the surrounding areas will be provided by (SPHSDI)].
21. General Plan of Xian and its Districts.
(a) Review 1995-2020 City General Plan of Xian and its districts, to provide the present and future city land use allocations.
(b) Review Xian Land Resource Distribution and Development Plan.
(c) Collect and review plans for development of city streets.
(The above work will be done by XCPDI.)
22. Traffic Facility Status and Plan.
(a) Study and determine the transport network in the base year and in the future plan years.
(b) Investigate and review infrastructure and services on all urban and interurban transport modes (highway, railway, airline) for the current and plan years, including route lengths and capacities, service class, levels of demand, and transport operational and financial indices.
(c) Review status of and plans for the national and provincial road network in Xian and surrounding areas (the above work will be done by SPHSDI and XCPDI).
23. Analysis of the Quality of Transport Services.
(a) Analyze and evaluate the degree satisfied by the main streets, considering traffic volume, street capacity, vehicle speed and enviromnent.
(b) Investigate mileage, class, cross-section of connecting roads between main streets to the Xian bypass (by SPHSDI).
24. Analysis of Travel Patterns.
(a) Investigate the historical traffic flows on the city, national roads and provincial roads.
(b) Undertake an O-D investigation at the entrances and exits of the city center (8 observation sites) to determine volumes of in- and outbound -110- ANNEX2
traffic and through traffic. Traffic volumes in city area will be investigated by a home interview survey method.
(c) Analyze development trend of inbound, outbound and through traffic, and forecast them for the plan years, taking account of the economic and social development plan, Xian city general plan, city land use plan and city road network plan, and considering projections of population, land use, employment distribution and traffic diverted to/from the railway and air transport.
(d) The base year of traffic forecast is 1996, the plan years will be 2000, 2005, 2010 and 2020, with medium and low forecasts being made for each year.
(e) Using demand matrices compiled from demand forecasts, a standard allocation model of demand to modes and routes, forecast future highway demand for each link of the network (without Xian bypass). Repeat the assignment for each alternative route concept, taking account of the trip generation or suppression characteristics of each of them. The road network for each alternative should include the proposed alignment of the bypass, modifications or additions to connecting roads and interchanges.
Traffic data collection will be undertaken by SPHSDI and XCPDI. The analysis of traffic data as well as traffic projections will be carried out by MOC's Highway Planning and Design Institute (MHPDI) and China City Plan and Design Institute (CCPDI).
25. Interchanges and Connecting Roads.
(a) Recommend on the basis of traffic analyses, including turning movement projections, reasonable locations as well as scale and types of interchanges between the alternative alignments for Xian bypass and connecting roads.
(b) Analyze construction scale of connecting roads (done by SPHSDI and XCPDI) and estimate the costs and optimum timing of their construction.
26. Culture Relics Impact Analysis.
(a) Investigate the distribution of culture relics along each alignment and their required level of protection, draw a map with large scale for each important site to show the possible route alignment. Recommend additional remedial measures to protect cultural sites along each route alignment and estimate the cost of their implementation. The views of archeologists from the concerned agencies would be solicited. This work will be undertaken by the Shaanxi Archeology Research Institute (SARI). -111- ANNEX2
27. Environment Impact Evaluation (EIE).
(a) Undertake an EIE for each alignment alternative and complete an environmental monitoring of sensitive spots along each alternative route. Also, recommend measures to reduce the environmental impact of each route and estimate the costs of their implementation (by Shaanxi Environment Protection Research Institute (SEPRI).
28. Land Acquisition and Resettlement.
(a) Investigate quantities and cost of land acquisition and resettlement, and also determine resettlement policies and the costs of their implementation (done by SPHSDI).
29. Engineering Cost Estimate and Financing Plan.
(a) Estimate the construction cost of each alternative alignment, based on feasibility study estimates of quantities and June 1996 prices, and include cost of connecting roads.
(b) Prepare a financing plan for each alternative, taking account of the financial capacity of the city and provincial govermnents, and all other sources of finance, including private and/or loan finance of some project components if appropriate and necessary. (To be undertaken by SPHSDI.)
30. National Economy Evaluation and Financial Analysis.
(a) General economic evaluation shall be done for each alignment alternative and detailed evaluation shall be done for the recommended alternative under conditions of low and medium traffic growth and with and without tolls.
(b) Economy evaluation shall follow the method and parameters for project economic evaluation issued by MOC, the main indices shall include EIRR, ENPV, EBCR and the first-year rate of return.
(c) Undertake sensitivity analysis with respect to construction costs, traffic levels and other parameters as considered appropriate.
(d) Undertake financial and loan repayment capacity analysis. This will require a review of the toll revenue that might be expected from the bypass, and should take account of the elasticity of demand for the bypass, bearing in mind that alternative non-tolled roads will be available for local traffic that would use the bypass if there were not to be a toll.
(e) The feasibility study for Xian bypass shall follow the preparation method for highway project feasibility study report issued by MOC and the -112 - ANNEX2
requirements of the World Bank for project feasibility studies and analyses.
(The above work will be done by SPHSDI.)
Selection of Recommended Alternative
31. Alignment Alternatives.
(a) At least, three feasible and significantly different alignment alternatives shall be proposed to be investigated and compared from an engineering feasibility, economic and financial feasibility, environmental and impact on cultural relics point of view.
(b) The views of provincial, city and local governments, residents, and technical experts on these alternatives shall be sought.
(c) A comparative evaluation of the alternatives will be made, using a consistent and comprehensive framework and using the same level of analysis and optimization of each alternative. The most appropriate alternative will be recommended, with an indication of why it is considered preferable to those rejected. (SPHSDI will be in charge of the above work.)
32. This recommendation, together with the supporting arguments and information, will be presented to the national and international experts for their opinions. These opinions will be presented together with the recommendation to the Leading Group. The Leading Group will consider the recommendation and accept or reject it. The decision of the Leading Group will be communicated to MOC, MOF and the World Bank, together with an explanation in the case of a rejection.
33. The construction scale, technical standard and a reasonable schedule for construction of the Xian bypass will be determined, once a decision on the route location has been made and agreed (including the optimum opening year and whether staged construction should be applied).
Reports
34. The following reports will be produced. Each report will be reviewed by the international and national experts and would then be submitted to the Leading Group and the World Bank for review and comments.
35. Inception Report. This report will be completed within two months of the start of the study and would include the revised work plan, comments on the terms-of- reference as well as proposed changes to them and the related staffing and study implementation schedule. -113 - ANNEX 2
36. Traffic Report. This report will present the results of the inventories conducted traffic surveys and their analyses, as well as the traffic assignments to the proposed alternative Xian Bypass schemes. The report will be completed within seven months of the start of the study.
37. Draft Final Report. This report will present the results of the study including relevant sections and summaries from the Traffic Report as well as the framework and criteria for comparison of alternative bypass schemes; results of environmental, land acquisition and resettlement analyses; archeological and preservation of cultural relics investigations; engineering studies, including alignments and scale of the bypass, improvements to connecting roads and interchange layouts, and related cost estimates; economic and financial analyses and evaluation; and the recommendations of the study. It is expected to complete this report within one-year of the start of the study
38. Final Report. The draft final report will be discussed in a meeting (to be held in Xian within two months of its submission) involving the Leading Group, the Bank and the Study Team. Based on comments received and the results of this meeting, the Final Report will be prepared within two months of this meeting and submitted to the State Planning Commission, the Leading Group, and the Bank.
39. Study Schedule.
December 4, 1995: Submit draft TORs for Xian Bypass Study to the World Bank
December 31, 1995 Establish Leading Group and Study Team
January 31, 1996 Comments on TORs from the World Bank
March 31, 1996 Select international and national experts
April 1, 1996 Initiate Study
April 30, 1996 Complete Inception Report, including identification of alternative alignments to be studied and detailed work program and results of traffic counts
May 15, 1996 Review meeting with local and international experts on draft Inception Report
October 31, 1996 Meeting with local and international experts on draft Traffic Report
November 30, 1996 Complete Traffic Report, including results of traffic projections and traffic assignments to alternative routes
January 31, 1997 Complete draft Final Report -114- ANNEX2
February 10, 1997 Meeting of national and international experts to review draft Final Report
April 30, 1997 MOC and World Bank to submit their comments on the draft Final Report
June 30, 1997 The Leading Group will issue the final Report. -115- Appendix1 to ANNEX2
APPENDIX 1 TO ANNEX 2: STUDY OF XIAN BYPASS: STUDY ORGANIZATION AND STAFFING
Organization 1. The Leading Group will guide, coordinate, check and review the work of the Study Team. The Group comprises the following:
Group Leader: Representative of the provincial governor Deputy Governor in charge of transportation or the Secretary General)
Members: Deputy director of the SPTD; Deputy governor of the Xian city government; Director of the Shaanxi Provincial Cultural Relics Preservation Bureau; Deputy director of the Shaanxi Provincial Environment Protection Bureau; Director of the City Planning Bureau of Xian city; Director of the Xian City Transportation Bureau.
2. The Study Team which will carry out the study consists of the following:
Team leader: Deputy director of the Shaanxi Provincial Highway Survey and Design Institute (SPHSDI);
Consultant: Deputy director of the (SPTD) Planning Division;
Members: from the SPHSDI: 2 Senior Highway Engineers I Associate traffic professor I Economist 1 Traffic engineer 1 Interpreter - from the MOC Highway Planning & Design Institute: Deputy president I Senior traffic engineer from the Traffic Study Office of the China City Planning: Design and Research Institute 2 Senior City Planning Engineers - 116 - Appendix1 to ANNEX2 from the City Planning, Design and Research Institute of Xian: 1 Senior Building Engineer I Urban Traffic Engineer 1 Traffic Engineer from the Shaanxi Provincial Archeology Research Institute: 1 Researcher I Assistant researcher from the Shaanxi Provincial Environment Preservation Study Institute: 1 Researcher
3. The Leading Group will direct the Study Team, and the leader and consultant of the Study Team will be responsible for keeping direct contact with the Leading Group.
4. Task and Person-month Assignment of the Study Team a. Activities and person-months of SPHSDI:
Investigation, comparison and design of alignment schemes 20 Engineering survey and scheme of main structures 15 Investigation of land acquisition and resettlement 5 Survey and design of traffic engineering 5 Social economic investigation and economic evaluation of the project 8 Traffic volume survey and data collection 35 Compilation of study reports and progress reports at each stage 15 Translation and interpretation (Including interpretation at meetings and translation of documents) 4 Typewriting and publication 6 Project administration 10
Total person-months 123 b. Activities and person-months of the MOC Highway Planning and Design Institute and the Traffic Study Office of the China City Planning, Design and Research Institute:
Traffic survey scheme design and guiding traffic survey work 2 Processing surveyed traffic data and analysis 8 Analysis of existing and projections of future traffic volume 8 Highway capacity analysis and construction scope research 4 Participation in alignment scheme study 4 Compiling relevant reports and revising work programs 4
Total person-months 30 - 117 - Appendix1 to ANNEX 2 c. Responsibilities and person-months of the City Planning, Design and Research Institute of Xian:
City planning and collection of the historical traffic data 2 Cooperation in traffic volume survey 2 Survey and Design of linking roads in the city 4 Participation in alignment scheme study 2
Total person-months 10 d. Responsibilities and person-months of the Shaanxi Provincial Archeology Research Institute:
Survey of relics in each alignment area of influence 3 Analysis and evaluation of impact on relics in each influence area 4 Compilation of reports 3
Total person-months 10 e. Responsibilities and person-months of the Shaanxi Provincial Environment Protection Research Institute:
Investigation of impact of each alignment scheme on environment 5 Environmental quality indices of existing urban trunk highways 5 Compilation of environmental impact evaluation reports 15
Total person-months 25
5. The total person-months of the above subgroups are 198 person-months. With the addition of contingencies, it is estimated that up to 250 person-months will be required. The large contingency allowance is made because of the complex nature of the study and the large number of interests that need to be accommodated in making a final recommendation.
6. Location of Study Team. The Study Team for the Xian Bypass will be located at SPHSDI. A special liaison unit, to be headed by the deputy director of SPHSDI, will be created. - 118 - Appendix 2 to ANNEX 2
APPENDIX 2 TO ANNEX 2: STUDY OF XIAN BYPASS: TERMS OF REFERENCE FOR INTERNATIONAL EXPERTS
Introduction 1. The Shaanxi Provincial Government, through the Shaanxi Provincial Highway Survey and Design Institute (SPHSDI) is about to commence a study of alternative locations for a bypass to the city of Xian, one of the most important cities in the social and cultural history of China. In addition to staff of SPHSDI, the Study Team will include representatives of the Xian City Planning, Design and Research Institute, the Shaanxi Provincial Archeology Research Institute and the Shaanxi Provincial Environmental Institute. The Study will be under the direction of the Leading Group, led by a representative of the Provincial Governor.
2. It is proposed to contract three international experts to advise on particular aspects of the study methodology and to review the relevant portions of the three draft reports to be produced by the Study team. The foreign costs of the study, including all costs of international experts whether incurred inside or outside China, will be financed from the proceeds of the Second Shaanxi Provincial Highway Project, expected to be presented to the Board of the World Bank in March 1996.
3. The Terms of Reference for the Study are attached to these terms of reference for the three international experts. Each of the three experts should have a minimum of 15 years' professional experience and to be familiar with the transport sector in China, particularly urban highway development, from the point of view of their own area of expertise.
Experience Required
4. The first expert should have expertise in the relationship between transport development and city planning. He/she should have a postgraduate or professional qualification in city planning or urban development, as well as in transport or civil engineering with a specialty in transport or traffic. It is expected that the person selected will have worked on transport development projects in historic cities, preferably in developing countries. It would be an added advantage if the expert has experience in transport studies in China and/or other Asian countries, and be familiar with the institutional environment within which highway projects are prepared and evaluated in these countries.
5. The second expert should have experience in the environmental impact of traffic in urban areas, with a knowledge of the specific impacts of noise and air pollution on residents, pedestrians, nonmotorized transport and historic buildings. Given the - 119 - Appendix2 to ANNEX2 importance of preservation of archeological and cultural relics in determining the route of the bypass, this expert should have particular experience in measures to protect sites of archeological and cultural importance in the planning of urban highways or other major infrastructure projects. He/she should have a postgraduate qualification in environmental science and in transport planning (or with transport as a major component of the environmental science qualification). It would be an added advantage if the expert selected is familiar with the environmental regulatory framework in China and/or with the institutional requirements for a project's final environmental approval. He/she will have worked on a number of urban infrastructure development projects in historic cities, preferably in China or other Southeast Asian countries.
6. The final expert will have a professional or postgraduate qualification in traffic engineering and highway design, with a specialty in urban transport. He/she will have a wide experience in the transport and traffic aspects of urban highway development, particularly in respect of intersection and interchange design and location, the interaction between motorized and nonmotorized road users, and the distribution of traffic from urban highways through the urban areas to their final destinations. It would be an added advantage if the expert has experience in similar studies in Chinese or Southeast Asian cities where rapid motorization has been an issue and where integration of urban highways into the built environment has been successfully managed.
Responsibilities and Outputs
7. All three experts will be required to provide specialist advice within their area of expertise as requested by the Shaanxi Government, always within the time limits of their contract. All requests for advice will be sent to the experts in writing in English (fax) and replies should be made in the same form. In general, replies to specific queries will be required within seven calendar days.
8. The experts will also be required to review the draft reports to be produced by the Study Team and to provide comments during one-week review meetings in Xian. The first expert should attend all three meetings , while the second and third experts should attend only the second and third meetings. The proposed timing for the review meetings is:
May 15, 1996 Inception report (including recommendations of the routes to be investigated, detailed work schedule and the results of traffic counts and surveys. -
October 31, 1996 Traffic report, including results of traffic projections and traffic assignments to alternative routes, and initial environmental assessments and reviews of cultural relic sites likely to be affected by each route and the possible remedial measures to be taken in both cases. -120 - Appendix2 to ANNEX2
February 10, 1997 Final report, including all the evaluation assessments of each route, a comparative assessment of the alternative routes and a recommendation for the alignment of the bypass
9. Draft reports will be provided to the experts at least 15 working days in advance of each meeting and preliminary written comments (In English or Chinese) should be submitted by the experts to SPHSDI with a copy (in English) to the World Bank at least two days before the start of each meeting.
Contract
10. Each input to review of a report will be equivalent to about 14 person-days and the total contracted time will be about 2 person-months for the first expert and 1.25 person-months for each of the other two experts. -121- ANNEX3
ANNEX 3: TERMS OF REFERENCE FOR HIGHWAY MAINTENANCE STUDY
Background
1. Shaanxi is an inland province in middle-west China. In 1994, it had a population of about 34.8 million and an area of about 206,000 square kilometers. Transport is predominantly by road and rail. In 1994, road transport accounted for about 87 percent of the tons and 18 percent of the ton-kilometers, as well as 87 percent of the passengers and 32 percent of the passenger-kilometers. Road transport has been increasing at an annual rate of 12 percent and is expected to increase by about 10 percent annually over the next decade.
2. The present highway network consists of about 39,000 km, of which about 8,800 km are national and provincial roads maintained by the Shaanxi Highway Administration Bureau (SHAB). About 72 percent of the highway network is paved, and only 4 percent are classified as Class II highway (2-lane roads) or higher standard. Generally, roads are reasonably well maintained. In 1993, only about 20 percent of the roads were considered to be in fair or bad condition. However, maintenance is labor- intensive and not much equipment is used, with the result that the quality of the riding surface is rough, which adversely affects the vehicle operating costs.
3. In Shaanxi, highway maintenance is under the control of the High-Grade Highway Administration Bureau (SHGHAB) and SHAB. SHGHAB is responsible for the high- grade highways in the Province; the total length of which is about 174 km. Presently five maintenance stations maintain these roads. SHAB is in charge of the maintenance of the trunk highway system (about 9,700 km) and exercises its control of this network through 10 prefectural highway districts, which are in turn in charge of 112 county-level highway districts. As for the maintenance of the county and township roads, this is done through 10 local highway maintenance sections (one for each prefecture) and 103 maintenance stations at the county level. In total there are 903 maintenance squads and about 30,000 people are involved in highway maintenance, or about 1 person/km, which is high in comparison with developed countries.
4. The condition of the roads is determined monthly by routine checks of the county districts, and is checked quarterly by the central districts. SHAB inspects the condition of the roads on sample basis once every six months. No scientific measurements are used in determining the condition of the maintenance of roads. Consequently, this system tends to overinflate the percentage of roads in good condition. The data on traffic volumes on roads is collected through 3 continuous counting stations, 159 periodic stations (where traffic volumes are collected for three days each month) and 659 general survey stations -122- ANNEX3
(where traffic is counted for two days each year). These stations cover only 72 percent of the total highway network. Data transfer and analysis is done manually, which requires a long time and results in errors. Consequently, traffic volume data is not adequately taken into consideration in determining the conditions of roads.
5. The Shaanxi Provincial Transport Department (SPTD), under the guidance of MOC, started developing a modem road data bank (RDB) and pavement management system (PMS). A prefectural-level RDB has been successfully completed and will be implemented in 5 of the 10 prefectures in Shaanxi by the end of 1996. SPTD wants to develop a provincial-level RDB. However, these systems have not yet been used as effective tools in better management of highway maintenance.
6. SPTD is aware of the problems facing highway maintenance in Shaanxi Province. SPTD considers the productivity of the existing highway maintenance to be rather low and the quality of maintenance to require substantial improvement. Consequently, it intends to undertake a four-part Highway Maintenance Study to lay the foundations for better use of existing resources (financial, human and management, equipment and materials) to achieve a higher quality of more efficient and less costly maintenance of highways in Shaanxi.
7. The first part of the study is centered on improved ways of conducting maintenance primarily through introduction of. the market mechanism in highway maintenance operations. The second part is concentrated on introduction of more mechanization of highway maintenance operations to improve quality and increase productivity. The third part of the study is focused on collection of traffic volume data (motorized and nonmotorized traffic) so as to reduce the time required for collection and analysis of data, increase accuracy of the collected data, and provide on a more timely basis the needed traffic volume data that is required for planning, investment decisions, and maintenance purposes. The fourth part of the study is directed toward the development of the provincial-level RDB.
Objectives of the Study
8. The objectives of the study are to increase the productivity and the quality of maintenance operations and to help SPTD properly prepare itself for the orderly introduction of the market mechanism in its maintenance operations. To achieve these objectives, the study will focus on the following four main aspects of highway maintenance: (a) introduction of the market mechanism in highway maintenance, primarily through maintenance by contract; (b) increased mechanization of maintenance operations to improve the quality and efficiency of maintenance operations; (c) improved methods of collecting and analyzing traffic (motorized and nonmotorized) volume data; and (d) development of a provincial-level Road Data Bank. -123- ANNEX3
Main Study Activities
9. The main activities require to carry out the above-mentioned four aspects of highway maintenance to include, but are not necessarily limited to the following activities.
10. Organization of Highway Maintenance
(a) Conduct a comprehensive review of SPTD's operations and organizational structure, and identify the activities/functions, in the organization, operations and management of its road and highway network (with emphasis on maintenance), which are suited for commercial operations. This may refer to the organization equipment and technical capabilities, staffing and funding to carry out the operations and management of these functions.
(b) Analyze each of the above functions in terms of current performance, and propose alternatives, which specify the organizational, technical and fnancial implications.
(c) Analyze the implications of the above on the role of SPTD in highway operations with emphasis on highway maintenance. This may entail that SPTD would play less the role of an implementing agency and more of a regulatory and supervisory entity. Special attention should be given to the question of surplus labor resulting from shifts in the role of the SPTD.
(d) Estimate the implications of the changing role of SPTD on its organizational structure, management, labor force and skills mix, and associated training and institutional capacity requirements. Special attention should be paid to the transitional arrangements required.
(e) Consider the legal and institutional implications of the above, taking into account the central and provincial policy, regulatory, financial and enforcement frameworks.
(f) On the basis of the above, the study should make some preliminary recommendations regarding future courses of action by SPTD (both in the transitional period and in the long-term), with special emphasis on highway maintenance. Also, the results of the study should be documented in a final report.
11. Mechanization of Highway Maintenance Operations -
(a) Review the existing methods of highway maintenance and identify the operations which are suitable for introduction of machinery. Pertinent - 124- ANNEX3
information and experience of foreign countries, especially the developed ones, would be very useful in this regard.
(b) Identify the types and main specifications of equipment that are best suited to the various maintenance operations, taking into consideration the existing levels of mechanization, cost of new machines versus availability of funds, and skills of existing labor as well as the required training to properly operate and maintain these equipment.
(c) Identify the main materials, as well as their quantities and geographic distribution, required to properly operate and maintain the higher levels of mechanization of maintenance operations. These include fuel, oil, lubricants, and spare parts. Also, estimate the requirements for building structures to house these equipment, stores for materials and spare parts, as well as garages for maintenance of these equipment.
(d) Investigate the required instruments required to ensure proper quality control in maintenance operations, including laboratories and their staffing and related training of staff.
(e) Study various ways for organization and deployment of the machines for highway maintenance. This should be related to the overall organization of highway maintenance, introduction of the market mechanism into highway maintenance as well as to the main types of maintenance operations (routine, periodic, rehabilitation), and size of existing and future maintenance operations as well as their geographic distribution.
(f) Assess the impact of higher mechanization on the number and skills of existing labor involved in highway maintenance, training required to properly operate and maintain the new machinery, and propose realistic means of dealing with excess labor taking pertinent current laws and practices into consideration.
(g) Assess the financial implications of the various levels of mechanization of highway maintenance operations on the overall budgets for highway maintenance. At present, most of the financial resources are used for salaries of maintenance labor and management.
(h) On the basis of the above, propose a realistic and appropriate higher level of mechanization for highway maintenance in Shaanxi and outline a time- phased plan of action for gradual and orderly introduction of mechanization in highway maintenance. This plan must be relatively easy to carry out and can be used in other provinces in China. It should also recognize that levels of mechanization increase over time and as the economy of a province develops. -125 - ANNEX3
(i) Prepare a final report that documents the results of this study.
12. Improved Collection and Analysis of Traffic Volume Data
(a) Review existing methods of collection of traffic (motorized and nonmotorized) volume data and their analyses.
(b) Review existing number and geographic distribution of equipment for collection of traffic volume data and relate these to the functional and administrative classes of highways.
(c) Based on the above two activities, identify the problems with the existing system of collection and analysis of traffic volume data and the speed with which these data are made available to the highway maintenance agencies.
(d) Determine an overall system for collection of traffic volume data in Shaanxi Province including number and location of continuous traffic counting stations and periodic counting stations (including definition of the period-quarterly, monthly, and for how many days each time). This system should be capable of identifying types of motor vehicles and nonmotorized traffic. Criteria for the establishment of each type of traffic counting station should be established. This should help in deciding location and number and type of stations to be added in the future. The system for traffic volume data should be related to the Road Data Bank being developed in Shaanxi Province.
(e) Based on experience in other provinces in China as well as in other countries, identify the type of equipment best suited for collection of traffic volume data. A comparison of these equipment should help define the equipment best suited for Shaanxi.
(f) Estimate the number of equipment by type needed as well as their costs in both foreign and local currencies and develop a time-phased action plan for acquisition and deployment of these equipment.
(g) Review the various methods for transmission of traffic volume data from the collection sites to the place(s) where data will be processed and/or analyzed, and determine the methods best suited for Shaanxi's conditions.
(h) Develop a system for analysis of traffic volume data including its hardware and software requirements. Maximum use should be made of existing software and the emphasis should be on adapting the available software to Shaanxi conditions rather than developing new software. The software should: (i) have adequate statistical analytical capability of traffic flows; (ii) provide for correction of traffic flows to reflect hourly, daily, and monthly changes in traffic flows; (iii) help produce trend and -126- ANNEX3
features of sectional traffic flows; (iv) analyze traffic volumes by axle loads; and (v) analyzetraffic volume to capacityrelationships.
(i) Determine the specific agency/units within SPTD that should be responsible for maintenance of the traffic volume equipment, the collectionand transmissionof data, and the analysis of data and provision of reports to other units/agencies within SPTD. Also, realistic time schedules should be developedfor the step-by-stepand orderly flow of informationfrom the traffic volume measurementsites to reports on traffic volumes to the various units/agenciesin SPTD. The related manpower requirements,as well as trainingneeds, should be estimated.
(j) Estimatethe capital cost of the equipmentfor collectionof traffic volume data and of the hardwareand softwarefor analysis,training costs, as well as the annualcost of runningthe system.
(k) Documentthe results of this study in a final report.
13. ProvincialLevel Road Data Bank
(a) SPTD is recognizedas one of the leaders in China in the developmentof RDB. It has already developed a prefectural-levelsystem (in Baoji) and will complete its implementationin 5 of its 10 prefectures by the end of 1996. The proposedprovincial-level RDB serves as the intermediateline between the prefectural-levelRDB and the MOC-levelRDB. Hence, it has to be developedwithin the overallframework set by MOC. Moreover, it could form the basis for the system to be adoptedby MOC for use in all provincesin China.
(b) Determine the functions of the provincial level RDB. Tentatively these are to:
(i) provide most up-to-date and accurate information for highway planning,design, maintenanceand management;
(ii) provide reports and maps and to exchangeinformation with other concerned departments and provide information services for the public;
(iii) allow the user to add (after authorization)limited function and attributedata;
(iv) establishclient/server network with the prefectural-levelRDB;
(v) use multiple-mediatechnology to provide graphics, images and data to users; -127- ANNEX3
(vi) allow dynamic queries, segmentation and linear overlay; and
(vii) interface with the Chinese Pavement Management System (CPMS) to process highway network maintenance analyses.
(c) Determine the appropriate scope of the data including range of data collection, geographic information that is consistent with the desired level of coverage and depth of investigation.
(d) Develop and implement an open data base system that would give the user more flexibility to modify and add data items or to add new functions to meet the needs of highway management.
(e) Develop a client/server architecture that allows more flexibility and expansion possibilities in the future. This architecture is more economical and practical than other systems.
(f) Develop a system that can process special geographic features and output highway theme maps (GIS) that meet the growing needs of highway management.
(g) Using research on road broken chainage dynamic processing technique, solve the problems of data processing due to changes in mileposts caused by reconstruction of highways and their spatial graphic processing.
(h) Document the results of the study in a final report.
Study Organization and Staffing
14. Because of the importance of the study and the complexity of the issues involved, and in order that the study can proceed successfully and reach realistic conclusions, a Leading Group will be formed, comprising representatives of SPTD, Provincial Labor Department, Provincial Machinery Department and MOC. Its task would be to guide, coordinate, check and review the work of the Study Teams. Four Study Teams, one for each of the four aspects of the study, will be formed. These teams will include engineers, organization and labor specialists, computer specialists, economists and technicians mainly from SPTD. SPTD would, as needed, utilize Chinese experts from other organizations in Shaanxi and other provinces in China. Also, international experts would be utilized to give technical guidance to the study teams, maintain the excellence of the analyses and review the draft reports of the study teams and make suggestions for modifications or additions to them.
15. Four international experts would be needed for a total of about 8.5 person-months in the following areas: -128 - ANNEX3
(a) One highway organization and maintenance expert with a minimum of 15 years of experience in the field of organization and management with emphasis on key issues of institutional arrangements in highway departments, especially maintenance operations. The services of this expert will be required for 1.5 months for the study of introduction of the market mechanism in highway maintenance and for general assistance to the other three studies, especially the study of mechanization of highway maintenance.
(b) One labor economist/specialist with a minimum of 15 years experience in the field of labor economics and relations, with emphasis on issues related to surplus labor. The services of this expert will be required for 1.5 months for the study of the introduction of the market mechanism in highway maintenance as well as for the study of mechanization of highway maintenance operations.
(c) One senior highway engineer with a minimum of 15 years experience in maintenance management, with emphasis on equipment for highway maintenance. It is envisioned that the services of this specialist will be needed for about 1.5 months, primarily for the study of mechanization of highway maintenance operations, but also for general support to the other three studies.
(d) One highway engineer with a minimum of 15 years experience in development of RDB, PMS and in highway maintenance. The services of this expert will be required for about 4 person-months for the development of the provincial RDB.
16. In addition to the services of the international experts, local staff would be trained in the following areas as follows:
(a) 8 persons would be trained for one month abroad (total 8 person-months) in the areas of maintenance management and maintenance by contract, and 11 persons would be trained in the same areas in China for one month (total 11 person-months).
(b) 2 persons would be trained for one month abroad in the area of traffic volume data collection and processing (total 2 person-months) and 6 persons would also be trained in the same areas in China for I month (total 6 person-months).
(c) Training for RDB development consisting of:
(i) 5 persons for 3 weeks (total 3.7 person-months) abroad in the area of road view video image capture system; -129- ANNEX3
(ii) 5 persons for 3 weeks (total 3.7 person-months) abroad in the area of object-oriented database/programming technology;
(iii) 2 international experts for a total of I person-month to train local experts in the area of GIS technology.
17. The cost of the above training is estimated at about $200,000 for training abroad, and Y 310,000 (equivalent to about $37,000) for training within China, and $30,000 for two international experts to come to China. The total cost is estimated at about $267,000.
Equipment Required for the Study
18. The following equipment will be required for carrying out all four parts of the highway maintenance study:
Cost Number ($'000)
Equipment Computer 1 8.0 Traffic Volume Equipment 1 36.0
Subtotal 44.0
RDB Equipment Video image capture system 1 50.0 Database server 1 15.0 Network server 1 15.0 Pentium PC 10 20.0 Modem 20 18.0 Color jet ink plotter 1 6.5 Color jet ink printer 10 6.4 Network card, HUB, cable 1 10.0 UPS 10 kVA/8 hours 1 25.0 Network software, communication software 1 8.0 GIS software 5 10.0 Read-write CD-ROM 2 6.0
Subtotal 189.9
Total 233.9 - 130- ANNEX3
Reports
19. For each of the four areas of the proposed study, it is expected that the following reports will be prepared and where pertinent will be reviewed by the international and national experts and would then be submitted to the Leading Group and the World Bank for review and comments.
(a) Inception Report. This report will be completed within two months of the start of each of the four parts of the study and would include the revised work plan, comments on the terms-of-reference as well as proposed changes to them and the related staffing and study implementation schedule.
(b) Progress Reports. These reports will be issued every three months, with the first one to be submitted three months after the issue of the Inception Report. They will present progress on the various tasks, provide information on partial findings worth bringing to the attention of the Leading Group and the Bank, identify main problems, if any, and present suggested solutions.
(c) Draft Final Report. This report will present the results of each of the four parts of the study and would present the findings and recommendations. The timing of the submittal of each of these reports is shown in the study schedule.
(d) Final Report. The draft report for each of the four parts of the study will be discussed in a meeting (to be held in Xian within two months of its submission) involving the Leading Group, the Bank, and the Study Team. Based on comments received and the results of this meeting, the Final Report will be prepared within two months of this meeting and submitted to the SPTD, the Leading Group, and the Bank.
(e) Study Schedule. It is expected that each of the study of organization of highway maintenance and the introduction of the market mechanism into highway maintenance and the study of improved collection and analysis of traffic volume dates would require about 18 months after selection of the international experts until submission of the draft final report. Similarly, the study of mechanization of highway maintenance would require about two years. As for the study of RDB, it is expected to require about 30 months (see Appendix 1). A3A1.XLS
PLANAND TIMETABLE OF PROVINCIAL-LEVELROAD DATABASE STUDY
______TIME RANGE ______
1996__1997 1998 _
Soiamplemelnt I Ž~L- 1 - -- i irts RepoItobe submitted to Feasibility I umt esblt tudy report SPTD Information 1 study . ..- .. .by a the endof March 1996 Center Usees ____ -SPTD Information demand Center,HAB and 2 investigation - ______HGHAB Overrunplan Submit overallplan system SPTD Information system analyzereport by the end of Center,HAB and 3 analyze August 1996 HGHAB Preparationof Submit softand hardware's Soft &Hard- IniIIn.ES purchaseand install report in SPTD Information 4 ware .January 1997 Center . . . Submittraining situationreport SPTD Information 5 Training ...... in October 1996 Center ______~~~~~~~~~~~~~~~~~~~Submitsystem designreport in SPTD Information 6Syte desig December1996 Center ______~~~~~~~~~~~~~~~~~~~Submitdata design report in SPTDInformation 7 Data base design January_197_Cente NEMRO .... Center, HAB and
8 Data collection a. . ~ _____HGHAB SPTD Information 9Code ~ ~ design~-Center 9 Codedesign ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~SPTDlInformation 10 Programming Center ______~~~~~~~~~Submitsystemreport in SPTD Information 11SystemnReport i i i ...... December1997 Center ______~~~~~~~Submitsystemtesting report in Center, HABand 12 Systemtesting Report .1January 1998 HGHA inmu. ~* ~* appraisalresults in SeptemberCenter, HAB and 13 User appraisal Report ,: 1998______HGHAB______
SPTD: ShaanxiProvincial Transport Department HAB: HighwayAdministration Bureau HGHiAB:High-Grade Highway Administration Bureau -132 - ANNEX4
ANNEX 4: ROAD SAFETY IMPROVEMENT
General
1. The traffic accident situation in Shaanxi (as in other provinces in China) is serious. During 1990-94, annually about 7,860 accidents took place, resulting in about 1,540 fatalities and about 4,290 injuries. The number of accidents is not high, but this may reflect a low degree of reporting of accidents, especially in rural areas. However, the number killed is relatively high, and the rate of 75 killed per 10,000 motor vehicles is high and is about 40 times higher than that for Western European and North American countries. But, the number killed per 100,000 population (0.5) is less than that in those same countries. Also, the severity rate (26 percent) defined as the number killed divided by the total number killed and injured is high.
2. Due to this situation, the Bank engaged the services of two separate experts-one a Danish and the other a Norwegian safety expert under Danish and Norwegian Trust Funds respectively, to study the topic, identify the problems, develop a generalized program for tackling the road safety problem and define a component for inclusion in the proposed project. The Danish and Norwegian experts visited Shaanxi in April 1995 (preparation/preappraisal) and July 1995 (appraisal of the project), respectively, and submitted their final reports in May and August 1995 respectively. These reports form the basis for the contents of this annex.
Institutions Involved
3. Roadway safety is a complex subject involving many issues (driver, vehicle, road, environment, engineering, education, enforcement, attitudes and behavior, etc.) and many entities. The Traffic Police Team of Shaanxi Public Security Bureau (PSB) has the major role. It is responsible for vehicle testing and licensing, driver training and testing, traffic law enforcement, information and education, and collection and treatment of accident data. In each prefecture, there is a Traffic Police Branch and in each county, there is a Traffic Police Brigade. Each brigade has one or more Traffic Police Squadrons, which are responsible for the management of traffic as well as propaganda. The total number of traffic police in Shaanxi was about 6,500 in 1995. The Shaanxi Provincial Transport Department (SPTD) is responsible for design, construction and maintenance of highways, as well as installation and maintenance of road traffic signs and markings. Also, the Shaanxi Scientific Research Institute, when asked by Public Security, undertakes vehicle testing and studies of accidents. Hospitals treat accident victims and ambulance services transport victims. -133 - ANNEX4
Existing Situation
4. There is a variety of traffic safety activities taking place in Shaanxi province. These activities do, however, seem to be relatively isolated activities. Even though most of the activities are managed by SPTD and PSB, and there are reasonable relations between the two, there seems to be limited coordination. The most important deficiency does seem to be the total lack of long-term planning within the field of traffic safety. Another important problem is that there is little development work going on within this field. The main objectives of the traffic safety component will therefore logically be to strengthen the capacity for policy-making and planning, and to initiate some pilot development work. This should hopefully start a lasting process consisting of the development of regular traffic safety planning and coordination, which is a prerequisite for efficient comprehensive traffic safety work. It is further believed that the pilot work on black spot improvement will start a lasting process, as this way of working has proven to be one of the most efficient activities within traffic safety work. Also, the work on accident statistics will hopefully give birth to future research on the relationship between accidents and accident contributing factors.
5. It was observed that the existing accident data collection system is adequate, even if there is room for improvement. This system was elaborated a few years ago and is used in all provinces, and hence it is not subject to local modifications for the time being.
6. It should be noted that in general, both in SPTD and PSB, there is an agreement as to the description of the accident situation as unsatisfactory. When it comes to monitoring and improvements, however, it is sometimes difficult to get a positive response. There is a general reluctance in considering possible improvements. The present situation and present procedures are to a certain degree considered as sacred, and improvements are not looked for.
7. The agreements presented on the following pages are based on the discussions between the missions, SPTD and PSB. The implementation of some elements will be subject to approval by the Provincial Government.
Traffic Safety Policy And Planning
8. Leading Group For Traffic Safety Planning. It was agreed to establish a Leading Group for traffic safety coordination, policy-making and planning. The Leading Group will be chaired by the Vice Governor, and it will have two representatives from each of SPTD and PSB. The Deputy Directors of SPTD and PSB respectively will act as Vice Chainnen. The main functions of the Leading Group will be to monitor the accident situation and to propose strategies and policies as well as comprehensive traffic safety plans to the Provincial Government. Such plans should include all aspects of traffic safety work, also those parts which are outside the responsibility of SPTD and PSB. The analyses of the situation should be done on a yearly basis. Short-term action plans should also be developed on a yearly basis and objectives and longer-term plans should equally be revised at regular intervals. The Leading Group will be a permanent group, and its -134 - ANNEX4 activities will go on after the termination of the project. The Leading Group will act as a board for the Traffic Safety Unit (see below). It is anticipated that the Leading Group will meet a few times per year. The Leading Group shall be established by the end of February 1996. Establishment of this group will be a condition for Board presentation. SPTD will inform the Bank once the Leading Group has been established. The first tentative policy and action plan shall be presented by the end of 1997.
9. A Traffic Safety Unit. It was agreed to establish a Traffic Safety Unit (TSU) in order to prepare the work for the Leading Group. It is suggested that TSU be administratively situated in SPTD. TSU will be staffed by personnel from SPTD and PSB. One part of TSU will be permanently staffed. This part will act as the secretariat of the Leading Group. The Secretariat will be established by February 29, 1996, and the Bank will be informed once it is established.
10. The Secretariat will carry out analyses of the traffic accident situation, and on the basis of such analyses it will prepare traffic safety objectives, strategies and short- and long-term traffic safety plans. These objectives, strategies and plans will be presented to the Leading Group, which will discuss them in an annual conference on traffic safety. When adopted by the Leading Group they will be presented to the Provincial Government. The Secretariat will monitor the situation and suggest new actions to be taken and new studies to be undertaken. The Secretariat will also act as a resource group for the authorities. In carrying out their duties, the Secretariat should have the possibility to get professional assistance from the staff in SPTD and PSB when needed.
11. Shortly after its creation, two members of the Secretariat will be offered a four- week study trip abroad. The training will focus on accident monitoring, on the elaboration of traffic safety objectives and the development of traffic safety policies and plans, and also on the necessity to undertake regular traffic safety development work and research. Another part of TSU will carry out various traffic safety studies. The staffing will correspond to the need defined by the ongoing studies. The studies will be initiated by July 1996, and the Bank will be informed on their initiation.
Safety Audit Procedures
12. It has been seen in industrialized countries that despite detailed road design manuals, new road plans do not meet all the requirements for safety. Many countries are now introducing what is called safety audits of new road plans. This work consists of the development of a number of check lists and guidelines that explain how to check road design to ensure that the roads do not contribute to the occurrence of accidents.
13. It was agreed that such safety audit procedures shall be developed by TSU during the project period. In this regard, Shaanxi Province should avail itself of the safety audit work to be carried out under the Bank-financed Shanghai-Zhejiang Highway Project (Loan 3569-CHA). -135 - ANNEX4
Improved Computer Software
14. The existing accident data collection form provides a large amount of data on each accident. This makes it possible to analyze the accident data in many ways that are useful for traffic safety planning and traffic safety work. However, the current software only allows a few such analyses to be carried out, which seriously hampers the exploitation of the accident data.
15. It was agreed to improve the traffic accident reporting forms, review the coding of the geographic location of accidents, install the British Transport Research Laboratory (TRL) Microcomputer Accident Analysis Package (MAAP) at PSB headquarters and at TSU, and train the staff in the related activities. Twenty-five police staff from all prefectures would be trained in registration, location coding, and data verification. An international consultant for 3.5 person-months would help in the training, installing MAAP, revising the accident data forms and geographic location system as well as adjusting the MAAP system on the basis of early experience with its use.
Pilot Black Spot Work
16. Traffic safety work in industrialized countries has shown that the improvement of traffic accident black spots is one of the most efficient traffic safety measures. Black spot improvement work consists of the following steps:
(a) Identification of black spots
(b) Analyses of the accident situation
(c) Selection of improvement measures
(d) Implementation
(e) Monitoring
17. It was agreed that pilot black spot work be carried out as part of the project during the first four years of the project period (1997-2000). For this purpose, a black spot group will be established with TSU. The group will consist of five persons from the Road Maintenance Section and the Road Management Section of the Highway Administration Bureau.
18. The study shall be carried out as an experiment with control site. Some 20-30 black spots will be identified. Out of these, some 10-15 are selected at random for treatment. The rest will constitute the control sites. It will be tried to select half of the black spots at grade intersections (X-crossings and Y-crossings) and half of them at road sections. Some should be near urban areas and some in rural areas.
19. It is reported that black spots can be identified with the existing accident data analyses program. The data forms will be made available by the police at the prefecture -136 - ANNEX 4 level, where they are stored. The accident reports and sketches from the accidents at the black spots will be made available to the black spot group by the police at the county level.
20. For the analyses of the black spots and their traffic, the group will be provided with a vehicle, a photo camera, a video camera and monitor, a speed radar, a friction detector and two rulers (steel and leather), and for office work it will be provided with a computer and a printer.
21. Three members of the black spot unit will initially be trained in China for a total of 5 person-months and outside China for a total of 3 person-months. Also, about 3.5 person-months of international expert(s) will be provided for general support of the Unit, review of results of studies and guidance on new activities to be undertaken.
22. Subsequent to the analyses, SPTD will implement the proposed improvements. A special budget of Y 10 million will be established by SPTD for this purpose. One million yuan will be allocated the first year, and then two, three and four million in the following years. This special budget will also cover all specific costs related to the black spot analyses.
23. The black spot work is expected to be initiated by January 1997 and go on for a four-year period. After termination of the pilot black spot work, the black spot work will be transferred to the Maintenance Section at the prefecture level on a permanent basis. The personnel who participated in the pilot black spot work would be responsible for the training of the relevant personnel at the prefecture level.
Storage of Accident Files
24. In order to carry out black spot work, it is necessary to get hold of complete data concerning the accidents at the black spots. The identification of the black spots will identify the place of the black spot and the number of accidents at the black spot, and it will provide serial numbers of the accidents that have occurred.
25. The definition of a black spot is a place where many accidents have happened during a certain period of time. It is obvious that one has to consider a period covering a number of years. At present, it is required to keep the accident data for at least three years, and current practice in Shaanxi province is to destroy the files after three years. It is obvious that this can seriously hamper the possibility for carrying out black spot work. It was therefore agreed that this practice will be changed, and that accident files will be kept at the county level for five years in the future.
Accident Analyses
26. The knowledge about accidents and their contributing factors is extremely limited today. The police identifies what they consider to be the "cause" of the accident. Thereby they can determine the percentage of the accidents which is caused by for -137- ANNEX4 example "reckless driving." This is, however a legal consideration, and it is seldom fruiitful for initiating traffic safety actions. It is widely accepted today that an accident is a multifactoral event, meaning that it is a combination of many factors, which in a certain combination leads to an accident. This implies that the accident can be avoided by influencing any of the present factors. An important step in traffic safety work is therefore to identify factors that are overrepresented in accidents.
27. It was agreed that TSU would undertake statistical work to describe the accidents according to all the contributing factors that are available on the accident form currently in use. This could, for example, be used to determine the number of accidents per type of vehicle. When compared with the vehicle population, this will give an idea about the relative risk between the different types of vehicles.
Driver Training Study
28. Driver training and driver behavior are important factors that affect the occurrence of accidents. Despite a very long driver training period and an apparently comprehensive training curriculum, the Shaanxi traffic police claim that unqualified drivers are an important accident-producing factor. This could imply that there are deficiencies in the driver training system, and that safety improvements could be obtained by improving the driver training system. Appendix 1 to this Annex presents the outline terms of reference for a study of driver training in Shaanxi. The study will be carried out by a local team assisted by 1 person-month of an international specialist. The results of the study would be useful to Shaanxi Province, MOC, PSB, and other provinces in China.
Evaluation of the Traffic Safety Component
29. The objective of the traffic safety component is, first of all, to initiate activities that will start processes leading to improved traffic safety in a longer perspective. In order to reach the objective, it is important that all activities are carried out and that there is a reasonable follow-up. If this is not the case, correcting actions should be taken. It has therefore been agreed that by the end of the fifth year, a qualified Chinese consultant, acceptable to the Bank, for 1 person-month shall carry out an independent evaluation of the implementation of the highway safety component.
Costs
30. Table 1 summarizes the cost of the road safety program. The total cost is estimated at about Y 13.0 million, of which Y 10.0 million is for implementation of the accident black spots.
31. Implementation Program. The road safety program will be implemented over four years (1997-2000). Equipment is expected to be procured in 1997. Training will be implemented during 1997 and 1998 and the driver training study in 1998. Implementation of the accident black spots will span four years (1997-2000). -138 - ANNEX 4
Table 1: SUMMARYOF COST ESTIMATEOF ROADSAFETY PROGRAM
Chinese Intemational Local Overseas Equip- Study Total Item New staff consultants consultants training training Budget ment budget budget (persons) (person-months) ------(Y'000)
Data analysis - - 3.0 /a - - 157 - 157 Driver training study - - 1.0 - - - - 200 200 Road safetyunit 5 2 3.5 15 3 lO,000& 388 - 10,388 Research ------Evaluation - I ------
Total 5 3 8.5 15 3 10,000 520 200 13,097
Unit cost (Y'000) 50 40 130 0.7 100 Travel and living costs (Y'000) - 40 80 - -
Total Cost (Y'000) 250 240 1,576 11 300 10,000 520 200 13,097 la 25 persons will be trained for I month, by an intemational consultant. Cost is included in the person-months of the intemational consultant. Lb Cost of implementation of accident black spots. It is estimated that Y 1.0 million, 2 million, 3 million and Y 4.0 million will be spent in the first, second, third and fourth years, respectively. - 139 - Appendix 1 to ANNEX 4
APPENDIX 1 TO ANNEX 4: OUTLINE TERMS OF REFERENCE FOR DRIVER TRAINING STUDY
Background 1. The traffic accident situation in Shaanxi Province, expressed as the number of persons killed per 10,000 vehicles, is relatively representative of the situation in China, but very poor compared to industrialized countries. Important improvements are therefore needed. Driver training and driver behavior are important factors that affect the accident situation. Despite a very long driver training period, and an apparently comprehensive driver training curriculum, the Shaanxi police claim that unqualified drivers are an important accident-producing factor. With the hypothesis that good training produces qualified drivers, and that qualified drivers are safe, this could imply that there are deficiencies in the driver training system, and that safety improvements could be obtained by improving the driver training system.
Content 2. The study should basically compare actual driver behavior with required behavior. It is important to select behavioral elements that are believed to be related to traffic safety. The driver's knowledge in first aid should also be included in the study. When behavior deficiencies are detected, the study should discuss if the deficiencies are most effectively corrected by improved training or by law enforcement, and hence make suggestions as to improvements in the driver training system.
Scope of Work 3. (a) Define required behavior for a number of behavioral elements: approximately 5 person-months;
(b) Observe actual driver behavior: approximately 35 person-months;
(c) Detect discrepancies between required and observed behavior: approximately 10 person-months;
(d) Evaluate the most efficient improvement agent: approximately 10 person- months; and
(e) Make suggestions as to improved driver training procedures: approximately 12 person-months. - 140 - Appendix 1 to ANNEX 4
4. The study will be carried out by three representatives from SPTD during a two- year period. During the initial phase of the study, the team will be assisted for one month by an international specialist on driver behavior research.
Budget 5. The study will require 6 person-years at a total cost of Y 60,000. This cost element is included in the budget for the traffic safety component of the Second Shaanxi Provincial Highway Project. It is believed that no further manpower input is required.
6. The study will further require I person-month input from an international expert at a total cost of about Y 200,000. This cost element is included in the budget for the traffic safety component of the Second Shaanxi Provincial Highway Project.
7. Other cost elements, particularly related to data collection, are difficult to evaluate. Such cost elements will be covered by a special budget (Y 10 million) established by SPTD for black spot improvement and traffic safety studies as a part of the Second Shaanxi Provincial Highway Project. -141- ANNEX5
ANNEX 5: ENVIRONMENTAL ASSESSMENT AND ACTION PLAN SUMMARY
A. BACKGROUND
1. Environmental impact assessments (EIAs) of the following four major highways were carried out by Shaanxi Provincial Institute of Environmental Protection Science [(a) and (d) below] and Xian Highway Transportation University [(b) and (c) below]. The EIA reports were submitted to the Bank in October 1994 and reviewed by the Bank during the identification mission in October 1994.
(a) Weinan-Tongguan Section (WTE: 78.1 km) of Xian-Tongguan Expressway;
(b) Northeastern Section of Xian Bypass (11.0 km) of Xian-Tongguan Expressway;
(c) Tongchuan-Huangling four-lane Class I Highway (THH: 71.3 km) and doubling of two-lane Class II Auto-only Highway (Yaoxian-Tongchuan Section: 18.4 km); and
(d) Lantian-Xiaoshangyuan Class II Auto-only Highway (LXH: 48.3 km).
2. Based on the comments by the Bank, revised EIA reports and Environmental Action Plans (EAPs) of the above highways, EIA reports and EAPs of the following three, two-lane Class II Auto-only highway connections, and an Environmental Assessment Summary (EA Summary) covering all seven highways were prepared and submitted to the Bank in January 1995. The Bank commented in March 1995 and further discussed them during the preparation mission in April 1995. During the preparation mission, it was decided that the Northeastern Section of the Xian Bypass will be dropped from the project, considering that the approval had not been obtained from the central government agencies including the Cultural Relics Department on the proposed alignment of the Northwestern Section of the Xian Bypass, which would affect the alignment of the Northeastern Section. The draft final EIA reports, EAPs of all the six highways [(a), (c) and (d) in para. 1 and (a)-(c) in this para.] including interconnecting roads, and the EA Summary covering them were submitted to the Bank in May 1995.
(a) Lintong-Terra Cotta Warriors Museum two-lane Class II Auto-only Highway (LTH: 5.9 km);
(b) Jiangzhuang-Famen Buddhist Temple two-lane Class II Auto-only Highway (JFH: 20.1 kin); and -142- ANNEXS
(c) Jiangzhuang-Tangyu two-lane Class II Auto-only Highway (JTH: 15.7 km).
3. Regarding the rural roads improvement program to alleviate poverty (RIPA) in a number of poor counties, it was agreed that a Sectoral Environmental Assessment approach would be applied. Accordingly, EIA reports and EAPs for the first batch of projects under the RIPA component were prepared and submitted to the Bank in May 1995.
4. These EIA-related documents including those for the six high-grade highways and RIPA projects were reviewed and discussed during the appraisal, and the revised EIA- related documents were submitted to the Bank in September 1995, and found satisfactory.
5. An EIA was also undertaken for the improvement/upgrading of Xian-Sanyuan Class I Highway (XSH) and its relief road, which was added to the project during the appraisal in July 1995. The EIA report and EAP were submitted to the Bank in October 1995, and reviewed by the Bank during the highway mission in November 1995. Based on the comments by the Bank, the revised documents were submitted in December 1995 and found satisfactory.
6. The process of environmental review in)volved inputs from various units in the province, including environmental protection bureaus, research institutions and universities. The affected groups and NGOs along the highways, and the people subject to resettlement and land acquisition in particular, have been intensively consulted.
7. The policy and administrative requirements for environmental assessment of development projects in China were followed during preparation and evaluation of the EIA, as well as the Bank's OD 4.01 on Environmental Assessment. Major laws and regulations applied to the EIA for the Second Shaanxi Provincial Highway Project are presented below. The major environmental standards applied in the EIA are listed in Appendix 1 of this Annex.
(a) Environmental Protection Law of the Peoples' Republic of China;
(b) Atmospheric Pollution Control Law of the People's Republic of China;
(c) Environmental Noise Control Law of the People's Republic of China;
(d) Water Pollution Control Law of the People's Republic of China;
(e) Cultural Relics Protection Law of the People's Republic of China;
(f) Safety Management Clause of Chemical Hazard
(g) Management Guidelines on Environmental Protection of Construction Project, Number 003 (86), issued by the National Environmental Protection Agency (NEPA); -143 - ANNEX5
(h) Measures for Environmental Protection Management of Transport Construction Projects, Number 117 (86), issued by the Ministry of Urban and Rural Construction and Environmental Protection;
(i) Measures for Environmental Protection Management of Transport Construction Projects, Number 17 (90), issued by the Ministry of Communications (MOC);
(j) Notification to Strengthen the Administration of Environmental Impact Items for the Construction Projects Sponsored by the International Financial Organizations, Number 324 (93), issued by NEPA; and
(k) Administrative Order for Cultural Relics Protection in Shaanxi Province.
8. The scope of and the criteria for the EIA is presented below.
(a) Noise: The EIAs cover areas within 200 m from the alignments (WTE, THH and XSH) and within 100 m from the alignment (LXH, LTH, JFH, JTH and the relief road of XSH). Class II noise standards [60 dB(A) in daytime and 50 dB(A) at night]: GB 3096-93 are applied to schools and hospitals and Class IV standards [70 dB(A) in daytime and 55 dB(A) at night] are applied to other sensitive areas.
(b) Air pollution: The areas covered by EIAs are the same as those for noise. Class II air quality standards (GB 3095-82) are applied to the project.
(c) Ecological aspects: The EIAs cover areas within 500 m (THH), 200 m (WTE, LXH and XSH), and 50 m (LTH, JFH, JTH and the relief road of XSH) from the alignments, considering the scale of highways and ecological significance of the areas.
(d) Cultural relics: The EIAs cover areas within 200 m from the alignments.
(e) The predictions are made until approximately 20 years after the completion of construction works (WTE: 2018, THH: 2020, LXH: 2017, XSH and its relief road, LTH, JFH and JTH: 2020).
B. BRIEF PROJECT DESCRIPTION
9. The Second Shaanxi Provincial Highway Project includes:
(a) construction of six high-grade highways comprising construction of:
(i) 78.1 km four-lane Expressway between Weinan and Tongguan, starting from Chengjia, east to Weinan through Hua county and Huayin county, ending at Yangjia on the border of the Province. -144 - ANNEX5
The Expressway goes through about 49 km of plain, hilly areas and 29 km of mountainous areas;
(ii) 73.6 km four-lane Class I Highway between Tongchuan and Huangling starting from Chuankou, the gap leading to Tongchuan and ending at Kangyaidi in Huangling, and doubling of the existing two-lane Class II Auto-only Highway between Yaoxian and Chuankou (18.4 km). The Highways mainly go through mountainous areas;
(iii) 48.3 km two-lane Class II Auto-only Highway between Lantian and Xiaoshangyuan. The Highway mainly goes through mountainous areas;
(iv) a 5.9 km two-lane Class II Auto-only Highway connecting Lintong and the Terra Cotta Warriors Museum;
(v) 18.9 km two-lane Class II Auto-only Highway between Jiangzhuang and the Famen Buddhist Temple; and
(vi) 15.9 km two-lane Class II Auto-only between Jiangzhuang and Tangyu.
(b) Upgrading of a 34.5 km Xian-Sanyuan Class I Highway by providing full control of access, traffic safety devices, and installation of a telecommunication system, and construction/improvement of 42.9 km of its relief road for local traffic (mainly for tractors, nonmotorized vehicles and pedestrians);
(c) Construction, rehabilitation and upgrading of three interconnecting roads with a total length of about 8.2 km;
(d) Improvement and new construction of about 4,100 km of rural roads in a program to help alleviate poverty (RIPA) in a poor counties in Shaanxi;
(e) Technical assistance, training and institutional strengthening of Shaanxi Provincial Transport Department and the Shaanxi High-Grade Highway Administration Bureau;
(f) Equipment for: (i) operation and maintenance of high-grade highways in (a) above, (ii) strengthening of laboratories, (iii) environmental monitor- ing, and (iv) maintenance of the highway network, and
(g) A highway safety component to help reduce accidents on Shaanxi highways. -145 - ANNEX5
C. BASELINE ENVIRONMENTAL DESCRIPTION
10. Geology and Topography: Weinan-Tongguan Expressway and three Class II auto-only highway connections (LTH, JFH and JTH) go through the areas in the Wei River Basin, Guanzhong Plain with Qinling Mountains to the south and the Wei River, Jing River and the Yellow River to the north. The land is broad, plain and partially terraced with an average height of approximately 340-400 m above the sea level. The Guanzhong area is one of the areas of active earthquakes and Xian is on the earthquake belt with 8 scale intensity between the Fen River and Wei River. The intensity of the typical earthquake in the Wei River Basin is usually about 7 scale. The Lantian- Xiaoshangyuan Class II Highway goes through the mountains and hilly areas in front of the Qinling Mountains, along the valleys of Senen Winding River, Lan Bright River and Clear River. Both sides of the river valleys are steep and the rivers run quite fast. The Tongchuan-Huangling Class I Highway (THH) goes through the southern part of the North Shaanxi Loess Plateau, getting higher toward the northwest. THH goes through loess ridges along the Wang River, the Half Valley and Xi River and then rock-based mountains with steep cliffs and deep valleys.
11. Climate and Hydrology. Except THH, the other proposed highways are being constructed in the eastern part of Guanzhong Plain where the climate is fairly warm (average temperatures range 13-14°C), wet with long winters and summers, and with moderate rainfall that concentrates in July, August and September (annual rainfall range 600-700 mm). THH goes through the southern part of the Loess Plateau, where average temperature ranges 9-10°C and annual rainfall from 630 to 650 mm. The highways under the Second Shaanxi Provincial Highway Project traverse many rivers, all of which belong to the Wei River drainage area in the Yellow River System. The Guanzhong Plain is rich in underground water, which is 5-15 m deep and used for drinking and farming.
12. Economic Situation: Shaanxi is an inland province, located in the middle west of central China, has 205,000 km area and a population of 34 million. Its current economic development ranks at medium level in China. The province is divided into three areas, namely Northern Shaanxi Plateau, Guanzhong Plain and Southern Shaanxi Mountains. The northern Shaanxi is rich in coal, natural gas and petroleum, becoming an important base of energy resources in the country. Guanzhong Plain is the hub of developing Shaanxi economy with its dense population, developed economy and industries. This area also has rich tourism resources. There are plenty of mineral deposits, biological and hydroelectric resources in Southern Shaanxi that need to be further developed.
13. Land Use: The main land use of the project areas is agriculture. The Guanzhong area is the grain store of the province and the products are mainly wheat and corn with an annual productivity of 500-650 kg/mu. Apples, grapes, etc. are also produced in the area. The land on the hills and in the valleys is rather sterile with undeveloped irrigation and poor yield. The annual yield of wheat or corn is approximately 140 kg/mu in Tongchuan and no more than 240 kg/mu in Huangling. -146 - ANNEX5
14. Ecological Setting: There are three categories of vegetation in the project areas, namely Guanzhong Plain, southern part of the Northern Shaanxi Loess Plateau and the hilly area in front of Qinling Mountains. After being farmed for thousands of years, the natural vegetation in Guangzhong Plain is nearly wiped out and all the land that can be cultivated has become farmland with wheat, corn or fruit trees. The rock-based mountain area west to the National Highway No. 210 in the Northern Shaanxi Loess Plateau is sparsely populated and well covered with natural forests (coverage of approximately 87 percent). The loess ridges, hills and valleys are covered with secondary forests and bushes. The major plants are oaks, poplars, Chinese pines, birches, cypresses. etc. Except for about 26 km (KI08-K134) of Tongchuan-Huangling Class I Highway (THH), the vegetation in the valleys and on the loess ridges along THH is rather poor with the forest coverage of approximately 27 percent. The area in front of Qinling Mountains is mainly farmland with wheat, corn and sweet potatoes and secondary forests. The main vegetation includes cypresses, white skin pines, and Chinese pines. The secondary forests are mainly with Chinese pines and Hua pines.
15. Shaanxi is rich in wildlife. Qinling Mountains, in front of which Lantian- Xiaoshangyuan Highway (LXH) goes through, is a natural wildlife protection area. The wildlife in the area includes river deer, bears, pandas, leopards, wild goats, long-tail chickens, etc., but they are mainly living in the West Qinling Mountains. There are also many wild animals such as gold-skin leopards (Class II national preservation) and reindeers in the Northern Mountains where THH goes through. In addition, there are many wild hogs, roe deer, wolves, foxes and birds in the Province. However, these animals are living in the deep mountains and not around the alignments of the proposed highways. During the field investigations hardly any wild animals, rare or endangered species, were observed along any proposed alignment.
16. Cultural Relics: Guanzhong area is one of the places from where Chinese culture originated. There are relics of Lantian men of millions of years ago, prehistoric Banpo men and Emperor Xuanyuan, who is often called "the father of the nation". Xian was called Chang'an in the ancient times. Since the Shang and Zhou dynasties, II emperors made their courts in Xian, leaving the area with rich cultural relics and historical sites. According to the information provided by the Shaanxi Archaeology Research Institute in 1994, some short lengths of the proposed highways will go close to the national and provincial cultural sites, but only a few pass through remains that need preservation measures.
17. Air Quality: The measured ambient air quality data indicate that the air quality along the proposed highways is generally good. Carbon monoxide (CO) concentrations are below the ambient air quality standard except along some sections of THH and Lintong-Terra Cotta Warriors Museum Highway (LTH). NOx concentrations are also below the standard except for some sections of Weinan-Tongguan Expressway (WTE). Total suspended particulates (TSP) concentrations exceed the standard in WTE, THH and LTH, mainly due to the resuspension of road dust. TSP concentrations also exceed the -147 - ANNEX5 standard slightly in some sections in Jiangzhuang-Famen Buddhist Temple Highway (JFH) and Jiangzhuang-Tangyu Highway (JTH).
18. Noise: Present acoustic environmental quality is generally good along most of the proposed highways. In some sections of WTE, the noise level in the daytime reaches the noise standard, and a noise level of 60.8 dB(A) was measured at night in Saying, which exceeds the standard [55 dB(A)]. The noise level exceeds the Class II standards in daytime and at night at the school in Majiashan of THH.
19. Water Quality: Measured surface water quality data generally meet the water quality standards.
D. POTENTIAL ENVIRONMENTAL IMPACTS AND THEIR MITIGATION MEASURES
20. Major potential impacts and their mitigation measures regarding Weinan- Tongguan.-Expressway, Tongchuan-Huangling Class I Highway, Lantian-Xiaoshangyuan Class II Auto-only Highway and Three Highway Connections (Lintong-Terra Cotta Warriors Museum, Jiangzhuang-Famen Buddhist Temple, and Jiangzhuang-Tangyu) are summarized below and incorporated in the Environmental Action Plans (EAPs) of the proposed highways. The EAPs stipulate how the environmental impacts identified in the EIA will be dealt with in the design, construction and operation phases, and what institutional arrangements have been made for the implementation of the EAPs during the three distinct phases. The key elements of the EAPs are summarized as Appendix 2 of this Annex.
Design Phase
21. The project was developed in accordance with the "Three Synchronization" rule in China, which requires that development projects should incorporate environmental protection measures in planning/design, construction and operation phases.
22. Alternative Alignments: Alignments of proposed highways were selected from among several alternatives in order to minimize land acquisition, social and economic disturbance, adverse environmental impacts including air pollution, noise at sensitive areas, water quality degradation and ecological disruption, and to avoid cultural relics sites and unfavorable geological conditions.
23. Social Disruption: In order to minimize problems of community separation and isolation due to the project construction a large number of underpasses and overpasses were incorporated into the project design. For example, 178 crossings (2.8 crossings per km), 8 large, 10 medium and 6 short bridges, and 6 interchanges were included in the design of WTE to minimize social disruption.
24. Soil Erosion: A total of 16,588 m of slope protection, 7,030 m of retaining walls and 164 culverts were included in the engineering design of WTE in order to facilitate natural drainage and avoid soil erosion and slope failures. In addition, temporary and - 148- ANNEX5 permanent drainage systems were designed to minimize soil erosion and alteration of hydrological regimes, including impacts on irrigation. Similar measures were also incorporated in the engineering design of other proposed highways.
25. Noise and Air Pollution: Noise and air pollution mitigation measures were identified and integrated into the design and bid documents. These include construction of noise barriers, installation of surrounding walls, double-glass windows, etc. Some buildings will be relocated due to the significant noise impacts.
26. Water Pollution: Adequate permanent and temporary drainage systems were incorporated in the project design to minimize surface water pollution and disturbance to irrigation channels and existing drainage systems. Septic tanks were designed for service area facilities in order to prevent direct discharge of waste water to public water bodies. Underground storage tanks for gasoline and other hazardous materials will be installed to prevent groundwater contamination.
27. Cultural Relics: A special cultural relics survey was carried out during November/December 1994 by Shaanxi Provincial Archaeology Research Institute (SPARI), following the relevant rules and regulations in China to identify cultural relics to be affected by the project. Altogether 28 cultural sites along the proposed highways were identified to be protected. One is under national protection, three are under provincial protection and nine are under county protection. The other 15 are not classified under any special protection. They include Yaozhou Kilns (national importance) and Wangjiahe Remains (provincial importance) in Tongchuan along the Tongchuan-Huangling Highway, and Hengzhen Remains and Tongguan Ancient City (provincial importance) along the Weinan-Tongguan Expressway. Under the guidance of the Shaanxi Provincial Archaeological Bureau (SPAB), a special action plan for the preservation of cultural relics was developed to carry out detailed field reconnaissance, excavation and preservation of identified cultural relics and remains under the proposed project.
28. Flooding: Bridges, culverts and roadside drainage systems were adequately designed to meet requirements for safe discharge of flood (300 years for large bridges and 100 years for the others).
Construction Phase
29. Fugitive Dust and Other Air Pollution: Quarries, material borrow sites, waste disposal sites and transportation routes to construction sites were identified as the major areas that create dust and other air pollution. Road surfaces, excavation areas and construction sites will be sprayed with water and kept moist particularly near towns, water sources and other sensitive locations. Access roads will be upgraded, widened and paved where necessary, and sprayed regularly to minimize fugitive dust. Stockpiles and storage areas will be either covered or sprayed. Construction materials will be covered during hauling to prevent undue dust or debris on roads. Asphalt and concrete mixing -149- ANNEX5 equipment will have dust collectors and will be located at least 500 m downwind of residential areas. Construction machines will be equipped with exhaust gas control units.
30. Noise: Since operations of machinery associated with excavation and road construction may cause hearing damage in the event of prolonged exposure, hearing protection will be provided for construction workers. Construction machinery and trucks will be equipped with proper noise control devices and will be properly operated and maintained. Construction activities will be prohibited between 10:00 p.m. and 6:00 am near residential areas. Transportation of construction materials will be undertaken with careful consideration to minimizing noise impacts on residents along the roadside. Traffic management, including dissemination of traffic rules and setting up of speed limits will be strengthened.
31. Soil Erosion: Erosion control will be undertaken by minimizing the removal of vegetation and by installing silt traps and other prevention measures. Excavation sites will be reclaimed, stabilized and re-vegetated following the completion of construction activities. Silt screens will be placed at excavation sites as appropriate. Where arable land is selected as a material borrow site, fertile top soil will be removed, stockpiled and, after completion of excavation, restored, and the land will be reverted to its original condition. Temporary ponds will be placed where appropriate within construction sites to capture eroded soil.
32. Water Pollution: Measures will be taken to prevent direct discharge of polluted water from construction activities into rivers and irrigation channels. Septic tanks will be installed at construction camp sites to prevent direct discharge of sanitary sewage to public water bodies. Sewage sludge and domestic waste from construction sites and camp sites will be collected to be used as fertilizer or properly disposed of. Drinking water at construction sites will meet China's national drinking water standards. Disposal sites will be approved and secured to avoid environmental contamination. Construction of bridge piers and material excavation from watercourses will be avoided during the rainy seasons. Drainage interception facilities will be installed at bridges to prevent polluted runoff from entering watercourses.
33. Cultural Relics: Construction works will be stopped in case new cultural relics are discovered as a result of road construction or excavation activities. The Shaanxi Provincial Archaeological Bureau (SPAB) and the Shaanxi Provincial Archaeology Research Institute (SPARI) will be informed immediately and a field survey of the site will be undertaken. Necessary mitigation measures will be identified and implemented under the supervision of SPAB and a detailed action plan will be developed as appropriate before the construction work resumes.
34. Traffic Management: Local resources will be used to the extent possible to avoid long-distance transportation of construction materials. Adequate traffic control measures will be implemented in consultation with the Transportation and Public Security Departments when roads are congested during the construction period. The -150 - ANNEX 5 contractors would be required to provide adequate diversions and signs where the construction crosses existing roads. Where sections of existing roads are used for transportation of construction materials, temporary service roads will be constructed as appropriate to alleviate congestion of existing roads. A construction material transportation plan will be developed to avoid hauling activities during peak hours especially on existing roads.
Operation Phase
35. Noise and Air Pollution: Two of the most significant problems during the operation period will be noise and air pollution from exhaust gas. According to the EIAs, noise levels at environmentally sensitive sites along Weinan-Tongguan Expressway (WTE), Tongchuan-Huangling Class 1 Auto-only Highway (THH) and Xian-Sanyuan Class I Highway (XSH) will significantly exceed the noise standards set as the assessment criteria. Similarly, NO, concentrations will exceed the ambient air quality standards (Class II standards) at several sensitive sites. In order to supplement the EIA results and identify necessary mitigation measures, special studies were carried out on traffic noise protection measures for WTE, THH and XSH. Based on the above studies, the following measures were identified and integrated in the EAPs to be implemented in a phased manner.
36. For WTE, Taoxia Hospital and Xiaoquen Primary School will be totally relocated by 1999. Approximately 660 m of noise barriers will be installed by 1999. Classrooms near the proposed expressway will be used as warehouses and the same area of classrooms will be built on the other side of the schools (Fengliang and Fushui Primary Schools) by 1999. Also, approximately 1,920 m of surrounding brick walls will be constructed or made higher by 1999 around the noise-sensitive buildings such as schools and hospitals. Approximately 1,140 m of additional walls will be constructed or made higher in 2005, depending on the monitoring results. Further noise protection measures such as construction of walls and installation of double-glass windows will be undertaken at 21 noise-sensitive sites in 2013, depending on the monitoring results.
37. For THH, approximately 260 m of walls will be constructed or made higher by 2000 around the noise-sensitive buildings. Approximately 900 m2 of glass-walled corridors (called front corridors) will be built by 2000 to enclose Mineral Hospital and Yichi Middle School buildings along the proposed highway. Depending on the monitoring results, 130m of walls will be constructed in 2?05, and double-glass windows at two sensitive sites and 360 m2 of front corridors at one site will be installed in 2015.
38. For XSH, approximately 400 m of noise barriers will be installed at Liulincum and about 250 m of surrounding brick walls will be made higher at Jinxing School by 2000. An additional 450 m (at four sensitive sites) and 1,280 m (at seven sensitive sites) of surrounding brick walls will be constructed or heightened in 2010 and 2020 respectively, depending on the monitoring results. -151- ANNEX5
39. Vehicles which do not meet noise and exhaust emission standards will be barred from using provincial roads including the proposed highways. A tailpipe gas inspection station will be established at Huaxian Interchange of WTE to enforce emission laws. Public awareness campaigns and education will be undertaken to familiarize people with air and noise pollution regulations. In order to avoid future noise and air pollution problems, development of residential areas will be prohibited within approximately 20 m from the edge of the proposed highways and construction of sensitive buildings such as schools and hospitals will be prohibited within 50 m. In order to avoid lead contamination in crops from vehicle emissions, Chinese cabbage and other types of vegetables will be replaced by nonedible crops within 40 m of WTE alignment after 1998.
40. Risk of Hazardous Material Spills: The Public Security Department (PSD) and the Transportation Department (TD) will be informed prior to transportation of hazardous materials on the roadway, especially with regard to the nature of the hazardous materials, the time, routes and parking places of vehicles transporting such materials. Transportation of hazardous materials will be restricted based on the guidance of PSD. Pertinent danger sign will be posted on the vehicles indicating the nature of hazardous materials. Emergency-response facilities will be installed to respond to accidents involving spill of hazardous materials and a contingency plan will be developed to deal with such accidents.
E. ENVIRONMENTAL MONITORING
41. During the construction and operation of the proposed highways, environmental monitoring will be carried out to verify the actual impacts on the environment, identify unexpected environmental problems at an early stage, and adjust environmental protection measures as appropriate. The Environmental Monitoring Group in the Central Supervision Laboratory will be mainly responsible for environmental monitoring during construction. Noise, vibration and fugitive dust will be monitored by the environmental supervisor at each construction contract section. During the operation phase, the environmental monitoring activities of all the proposed highways will be carried out by the Environmental Monitoring Office to be established under the Shaanxi Provincial Transportation Department (SPTD). An annual monitoring report would be furnished to the Bank during the construction phase and for each of the first three years following completion of construction.
42. The major items to be monitored during the construction phase are air quality, noise, and water quality. Lead in soil and crops and vehicle exhaust inspection will be monitored in addition to the above items during the operation phase. The detailed monitoring plan is presented below.
43. Air Quality: Items to be monitored will include fugitive dust (by environmental supervisors) and TSP during the construction phase and nitrogen oxides (NOJ), CO and TSP during the operation phase. During construction, TSP will be monitored four times a -152- ANNEX5 year for consecutive three days each time. Fugitive dust will be monitored in the first, fourth, seventh and tenth days when construction work starts, and thereafter every 10 days. Monitoring sites will be construction sites, quarries and material borrow sites, and major roads used for transportation of construction materials. Fugitive dust will be monitored at least six places around construction sites. During the operation phase, NOR, CO and TSP will be monitored twice a year, each time for five consecutive days and four times per day. Monitoring sites have been identified in the EAPs.
44. Noise and Vibration: During the construction phase, monitoring will be carried out by Jn environmental supervisor in each contract section 2-3 times a day on a weekly basis at construction sites and major roads used for transportation of construction materials. Ad-hoc monitoring will also be undertaken. During the operation phase, monitoring will be carried out four times per year, in daytime and at night at the sites identified in the EAPs. Ad-hoc monitoring will also be undertaken.
45. Water Quality: During the construction phase, biological oxygen demands (BOD) and/or chemical oxygen demands (COD), suspended solids (SS), oil, dissolved oxygen (DO), temperature and pH will be monitored one month before the construction works start and three times per year for two consecutive days at major public water bodies, particularly rivers where bridges are being constructed. During the operation phase, the same parameters will be monitored twice per year in consecutive two days at the sites identified in the EAPs.
46. Other Items: Pollutants in vehicle exhaust gases (CO and hydrocarbons in gasoline vehicles, and particulates in diesel-powered vehicles) will be randomly inspected at Huaxian Interchange at WTE. Lead content in soil and crops will be monitored once a year during the operation phase at five locations along WTE.
F. ENVIRONMENTALASPECTS OF RIPA COMPONENT
47. The Rural Roads Improvement Program to Help Alleviate Poverty (RIPA) includes 157 road segments under 31 systems (a set of road segment) in 25 poverty counties of Shaanxi Province. Since the road segments under RIPA are large in number, and most of the RIPA projects are upgrading of the existing roads and small in the size of construction works, it was agreed that the Sectoral Environmental Assessment (EA) approach would be applied to the RIPA projects.
48. The Sectoral EA approach is summarized as follows:
(a) Initial Environmental Evaluation (IEE). All the RIPA projects will be classified into two categories, Category I and Category 1I. For the RIPA projects under the Second Shaanxi Provincial Highway Project, however, IEE for all RIPA projects was not carried out because necessary information for classification was not available at the initial stage. Therefore, classification needs to be done during the preparation of each batch of projects, based on the above criteria. -153 - ANNEX5
(i) Category I projects are those that are not expected to have significant environmental impacts. This category of projects include upgrading of existing roads without substantial widening and land acquisition.
(ii) Category lI projects are those that may have potentially significant environmental impacts. This category of projects include new road construction, upgrading of existing roads with substantial widening and land acquisition, and other road upgrading projects passing through environmentally special areas such as national parks, nature reserves, and important cultural heritage.
(b) Preparation/review of EIA and EAP Reports: For Category I projects, only Environmental Action Plans (EAPs) are required to determine various environmental protection measures to be implemented under the projects, based on the principles of environmental protection measures. For Category II projects, both EIAs and EAPs are required. All EIA reports and EAPs will be submitted to the World Bank and reviewed by the World Bank together with the application of a batch (package) of projects.
49. Regarding the RIPA projects under the Second Shaanxi Provincial Highway Project, only two road segments (No. 375 and 379 under No. 46 system) will be newly constructed, while the remaining 155 road segments will be upgraded mainly from unclassified roads to Class IV roads. The major upgrading works include:
(a) improvement/construction of culverts;
(b) widening of roads in a small number of road segments; and
(c) upgrading of road conditions to all-weather earth roads.
50. The RIPA projects will be carried out in four batches. Eight road segments in five systems were adopted for the first batch of RIPA projects to be implemented in the first year. Based on the above criteria, two road segments (No. 375 and 379 under No. 46 system) were classified to be Category II and the remaining six were classified as Category I.
51. Major Environmental Protection Measures for the RIPA Projects. Major environmental protection measures to be commonly implemented for most RIPA projects are summarized below and listed in Appendix 2.
Environmental protection measures during the design stage
(a) Soil Erosion: Additional retaining walls will be constructed to protect farmland, cultivated fields and forests. Temporary and permanent -154- ANNEX 5
drainage systems will be constructed to minimize soil erosion and alteration of hydrological regimes, including impacts on irrigation channels. Trees and grass will be planted to minimize soil erosion, air pollution and enhance good landscape along the proposed road.
(b) Water Protection: Additional temporary and permanent water pipes, water channels and sluice will be constructed to guarantee safe drinking water.
(c) Selection of Borrow Sites and Disposal Sites: Appropriate borrow sites and waste disposal sites will be identified to minimize impacts on farmland, forests and other land use.
Environmental protection measures during the construction stage
(a) Dust/Air Pollution: All reasonable steps, including watering, will be taken to minimize dust pollution by construction works, particularly in places near towns, water sources, etc. Stockpiles and storage areas will be covered or watered to prevent dust pollution. Trucks to transport construction materials will be covered to minimize spills. Tar heating sites will be located far away from residential areas on the lee side of the wind direction.
(b) Soil Erosion/Water Pollution: Temporary channel or conduit will be constructed for irrigation and drainage, during the construction of a permanent drainage system. Spoil will not be stored on riverbeds, farmland, forests and cultivated fields to protect water sources and natural ecology, and prevent interruption of rivers and flooding. Rivers and water sources will be cleaned up as appropriate if they are interrupted by soil and spoil. All reasonable measurers will be taken to prevent direct discharge of polluted water from construction activities into rivers and irrigation channels.
(c) Construction Camps: Adequate measures will be taken to prevent water pollution by wastewater from construction camp sites. Drinking water will meet China's national drinking water standards. Garbage will be collected in garbage cans in fixed places and disposed of regularly.
(d) Noise: Where residences are located near the construction sites, noisy construction works will be undertaken during the daytime. Maintenance of machines and trucks will be strengthened to keep them with low noise.
(e) Conservation of Land Resources: Forests will not be used for material borrow sites. Arable land will not be selected as material borrow sites as much as possible. If excavation has to be done in arable land, appropriate rehabilitation works will be undertaken to minimize impacts on ecosystem -155 - ANNEX5
and agriculture. Education of construction workers will be strengthened to protect natural resources, wild plants and animals. Poaching will be strictly prohibited.
(f) Risk of Accidents: Management regulations will be established to ensure safe construction activities.
(g) Cultural Relics: If fossils, coins, artifacts of value or antiquity, structures and other remains of geological or archeological interest are found, the local cultural authority will be immediately informed of such discovery, and excavation shall be stopped until identification of cultural relics by the authorized institution of preservation is completed.
(h) Traffic Management: Adequate traffic management will be undertaken to avoid traffic congestion during the construction period. Appropriate transportation plan for construction materials will be developed to use adequate routes and avoid transport activities during heavy traffic hours.
Environmental protection measures during the operation stage
(a) Transportation Management: The Public Security and Transportation Departments will enforce necessary management measures for safe transportation, including safe transportation of hazardous materials.
52. Environmental Monitoring for the RIPA Projects. The enviromnental monitoring will be carried out by local environmental monitoring centers through contracts with the county construction bureaus, and the results will be reported to the prefectural construction and environmental bureaus for review. -For the Category I projects, dust and noise will be monitored during the construction phase and TSP and noise during the operation phase. Water quality monitoring both in the construction and operation phases will also be undertaken for Category II projects.
G. INSTITUTIONALARRANGEMENTS
53. The institutional arrangements for environmental protection for high-grade highways during the construction period are summarized below and shown in Figure 1.
(a) In the Chief Engineer's Office to be established within SPTD, one of the three Assistant Engineers will have a clear assignment to deal with environmental issues related to the Second Shaanxi Provincial Highway Project. Under the Chief Engineer's Office at the Headquarters (HQ), an Environmental Supervisirn Unit will be established, with one senior environmental officer and one environmental expert on a full- time basis. This Unit will be responsible to develop appropriate environmental policies for the highway construction, to guide environmental staff at district offices and environmental supervisors at contract sections where - 156- ANNEX5
necessary, and to liaise with the Provincial Environmental Protection Bureau (EPB) and the World Bank.
(b) At each of the four District Highway Project Offices, one well-trained, full-time environmental staff member will be assigned to guide environmental supervisors at contract sections, to review environmental monitoring data of the project, to report the results of environmental supervision to the HQ and to liaise with local EPBs on environmental protection.
(c) At each contract section under the District Highway Project Offices, one environmental supervisor will be assigned. They will carry out the environmental supervision of the construction activities, to ensure that all protection measures stated in the construction bid documents or addressed in the Environmental Action Plans (EAPs) are carried out; to undertake noise, vibration and fugitive dust monitoring; and to periodically report the results of the environmental supervision to the district environmental staff. -
(d) In the Central Supervision Laboratory at the HQ, an Environmental Monitoring Group comprising five monitoring specialists will be formed to carry out the environmental monitoring of all highways under Second Shaanxi Provincial Highway Project.
(e) Xian-Tongchuan Highway Administration Division will be responsible for upgrading of Xian-Sanyuan Class 1 Highway (XSH). One of the chief engineers in the Division will be responsible for environmental protection. One engineer in XSH project office will also be responsible for environmental protection of the project. One environmental supervisor will be assigned for each of six contract sections. The Xian and Xianyang Municipal Communications Bureaus are responsible for the construction/ improvement of the relief road. One deputy chief in each of the bureaus will be responsible for environmental protection, and one environmental supervisor will be assigned for each of the contract sections of the relief road for environmental monitoring and supervision.
54. The institutional arrangements for environmental protection during the operation period are summarized below and depicted in Figure 2.
(a) During the operation phase, an Environmental Protection Office of SPTD, composed of three environmental staff members, will be responsible for overall environmental management of the Second Shaanxi Provincial Highway Project.
(b) Shaanxi Highway Administration Bureau (SHAB) will be responsible for enviromnental management of Lantian-Xiaoshangyuan Class II Auto-only -157 - ANNEX5
Highway (LXH). At HQ/SHAB, one Deputy Director will be responsible for the environmental issues related to highways and one staff member at deputy chief level in the Highway Maintenance Division will be specifically assigned to deal with environmental issues related to LXH. At each of Xian and Shanglo Highway District Offices, one environmental staff member at deputy chief level will be assigned for environmental protection of LXH. In addition, in each of their Subordinate Offices (Lantian and Shangzhou Sections), one staff will be responsible for environmental protection of the Highway as part of his/her assignment.
(c) Shaanxi High-Grade Highway Administration Bureau (SHGHAB) will be responsible for environmental management of Weinan-Tongguan Expressway, Tongchuan-Huangling Class I Highway, Xian-Sanyuan Class I Highway and the other three High-Grade Highway Connections. At HQ/SHGHAB, one Deputy Director will be responsible for the environmental issues related to the highways under the Second Shaanxi Provincial Highway Project and one staff member at deputy chief level in the Administration Division will be-assigned for environmental issues. At each of its three Administrative Divisions at the district level, namely Xian-Bao Division (Jiangzhuang-Famen Temple Class II Highway and Jiangzhuang-Tangyu Class II Highway), Xian-Huangling Division (Tongchuan-Huangling Class I Highway), and Xian-Tongguan Division (Weinan-Tongguan Expressway, Xian-Sanyuan Class I Highway and Lintong-Terra Cotta Warriors Class II Highway), one environmental staff member at deputy chief level will be responsible for environmental protection as part of his/her assignment. One deputy chief of each of the Xian Communications Bureau (Weiyang and Gaoling Sections) and Xianyang Communications Bureau (Jingyang and Sanyuan Sections) is responsible for environmental protection and management for the relief road of XSH.
(d) Environmental monitoring during the operation phase will be carried out by the Environmental Monitoring Office of SPTD, to be established with 10 staff members.
55. The institutional arrangements for environmental protection of RIPA projects are presented below.
(a) The Environmental Protection Office of the Shaanxi Provincial Transportation Department (three staff members) will be responsible for overall environmental protection of highways.
(b) The Environmental Protection Office of the Shaanxi Highway Administration Bureau (2-3 staff members) will be responsible for overall environmental protection of all RIPA projects. -158- ANNEX 5
(c) The environmental protection offices of the prefectural communications bureaus (approximately two staff members: one will be an environmental expert) will supervise environmental protection of all RIPA projects under their jurisdiction. The environmental protection offices of the county communications bureaus (1-2 staff members: one will be an environmental expert) will be responsible for environmental protection and environmental monitoring of the project during the construction and operation periods.
(d) Two staff members (one will be environmental expert) of the environmental protection stations will be directly responsible for environmental protection and environmental management/supervision of the respective RIPA projects.
(e) The environmental monitoring of the project during the construction and operation periods will be carried out by the local environmental monitoring centers through contract with the county communications bureaus. - --
(f) To obtain necessary expertise and knowledge for environmental supervision and monitoring of the RIPA projects, environmental training courses will be undertaken regularly. One staff member at all levels of environmental protection offices should attend the environmental training courses every year.
56. The environmental training program was included in the project as follows:
(a) The Chief Supervision Engineer in charge of environment in the Project Execution Office and three other staff will be sent abroad for three weeks to attend an environmental management seminar for highway projects and learn from the various highway administrations regarding their environmental management.
(b) Six environmental experts in the Project Execution Office (both Headquarters and district offices) will be sent for environmental training within China for one month each. Three of them will be sent abroad for two months each to learn more advanced environmental training for highway projects (three topics: environmental policy and planning, environmental management, and monitoring/measurements). Training workshop for about two weeks will be undertaken to disseminate the expertise and knowledge obtained through the foreign training to relevant experts.
(c) An environmental training course (for 20 participants) for about a month will be undertaken in Xian to provide training on environmental -159- ANNEX 5
supervision and on noise and dust monitoring mainly for environmental supervisors at respective contract sections.
57. The Central Supervision Laboratory will play a key role in environmental monitoring for all highways under the Second Shaanxi Provincial Highway Project (most air quality monitoring, water quality monitoring, vehicle exhaust monitoring, etc.). The monitoring and analytical equipment listed below will be procured under the proposed project. The numbers in brackets indicate the number of the specific items to be procured.
EQinpme Number
BOD measurement device I COD measurement device 1 ultraviolet spectrophotometer 1 TSP sampler 6 atmosphere sampler 6 CO testing meter - 1 atomic absorption photometer 1 high-grade sound level meter 2 sound level meter 16 analytic balance (1/104) 2 vibration signal analytic meter 1 acceleration meter 16 monitoring vehicle 2 tail gas monitoring equipment 1 falling dust monitoring container 16 computer and related accessories I
58. District-level supervision laboratories will play a relatively small role in environmental monitoring. Equipment to measure local meteorological conditions along the proposed highways (atmospheric temperature gauge, hygrometers, wind gauge, etc.) will be procured under the project. Containers to measure fugitive dust, analytical balances, noise and vibration detectors will be procured for each contract section laboratory. Figure 1. Institutional Arrangements for the Construction Phase
|Shaaxi Provincial Transport Department|
r ------______J Chief Supervision Engineer Offde Hghway * , ~~~~~~~~~~~~~~~SecondShaanxiAmnsrto |Contract Divi:s:ion]| Environrnental Headquarters Bureau
Supervision Um't l
| TechnicalDivision > | Xian-Tongchuan , | t , H~~~~~~~~~~~~~~~fighway Secrlji~at~ Central Supervision Administration Laboratory Environmental Division Secretariat ManagementGroup
Tongchuan- Lantian- Jiangzhuang-Famen Weinan-Tongguan Xian-Sayuan Huangling Xiaoshangyuan Buddhist Temple/ Expressway Project Office Communications Communications -Ighway Project Highway Project Jiangzhuang-Tangyu Project Office Office Office Highway Project Office
------___--|-- District Offices ------Jingyang and Gaoling and Sanyuang sections Weiang sections
s r z r-, , , n ' '| ~~~~~~~~~~~~~~~~~~~~~~ofXSH 1l of XSH | No17*||No 10 - No 161| |No 8 and No 91 F o 6 n o7| |No I - No S5 NolI- No ------l - - - -
------contract Sections …--_
*Contractsection No. 17for Lintong-TerraCotta Warriors Museum Highway will bedirectly supervised by the ProjectHeadquarters. Figure 2. Institutional Arrangements for the Operation Phase
|Shaanxi Provincial Transport Department I
Environmental Environmental Protection Office Monitoring Office
Xianyang Xian Shaanxi Highway Shaanxi High-Grade Communications Communications Administration Maintenance Highway Administration Admiistration Bureau Bureau Bureau Division Bureau Division
Jingyang,Sanyuan Weiyang,Gaoling Lantian-Xiaoshangyuan Xian-Baoji Xian-Huangling Xian-Tongguan Sectionsof relief Sectionsof relief Division Divisi Division Division road of XSH road of XSH
Lantian- Jiangzhuang- Jiangzhuang- Tongchuan- Xian- Lintong-Terra Weinan- Xiaoshangyuan Famen Buddhist Tangyu Huangling ISanyuan|Cotta Waniors Tongguan Highway Temple Highway Hiway lEghway |ghway Museum Highway|ps | -162 - Appendix I to ANNEX 5
APPENDIX 1 TO ANNEX 5: ENVIRONMENTAL STANDARDS
MAJORENVIRONMENTAL STANDARDS APPLIED IN ENVIRONMENTAL ASSESSMENT
Standards Number
Ambient Air Quality Standards GB3095-82 Ambient Noise Standard for Urban Areas GB3096-93 Environmental Quality Standards of Surface Water GB3838-88 Standard for Pollutant Emission from Asphalt Industry GB4916-85 Environmental Vibration Standards in City Regions GB10070-88 Noise Criteria for Construction Sites GB12523-91
Two standards, namely ambient air quality standards and ambient noise standards for urban areas, most relevant to the EIA of this project, are presented below.
AMBIENTNOISE STANDARD FOR URBANAREAS (GB3096-93)
Category Day Night Type of land use dB(A) dB(A)
0 50 40 Special residences 1 55 45 Residences, education and cultural zone 2 60 50 Residences, commercial, industrial mixed zone 3 65 55 Industrial zone 4 70 55 Two sides of trunk highways - 163 - Appendix 1 to ANNEX 5
AMBIENTAIR QUALITYSTANDARD (GB3095-82)
Items Concentration Limits (mg/m3 ) Class I Class II Class III standards standards standards
Total Suspended Daily average 0.15 0.30 0.50 Particulates (TSP) Spot sample la 0.30 1.00 1.50
IP Daily average 0.05 0.15 0.25 Spot sample 0.15 0.50 0.70
SO2 Annual average L2 0.02 0.06 0.10 Daily average 0.05 0.15 0.25 Spot sample 0.15 0.50 0.70
NO- Daily average 0.05 0.10 0.15 Spot sample 0.10 0.15 0.30 cO Daily average 4.00 4.00 6.00 Spot sample 10.00 10.00 20.00
Ozone Average over one hour 0.12 0.16 0.20
Leadk Maximum 0.0015 0.0015 0.0015
Za Spot sample means concentration at any time. Lb Annual average means the annual average of daily average concentrations. lb Based on GB9137-88.
Class I standards are to ensure that the ecology and people's health are not damaged over a long period of time due to air quality.
Class II standards are to protect people's health and the growth of plants and animals both in cities and in the countryside from any damage over a short or long period of time due to air quality.
Class III standards are to ensure the normal growth of plants and animals and protect them from chronic and acute poisoning. - 164.- Appendix 2 to ANNEX 5
APPENDIX 2 TO ANNEX 5: KEY ELEMENTS OF THE EAP FOR THLESECOND SHAANXI PROVINCIAL HIGHWAY PROJECT
Environmental issues Action Taken/To be Taken Responsibility Remarks
Design Phase
1. Route Selection The alignments were selected from several altematives to SPTD/SPHSDI minimize land acquisition, impacts of air pollution and noise on residential areas, and to avoid unfavorable geological conditions and cultural relics.
2. Social Disruption Adequate number of large, medium and small bridges and SPHSDI underpasses/overpasses were designed to meet the requirements for crossing of local people, animals and vehicles.
3. Soil Erosion Planting of trees and grasses on median dividers, side slopes, SPHSDI and along the roadside, was included in designs where appropriate. Slope protection, retaining walls, protection walls were incorporated in the design.
Temporary and permanent drainage systems were designed to SPHSDI minimize soil erosion and alteration of hydrological regimes, including impacts on irrigation channels.
4. Dust/Air Pollution In addition to I above, quarries, material borrow sites and waste SPHSDI disposal sites were selected, taking into account the dust and other problems at environmentally sensitive locations such as residential areas.
5. Water Pollution Wastewater treatmnentfacilities were designed for service areas SPHSDI (WTE, THH and LXH).
Drainage facilities were designed to prevent surface runoff from SPTD/SPHSDI the road to farmland.
6. Noise In addition to I above, adequate measures such as noise SPHSDI barriers, brick walls and double-glass windows were identified and integrated in the design and bid documents (WTE, THH and XSH).
7. Flooding Bridges and culverts were adequately sized to meet SPHSDI requirements for safe discharge of design flood (300 years for large-scale bridges, 100 years for other bridges).
8. Cultural Relics Cultural relics survey was carried out and a cultural relics SPARIISPHSDI preservation plan was developed. - 165 - Appendix 2 to ANNEX 5
Environmental issues Action Taken/To be Taken Responsibility Remarks
Construction Pbase
1. DustlAir Pollution All reasonable steps, including watering, will be taken to Contractors minimize dust pollution during construction, particularly in places near towns, water sources etc.
Stockpiles and storage areas will be covered or watered to prevent dust pollution.
Trucks to transport construction materials will be covered to minimize spills.
Asphalt mixing sites will be located at least 500 m from residential areas on the lee side of the wind direction.
Asphalt mixers will be equipped with adequate dust collectors.
2. Soil Erosion/Water Trees and grasses will be planted on side slope, and along the Contractors Pollution roadside, where appropriate. Appropriate measures, either rehabilitation or reconstruction, will be taken, if the existing irrigation or drainage systems are damaged.
In the river section, earth and stones will be appropriately disposed of, so as not to block river bed and cause adverse impacts on water quality.
Temporary channel or conduit will be constructed for irrigation and drainage, during the construction of permanent drainage systems.
All necessary steps will be taken to prevent earth and stones from silting up rivers, water channels, or the existing irrigation and drainage systems.
All reasonable measurers shall be taken to prevent direct discharge of polluted water from construction activities into rivers and irrigation channels.
3. Construction Camps Adequate measures, such as provision of septic tanks or sewage Contractors treatment facilities, will be taken at the construction camp sites. Sludge in sewage treatment pits will be disposed of regularly.
Drinking water will meet the China national drinking water standards.
Garbage will be collected in garbage cans at fixed locations and disposed of regularly.
4. Noise Where residences are located within 500 m from the Contractors construction sites, noisy construction works will be undertaken during the daytime (6:00am-10:OOpm).
Maintenance of machines and trucks will be improved to minimize noise. - 166 - Appendix 2 to ANNEXS
Environmental issues Action Taken/To be Taken Responsibility Remarks
5. Protection of Land Forests will not be used for material borrow sites (THH and Contractors Resources LXH).
Arable land will be avoided as material borrow sites wherever possible. If excavation has to be done in arable land, top soil layer will be saved and retumed after construction work is completed, so as to minimize impacts on ecosystem and agriculture.
Education of construction workers will be strengthened to protect natural resources, wild plants and animals. Poaching will be strictly prohibited.
Construction trucks will be driven on the temporary roads to avoid damage to the farmland.
6. Construction Safety In order to guarantee construction safety, efficient lighting Contractors equipment and safety signs will be installed on temporary roads during the construction, and adequate traffic regulations will be adopted and implemented for temporary roads.
7. Cultural Relics Excavation will be stopped immediately if any cultural relics Contractors/ are found, and the local cultural authority will be informed of SPAB/SPARIV such discovery. Excavation will not be resumed until Eng. Supervisors identification of cultural relics by the authorized institution of preservation is completed and necessary measures identified.
B. Traffic and Local construction materials will be used as much as possible to Contractors Transportation avoid long distance transportation, especially of earth and stone.
Adequate actions to direct traffic will be taken in consultation with Transportation and Public Security Departments, to prevent or minimize traffic jams during the construction period.
Where sections of existing roads are used for transportation of construction materials, subsidiary roads will be constructed as appropriate, so that the existing roads are not significantly congested.
Plan for transportation of construction materials will be developed to avoid transport activities during hours of peak traffic.
Operation Phase
I. Noise and Air Noise barriers or other appropriate noise protection measures SPTD Pollution will be installed at locations where noise exceeds standard, based on the results of monitoring.
Forest belts will be constructed mainly to prevent air pollution SPTD problems.
2. Vehicle Vehicle noise and emissions inspection will be strengthened. If SPTD Management vehicle noise and/or emissions exceed standards, the vehicle will not pass inspection on roads till the problem is rectified. There will be a random exhaust gas emissions inspection station at Huaxian Interchange of WTE.
Public awareness and education will be promoted to familiarize SPEPB/SPTD people with the problems of air pollution and noise from vehicles and with related regulations. - 167 - Appendix 2 to ANNEX 5
Environmentalissues ActionTaken/To be Taken Responsibility Remarks
3. Risk of Hazardous The PublicSecurity and TransportationDepartments (SPPSD SPPSD/SPTD MaterialsSpill and SPTD)will be informedbefore transport of hazardous materialsis carried out, especiallywith regard to time,routes and parkingplaces of vehiclesto carrythese materials.The vehiclesand drivers will be inspected.Proper danger sign will be paintedon the vehicles. Transportof hazardousmaterial will not be allowedduring the traffic peak time (mainlyWTE< THH Hazardousmaterials will not be transportedtogether with SPPSD/SPTD passengers,other goods or materials(mainly WTE, THH,XSH and LXH). Emergencyresponse facilities will be installedto respondto accidentsincluding spill of hazardousmaterials and a contingencyplan will be developedto deal with such accidents (mainlyWTE, THHand XSH). Signswill be set up in environmentallysensitive locations such SPTD as residentialareas and water sources,in order to warn drivers to pay special attention(mainly WTE, THH and XSH). 4. Others Constructionof permanentbuildings will be prohibitedwithin SPTD/Local 20 m fromthe roadside. It is forbiddento build any schoolsor Governments hospitalswithin 50 m fromthe roadside. Environmental Monitoring 1. Air Quality (I) Constructionperiod: EMG (TSP) (a) Monitoringitem: TSP and fugitivedust Env. Supervisors (b) Monitoringfrequency: (fugitivedust) TSP: 4 times a year, 3 consecutivedays, 4 times a day Fugitivedust: every 3 days for the first 10 days and thereafterevery 10 days (c) Monitoringpoints: construction sites, quarries, materialborrow sites, major haulingroads (2) Operationperiod: EMG (a) Monitoringitems: NO., CO and TSP (b) Monitoringfrequency: 2 times a year, 5 consecutive days,4 times a day (c) Monitoringpoints: identified in the EAPs (3) Monitoringtechnical criteria: PresentAtmosphere MonitoringStandard Methods issued by National EnvironmentalProtection Agency (NEPA) 2. Noise and Vibration (1) Monitoringfrequency: (a) Constructionperiod: on._e a week,2-3 timesa day. Ad Environmental hoc monitoringwill be undertakenas appropriate. supervisors (b) Operationperiod: 4 times a year in daytimeand at EMO night. Ad hoc monitoringwill be undertakenas appropriate. (2) Monitoringpoints: (a) Constructionperiod: same as air qualitymonitoring (b) Operationperiod: identified in the EAPs (3) Monitoringtechnical criteria: Present Noise Standard Method issuedby NEPA - 168 - Appendix 2 to ANNEX 5 Environmental issues Action Taken/To be Taken Responsibility Remarks 3. Water quality (1) Monitoring items: BOD or COD, SS, oil, temperature, pH and DO (2) Monitoring frequency: 3 times a year, 2 consecutive days (a) Construction period: 3 times a year, 2 consecutive EMG days. (b) Operation period: 2 times a year, 2 consecutive days. EMO (3) Monitoring points: (a) Construction period: major public water bodies particularly rivers where bridges are being constructed (b) Operation period: identified in the EAPs (4) Monitoring technical criteria: Water Quality Standard issued by NEPA 4. Vehicle Exhaust (I) Inspection items: CO and HC (gasoline vehicles), EMO Inspection particulate matter (diesel vehicles) (2) Inspection frequency: random check (3) Inspection site: Huaxian Interchange (WTE) 5. Lead in Soil and (I) Monitoring frequency: once a year during the operation EMO Crops (2) Monitoring points: 5 locations at WTE Note Abbreviations Organizations SPTD: Shaanxi Provincial Transportation Department SPHSDI: Shaanxi Provincial Highway Survey and Design Institute SPARI: Shaanxi Provincial Archaeological Research Institute SPAB: Shaanxi Provincial Archaeological Bureau SPPSD: Shaanxi Provincial Public Security Bureau SPEPB: Shaanxi Provincial Environmental Protection Bureau EMG: Environmental Monitoring Group of the Central Supervision Laboratory EMO: Environmental Monitoring Office of SPTD Highways WTE: Weinan-Tongguan Expressway THH: Tongchuan-Huangling four-lane Class I Highway XSH: Xian-Sanyuan Class I Highway LXH: Lantian-Xiaoshangyuan Class 11Auto-only Highway - 169 - Appendix 2 to ANNEX 5 KEY ELEMENTS OF THE EAP FOR THE FIRST BATCH OF RIPA PROJECTS UNDER THE SECOND SHAANXI PROVINCIAL HIGHWAY PROJECT Envirommentalissues Action Taken/Tobe Taken Responsibility Remarks Design Phase 1. Soil Erosion Additionalretaining walls will be constructedto protect DesignOffice of farmland,cultivated fields and forests. Prefectural Communications Temporaryand permanentdrainage systems will be constructed Bureaus(CBs) to minimizesoil erosionand alterationof hydrologicalregimes, includingimpacts on irrigationchannels. Trees and grasswill be plantedto minimizesoil erosion,air pollutionand enhancegood landscapealong the proposedroad. 2. WaterProtection Additionaltemporary and permanentwater pipes,water DesignOffice of channelsand sluice willbe constructedto guaranteesafe PrefecturalCBs drinkingwater. 3. Selectinnof Borrow Appropriateborrow sites and wastedisposal sites will be DesignOffice of Sitesand Disposal identifiedto minimizeimpacts on farmland,cultivated fields PrefecturalCBs Sites and forests and other landuse. Construction Phase 1. Dust/AirPollution All reasonablesteps, includingwatering, will be taken to Contractors minimizedust pollution during construction, particularly in placesnear towns, water sources,etc. Stockpilesand storageareas will be coveredor wateredto prevent dustpollution. Trucks to transportconstruction materials will be coveredto minimizespills. Tar heatingsites will be locatedfar away fromresidential areas on the lee sideof the wind direction. 2. Soil Erosion/Water Temporarychannels and conduitswill be constructedfor Contractors Pollution irrigationand drainageduring the constructionof permanent drainagesystem. Spoilwill not be stored on riverbeds,farmland, cultivated fields and forests to protect watersources and natural ecology,and prevent interruptionof riversand flooding. Riversand water sourceswill be cleanedup as appropriateif they are interruptedby soiland spoil. All reasonablemeasures shall be takento preventdirect dischargeof pollutedwater from constructionactivities into rivers and irrigationchannels. 3. ConstructionCamps Adequatemeasures will be taken to preventwater pollution by Contractors waste water fromconstruction camp sites. Drinkingwater willmeet China's nationaldrinking water standards. Garbagewill be collectedin garbagecans on fixed placesand disposedof regularly. - 170 - Appendix 2 to ANNEX5 Environmental issues Action Taken/To be Taken Responsibility Remarks 4. Noise Where residences are located near the construction sites, noisy Contractors construction works will be undertaken during the daytime. Maintenance of machines and trucks will be strengthened to keep them with low noise. 5. Protection of Land Forests will not be used for material borrow sites. Contractors Resources Arable land will not be selected as material borrow sites wherever possible. If excavation has to be done in arable land, appropriate rehabilitation works will be undertaken to minimize impacts on ecosystem and agriculture. Education of construction workers will be strengthened to protect natural resources, wild plants and animals. Poaching will be strictly prohibited. 6. Construction Safety Management regulations will be established to ensure Contractor construction activities in a safe manner. 7. Cultural Relics If fossils, coins, artifacts of value or antiquity, structures and Contractor other remains of geological or archeological interest are found, the local cultural authority will be immediately informed of such discovery, and excavation will be stopped until identification of cultural relics by the authorized institution of preservation is completed. 8. Traffic Management Adequate traffic management will be undertaken to avoid traffic Contractor congestion during the construction period Appropriate transportation plan for construction materials will be developed to use adequate routes and avoid transport activities heavy traffic hours. Operation Phase I. Transportation The Public Security and Communications Bureaus will enforce Prefectural and Management necessary management measures for safe transportation, county public including safe transportation of hazardous materials. security and communication bureaus Environmental Monitoring 1. Air Quality (I) Construction period: Local environ- (a) Monitoring item: Dust mental monitor- (b) Monitoring frequency: once every 3 days at first 10 ing centers days and thereafter every 10 days through contracts (c) Monitoring points: sensitive spots within range of with county CBs 150 m (2) Operation period: (a) Monitoring items: TSP (b) Monitoring frequency: 2 times a year, 3 consecutive days, 2 times per day (c) Monitoring points: identified in the EAPs (3) Monitoring technical criteria: Present Atmosphere Monitoring Standard Methods issued by National Environmental Protection Agency (NEPA) - 171 - Appendix 2 to ANNEX 5 Environmenta issues Action Taken/To be Taken Responsibility Remarks 2. Noise (1) Monitoring frequency: Local environ- (a) Construction period: once a week, 2-3 times a day. mental monitor- (b) Operation period: twice a year, two days each . 2 Ing centers times a day in daytime and at night through contracts (2) Monitoring points: with county CBs (a) Construction period: sensitive spots within range of Isom (b) Operation period: identified in the EAPs (3) Monitoring technical criteria: Present Noise Standard Method issued by NEPA 3. Water quality (I) Monitoring items: BOD or COD, Pb and oil Local environ- (2) Monitoring frequency: mental monitor- (a) Construction period: 2 times a year, 2 consecutive ing centers days through contracts b) Operation period: 2 times a year, 2 consecutive days with county-CBs (3) Monitoring points: (a) Construction period: Wuyu Primary School, Wuyu River (only fbr Category II Projects) (b) Operation period: Wuyu River (only for Category 11 projects) (4) Monitoring technical criteria: Water Quality Standard issued by NEPA -172 - ANNEX6 ANNEX 6: LAND ACQUISITION AND RESETTLEMENT 1. Context. This annex summarizes the land acquisition and resettlement aspects associated with the Second Shaanxi Provincial Highway Project. It is based on the Resettlement Action Plans (RAPs) prepared by the Shaanxi Provincial High-Grade Highway Administration Bureau in May 1995 for the six high-grade highways (including the linking roads) to be constructed under the project and the RAPs for the roads under the RIPA component prepared by the Shaanxi Provincial Highways Administration Bureau. 2. Legal Basis of Land Acquisition and Resettlement. Land ownership in China rests with the government and the collectives. Collective land is cultivated by- farmers and is managed by village councils. Cultivation rights are given to the people for varying durations (for 3 to 15 years). Acquisition of land for development projects is governed by national laws, provincial implementation regulations and project specific regulations issued by provincial, municipal or county governments. Since 1982, authorities in China have substantially revised their regulations on resettlement for different types of projects. A specific model has been developed for resettlement arising from projects in transport and industry. At the core of this model of resettlement are the following objectives: to avoid or minimize resettlement; to restore or improve the standards of living of the adversely affected people; to consult affected localities during the project design stage; to compensate villages for land acquired from them and to compensate individuals for houses, standing crops, or other individually held assets; to provide land to adversely affected persons through redistribution of land in villages or to provide jobs in enterprises to members of villages where land per capita holdings fall below specified minimum amounts; to restore disrupted infrastructure or compensate its owner(s); and to entrust implementation of land acquisition and resettlement to local governments. These principles substantially meet the requirements of Bank policy on involuntary resettlement. Based on national principles for transport projects, the Shaanxi provincial government will issue Land Acquisition, compensation and resettlement guidelines for high-grade highways and RIPA component roads. Project Components and Their Location 3. The project involves construction of the following high-grade highways: (a) Weinan-Tongguan Expressway 78.1 km (b) Tongchuan-Huangling Class I Auto-Only Highway 73.6 km and Yaoxian-Tongchuan Class II Auto-Only Highway 18.4 km (c) Lantian-Xiaoshangyuan Class II Auto-Only Highway 48.3 km - 173- ANNEX6 (d) Jiangzhuang-Famen Buddhist Temple Class II Auto-Only Highway 18.9 km (e) Jiangzhuang-Tangyu Class II Auto-Only Highway 15.9 km (f) Jinjian-Qin Terra Cotta Warriors Museum Class II Auto-Only Highway 5.9 km In addition to the above high-grade highways, the project also involves improvement of the 32 km Xian-Sanyuan Highway and construction of roads under the Roads for Improvement of Poverty Areas (RIPA) component. These roads are located in 25 of the poorest counties in the northern and southern parts of Shaanxi province. Survey of Land Acquisition Impacts 4. High-Grade Highways. The construction of the high-grade highways and roads under RIPA will require acquisition of land and resettlement of affected persons. A detailed census survey of affected persons and properties was carried out in November- December 1994 by the Shaanxi Highway Design and Survey Institute, in collaboration with local governments and the affected persons in the project affected areas. The results of these detailed surveys were summarized in detailed impact tables and field maps showing the affected houses, farmlands and enterprises. Table 1 shows the summary of land acquisition and resettlement impacts for the high-grade highways. The six high- grade highways proposed to be constructed pass through 11 cities/counties and 45 townships. A total of 14,213 mu of land (15 mu = 1 hectare) will need to be acquired permanently, affecting 13,097 persons while 3,734 mu will be required temporarily during the construction period. Most of the affected persons will be rehabilitated through redistribution of land in their existing villages. The residence registration of 1,042 persons, who cannot be provided agricultural land through land redistribution, will be changed from rural to urban and 580 of these persons will be provided nonagricultural jobs in enterprises. Some 548 residential houses (2,477 persons) and 34 enterprises employing 2,156 workers will be affected. Out of these 467 houses (2,154 persons) and 23 enterprises will need to be relocated. The total number of persons affected by the project is therefore 17,730. The total cost of the land acquisition and resettlement program is estimated at Y 374 million (about $45 million). 5. RIPA Component. The first year's program of the RIPA component (consisting of five highway systems) will affect 1,291 persons due to land acquisition and 355 persons due to house relocation. About 1,248 mu (83.2 ha) of farmland and 63 houses (5,007 m2) will be affected due to construction of roads under the RIPA component. All the persons affected by land acquisition and/or resettlement will be rehabilitated through land redistribution. The total cost of land acquisition and resettlement for the first-year programs under RIPA is Y 3.4 million (about $400,000). -174 - ANNEX6 Table 1: SUMMARYOF LANDACQUISITION AND RESETTLEMENTIMPACTS: HIGH-GRADEHIGHWAYS Houses Farmland Enterprises Total Number of Name of Subproject Affected Affected (mu) Affected Persons Affected Wei-Tong Highway 300 6,095.00 19 6,990 Tong-Huang Highway 150 5,695.86 13 6,860 Lan-Xiao Highway 83 880.00 - 1,689 Jiang-Fa-Tang 10 1,314.00 2 1,631 Jin-Qin Highway 5 229.50 Total 548 14,213.40 34 17,730 6. Socioeconomic Survey. The Shaanxi Academy of Social Sciences has been contracted by SPTD to carry out socioeconomic surveys of the affected persons before the initiation of implementation of the RAP. Principles of Resettlement 7. The main objective of the resettlement program under the project is to ensure that all categories of affected persons are able to at least restore, if not improve, their standard of living after resettlement. Both national and provincial governments have adopted principles to guide the process of resettlement in such a way that the above central objective is achieved. These principles aim to: (a) minimize acquisition of productive farmland and residential areas in order to reduce adverse project impacts; (b) relocate houses and enterprises as close as possible to their initial location; (c) replace or improve the standard and area of housing; (d) consult the affected persons regarding resettlement options, choice of resettlement sites and the adequacy of compensation rates; (e) pay compensation (including those without residence registration certificates) to all affected assets at their replacement value; (f) replace farmland through land redistribution in the same village; (g) in cases where land redistribution is not possible, to provide jobs in enterprises and change their residence registration from rural to urban, and (h) complete resettlement of the affected persons before construction work on the project is initiated. Legal Framework and Policy Provisions 8. SPTD has prepared the Resettlement Action Plan (RAP) based on the following regulations governing land acquisition and resettlement issues in Shaanxi province: (a) The Land Administration Law of the People's Republic of China for land acquisition and resettlement (June 1986), (b) Implementation regulations for Land Administration of People' Republic of China (January 1991), - 175- ANNEX6 (c) Implementation procedures for Land Administration of Shaanxi province (September 1987), (d) Regulations for Management of Urban Houses Removing in Shaanxi province (March 1993). In addition to the above regulations, Shaanxi Provincial Government and SPTD have formulated certain provisions for resettlement and rehabilitation of the affected persons which are described in the RAP dated May 1995 for the high-grade highways included under the project. Compensation and Resettlement Policies 9. Farmland Acquisition. A majority of the persons affected by land acquisition will be provided farm land in the same village through land redistribution. However, if the per capita farmland holding after land acquisition falls below 0.1 mu for any affected village and the village cannot be merged with some other village in the vicinity, the labor declared surplus will be rehabilitated by providing nonagricultural jobs in enterprises. Their residence registration will be changed from rural to urban, with the approval of the Shaanxi Provincial Government. Compensation to the collective for the farmland acquired will be paid at six times the average of annual output value of crops for the past three years. Standing crops will be compensated at their market value. 10. Land Leasing. Land will be required temporarily for construction of access roads (to construction sites), material storage yards, working plants, workers' residences, etc. Compensation will be negotiated with the local governments and will include the following: (a) compensation for crops; (b) compensation for leased land equivalent to the value of production of the land during the leased period; (c) cost of restoration of land to its original condition after the project is completed. The compensation rates calculated by aggregating the above costs are described in the RAP. No buildings will need to be relocated due to temporary land leasing and no land redistribution of affected persons is necessary. 11. Affected Houses. Compensation for affected houses and buildings, owned by enterprises or individuals, will be paid at replacement rates, negotiated with each city/ county and in consultation with the affected persons. The affected houses will be demolished only after the affected persons have moved into their new houses. Land for new houses and buildings will be provided by the village and the cost of the land will be paid by the project. Specific compensation rates that represent replacement levels of compensation are given in the RAP. 12. Affected Enterprises. The affected enterprises will be relocated close to their original location on land provided by the village but paid for by the project. Affected assets will be compensated for at replacement rates and no depreciation will be deducted while calculating the compensation payable. Workers will be employed in the same reconstructed enterprises and they will be paid a work stoppage allowance equivalent to -176 - ANNEX6 their basic wage for the duration of stoppage of work. The affected enterprises will also be provided a production stoppage allowance for an agreed period, based on the average net profit in the six months preceding land acquisition. 13. Infrastructure and Other Affected Assets. Compensation for infrastructure and other affected assets will be paid at replacement cost to the affected individuals, collectives or governments, depending on the ownership of these assets. The rates of compensation for affected infrastructure and other assets are provided in the RAP. 14. Nonagriculture-based Rehabilitation. A total of 1,042 persons along the Tongchuan-Huangling Class I highway cannot be rehabilitated through land redistribution. The residence registration of these persons will be changed from rural to urban. Persons between 18 and 55 years of age will be given employment in nonagricultural enterprises; those above 55 years of age will receive old-age pension and those below 18 years of age will receive "living subsidies." 15. Job Creation. For providing jobs to eligible affected persons, two existing enterprises (a chemical plant and a cement packing factory) will be expanded, and a new Building Materials Plant will be started. About Y 30,000 per new job will be provided to the enterprises providing jobs to eligible affected persons. In addition to this, Y 3,000 per worker will be provided to the enterprises as "training allowances." The labor employed by these enterprises will get a minimum wage of Y 200-300 per month and they will be employed as permanent employees. A job transition allowance will be provided to eligible persons at the rate of Y 150 per month for three months from the time of land acquisition/work stoppage. After this period, this allowance will be increased to the minimum wage level in the enterprise-affected area. The exact number of affected persons to be employed in each of these enterprises and a time schedule for providing employment have been included in the RAP. 16. Self-Employment. The affected persons who do not wish to accept the jobs offered to them can opt for self-employment. There are about 80 such persons in the project. They will be paid about Y 25,000 each as resettlement subsidy. 17. Pension and Living Subsidy. Old-age pension, to be provided to those among the affected persons who are above the age of 60 will be Y 2,000 per year. Those below 18 years of age will be provided with a living subsidy of Y 1,000 per year. 18. Preferential Policy. Those who have difficulties in restoring their original standards of living can be provided an additional allowance of Y 500-1,000 per year. 19. Payment of Compensation. Compensation for standing crops, houses and other private structures will be paid directly to the affected persons. Compensation for affected land, public infrastructure, and the resettlement subsidy will be paid to the county government. The county government will be responsible for the rehabilitation of the affected persons and for replacing the affected infrastructure. In case some enterprises agree to provide jobs to the affected persons who are declared surplus labor, the -177 - ANNEX 6 resettlement subsidy can be provided directly to these enterprises. Compensation for affected enterprises will be paid directly to the enterprises. In case of private enterprises, the compensation will be paid directly to the persons who own these enterprises. 20. Moving and Transition Allowances. Each affected household will be paid the following allowances: (a) a moving allowance at the rate of Y 50 per person; and (b) transition allowance at the rate of Y 20 per person during the transition stage of house construction. Institutional Responsibility 21. A "Project Headquarters" will be set up for facilitating implementation (including RAP implementation) of the project. The Headquarters, set up in October 1995, consists of the Deputy Provincial Governor, mayors of affected cities, a Director of SPTD, and representatives of the provincial planning committee, the provincial construction department, the provincial financial department, the land management department and the electric power administration. Under the Project headquarters, Land Acquisition and Resettlement Leading Groups (LARLGs) will be-set up for each of the highways. Each leading group consists of deputy mayors of affected cities, deputy county magistrates from each affected county, three representatives of the City land administration and representatives from the City Traffic bureau, the city urban construction bureau. The leading group is responsible primarily for coordination of the implementation of the land acquisition and resettlement with the local governments, in accordance with the provisions of the RAP. Since the actual implementation of the land acquisition and resettlement program will be carried out primarily by the local county goverrnents, Land Acquisition and Resettlement Offices (LAROs) have been set up in each affected county consisting of 7 to 12 members including deputy county magistrate, director of land administration, and representatives from other county-level offices. Similar groups will also be organized at the township and village levels. 22. In order to ensure regular monitoring of the land acquisition and resettlement program, a "Land Acquisition and Resettlement Monitoring Office" (LARMO) set up under the Headquarters will carry out internal monitoring of the implementation of the RAP. The LARMO consists of a deputy director of the Shaanxi Provincial Land Administration (SPLA), chief of Land acquisition office of SPLA, and representatives of construction division and finance division of SPTD, and a representative of the monitoring and audit division of the Shaanxi High-Grade Highway Administration Bureau (SHGHAB). The implementation of the land acquisition and resettlement program will be reviewed on a monthly basis until the completion of resettlement. 23. In order to strengthen the LA&R division of SHGHAB, six more staff have been added to the division. The new and existing staff will be provided training in land acquisition and resettlement in March 1996. The new staff was appointed on October 5, 1995. -178 - ANNEX6 24. SPTD has engaged the Shaanxi Academy of Social Sciences for extemnal monitoring and evaluation of the resettlement program. They will also conduct a socioeconomic survey of affected persons before the start of land acquisition implementation. Implementation Schedule 25. Except for the Tongchuan-Huangling Highway (THH), the implementation of the RAPs was initiated on October 1, 1995 and will be completed by the end of September 1996, i.e., at least one month before the proposed start of construction. The detailed implementation schedule for the land acquisition and resettlement program is given in Table 2. The implementation of the RAP has been divided into the following three phases: (a) the preparation phase (October 1995-February 1996); (b) the implementation phase (January 1, 1995-September 30, 1996); and (c) the evaluation phase (October 1996- December 2000). The implementation of the THH will start in August 1997 and will be completed in May 1997. The implementation of the RAPs for the first year's package under the RIPA component was initiated in October 1995 and will be completed by the end of 1996. Table 2: IMPLEMENTATIONSCHEDULE FOR HIGH-GRADE HIGHWAYSLZ Activity Duration Set up Resettlement Organizations October 1995 Inform Affected Persons about Policies November 1995-January 1996 Carry out Detailed Census Surveys December 1995 Check on Site January1996 Sign Agreements February 1996 Apply for Approval of Land Acquisition February-March 1996 Pay House Compensations February-April 1996 Build New Houses March-July 1996 Pay Land Compensations March-June 1996 Provide Land by Redistribution & New Jobs April-June 1996 Pay Allowances April-July 1996 Remove Houses and Transfer Land for Construction July-September 1996 /a Does not apply to Tongchuan-Huangling Class I Highway. Implementation of the RAP for this highway is expected to start in August 1996 and to be completed in May 1997. Costs and Budgets 26. The cost of the land acquisition and resettlement program is included in the overall project budget. The annual requirement of funds will be included in the annual -179 - ANNEX6 project investment plans. An itemwise cost table of all land acquisition and resettlement activities is given in Table 3. An allowance for physical contingency at the rate of 10 percent of the total LA&R budget has been provided for. Compensation amounts payable to the affected persons will be adjusted every year by the annual inflation factor. This factor will be determined based on: (a) price index of construction projects labor cost and (b) price index of material cost of construction , both published by the Shaanxi Provincial Statistical Bureau every year. Management cost at the rate of 3 percent of the total LA&R cost will be paid to the county level (2.5 percent), township level (0.4 percent) and village level (0.1 percent). Expenditures that exceed the budgeted amounts (including physical and price contingencies) will be reported by the Planning Division of SHGHAB, reviewed by the Construction Division and will be approved by the Traffic and Energy Division of the Shaanxi Provincial Planning Committee. Table 3: BUDGETCOSTS ESTIMATE Item HGHs Total Cost RIPA Component (Y million) (Y million) Surveys 2.47 0.46 Land Compensation 98.96 Resettlement Subsidy 98.96 1.37 House Compensation 14.08 0.88 Other Structure Compensation 23.24 0.87 Enterprise Relocation 35.49 0.44 Allowances 19.54 0.10 (a) Moving 1 14.85 (b) Transition 2.76 (c) Job Transition 0.89 (d) Old Age 1.04 Monitoring and Evaluation 0.98 0.12 Administration Costs 8.68 0.36 Physical Contingencies 28.93 0.65 Price Contingencies 43.05 Total 374.38 5.15 Grievance Redressal and Appeals Process 27. If any affected person is dissatisfied with any aspect of land acquisition and resettlement, they can lodge a complaint with the respective county level LA&R office or directly to the LA&R monitoring office under the LARLG. If the issue is not resolved within three weeks, a written grievance can be submitted to the LARLG. The LARLG should resolve the issue within four weeks. If the affected person is not satisfied by the -180 - ANNEX6 decision of LARLG, he/she can lodge a written appeal to the county-level people's court. In case the decision of the county-level court fails to satisfy the affected person, a second appeal can be lodged in the court of the city/prefecture. The decision of this court will be final and binding. Information Dissemination, Participation and Consultations 28. The affected people will be informed through newspaper, radio, television, etc. about the project and the proposed land acquisition and resettlement program. The LA&R institutions will also disseminate information through meetings, documents and notices. The affected persons will be informed about the compensation standards, the LA&R institutions at the various levels, the arrangements for provision of nonagricultural jobs, the provisions for redressal of grievances and the proposed arrangements for internal and external monitoring of the LA&R program. Each affected household will be given a Resettlement Information Booklet (RIB) containing the above-mentioned information. It will also list the individual resettlement entitlement of each affected person in the household. The RIB will be distributed to the affected households two months after the completion of loan negotiations for the project. Apart from being informed, the affected persons and their representatives will also participate in: (a) efforts to minimize resettlement through choice of appropriate alignment alternatives; (b) survey of affected persons and properties; (c) selection of new residential areas; (d) construction of new houses; and (e) monitoring and evaluation of resettlement activities. Monitoring and Evaluation 29. Two types of monitoring systems, one internal and the other independent and external will be established concurrently. 30. Internal Monitoring. The internal monitoring, to be carried out by the provincial government, will monitor the implementation of the RAP and ensure compliance with the administrative policies and regulations. It will ensure that (a) compensation is paid to affected entities as per the established rules; (b) appropriate employment opportunities are created for the affected persons; (c) the resettled persons are satisfied with the compensation levels and the location of new sites; (d) all the employees of affected enterprises have been reabsorbed in the same enterprises after relocation; (e) land reallocation to affected persons is according to the provisions of the RAP; (f) adequate rehabilitation arrangements have been made for persons without proper residence registration certificates; (g) appropriate written records and accounts are maintained for all resettlement expenses and cost overruns, if any; and (h) the information dissemination and grievance redressal process is implemented efficiently. A minimum sample of 25 percent of the total affected population will be covered under internal monitoring. Data regarding households covered under the monitoring process will be collected and stored for subsequent comparisons. Internal monitoring will be carried out in two phases; phase I will be initiated after compensation amounts have been distributed to the affected persons so that the monitoring results can be used to initiate remedial actions; and -181- ANNEX6 phase II will start after the resettlement activities have been completed. The internal monitoring agency will have the authority to report noncompliance with RAP provisions and other deficiencies in the implementation program. A summary of internal monitoring reports will be submitted quarterly to the project head office and every six months to the World Bank. The first internal monitoring report will be submitted by September 30, 1996. 31. External Monitoring. The task of external monitoring of RAP implementation by an independent agency has been entrusted by SPTD to the Shaanxi Academy of Social Sciences (SASS). Apart from physical monitoring of the land acquisition and resettlement program, which will also be carried out by the internal monitoring agencies, SASS will concentrate on evaluation of the implementation of the RAP. SASS monitoring staff will select random samples for detailed monitoring, hold discussions in affected areas/resettlement sites, and collect secondary information from project agencies and the internal monitoring agencies. External monitoring will start along with the initiation of land acquisition and resettlement activities and will continue beyond project completion (until 2000). The first external monitoring report will be submitted by December 31, 1996. In order to facilitate comparisons in standards of living before and after resettlement, a socioeconomic survey of the affected persons will be carried out before initiation of RAP implementation. Subsequent monitoring reports will be prepared every six months and also submitted to the World Bank. A final monitoring and evaluation report will also be prepared after project completion and submitted to the Bank by December 31, 2000. -182 - ANNEX7 ANNEX 7: IMPLEMENTATION SCHEDULE This annex presents the implementationschedule for the various components of the project. Table 1 summarizesthe overall implementationschedule for the project as whole. Table 2 shows the detailed implementationschedule for the 17 civil works contract sections of high-gradehighways to be constructedby ICB; administrationand maintenancebuildings, and service areas and electrical and mechanicalworks for high- grade highways. Table 3 depicts the detailed implementation schedule for the supervision of construction of high-grade highways. Tables 4 and 5 summarize the implementation schedules for the Xian-Sanyuan Highway and the RIPA first-year package, respectively. These schedules show the estimated time requirements for constructionactivities as well as for preconstructionactivities such as preparationof bid documents,prequalification process, bidding process,evaluation of bids, negotiationsand signing of contracts. LP5jl h ii- P i ' f P- M I- fluffP 1 z -A gg . E ~~~~~~~~~~~~~~...1 019 §Eii. _1l|||i;1lllt GCl} I 1 1M1L L 11A I 11M0E EL"H qz 9If _1ig7:1 i | | 1 i= I 1 111II Ma I -184- ANNEX7 Table 2: IMPLEMENTATIONSCHEDULE FOR CONSTRUCTIONOF THE HIGH-GRADE HIGHWAYS Civil Works Weinan-Tongguan Expressway (ICB) Prequalification documents available for sale on Nov 15, 1995 Last date to submit PQ documents Jan 15, 1996 PQ documents evaluation report and MOC review and sent to the Feb 20, 1996 Bank Bank review and no-objection to PQ evaluation report Mar 20, 1996 Review bid documents by Italian consultants and Bank Apr 15, 1996 Sell bidding documents to prequalified bidders May 1, 1996 Last date to receive bid documents Aug 1, 1996 Bid evaluation and government review Sep 1, 1996 Bank review bid evaluation report and no objection Oct 1, 1996 Notify successful bidders Oct 15, 1996 Negotiate and sign contracts Nov 1, 1996 Start construction Dec 1, 1996 Complete construction by Dec 31, 1999 Tongchuan-Huangling Highway (ICB) Prequalification documents available for sale on Nov 15, 1995 Last date to submit PQ documents Jan 15, 1996 PQ documents evaluation report and MOC review and sent to the Feb 20, 1996 Bank Bank review and no-objection to PQ evaluation report Mar 20, 1996 Review bid documents by Italian consultants and Bank Apr 15, 1996 Sell bidding documents to prequalified bidders Oct 15, 1996 Last date to receive bid documents Jan 15, 1997 Bid evaluation and government review Feb 15, 1997 Bank review bid evaluation report and no objection Mar 15, 1997 Notify successful bidders Apr 1, 1997 Negotiate and sign contracts May 1, 1997 Start construction Jul 1, 1997 Complete construction by Dec 31, 2000 Lantian-Xiaoshangyuan Highway (ICB) Prequalification documents available for sale on Nov 15, 1995 Last date to submit PQ documents Jan 15, 1996 PQ documents evaluation report and MOC review and sent to the Feb 20, 1996 Bank Bank review and no-objection to PQ evaluation report Mar 20, 1996 Review bid documents by Italian consultants and Bank Mar 1, 1996 Sell bidding documents to prequalified bidders Mar 20, 1996 Last date to receive bid documents Jun 20, 1996 Bid evaluation and govermmentreview Jul 20, 1996 Bank review bid evaluation report and no objection Aug 20, 1996 Notify successful bidders Aug 20, 1996 Negotiate and sign contracts Sep 1, 1996 Start construction Oct 1, 1996 Complete construction by Dec 31, 1998 -185 - ANNEX7 Lintong-Terra Cotta Warriors Museum Highway (ICB) Prequalification documents available for sale on Nov 15, 1995 Last date to submit PQ documents Jan 15, 1996 PQ documents evaluation report and MOC review and sent to the Feb 20, 1996 Bank Bank review and no-objection to PQ evaluation report Mar 20, 1996 Review bid documents by Italian consultants and Bank Mar 1, 1996 Sell bidding documents to prequalified bidders Mar 20, 1996 Last date to receive bid documents Jun 20, 1996 Bid evaluation and government review Jul 20, 1996 Bank review bid evaluation report and no objection Aug 20, 1996 Notify successful bidders Aug 20, 1996 Negotiate and sign contracts Sep 1, 1996 Start construction Oct 1, 1996 Complete construction by Oct 1, 1997 Famensi-Jiangzhuang-Tangyu Highway (ICB) Prequalification documents available for sale on Nov 15, 1995 Last date to submit PQ documents Jan 15, 1996 PQ documents evaluation report and MOC review and sent to the Feb 20, 1996 Bank Bank review and no-objection to PQ evaluation report Mar 20, 1996 Review bid documents by Italian consultants and Bank Mar 1, 1996 Sell bidding documents to prequalified bidders Mar 20, 1996 Last date to receive bid documents Jun 20, 1996 Bid evaluation and government review Jul 20, 1996 Bank review bid evaluation report and no objection Aug 20, 1996 Notify successful bidders Aug 20, 1996 Negotiate and sign contracts Sep 1, 1996 Start construction Oct 1, 1996 Complete construction by Nov 30, 1998 Administration and Maintenance of Buildings, Service Areas and Parking Areas, and Toll Plazas (NCB) Weinan-Tongguan Expressway Complete bid documents May 30, 1997 Invite bids Jul 15, 1997 Receive bids Sep 15, 1997 Complete bid evaluation Oct 1-31, 1997 Negotiate and sign contracts Nov 1-30, 1997 Start construction Dec 1, 1997 Complete construclion by Sep 30, 1999 Tongchuan-Huangling Highway Complete bid documents Aug 30, 1998 Invite bids Oct 15, 1998 Receive bids Dec 15, 1998 Complete bid evaluation Jan 1-31, 1999 Negotiate and sign contracts Feb 1-28, 1999 Start construction Mar 1, 1999 Complete construction by Nov 30, 2000 -186 - ANNEX7 Lantian-Xiaoshangyuan Highway Complete bid documents Sep 30, 1997 Invite bids Nov 15, 1997 Receive bids Jan 15, 1998 Complete bid evaluation Feb 1-28, 1998 Negotiate and sign contracts Mar 1-3 1, 1998 Start construction Apr 1, 1998 Complete construction by Dec 31, 1998 Famensi-Jiangzhuang-Tangyu Highway Complete bid documents Aug 31, 1997 Invite bids Oct 15, 1997 Receive bids Dec 15, 1997 Complete bid evaluation Jan 1-3 1, 1998 Negotiate and sign contracts Feb 1-28, 1998 Start construction Mar 1, 1998 Complete construction by Oct 31, 1998 Electrical and Mechanical Works (ICB) Package 1 (Weinan-Tongguan Highway) Complete bid documents and review by MOC Nov 30, 1997 Review bid documents by Bank and no objection Dec 31, 1997 Invite bids Jan 15, 1998 Last date to receive bids Apr 15, 1998 Prepare bid evaluation report and MOC review May 1 -Jun 30, 1998 Review bid evaluation report by Bank and no objection Jun 1-Jul 31, 1998 Negotiate and sign contracts Aug 1-3 1, 1998 Start implementation Dec 1, 1998 Detailed design by contractor Feb 1, 1999 Manufacture and purchase of equipment Jun 1, 1999 Transport of equipment to site Aug 1, 1999 Installation and debugging of equipment Jan 31, 2000 Test running of system Apr 30, 2000 Complete implementation by June 30, 2000 Package 2 (Tongchuan-Huangling Highway) Complete bid documents and review by MOC Jan 31, 1998 Review bid documents by Bank and no objection Feb 28, 1998 Invite bids Mar 15, 1998 Last date to receive bids Jun 15, 1998 Prepare bid evaluation report and MOC review Jul I -Aug 31, 1998 Review bid evaluation report by Bank and no objection Sep 1-Oct 31, 1998 Negotiate and sign contracts Nov 1-30, 1998 Start implementation Jan 31, 1999 Detailed design by contractor May 31, 1999 Manufacture and purchase of equipment Sep 30, 1999 Transport of equipment to site Dec 31, 1999 Installation and debugging of equipment Jun 30, 2000 Test running of system Sep 30, 2000 Complete implementation by Jun 30, 2001 -187 - ANNEX7 Package 3 (Lantian-XiaoshangyuanHighway and Famensi- Jiangzhuang-Tangyu Highway) Completebid documentsand review by MOC Dec 31, 1996 Reviewbid documentsby Bank and no objection Jan 31, 1997 Invite bids Feb 15,1997 Last date to receivebids May 15, 1997 Preparebid evaluationreport and MOCreview Jun 15, 1997 Reviewbid evaluationreport by Bank and no objection Jul 15, 1997 Negotiateand sign contracts Aug 15, 1997 Start implementation Nov 1, 1997 Detaileddesign by contractor Dec 31, 1997 Manufactureand purchaseof equipment Apr 30, 1998 Transportof equipmentto site Jun 30, 1998 Installationand debuggingof equipment Dec 31, 1998 Test running of system Feb 28, 1999 Completeimplementation by Apr 30, 1999-Jun 30, 2000 -188- ANNEX7 Table 3: IMPLEMENTATIONSCHEDULE FOR SUPERVISION OF CONSTRUCTION OF HIGH-GRADE HIGHWAYS Review and no-objection of Bank to terms of reference, letter of invitation and Aug 31, 1995 short list of consultants Issue invitations to consultants Feb 15, 1996 Last date to receive proposals Apr 15, 1996 Complete proposal evaluation report and MOC review May 15, 1996 Bank review proposal evaluation report and no-objection Jun 15, 1996 Negotiations with consultant and sign contract Jul 15, 1996 Prepare training material by consultant Jul 20-Aug 31, 1996 Train local staff Sep 1, 1996-Jan 31, 1997 Supervise works Oct 1, 1996-Jun 30, 2001 Table 4: IMPLEMENTATION SCHEDULE FOR XIAN-SANYUAN HIGHWAY (NCB/FORCE ACCOUNT) Complete bid documents Jan 15, 1996 Invite bids Feb 1, 1996 Receive bids Mar 31, 1996 Complete bid evaluation Apr 30, 1996 Negotiate and sign contracts May 31, 1996 Start construction Jul 1, 1996 Complete construction by Dec 31, 1997 Table 5: IMPLEMENTATION SCHEDULE FOR RIPA FIRST-YEAR PACKAGE (NCB/FORCE ACCOUNT) Complete bid documents Jan 15, 1996 Advertise the notice of bidding Jan 20, 1996 Last date to submit bids Feb 28, 1996 Prepare bid evaluation report and clearance by Government Mar 31, 1996 Review bid evaluation report by Bank and no objection Apr 30, 1996 Negotiate and sign contracts May 31, 1996 Start construction Jul 1, 1996 Complete construction Jul 30, 1997-Mar 31, 1998 -189 - ANNEX8 ANNEX 8: SUPERVISION MISSION PLAN Timing Main Activities Skill Requirements Staff- weeks 6/96 Project Launch Review of all key procedures for interactions between Highway Engineering 5 the Bank and project executing agencies, including Road Safety procurement, disbursement, and project reporting Highway Economics requirements. Overall project implementation schedule Institutional Strengthening/ will be reviewed, including early stage activities for Training environmental protection and resettlement. Procurement Disbursement Resettlement Environment Special emphasis on: -Resettlement and environmental measures and monitoring -Contractors and Supervision consultants for high- grade highways -RIPA first-year package -Establishment of Leading Group for Traffic Safety Coordination and Traffic Safety Secretariat -Training proposals for 1997 -Studies of Xian Bypass and highway maintenance -Procurement 4/97 General Supervision (i) review progress for each project component, Highway Engineering 3 identify pending issues, and agree on follow-up Procurement actions; Studies (ii) reach agreement on detailed resettlement monitoring arrangements; and (iii) review proposals for maintenance of highway network Special emphasis on: -Procurement of laboratory, research, environmental, and highway safety-related equipment. -RIPA second-year package -Monitoring of maintenance of highway network -Studies (Xian Bypass and highway maintenance) -190 - ANNEX8 Timing Main Activities Skill Requirements Staff- weeks 10/97 Major Supervision In-depth review of implementation status with Highway Engineering 5 particular emphasis on: Road Safety (i) contractor's performance; Procurement Environment/Resettlement (ii) effectiveness of supervision; (iii) adequacy of environmental protection measures and environmental monitoring; (iv) monitoring of resettlement; (v) review proposal for equipment procurement for the operation and maintenance of the highway network; and (vi) review activities on design/bid documents for E&M supply and installation contract for the high- grade highways. Special emphasis on: -Highway Safety Program - black spots. -Training proposals for 1998 and 1999. -Procurement of equipment for institutional strengthening. -Study of highway maintenance. 6/98 General Supervision (i) review overall progress for each component, Highway Engineering 4 identify pending issues, and agree on follow-up Procurement actions; and Highway Maintenance (ii) progress on procurement of equipment for operation and maintenance of high-grade highways. Special emphasis on: -Monitoring of maintenance of highway network -Environmental protection measures. -RIPA third-year package. -Review final report for study of highway maintenance. -191- ANNEX8 Timing Main Activities Skill Requirements Staff- weeks 4/99 Major Supervision In-depth review of implementation status with Highway Engineering/ 5 particular emphasis on: Maintenance (i) contractor's performance; Procurement Training (ii) effectiveness of supervision EnvironmentlResettlement (iii) adequacy of environmental protection measures; and (iv) staff training programs. Special emphasis on: -Expressway construction, quality and supervision. -RIPA fourth-year package. -Training proposals for 1999 and 2000. -Electrical and Mechanical Works: procurement. -Monitoring of maintenance of highway network. -Tolling Study. 10/99 General Supervision Review overall progress for each component and Highway Engineering/ 3 identifying pending issues and agreeing on follow-up Maintenance actions. Procurement Training Special emphasis on: -Review of project resettlement actions and final monitoring report. -Training proposals for 2000 and 2001 4/2000 Major Supervision In-depth review of implementation status with Highway Engineering 4 particular emphasis on: Transport Economics (i) contractor's performance; Road Safety Environment (ii) effectiveness of supervision; (iii) adequacy of environmental protection measures; and (iv) staff training program. Special emphasis on: -Progress on E&M contracts. -Toll arrangements for high-grade highways. -192 - ANNEX8 Timing Main Activities Skill Requirements Staff- weeks 10/2000 General Supervision Reviewing overall progress for each component and Highway Engineering 3 identifying pending issues and agreeing on follow-up actions. Preliminary arrangements for preparation of the Implementation Completion Report will be discussed. 6/2001 ImplementationCompletion Report Mission A consolidated review of project implementation. Highway Engineering/ 5 Maintenance Transport Economics Environment Resettlement Implementation Review Preparation of Project Implementation Completion Report. Thta 37 -193 - ANNEX9 ANNEX 9: MONITORING PROJECT IMPLEMENTATION AND OPERATIONAL IMPACT 1. The following sections describe a number of monitoring indices that could be used in conjunction with the various project components, to "measure" the extent to which different implementation and impact objectives are being attained in the course of project execution and operation. They refer specifically to indicators for use with objectives related to: (a) Highway Revenue and Expenditure and Highway Maintenance (b) High-grade Highways, Parallel Roads and Traffic (c) Road Improvement for Poor Areas (RIPA) (d) Environment (e) Land Acquisition and Resettlement (f) Highway Safety (g) Institutional Strengthening and Training 2. The indicators fall into two categories: those related to imnplementationtargets (pointing to progress in reaching intermediate and end-of-project objectives) and those related to developmental impact objectives (pointing out both the, more immediate/short- term conditions resulting from project investments as well as the longer-term outcomes of these investments). 3. It is hoped that the indicators selected will be such that the monitoring effort itself would not constitute an undue strain on project management but will be used as an aid and tool of effective project management. A. REVENUESAND EXPENDITURESAND HIGHWAYMAINTENANCE Highway Revenues And Expenditures 4. The highway sector is going through a period of rapid expansion. The revenues to finance this expansion presently come mostly from a Road Maintenance Charge, levied on all vehicles as a fixed annual charge or as a percentage of the gross revenues for commercial vehicles and buses. However, in the future, revenues from tolls are expected to form an increasing proportion of total revenue. The largest single item of proposed -194- ANNEX9 expenditureis new construction,which leaves some fear that insufficientfunds might be available to financea level of maintenancethat will improvethe existing conditionof the road network. The proposedfinancing plan for the sector has been reviewedby the Bank and found to be reasonable in terms of its revenue projections and its proposals for highway maintenance expenditure. The outcome revenues and expenditures will be monitored throughout the implementationperiod of the project, so that any deviations from the planned amountscan be quickly identifiedand any necessaryremedial measures to ensure sufficientfunding of maintenancecan be taken. HighwayMaintenance 5. During a period of increasedexpenditure on new road construction,there is a risk that insufficient funds will be applied to maintenanceof the existing highway network, and that the conditionof the networkwill therefore deterioraterather than improve. The monitoring indicatorsfor HighwayMaintenance will thereforemonitor both expenditure on maintenanceand reconstructionand the surface conditionof the roads of each Class. The specific indices will be: (a) Annual expenditure on routine and periodic maintenance and reconstruction,by class of road. The objectiveexpenditures will be those shown in the Table of Projected Revenues and Expenditures of the ProvincialHighway Sector; (b) Categorizationof the condition of the road surface into Excellent, Good, Average and Regular, using the subjective criteria currently used in by SPHAB. In time these should be replace by measures of IRI. The objective proportions in each condition category for each road Class in each year will be those agreedwith the AppraisalMission -195- ANNEX9 B. MONITORINGINDICES FOR HIGH-GRADE HIGHWAYS AND TRAFFIC I Si_7 _E I *. S* e3-M MOM- Completion of project within Actual disbursements as " of those Not applicable projected time period project at Appraisal Improvement in traffic operating Average vehicle speeds on existing As in implementation period, conditions roads parallel to proposed new roads with addition of speeds and volume/capacity ratios on each Average daily traffic volume/capacity section of new road ratios on roads parallel to proposed new roads Improved Highway Maintenance Expenditure on routine and periodic As in implementation period, maintenance and rehabilitation of roads with addition of each section of parallel to proposed new road new road Average value of IRI on main road network, for each type of road surface As in implementation period, with addition of each section of new road Reduction in road accidents Number of fatalities, persons injured As in implementation period and property damage only accidents on with addition of new road existing roads sections Accident rates expressed as fatalities per vehicle and per vehicle km on each Class of road Increase in coal production Annual coal production from mines As for implementation period whose output will in part be transported along the Tongguan- Huangling Highway _ Increase in tourism Annual number of national and As for implementation period international tourists who visit the Terra Cotta Warriors Museum, Famen Buddhist Temple and Tongyu Park Increase in agricultural and GOVIA for counties for which the As for implementation period industrial production HGH's will be used for the transport of their output Note: All indices will be reported annually -196- ANNEX9 C. RIPA MONITORINGSYSTEM INDICATORS 6. The following information will be used for monitoring RIPA system performance and the validity of the assumptions made in the analysis (economic and social factors and their growth): Economic and Social Benefits: (a) Employment Created: Measured once per year, in person years equivalent (i) Construction jobs (ii) Maintenance jobs (b) Decrease in Food for Work (FWP) Expenditures: Measured annually Transportation Benefits: (a) Traffic Volume, measured once per year, AADT, by vehicle type, and then also converted to MTE (Medium Truck Equivalent), an indicator of traffic growth rates. (b) Type of goods carried by trucks, tractors and goods vehicles, as an indicator of farmers products being marketed and new economic products. Social Benefits: For those townships along the new RIPA Highways, measured once per year: (a) Educational Benefits: Number of children of school age attending higher- level schools (than in the township itself) in other bigger townships. (b) Access to Hospitals: Number of people visiting hospitals in other bigger townships Construction Supervision and Monitoring: Quarterly Reports on contractor performance, construction problems and solutions. Maintenance Monitoring: (a) Condition of roads: km in excellent, good, average and bad condition (b) Road closures: Number of days/year of road closures and the reasons for such closures -197- ANNEX9 (c) Annual maintenance expenditure on roads in counties where RIPA projects are active D. MONITORINGINDICATORS FOR ENVIRONMENT Construction Period 7. Environmental Supervision: One of the environmental supervisors in each contract section will be assigned or nominated to carry out the supervision of the environmental protection measures addressed in the Environmental Action Plans (EAP) and integrated in the bid documents. The results will be included in the engineering supervision reports and reported periodically to the environmental protection staff at the district level. The results of environmental supervision will be annually reported to the World Bank through the annual report to the World Bank. The monitoring items will include: (a) brief description on environmental protection measures supervised/ inspected during the reporting period; and (b) brief description of problems regarding environmental protection measures and their reasons and possible solutions. 8. Environmental Monitoring: Environmental monitoring items, methods, frequencies, monitoring sites have been clearly decided in the EAP (see appendix). Environmental monitoring will be carried out by an environmental monitoring group in the Central Supervision Laboratory except noise and dust, which will be conducted by environmental supervisors at respective contract sections. The results will be reported to the environmental protection staff at the district level. The results of environmental monitoring will also be annually reported to the World Bank through the annual report to the World Bank. 9. Environmental Monitoring Items During The Construction Period Air quality: TSP., dust Noise/vibration Water quality: BOD/COD, suspended solids (SS), oil Operation Period 10. Environmental Monitoring: Environmental monitoring items, methods, frequencies, monitoring sites have been clearly decided in the EAP (see appendix). Environmental monitoring will be carried out by an environmental monitoring group in the Environmental Protection Office of SPTD. Based on the monitoring results, environmental protection measures (to be carried out during the operation period) will be adjusted as appropriate. -198- ANNEX9 11. EnvironmentalMonitoring Items DuringThe OperationPeriod Air quality: CO, NOx, TSP Noise/vibration Water quality: BOD/COD,SS, oil, Vehicle exhaust inspection: CO, Hydrocarbons (gasoline-fueled vehicles), particulatematter (diesel-fueled vehicles) Lead in soil and crops E. MONITORINGOF LANDAcQUISmON AND RESETTLEMENT 12. The monitoring and evaluationof the ResettlementAction Plans (RAP) agreed between the Bank and the Borrower will be carried out both internally and externally (Amc&&). Internal monitoringwill be carriedout by the Planning Departnent and the Land Acquisition and ResettlementDepartment of SPHGHA. An internal monitoring report will be submitted to the Bank every six months, with the first one due on September30, 1996 and the last one on the completion of the land acquisition and resettlementactivities. The ShaanxiAcademy of Social Scienceswill conductthe external monitoringof resettlementand will submita monitoringreport every six months,with the first one to be submittedby December31, 1996 and the last one at the completionof the project(December 31, 2000). 13. The main indicatorsof land acquisitionand resettlementmonitoring have been identifiedand are includedin the RAPs. They are: (a) Timely paymentof compensationto affectedentities of various categories accordingto the levelsdescribed in the RAP; (b) Progress of constructionof new houses and quality of construction,also distancefrom old houses (c) Progressin land redistribution; (d) The type of productiveuse to which compensationamounts have been put by the local(township and village)governments; (e) Restoration of production/ business activities of affected enterprises. Paymentof all types of compensation(in accordancewith RAP) to affected enterprisesand workers; (f) Propose linkage of resettlementactivities with the project implementation schedule (resettlementto be completedat least one month before start of construction); (g) Restorationof civic infrastructureat the new sites; (h) Levelsof satisfactionof the affectedpersons; -199- ANNEX9 (i) Income levels and standards of living after resettlement. F. TRAFFic SAFETYMONITORING INDICATORS The Accident Situation 14. The general accident situation in the Province should be measured by the following two indicators: (a) Number of killed per year per 10,000 vehicles (b) Number of killed per kilometer per year for each Class of road For the new Expressway, the accident rates using the above indicators should be compared with those expected for this Class of road. Black Spots 15. A certain number of black spots will be identified. Half of them will be treated, in order to form an experiment group, while the remainder will form a control group. After treatment, the accident rates expressed as fatalities or injury accidents in the two groups will be monitored, in order to find the effect of the black spot treatment. Also, accident data will be collected for each identified black spot for two to three years before and after the improvement program begins and ends. 16. The specific indicators for each black spot would include but not be limited to: (a) Have all the black spots been analyzed as required and the required number been treated? (b) Have the black spots been physically improved? (c) The accident rate at the treated black spots and at the control sites. (d) The accident rate before and after the treatment at each site Operational Indicators 17. (a) Has the Leading Group been established as planned, and is it continuing to function effectively? (b) Is the Traffic Safety Unit/Secretariat established as planned? (c) Are the agreed studies initiated and executed as planned? (d) Are the safety audit procedures developed and used as planned? - 200 - ANNEX 9 (e) Has responsibility the traffic surveillance on the project's high-grade highways been transferred to a new police branch as planned? (f) Have the road safety policy document and comprehensive traffic safety plan been prepared as planned? -201- ANNEX9 G. MONITORING PLAN FOR INSTITUTIONAL STRENGTHENING Component lpleehtatloa indi caters Impact Indicators Remarks & fmmb Procs Completio Short-term Long-term Commenb _ I_=lloNM XiJW&dJWnatINDICATOR: INDICATOR: Completion INDICATOR: INDICATOR: Improvement Baseline Performancein Cs-Idas Numberof Staff of training plannedunder Staff trained aresharing new of performancein specific sector functionsare Developmentprogram Staff developmentprogram, knowledgeand functionsand activities specified in Training Intensiveinstitutions] candidatesselected and SOURCE: exercisingnew skills targetedby staff NeedsProfiles which are ntre!gtheningprogrssa at sentfor training * Mid-tersnTraining SOURCE. developmentprogram kept on file in Project SOURCE: Report Reportsof workshopsheld SOURCE: ExecutionOffire Sample Intesive institutions] 0 Annual Training Plan I Project Implementation by returning trainees ImplementationCompletion of theseTraining Needs strengtening programsat TORnfor Study Abroad CompletionReport I Supervisioninterviews Review Profiles ore providedns part the Supportand Research TORs for Investiption and their reportson trainees * Assessmentof of Annual Training Plan units Study Tours INDICATOR Equipment performance institutionalperformance in submission procuredin operation Activities identified at start Intensiveinstitutional INDICATOR Equipment SOURCE INDICATOR Equipmentused of project asrequiring Additional baselinedata trengthenng programsat procuredwithin time and * EquipmentStatus successfullyfor purposes Training andother are included in the Schoolsand Training budgetadlowed reports intended institutionalstrengthening TORs for Study Abroad institutions SOURCE: SOURCE. measures and ' Annual a Reporteduse of TORs for ProcurementPlan equipment lnvestigation/Study Abroad. Bath of these are induded as part of annual submissionof a 2-year rollingt Training Planit fLgjjug INDICATOR: INDICATOR: Training INDICATOR: Trainees INDICATOR. Critical Performanceon critical Training In Shaanxi # of Trainee selectedand programscompleted in assignedto jobs wherenew Functionand activities (for functionsand activities sentfor timely training in timely manner(as per skills are effectively uatilized which training was assessed through Training in Other China China andabroad periodicPlans provided by identifiedes key factor) interviews with Supervisors SPTD) demonstrateimproved of Units which requested SOURCE. SOURCE: performance training e g. type of Short-TermTraining Abroad -Annual Training Report SOURCE: a Reportsfrom interviews SOURCE: analysesundenaken, Annual Training Plan ' Mid-term Report of former trainees Assessmentof institutional successfulcompletion of Investigation StudyTour * Implementation * Reportsfrom former performance(as above) certaintasks, operationof CompletionReport trainees supervisorn certainkind of equipment etc. (information included as part of Training Needs Profies interviews are conductedas part of assessmentof institutional performance for Function (activities) identified at start of projectas requiring Training andother institutional strengthening measurs Niwa dfttio Sfnal INDICATOR INDICATOR Systemsin INDICATOR CollectedData INDICATOR hinduc Training ofstaffEquipment plam andoperating usedAs part of Project procured properly: execution,to guide I - Datacollection and RIPA Monitoring SOURCE implementation reportingcontinued after Training Report projectcompletion Semi-annual SOURCE SOURCE Highway and Traffic Safety implementationreports Periodic Summariesprovided 2- Data usedus pat of covering (construction, *Data specifiedin to SPTDand PEO Directors continuingsystem of aupervision,maintenance) monitoringplans are monitoring, supervisionof EnvironmentalMonitoring collectedand periodic new investmnentsin SPTD andSupervision INDICATOR reports for eachcomponent Proposed data - collection produced; systemsdesigned and data ResettlementMonitoring and collected Project Supervision SOURCE ImplementationReport Annual Monitoring Summaries - 202 - ANNEX 10 ANNEX 10: SELECTED DOCUMENTS IN THE PROJECT FILE ECONOMIC AND ENGINEERING STUDIES 1. Feasibility Study consisting of a Main Report (Volume 1) and Engineering Drawings (Volume 2) prepared by the Shaanxi Provincial Highway Survey and Design Institute for each of: (a) Weinan-Tonggnan Expressway, May 1995; (b) Tongchuan-Huangling Class 1 Highway, September 1995; (c) Lantian-Xiaoshangyuan Class 2 Auto-Only Highway, September 1995; (d) Famen Buddhist Temple-Jiangzhang-Tangyu Class 2 Auto-Only Highway, September 1995; (e) Lintong-Terra Cotta Warriors and Horses Museum Class 2 Auto-Only Highway, September 1995. 2. Summary Engineering Feasibility Study Report for the High-Grade Highways in the Second Shaanxi Provincial Highway Project, May 1995. 3. Socio-Economic Benefit Analysis of Proposed Highway Systems in First Package of the Road Improvement for Poverty Alleviation (RIPA) Program, prepared by Shaanxi Provincial Transport Department (SPTD)in August 1995 for: (a) System No. 46 in Zhenan and Zhashui County; (b) System No. 41 in Baihe County; (c) System No. 36 in Langao County; (d) System No. 9 in Shuide County (e) System No. 4 in Fugu County 4. The Construction Supervision Plan for First Package of RIPA, SPTD, August 1995. 5. The Implementation Plan for First Package of RIPA, SPTD, August 1995. 6. The Plan for Road Maintenance for First Package of RIPA, SPTD, August 1995. 7. Introduction to Highway Construction and Maintenance Fund, SPTD, August 1995. - 203 - ANNEX 10 8. Implementation Description of Xian-Sanyuan Class I Highway, Enclosure Project, SPTD, December 1995. 9. Letter of Invitation, Short List of Consultants and Terms of Reference for Consulting Services for Construction of Supervision of High-Grade Highways, May 1995. 10. Preliminary Package of Supervision of Construction of Major Highways, SPTD, May 1995. 11. Prequalification Documents for: (1) Weinan-Tongguan Expressway; (2) Tongchuan-Huangling Class I Highway; (3) Lantian-Xiaoshangyuan Class II Auto- Only Highway; (4) Famensi Buddhist Temple-Jiangzhang-Tangyu Class II Auto-Only Highway, SPTD, June 1996. 12. Outline of Highway Improvement Project for: (a) Langao-Chengkou Class IV Highway; (b) Anasi-Jinbian Class III Highway; (c) Wuyugou-Fengzhen New Built Class IV Highway, SPTD, December 1994. 13. Italconsult, Review of Engineering Design of High-Grade Highways in the Shaanxi 2 Highway Project, Phase I Report, Rome, May 1995. EQUIPMENT 1. Plan of Equipment Purchasing for Shaanxi Highway Project 2, SPTD, July 1995; 2. Contract List of Equipment Purchasing for Shaanxi Highway Project 2, SPTD, July 1995. ENVIRONMENTALDOCUMENTS 1. Shaanxi Highway Projects (II): An Executive Summary of the Environmental Assessment, Shaanxi Communications Department, September 1995. 2. Shaanxi Highway Projects (II): Summary of Environmental Action Plans, Shaanxi Provincial Transportation Department, September 1995. 3. Report on the Survey of the Historical Sites of Cultural Relics under Shaanxi Highway Projects (2), Shaanxi Province Archaeology Research Institute, January 1995. 4. Environmental Impact Statement of Weinan-Tongguan Expressway, Shaanxi Provincial Institute of Environmental Protection, May 1995. - 204 - ANNEX 10 5. EAP of the Weinan-Tongguan Expressway, Shaanxi Provincial Transportation Department, September 1995. 6. Supplementary Study on Traffic Noise Protection Measures: Weinan-Tongguan Expressway, Shaanxi Provincial Institute of Environmental Protection, May 1995. 7. Environmental Impact Statement for Class-One Highway from Tongchuan to Huangling, Xian Highway University, September 1995. 8. EAP for Tongchuan-Huangling Class-One Highway, Shaanxi Provincial Transportation Department, September 1995. 9. A Study Report on Noise Prevention and Control of the Sensitive Spots: Tongchuan-Huangling Class-One Highway, Xian Highway University, September 1995. 10. Environmental Impact Statement of Xiaoshangyuan-Lantian Highway Project, Shaanxi Provincial Institute of Environmental Protection, May 1995. 11. EAP of the Xiaoshangyuan-Lantian Class II Motor Vehicle Highway, Shaanxi Provincial Transportation Department, September 1995. 12. An Environmental Impact Report on Jiangzhang-Tangyu Class-Two Auto-Only Highway, Xian Highway University, August 1995. 13. EAP: Jiangzhang-Tangyu Class-Two Auto Only Highway, Shaanxi Provincial Transportation Department, August 1995. 14. An Environment Impact Report on Jiangzhang-Famensi Class-Two Auto-Only Highway, Xian Highway University, August 1995. 15. An Environmental Plan: Jiangzhang-Famensi Class-Two Auto-Only Highway, Shaanxi Provincial Transportation Department, August 1995. 16. Jinjia-Terra Cotta Museum Second-Class Special Purpose Highway: Environmental Impact Statement, Xian Highway University, August 1995. 17. Jinjia-Terra Cotta Museum Second-Class Special Purpose Highway: EAP, Shaanxi Communications Department, August 1995. 18. Environment Impact Statement of Xi'an-Sanyuan Class 1 Highway Enclosure Project, Xian Highway University, September 1995. 19. EAP of Xi'an-Sanyuan Class I Highway Enclosure Project, Shaanxi Province Communication Department, September 1995. 20. EIA and EAPfor New Road Construction Projects in Systems No. 46 of the RIPA, Shaanxi Provincial Transport Department (SPTD), August 1995. - 205 - ANNEX 10 21. EAPsfor Road Upgrading Projects in Systems No. 4, No. 9, No. 36, and No. 41 of the RIPA, Shaanxi Provincial Transport Department (SPTD), August 1995. RESETTLEMENT DOCUMENTS 1. Resettlement Action Plan (Final) for Weinan-Tonguan High Class Highway, Shaanxi Provincial High Class Highway Administration, August 1995. 2. Resettlement Action Plan (Final) for Tongchuan-Huangling High Class Highway, Shaanxi Provincial High Class Highway Administration, August 1995. 3. Resettlement Action Plan (Final) for Lantian-Xiaoshangyuan High Class Highway, Shaanxi Provincial Highway Bureau, August 1995. 4. Resettlement Action Plan (Final) for Famensi-Jiangzhang-Tangyu High Class Highway, Shaanxi Provincial High Class Highway Administration, August 1995. 5. Resettlement Action Plan (Final) for Jinjia-Qin Terra Cotta Warriors High Class Highway, Shaanxi Provincial Highway Administration, August 1995. 6. Resettlement Action Plan (Final) for Xian-Sanyuan Highway Fencing Works, Shaanxi Provincial High Class Highway Administration, December 1995. 7. Resettlement Action Plan for Road No. 9 Under RIPA, SPTD, August 1995. 8. Resettlement Action Plan for Road No. 1O Under RIPA, SPTD, August 1995. 9. General Resettlement Action Plan, Shaanxi High Class Highway Administration, August 1995. STUDIES 1. Terms of Reference for the Study of the Xian Bypass, August 1995. 2. Terms of Reference for the Studies of Highway Maintenance, August 1995. SAFETY 1. Report from the World Bank Project Preparation Mission for the Shaanxi 2 Highway Project, Road Safety Component, Danish Road Directorate-Road Safety and Environment Department, 1995. INSTITUTIONAL STRENGTHENING/TRAINING DOCUMENTS 1. Institutional Strengthening and Training Report, SPTD, July 1995. a Chart I Shaanxi Provincial Transport Department T 1 | Loan b~~~~~~~~~~~~~~~~snya j Auditing | rl r | SHAB |Huaghe rou Oi~~~Nvigalon| _ _ih XRoa , _uTBa ecin DrisoupiGn_ Science - and Erercdge Cont _ TechnologySPTIC _ 0| _ ~ ~ ~ ~ Tonghua T~~~~~ Innug Group SSDI Gr|oupt r Division TE| LlL I 11_~~~~~~~~~~~~~~~~~~~~~Bqa Chart 2 Shaanxl Provincial Highway Administration Bureau Party and Mass Aflfiirs Rod Road Material PartyYouth Constructior~~Automobile Condition Nurseryof Vocational supply CommifteeUnion ~ Hospital Machinary Testing andQuality Young School and Selling Plant Center Survey Plants company Team (2) (1) (235) (344) (193) (11) (29) (30) (25) |Trade L Discipline-|| I t Union inspection ~~~~~~~~~~~~~~~~SteelFe Material anOi Asht Storehouse Soeuse Soeos (34) (33) (79) Affairs | Administrationand Engineering - - Xian HighwayAdministrabon District (12) Loal PvetaCnsdcto General Machinary Science Planning FnoilAdtPronlCmre td fie Ofc Maintenance Adminis- Rocad Allerityion stueviion Engineee's and and and* F~inaca Ad Pesne Supervisory Policy Directores General Scrt tration Affairs Equipment Technology Statistic (11) (5) (6) (8) (9) (4) (9) (5) (8) (7) (3) (8) (3) (4) (29) (32) (6) Station of Equipment Design for Blridge Institute Construcfon (4) (5) Note: Numbersin brac*ets reftr to numberot staff. Chart 3 Shaanxi Provincial High-grade Highway Administration Bureau PartyCommittee…-I------High Grade HlghwayAdministration one Director Secretary three vice-director one General Engineer General Land ~~~~~~~~~~MaterialFinancial 'ronlScrt Political Trde outh Disciplinary Supervision Ge Eral gienera Planning EnginesingiLnd Management and Affairs Divisionn Dviio Division League Committee| ffice Office Division Division Ac iion Division Equipment Division Di Office Division ~~~~~~~~~~~~Division (4) (2) (1) (1) (1) (20) (7) (5) (t0) (4) (6) (10) (8) (4) (5) Xi'an-Tongchuan Xi'an-Weinan Xi'an-Baiji Road Road Road Administration Administration Administration Stabon Station Stabon (305) (141) (138) Note: Numbersin bracketsrefer to numberof staff. Chart 4 Shaanxi Provincial Highway Survey and Design Institute Secretary Director of Party Committee Vice Director In charge of GeneralAffairs Financial Directo'sReeploy- Personnel Service Mes Nursery Clinic Trunk supply General Party Trade Discipline- Youth Affairs Office and ment Firm HalFleet Division Affairs Ofie Union Inpcin Lau (8) (20) (7) (11) (4) (5) (11) (8) (33) (7) (13) (4) (3) (2) (1) General Engineer ViceDirector in chargeof ProductiveAcivities Techical%ei= ComuterQuality Operabon Turey WaterwayBoring Bridge Planning Bde-Bidn rfi Electronic Copying/ inoratoEngineel'sComputer making Design Engineering Design Speviin InfomatinOfice Center DMsion Division 1,2,34 Team Team Teem Division DMsion Division Division DeinPsig (10) (17) (9) (2) (5) (95) (13) (26) (14) (17) (9) (12) (12) (3) (12) (16) (18) Nob: Numbrs hnbel re W nhmrr ofsu0¶ Chart 5 Supervisionof Construction under Shaanxl2 GeneralSupervisoes Office Environment i Protection ContractDivision TechnicalDivision Dinisive ControlLaboratory Division CDivision (5) (7) (7) (5) (15) JiangzhangSupervision TonghuangHighway LanxiaoHighway WeitongHighway RepresentativeStatlon SupervisionRepresentative SupervisionRepresentative SupervisionRepresentative Station Station Station (9) (16) (11) (15) iL1 1il1 11 li 1;i1 i11 L L e 1; ;;111l Contract Contract Cotat Contract Contract Contract Contract Contract Contract Contract Contract Cntrac Contract ContractI Contract Contract Contract section section section secion section section section section section section section section section section section section section No.17 No.16 No.15 No.14 No.13 No.12 No.11 No.10 No.9 No.8 No.7 No.6 No.5 No.4 No.3 No.2 No.1 YulingSupervision YananSupervision ShanglouSupervision AnkangSupervision HanzhongSupervision RepresentativeStation RepresentativeStation RepresentativeStation RepresentativeStation RepresentativeStation (6) (5) (7) (5) (3) SupervisionRepresentative Stationat VariousCounties (200) Note:Numbers In brackeWtrefer to numberof staff. Chart 6 RIPAManagement Structure PEO RIPAOffice RIPAOffice GSOfor Project11 SPHAB RIPAOffice RIPAOfl GSOfor RIPA HighwayDistrict in Prefecture in Prefecture lIPAlin O f Prefecture RIAinCounty Survey& Design RIPAOffice RIASupervisor LocalRoad Station Sector InCounty iPrefecture Construction Construction RIPASupervisor RoadMaintenance Gang Unit Unit in County Supervisor on Site Chart 7 Shaanxi Provincial Traffic School President Secretaryof PartyCommfttee VioePresident Vice-President Teaching General Affairs (2) (1) Teachinig SVareous Wokhp Lbay Equipment Training Geneal AFinanirs Clni Messand Discipline Parys LYouth Trade DiVision Dujct orsop Lbrr Divsion Division Affairs Dffairs Clnc chen Inspection Office League Union DivWm DMsion DMsion ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~Office (5) (6) (36) (10) (5) (10) (11) (6) (7) (10) (2) (3) (3) (4) Basic Various Course Subjects Teaching Develop- Student Teaching Teaching Personnel and Presidenrs meet Manage- Security and and Division Research Ofice ment ment Division Research OueaSecon Division Division DMsion DMsion _____ (36) (78) (2) (2) (9) (1) (6) (8) (18) Note: Numbers in bradcts reoerto nunber of staf. Chart 8 Shaanxi Provincial Traffic Technical School Secretaryof President f~~~~~~~~~~~~~atyCommiffee Vice-Presidentin chargeof Vice-PresidentIn chargeof Teaching Practice (1) (1) Teaching Student SuPervision Tuk Security President*s Generaland Bostucidin Discipline Political Yuh Trade Division Divsion Ofic Workshop Teamfor Dvso Ofie Affairs KichnI ~ntutoIlnspction Division League Union DivasontOfice Divsion Kthn Division Office (3) (5) (1) (25) (23) (5) (11) (17) (7) (6) (1) (3) (2) (3) Various Teaching and Teaching Divisions Clinic Financial (37) Affairs (5) (5) - Ubrary (5) 3Labortory (8) Note: Numbersin bWcketreis to nunber of 1sftf. Chart 9 Xi'an HighwayResearch Institute Leacders ProductionDivision (3) Electric RoadsRoads Bridges ~~~~~~AffairsBasic AuooieElectronicAutomobile and ControlQuality Research (31) (19) (7) (15) (27) (1)ll Managementand Service Division General Quality tAtmionis Financial Inspection Party Technical Trade WorkshpoSpae Ferirm Scieemi Affairs Control Affairs and Audit Office Information Unionm (18) (1) (11) (4) (2) (2) (2) (1) (13) (7) (4) (7) ScienceC _Manage- Retired ment Personnel Doormen (4)Oth&ers- (11) Personnel Translation Education (10) and Seac11ndy 14;X1 Library (4) Personnel (9) Equipment (36) Publishing Mechanical Mechanical Drivers Group Operaton Repair Drie l (2) (27) (4) (2) (7) Note:Numbers in bracketsrefer to numberof staff. Chart 10 ProjectExecution Office - Shaanxi 11 Director DeputyDirector Science Capital and Education Personnel Financial Planning Construction Technology Division Division Division Division Division Division Dv> D0sm/ / - l s s \ \ ~~/ \/ - | SHGHAB | | ~~~~~~ISTCoordination Group ||Project Execution Office i |HAB l l Resettlement Engineer Training Administration Environmental and RP Remarks: 1. RepresentingShaanxi Provincial Transport Department, The ProjectExecution Officeis responsiblefor the Managementand Coordinationof ShaanxiHighway Project 11, is in chargeof the reviewsand submission of the designchange. 2. The functon of the Unit is to monitorthe TrainingUnit of the ProjectOffice underthe directleadership of Directorand DeputyDirector. 3. Duringthe constructionperiod, the PlanningDivision, Financial Division and CapitalConstruction division under SPTD would rendermuch assistance to the job concerningthe Planning,finance and environment. Chart 11 The Diagram of Maintenance Organization of Shaanxi Provincial Highway Project 1I Weitong road Liangtian Management Section A Xiwei Highway Management Center M S RoadnAdministrationn e Offie t Bayian Management Section Jinbincra BaioMngmnSetn_ Tonghuang road JiangfaTongchuanroad Management Section ~~~~~~~~~~~~~~AdMainitrnatincOffice | LAYijun Management Section _JXibaoHighway Management Center Yangling Management Section Jiangtang road [T }|TrafficBureau in Prefecture Traffic Bureau in County Local road management division in prefecure Local Road Management Division in County Maintenance Team The roads for poverty alleviation N Road Administration OfficeT Maintenance Off ice| Lanxiao Highway Management Center l |Finance Officel AAdministration Office| _Toll Station Note: The currentmaintenance organizations are responsiblefor the _SrieAe maintenanceof the roadsfor povertyalleviation SPTD- ShaanxiProvincial Transport Department SHGHAB- ShaanxiProvincial High-Grade Highway Administration Bureau LantianManagement Section Toll Station SHAB- ShaanxiProvincial Highway Administration Bureau -.v - 1 t ~~~~~~~~~~~~~~~RUSSIAN -- > .,\ FEDERATION - . KAZAKSTAN 'r\- ofn ULAANBAATAR _ ~ ) \ UZBEKISTAN MONGLIAOL-IAW FRUNZE*ursnn _ _ ~ JiLIN _ KYRGYZ ~Suq( tCGL4/>c ~r?REPUBLIC - _ _ ,/_ _fhfwin JAPAN TAJIKISTAN My,---.--... _ -, ..' i iIf/AREP \ .. _ shi < R aJ/ ~~~~~~~~~~~D.d.VeOF KOREA rpwtxzffAdprlesoflOrs dfsp mms \ sse_fi J rinctins/ / 7 2 H 3 >BSrANJNS s REF'OF~~~REP.O pn hs l GsI g0°a>Yplgnce ol susb \ ' -~~~~~~~~~~~ t ANXI HA i < Q-* J .- ~~~~~~~~~ ~~~~ . < 4 ~~~~~~~~~JIANGSU { \> ~~~~~~~~ ' \ W ,J H^, ~~~~~~~~~~~~~~SHANGHAISHIl _NEPAL_. /., i >K ,- MAJORHIGHWAY < @t;w Hnt4 'F.'NA/ DEVELOPMENTPROGRAM J ri-j- I °r Nationail Trunk Highlway System (NTHS) t ,- m n7 ' CUrG?;ZK aa^A MAJOR HIGHWAYS. M-* ; N 1z.:. u~c C-mpl.t.d MciorPorls - 7hno . _; Unde,Construdtion ! 8thFi-eY..,rPlan (1991-19951 '35oiccpci sh Sga MCOPR -- 9th Fr- Yea,Pan (1996-20001 69N.t-cl Capitals *VIET NAM ° Z 0 PHILIPPINES -- Pl.-nd Beyond2000 - - P,o-ic. B.und.,,.s N >. i NTHSP,iority Co,ridors WnernationalBo.Jnda-is _ rLAO PEOPLE'SEHIY,. NTHSLongler C.-rd-r HIAD DEM.REPD i\NN_sr n wi o J 3 12/06/1z995PW lc11|PI2D1]CIXePI15 m IBRD27048 FEDERATIONn.S X ...... d AWg= S / ; ; B...... RUSSIAN LANTIAN-XIAOSHANGYUAN TAX HIGHWAYAND LINK WITH I".-/'7' - IX _ , 0 (TERRA-COTTAWARRIORS MUSEUM C =-O|INCE * \ , ,U8El I O \ 5 10 ZI1VS9I.V A 1i n h n 07 / 5 IT KIOVEIER5 . L nD,.& ' ') A ,Ec3YNbN o u N We,ghVt |~ 9 |' -- t~ ~~ ~ ~ ~ ~ ~ ~ ~ ~ ~~~~~MLVV lo OR , _~~~~~~~//~~~~~~~ \ / D.~~~~~~~~~~~~~~~~~~~~OR \ WERNO-TOSGUA EXPRESSWA - - c_/NNCI$;0 - ~~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~~XIV 7, 6CR '-~ RNIIV.$NES OrveWnV$ON S SHANXI~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~S {}CCLLSTATIONS F __ < 0 + { < PROVINCE ,s .,.5R;e,.>1A zhhidCHIN / CLAS A T ONLYSHAANXIA PROVINCE300NDARIES/ \\/ I / i X SYr} \ -K-1,:~~~~~~~~~~~~~~~~~~~~~~~~~NC ~RI SHAANXI HIGHWAYPROJECT 0 1 NELMONGOL A D0% < kG C 511556k O 0V.n905V 0 , TVIVNVVA / Vo g~k S5O0. \ ( _I5 ROADSn ~ 0 9 NINGXIA ~E. PROPOSEDHIGHWAYS NIERNATIONAL/ EOUNARIESe / WX - J / < WEINAN-TONGGUANEXPRES-SWVY ---- LINKING ROADS INTERCHANGES , - -0- TOLLSTATIONS H. ~~~~~~~~~~~~~~~~~~~~SHANXI \Dnioe] V0or_bv\ Veoiosnszzu.Soorn, rbebebedor.el~ ~ ~ ~ ~ ~ ssogE n z 0\ -l-EUISTING INTERCHANGE GANSU 1 o SELECTEDCITIES AND TOWNS 50 ITECA...... * PROVINCECAPITAL \I * NATIONALCAPITAL C.- NATIONALROADSI 'Vl 0C.I60 …---EXPRESSWAY UNDERCONSTRUCTION . 01-LEE MAJOR ROADS L-0/ OVVP ENA RAILROADS -L;' -PROVINCE BOUNDARIES 01 VVVV NTERNATIONALBOUNDARIES TONGCHUAN-HUANGLING N9 0,0001006OVO L VoWo,d BVI 0/1-, ~ CLS IHGWAICUN t/ HUBEI ANVV 0,101110 C V.0011101OW 011 A0V60 / FAMENSI-JIANGZHANG-TANGYU hh ~~~~~~~~~~~CLASS11AUTO ONLY HIGHWAY OVV,V0 IISIOVEII ______,______OV VV O VVTV1 OCTORER1995 CHINA SHAANXI11 HIGHWAY PROJECT TRANSPORTSYSTEM Eln Hr>ro 01o D-- PpmodNEoilgH.gk ,Xpi- r HiV3 ' \. - 9 -Rooc i _-_- 4~R/oN.M ~ ~b...... , n'SO-trr.^f.i ShvuXe HAX 3>. ' Y A N t, D N _37. ~~ ~ ~~~~~~~~~~SHANX ' ' / Nwq"~ Ri,.n ~ ~ ~ ~ ~ ~ ~ ooy~. h- \ p or p, , sKh *. .o Gaq . .. ; 1w s~~~Zhq b37 p- p-19-r' ; 373 |~ ~ ~ ~ - \} *L2~ Lo c HNA /~ Hh o ~ ~ ~ ~~ _ hu o j < h,pl.AN WXd 8.,,^ G b n n unh 32' ipf nve >snsuan , _ )p - IMAGING Report No: 151 O CHA Type: SAR