shanghai municipal government world bank

PEOPLE’S REPUBLIC OF CHINA

SHANGHAI MUNICIPAL GOVERNMENT WORLD BANK

SHANGHAI URBAN ENVIRONMENT PROJECT, APL2

ENVIRONMENTAL MANAGEMENT PLAN (EMP) IDENTIFICATION N° : 655055.R3.5

DATE :JANUARY 2005

This document has been produced SOGREAH Consultants/Groupe Huit as part of the FASEP Grant (French Government Grant) to Shanghai Municipal Government (Job Number 655055).

This document has been prepared by the project team under the supervision of the Project Director following the Quality Assurance Procedures of SOGREAH in compliance with ISO9001.

INDEX PURPOSE OF MODIFICATION DATE AUTHOR CHECKED BY

APPROVED BY (PROJECT MANAGER)

B Second Issue Feb 2005 LXX/ GDM GDM GDM

A First Issue Jan 2005 CMY/ GDM

GDM GDM

INDEX DISTRIBUTION LIST CONTACT ADDRESS

1 SWEC (Mr HUANG Jia Ping)

2 Shanghai Development & Reform Commission (Mr QIU Wenjin)

3 The World Bank (Mr Mats Andersson, Mr Geoffrey Read)

[email protected] [email protected]

4 DREE (DREE Paris, Shanghai) [email protected] [email protected]

5 SOGREAH (Head Office) [email protected], [email protected],

6 Groupe Huit (Head Office) [email protected]

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E1091 v13

SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT, DESIGN REVIEW AND ADVISORY SERVICES

ENVIRONMENTAL MANAGEMENT PLAN

SOGREAH -CMY – 655055.R3.3 – DRAFT PAGE I DECEMBER 2004

TABLE OF CONTENTS

1. PURPOSES AND OBJECTIVE OF THE EMP ................................................................................................ 1 1.1. SHANGHAI MUNICIPALITY ............................................................................................................................ 1 1.2. THE SHANGHAI URBAN ENVIRONMENT PROJECT ......................................................................................... 1

1.2.1. THE OVERALL APL FRAMEWORK.................................................................................................... 2 1.2.2. PHASE 2 OF THE APL (APL2)......................................................................................................... 4

1.3. OBJECTIVES OF THE EMP ........................................................................................................................... 6 1.4. ORGANISATION & LAYOUT OF THE EMP REPORT ......................................................................................... 6

2. IMPACTS AND MITIGATION MEASURES FOR THE PROJECT........................................................................... 8 2.1. CONCERNED PROJECTS COMPONENT........................................................................................................... 8 2.2. SUMMARY OF IMPACTS AND MITIGATION MEASURES ................................................................................... 10

3. MITIGATION PROGRAM ......................................................................................................................... 30 3.1. STRENGTHENING CONTRACTUAL BACKGROUND FOR ENVIRONMENTAL MANAGEMENT................................ 30

3.1.1. CONTRACTUAL OBLIGATIONS........................................................................................................ 30 3.1.2. PREPARATION OF TECHNICAL ENVIRONMENTAL SPECIFICATIONS................................................... 31

3.2. ENVIRONMENTAL MANAGEMENT ORGANIZATION........................................................................................ 35 3.2.1. PROJECT ORGANIZATION.............................................................................................................. 35 3.2.2. ROLES AND RESPONSIBILITIES...................................................................................................... 37 3.2.3. COMMUNICATIONS AND NON-COMPLIANCE RESOLUTION ............................................................... 41

3.3. REQUIRED STRENGTHENING OF CAPABILITIES AND MEANS ........................................................................ 45 3.4. COMPENSATION FOR LAND ACQUISITION AND RESETTLEMENT .................................................................... 46 3.5. DECOMMISSIONING: RECLAMATION OF TEMPORARY USED SITES................................................................. 46 3.6. DETAIL OF ACTIVITIES ............................................................................................................................... 47

4. MONITORING PROGRAM ....................................................................................................................... 49 4.1. MONITORING OF CONSTRUCTION ACTIVITIES............................................................................................... 49

4.1.1. OBJECTIVE OF MONITORING CONSTRUCTION ACTIVITIES................................................................. 49 4.1.2. CONTENT AND IMPLEMENTATION OF THE MONITORING.................................................................... 49 4.1.3. DETAIL OF ACTIVITIES................................................................................................................... 50

4.2. WATER QUALITY MONITORING (WQM) ...................................................................................................... 52 4.2.1. OBJECTIVES OF MONITORING........................................................................................................ 52 4.2.2. WASTE WATER SPECIFIC MONITORING ........................................................................................... 53 4.2.3. WATER SUPPLY SPECIFIC MONITORING......................................................................................... 53 4.2.4. SOLID WASTE SPECIFIC MONITORING........................................................................................... 53 4.2.5. ORGANIZATION............................................................................................................................. 54 4.2.6. LOCATION OF SAMPLING SITES ..................................................................................................... 54



SOGREAH -CMY – 655055.R3.3 – DRAFT PAGE II DECEMBER 2004

4.2.7. SAMPLING AND ANALYSIS............................................................................................................. 54 4.2.8. REPORTING .................................................................................................................................. 56 4.2.9. DETAIL OF ACTIVITIES................................................................................................................... 56

4.3. AIR AND NOISE MONITORING..................................................................................................................... 58 4.3.1. PURPOSE OF MONITORING ............................................................................................................ 58 4.3.2. AIR QUALITY MONITORING............................................................................................................ 58 4.3.3. NOISE MONITORING ...................................................................................................................... 59 4.3.4. ORGANIZATION AND REPORTING ................................................................................................... 60 4.3.5. DETAIL OF ACTIVITIES................................................................................................................... 60

4.4. SEWAGE SLUDGE MONITORING.................................................................................................................. 61 4.4.1. PURPOSE OF MONITORING ............................................................................................................ 61 4.4.2. ORGANIZATION............................................................................................................................. 62 4.4.3. LOCATION OF SAMPLING SITES...................................................................................................... 62 4.4.4. SAMPLING AND ANALYSIS............................................................................................................. 62 4.4.5. SAMPLING AND ANALYSIS............................................................................................................. 63 4.4.6. DETAIL OF ACTIVITIES................................................................................................................... 63

4.5. MONITORING OF RECEIVING SITES.............................................................................................................. 63 4.5.1. PURPOSE OF MONITORING ............................................................................................................ 63 4.5.2. ORGANIZATION............................................................................................................................. 63 4.5.3. LOCATION OF SAMPLING SITES...................................................................................................... 64 4.5.4. SAMPLING AND ANALYSIS............................................................................................................. 64 4.5.5. SAMPLING AND ANALYSIS............................................................................................................. 64 4.5.6. DETAIL OF ACTIVITIES................................................................................................................... 64

5. BUDGET ESTIMATE AND SOURCE OF FUNDS ........................................................................................... 66 5.1. DISTRIBUTION OF BUDGETS....................................................................................................................... 66 5.2. INVESTMENT BUDGETS.............................................................................................................................. 66 5.3. OPERATION BUDGETS............................................................................................................................... 67 5.4. MONITORING BUDGETS ............................................................................................................................. 69



SOGREAH -CMY – 655055.R3.3 – DRAFT PAGE III DECEMBER 2004

TABLES TABLE 1: SUMMARY OF IMPACTS AND MITIGATION MEASURES OF SHUEP APL2 WATER COMPONENTS ......................................................11

TABLE 2: SUMMARY OF IMPACTS AND MITIGATION MEASURES OF SHUEP APL2 WASTEWATER COMPONENTS............................................19

TABLE 3: SUMMARY OF IMPACTS AND MITIGATION MEASURES OF SHUEP APL2 SOLID WASTE COMPONENTS ............................................25

TABLE 4: DETAIL FOR ORGANIZATION ACTIVITIES ......................................................................................................................................47

TABLE 5: DETAIL FOR MONITORING OF CONSTRUCTION ACTIVITIES .............................................................................................................50

TABLE 6: WASTE WATER MONITORING – WESTERN TRUNK .......................................................................................................................53

TABLE 7: DETAIL FOR WATER QUALITY MONITORING..................................................................................................................................56

TABLE 8 GAS MONITORING WATER COMPONENTS– OPERATION................................................................................................................58

TABLE 9: GAS MONITORING WASTEWATER COMPONENT– OPERATION ......................................................................................................59

TABLE 10 GAS MONITORING SOLID WASTE COMPONENTS– OPERATION ...................................................................................................59

TABLE 11: NOISE MONITORING – OPERATION PHASE – WATER COMPONENT .............................................................................................59

TABLE 12: NOISE MONITORING – OPERATION PHASE – WASTE WATER COMPONENT..................................................................................59

TABLE 13: NOISE MONITORING – OPERATION PHASE – SOLID WASTE COMPONENT....................................................................................60

TABLE 14: DETAIL FOR AIR AND NOISE MONITORING ..................................................................................................................................60

TABLE 15: DETAIL FOR SEWAGE SLUDGE MONITORING ..............................................................................................................................63

TABLE 16: DETAIL FOR SEWAGE SLUDGE MONITORING ..............................................................................................................................64

TABLE 17: INVESTMENT FOR ESD (IN RMB) .............................................................................................................................................67

TABLE 18: TENTATIVE OPERATION BUDGET (IN RMB)................................................................................................................................68

TABLE 19: DISTRIBUTION OF BUDGET PERCENTAGES FOR CONTRACTORS’ OBLIGATIONS.............................................................................69

TABLE 20: SUMMARY TABLE FOR EMP MONITORING COSTS WATER COMPONENTS: CONSTRUCTION PERIOD.............................................70

TABLE 21: SUMMARY TABLE FOR EMP MONITORING COSTS WATER COMPONENTS: INITIAL OPERATION/COMMISSIONING PERIOD ..............71

TABLE 22: SUMMARY TABLE FOR EMP MONITORING COSTS WASTEWATER COMPONENTS: CONSTRUCTION PERIOD ..................................72

TABLE 23: SUMMARY TABLE FOR EMP MONITORING COSTS WASTEWATER COMPONENTS: INITIAL OPERATION/COMMISSIONING PERIOD....73

TABLE 24: SUMMARY TABLE FOR EMP MONITORING COSTS, SOLID WASTE COMPONENTS: CONSTRUCTION PERIOD .................................74

TABLE 25: SUMMARY TABLE FOR EMP MONITORING COSTS, SOLID WASTE COMPONENTS: INITIAL OPERATION/COMMISSIONING PERIOD ..75



SOGREAH -CMY – 655055.R3.3 – DRAFT PAGE IV DECEMBER 2004

FIGURES

FIGURE 1: SHANGHAI MUNICIPALITY WITHIN THE YANGTZE DELTA REGION[REF. 10] ....................................................................................1

FIGURE 2: OVERVIEW OF SECTORS INCLUDED IN THE DIFFERENT PHASE S OF THE SHANGHAI APL ...............................................................3

FIGURE 3: FRAMEWORK FOR THE APL2 .....................................................................................................................................................5

FIGURE 4: LOCATION OF THE PROJECT COMPONENTS..................................................................................................................................9

FIGURE 5: PROPOSED ENVIRONMENTAL AND SOCIAL MANAGEMENT ORGANIZATION FOR THE CONSTRUCTION STAGE OF THE PROJECT..........36

FIGURE 6: PROPOSED COMMUNICATION, REPORTING, DOCUMENTATION AND PROBLEM RESOLUTION FLOW CHART........................................43



SOGREAH -CMY – 655055.R3.3 – DRAFT PAGE V DECEMBER 2004

ABBREVIATIONS, ACRONYMES AND UNITS APL Adaptable Program Loan BOD5 Biochemical Oxygen Demand (5 days) BSMF Bailongang Sludge Management Facility COD Chemical Oxygen Demand CRE Chief Resident Engineer CSE Construction Supervision Engineer CSEA Construction Supervision Environmental Adviser CSEMP Construction Site Environmental Management Plan DCRE Deputy Chief Resident Engineer DFV District Financing Vehicle EA Environmental Assessment EMP Environmental Management and Monitoring Plan EMS Environmental Monitoring Station EPB Environmental Protection Bureau (of SEPA) ESD PMO-Environmental and Social Division ESFI Environmental and Social Field Inspector ESU Environmental and Social unit MWSC Minhang Water Supply Company NCP Nuisance Control Plan PIU Project Implementation Unit PMO Project Management Office PPE Personal Protective Equipment PRC People’s Republic of China SAES Shanghai Academy of Environmental Sciences SCAESAB Shanghai City Apearance and Sanitation Bureau SEP Shanghai Environment Project SEPA State Environmental Protection Administration SHUEP Shanghai Urban Environment Project SRS Standard Site Inspection Review Sheet SS Suspended Solids SSP Shanghai Sewerage Project SSWC Shanghai South Water Company Ltd SWA Shanghai Water Authority SWAOD Shanghai Water Assets & Operations Division TA Technical Assistance WB World Bank WTS Western Trunk Sewer WTW Water Treatment Work WWTP Wastewater Treatment Plant

CURRENCIES

RMB Chinese Yuan (Renminbi) USD United States Dollar Conversion rate: 1 USD = 8.3 RMB



SOGREAH –CGD/ZGX – 655055.R3.2 – DRAFT PAGE 1 JANUARY 2005

1. PURPOSES AND OBJECTIVE OF THE EMP

1.1. SHANGHAI MUNICIPALITY

With a total population of over 16 million inhabitants1 excluding the “floating population”2 , Shanghai is China’s largest city and the third largest in Asia. Together with Beijing, Chongqing and Tianjin, Shanghai is one of the municipalities under direct control of the Central Government. Situated within the Yangtze Delta Region stretching from Ningbo in Zhejiang Province to Nanjing in Jiangsu Province, Shanghai is at the apex of a very large, highly urbanised and rapidly industrialising corridor. By 2005 this corridor will have a population slightly over 90 million inhabitants.

FIGURE 1: SHANGHAI MUNICIPALITY WITHIN THE YANGTZE DELTA REGION[REF. 10]

Legend

City

Town

Road

Grand Canal

Railway

River/Creek

Main River/Creek

Provincial Boundary

Taihu Lake

Jiangsu

Wuxi

Suzhou

Zhejiang

Yuhang

Tongxing

Jiaxing

Jiashan

Kunshan

Wujiang

Changzhou

Pinghu

HaiyanHaining

Songjiang

Jiading

Suzhou Creek

Baoshan

Qingpu

Chang Jiang (Yangtze) River

Liuhe River

Jinshanwei

Huangpu River

Fengxian

Mouth ofChang Jiang River

Shanghai

Chuansha

Hangzhou Bay

East China Sea

Nanhui

1.2. THE SHANGHAI URBAN ENVIRONMENT PROJECT

The Shanghai Urban Environment Project (SHUEP) is intended to provide a sustainable environmental setting for the long-term economic and social development in the Municipality of Shanghai (see Figure 1) while supporting the provision of urban infrastructure.

1 According to the 2000 Census the total population in Shanghai was 16.41 million inhabitants, of which 13.14 were had an urban registration and 3.27 were “long-stay” migrants. 2 Estimates as high as 3 million have been recently proposed




The SHUEP which was approved by the World Bank in June 2003 [Ref.11] would aim to support SMG to: • Implement the urban environment goal of its development strategy and thereby help to ensure

that economic growth takes place in an environmentally and institutionally sustainable manner; • Provide major long-term environmental benefits to its millions of citizens and to the ecology of

Shanghai Municipality; and • Develop innovative policies, institutional reforms and financing methods that are needed to

support the environmental goals and that will serve as models for local government and environmental reform throughout China.

Recognising that to achieve the desired development goals may require many years to resolve and cannot be addressed by a conventional3 (or typical) investment operation, the SHUEP has been devised as an Adaptable Program Loan consisting of a series of loans over a 7-10 year period, divided into 3 phases. A key requirement of the APL is that there is a clear and feasible development program in place to guide implementation of the projects and to provide clear milestones and benchmarks for policy and institutional reform.

1.2.1. THE OVERALL APL FRAMEWORK

The overall framework for the SHUEP APL has been formulated in the Development Programme for Shanghai APL Project [Ref. 12]. As indicated in the document, the framework complies with (and has indeed been built upon) the Tenth Five Year Plan and the Shanghai General Master Plan.

The APL has been divided into three phases. Each phase has a broad theme leading to a series of objectives, components, actions and triggers, and performance indicators.

Although initially the core program/themes of the APL appears to form a continuum in time, in conceptual terms each phase is designed to give prominence to one aspect of the urban environmental strategy being pursued. As described in the Project Appraisal Document [Ref.11]:

In Phase 1 prominence is given to further developing the underpinnings and enabling condition to pursue an integrated/regional approach to environmental issues. Investments included in this phase are those that are already known to be priority components of the integrated/regional approach (including the protection of upstream sources for water supply, expansion of shared landfills, complementary investments to increase efficiency of earlier investments). Further development of integrated/regional programs and related investments is expected to be continued during subsequent phases. Phase 1 will also test new approaches to upgrading urban environmental services in a poorer, underserved area through a pilot program. Phase 2 will support implementation of programs that address environmental issues of greater complexity and respond to the deepening of SMG’s work on the environmental agenda (including solid waste management program consolidation, bond finance and a district financing vehicle, and continue to expand the pilot approaches to upgrading urban environment services in poorer, underserved areas). Preparations for these Phase 2 activities are to be made during implementation of Phase 1.

3 It should not however be ignored that Shanghai has had a long and fruitful relationship with multi-lateral lending agencies such as the World Bank. Significant Projects in the environment sector include:

• Shanghai Sewerage Project, • Shanghai Environment Programme • Second Shanghai Sewerage Programme • Suzhou Creek Rehabilitation




Phase 3 is the stage at which the Shanghai authorities hope to begin realising the fruits of their efforts to build up to a sustainable financial system for urban environment services. It is anticipated that further improvements to the operations, management and finances of at least some urban environment service utilities over the course of Phases 1 and 2 would enable the to move beyond the municipal budget to finance their capital investments on acceptable terms, either on the capital markets and/or obtaining finance from a sustainable district financing vehicle. Complementing this is the development and establishment during Phases 1 and 2 of the supply side, including enabling capital market/financing arrangements and institutions. Phase 3 also continues the deepening of the environmental agenda, moving on to begin pursuing some of the improvements in air quality potentially available from the increased supply of natural gas to the Shanghai metropolitan area.

A summary of the sectors and key components proposed for inclusion in the Shanghai Urban Environment Project is included in Figure 2.

FIGURE 2: OVERVIEW OF SECTORS INCLUDED IN THE DIFFERENT PHASE S OF THE SHANGHAI APL

APL1

CityWastewater

UpperHuangpu

Urban AreaUpgrading Solid Waste IST

APL2

SuburbanWastewater Solid WasteUrban Area

Upgrading IST

APL3

Urban AreaUpgrading

CityWastewater

UrbanEnvironmentImprovement

UrbanEnvironmentImprovement

IST

SHanghai Urban Environment Project




1.2.2. PHASE 2 OF THE APL (APL2)

SHUEP APL2 is planned to continue with the improvements to the infrastructure and environmental needs of the city proper, with phase 2 of the solid waste disposal project, and urban environment improvements as its main tasks. SHUEP Phase 2 will, at the same time, provide assistance to the governments at suburban district and county level in improving their infrastructure and service quality with the focus on several sewerage projects in the suburban area. During the implementation process, Shanghai will try new financing methods and mechanism in the city proper and suburban area. SHUEP Phase 2 will start in the second half of 2003 and should be completed in 2008.

Since the outlining of the initial development programme, upon which the SHUEP has been based, a number of factors have intervened: • It has become evident that economic and population growth in Shanghai has been and will

continue to exceed expectations as outlined in the master plan of 2002 and the associated sector plans. Although the development programme as initially outlined is still relevant, the sector plans are themselves outdated and require updating to support further the SHUEP.

• The award of the Universal Expo 2010 to Shanghai, has further strengthened the commitment of Shanghai to the improvement of its environment. With the adoption of the “Better City, Better Life”, Shanghai aims at becoming an international financial centre, with a concomitant improvement in environmental conditions and service provision. A notable feature of this enhanced awareness of environmental issues is the adoption of more ambitious targets, notably for water supply where it is proposed to provide drinkable water quality to the consumer by 2010.

The framework of the APL2 has therefore been adapted to reflect the new priorities of SMG. The components can be broadly sub-divided into 5 categories: • Water Sector Components, consisting of

– Shanghai South Water Company Components – Minhang Water Company Components

• Waste Water Sector Components (of SMSC) – North West Drainage Area Component – Sludge Treatment Component

• Solid Waste Components – Gucun dump closure – Minhang dump closure

• District Financing Vehicle Componets – Chongming Wastewater; – Huaxin Wastewater – Chongming Solid Waste – Jinshan Solid Waste

• Institutional Strengthening and Training

An overview of the proposed framework for APL2 is included in Figure 3

Triggers for APL2 will consist of: 1) SHUEP Phase 1 should be ongoing/completed successfully with both SMG and the World

Bank satisfied. 2) The various investment plans for SHUEP Phase 2 should be approved by SMG and SDPC

and the project preparation should be agreed by the World Bank.




3) Approval of the Upper Huangpu Catchment Management Plan, including recommendations for pollution source control and relevant institutional strengthening in the drinking water protection area.

4) Implementation of a publicity campaign for water conservation. 5) Approval of the Municipal Solid Waste Disposal Master Plan, including adopting market-

oriented charges on users, treatment, disposal, solid waste discharge fee, service charge policy, waste volume reduction, recovery and recycling, and the management and disposal of toxic and hospital wastes.

6) Start to prepare policies and regulations suitable for service/management contracts and/or a concession, and the signing of a social capital participation contract (BOT or concession) for a wastewater treatment facility.

7) Prepare the plan and prospectus for the issuance of long term domestic bonds for infrastructure financing. SMG will make every effort to obtain approval from the Central Government.

8) SMG will initiate a study on the policy and action plan for the establishment of a pilot water source protection fund.

9) Regulations drafted and submitted for municipal approval for agricultural pollution control.

FIGURE 3: FRAMEWORK FOR THE APL2

APL2

Wastewater Solid WasteDistrict

FinancingVehicle

Water Supply

SludgeDisposal

North WestDrainage

Area

DumpClosure

Transport

IST

NetworkExtension &

Rehabilitation

EnhancedTreatment

SuburbanWastewater

Projects

SuburbanSolid Waste

Projects

The project technical and financial preparation was carried out by Chinese local organisations and has been supported by various sources of international assistance to SMG, including SOGREAH, the Design Review and Advisory (DRA) Consultant to the Shanghai Project Management Office (PMO), the responsible institution for the overall preparation of the project.




1.3. OBJECTIVES OF THE EMP

A key objective of the Impact Assessment process is to identify the potential impacts on the environment of the activities anticipated in project development, implementation and operation and to develop a set of mitigation measures technically appropriate, financially acceptable and practically applicable in the concerned regions. These mitigation measures are usually identified during the EA stage and then set out in a practical and coordinated way in the Environmental Management Plan.

The role of the EMP is to outline the mitigation, monitoring and institutional measures to be taken during project implementation and operation to avoid or control adverse environmental impacts, and the actions needed to implement these measures. The EMP provides the crucial link between impacts and alternative mitigation measures evaluated and described in the specific EIA reports and the way these measures must be implemented to achieve their mitigation objectives.

For each proposed measure, the EMP defines the technical content, the estimated cost, the schedule of implementation, the role and responsibilities of Government Agencies, the source of funding and the way to monitor the results.

The main sources of information which provide the basis for this EMP report are: • The Overall EA report related to the Water Waste management Project, • The Overall EA report related to the Water management Project, • The Overall EA report related to the Solid waste management Project • The Resettlement Action Plans (RAP) for the projects, • The individual EIAs for each component, • Discussions and meetings held with key Municipal Agencies and Institutions involved in

social and environmental management.

1.4. ORGANISATION & LAYOUT OF THE EMP REPORT

The ensuing chapters of this report deal with the following topics:

Chapter 2 Project Impacts & Mitigation Provides a rapid summary of the environmental impacts of the project cross-referenced to the related EA and RAP

Chapter 3 Mitigation Program

Provides a general summary of the environmental baseline conditions pertinent to the water supply sector before dealing in detail with the baseline situation for each component.

Chapter 4 Monitoring Program Presents the different impacts associated with each component together with a series of mitigation measures.




Chapter 5

Costs & Sources of Funding Discusses the different alternatives proposed for each project in relation particularly to environmental impacts

The report is accompanied by a series of appendices covering the following topics :

Appendix A Bibliography

Appendix B Environmental Quality Standards

Appendix C Example Of Standard Site Review Sheets

Appendix D EA Framework for SHUEP APL

Appendix E RAP Framework for SHUEP APL




2. IMPACTS AND MITIGATION MEASURES FOR THE PROJECT

2.1. CONCERNED PROJECTS COMPONENT

The SHUEP-APL2 components contributing to strengthening of water supply management for Shanghai, including the following:

• Shanghai South Water Company Component including: – Changqiao Water Treatment Works Upgrading; – Qingpu Network Extension; – Main Network Rehabilitiation

• Minhang Water Supply Company Component: – Minhang Water Treatment Works Upgrading

The SHUEP-APL2 project for consideration under the WB loan contributes to the pollution control and wastewater management for Shanghai City, including the following:

• Shanghai Municipal Sewerage Company Components including: – Construction of West Trunk Sewer; – Construction of the Sludge Management Facility at Bailonggang; – Construction of the Sludge Management Facility at Zhuyuan.

It also contributes to the solid waste management for Shanghai City, including the following: • Closure of Gucun dumpsite • Closure of Minhang dumpsite

The present EMP, as well as its supporting specific EAs and RAPs, cover the requirements of the main structural components of the WB project, excluding those components relating to the DFV. The following figure provide basic information on the location sites for the projects components.




FIGURE 4: LOCATION OF THE PROJECT COMPONENTS

SHANGHAI

Western Trunk Sewer

Bailonggang Sludge Management Facility

Shidongkou WWTP

Minhang

Changqiao

Guncun

Minhang

Keys Dumpsite

Water Works

Sludge Facility

Zhuyuan Sludge Management Facility




2.2. SUMMARY OF IMPACTS AND MITIGATION MEASURES

The project’s objective is to improve the water supply, the waste water management and the solid waste management in Shanghai in order to increase the quality of life of the urban residents and to comply with national and Shanghai environmental plans. The eventual environmental impacts of such projects are obviously beneficial. However, some impacts with detrimental effects may result from projects implementation, mainly during its construction, with significant land acquisition and resettlement issues, as well as local impacts directly involved by construction activities.

The following tables (Tables 1 to 3) summarize the overall and site specific impacts anticipated from the implementation of the project components and the mitigation measures already proposed in the EA studies.




TABLE 1: SUMMARY OF IMPACTS AND MITIGATION MEASURES OF SHUEP APL2 WATER COMPONENTS

FIELD POSSIBLE IMPACTS PROPOSED MITIGATION MEASURES COMMENTS

1 - ISSUES ASSOCIATED WITH THE CONSTRUCTION STAGE – Shanghai Water Supply Project

CWTUP will involve the acquisition of 90mu. The land acquisition will affect 48 houses and 5 companies.

CWTUP will also temporarily occupy a total of 101mu land

QWNE: will involve the acquisition of 9mu.

QWNE: will also temporarily occupy a total of 133mu land.

MNPR : No land acquisition required

Impacts on land use, land acquisition and resettlement

MWTUP : will involve the acquisition of22.45 mu.

See Resettlement Action Plan.

For land acquisition and resettlement, ensure procedures follow Chinese regulations and WB Safeguards OP 4.12 and OP 4.20

General impacts from construction activities

CWTUP : Construction of some facilities will be distributed over densely built urban area, with high risks of detrimental impacts regarding nuisances and public safety if works do not cope with international standards and good practices.

Setting up of a strong organization for works environmental supervision and monitoring, with staff and clear operational procedures for rapid and effective treatment of non-compliance.

Preparation of detailed environmental and social specifications for the contractors, to be part of the bidding documentation. Contractor environmental obligations are part of the contract documentation.

Payment procedures for environmental activities of the contractor follow an incentive approach.

Creation of the Environmental and Social Department (ESD) inside project’s PMO and of the Environmental and Social Unit (ESU) inside the Construction Supervision Engineer organization.

Environmental and Social Field Inspectors provide routine monitoring of activity.




FIELD POSSIBLE IMPACTS PROPOSED MITIGATION MEASURES COMMENTS QWNE: Construction of some facilities will be distributed over densely built urban area, with high risks of detrimental impacts regarding nuisances and public safety if works do not cope with international standards and good practices.



MNPR : Approaches to be adapted will minimize impacts by the use of “trenchless technologies”; however, dependent on exact technology adopted some small access sites will be required causing small amounts of disruption

Adhere to APL Resettlement Framework

MWTUP : Construction of some facilities will be distributed over densely built urban area, with high risks of detrimental impacts regarding nuisances and public safety if works do not cope with international standards and good practices.



CWTUP : Large quantities of spoil will result from earthwork excavation and from building demolition.

No information in the EA reports about the quantity and the quality

A detailed construction program, including phasing, proposal for transport route and description of proposed disposal sites, will be required from the concerned contractors prior to start the works.

CWTUP, QWNE and MWTUP: Dust and sediment discharge to reservoir and rivers may occur from uncovered and unconsolidated materials during earthworks in dry season.

Dust may affect resident population in the areas where trunks are laid down.

Appropriate management of earthworks in accordance with the contractor environmental specifications. This will include rules for piling, compacting and spraying spoil while waiting evacuation or reuse. Temporary storage of earth piles will drain into sedimentation basin before discharge of run-off to the river.

Most of technical measures described in the Chinese regulation “Temporary regulation on construction and environmental management of construction sites”.

CWTUP, QWNE and MWTUP: Transport of material as earth fill, earth spoil, sand and gravel to or from site may affect urban areas crossed by the trucks if appropriate measures are not implemented, resulting in serious impacts on road traffic, public safety, air quality and noise.



Impacts from earthworks and spoil production, handling and disposal

QWNE: Large quantities of spoil will result from earthwork excavation and from building demolition.

The quantity of soiled is about 31570 m3.




Creation of the Environmental and Social Department (ESD) inside project’s PMO and of the Environmental and Social Unit (ESU) inside the Construction Supervision Engineer organization.

Environmental and Social Field Inspectors provide routine monitoring of activity.




FIELD POSSIBLE IMPACTS PROPOSED MITIGATION MEASURES COMMENTS MNPR : Approaches to be adapted will minimize impacts by the use of “trenchless technologies”; however, dependent on exact technology adopted some small access sites will be required causing small amounts of spoil

Adhere to EA Framework and EMP

MWTUP : Large quantities of spoil will result from earthwork excavation and from building demolition.

No information in the EA reports about the quantity and the quality




CWTUP, QWNE and MWTUP:Impacts concern is mainly due to the location in dense urban areas. Fumes and exhaust gas from trucks and heavy machinery on construction sites may affect air quality, as well as dust from material transport by trucks and earthworks.

Monitoring of construction sites to focus primarily in urban construction sites. Specifications regarding operation and maintenance of construction equipment and transport of materials by truck.

Compliance monitoring to be performed by Contractors, with random controls of EPB.

CWTUP, QWNE and MWTUP:Noise from heavy machinery could be divided in to two parts: fixed acoustical noise and transport vehicles noise.

Enforcement of existing noise standards related to machinery and working period.

Forbidding the use of certain works during nigh-time.


Impacts on air quality and noise

MNPR : Approaches to be adapted will minimize impacts by the use of “trenchless technologies”; however, dependent on exact technology adopted noise impacts will differ

CWTUP :Impact of the domestic refuse produced by the construction staff. The total quantity is estimated to 216t.

Public information and appropriate construction practices and organization, with road signs and coordination with traffic Police will minimize impacts and ease traffic during works.

Use of internet site and poster campaigns to inform population on work schedule and location will help reducing traffic disruption or congestion.

QWNE and MNPR: No information in the EA reports Washing station for trucks leaving construction sites to limit mud transport in city roads, strict obligations regarding size of trucks, of load, necessary load cover, routes and timing will be imposed to concerned contractor.

Impacts on solid waste

MWTUP : Impact of the domestic refuse produced by the construction staff. The total quantity is estimated to 37t.



Impacts on water quality

CWTUP and MWTUP :Construction wastewater and domestic sewage during construction will be discharged into

Wastewater will be discharged after treatment when the standards are respected.





FIELD POSSIBLE IMPACTS PROPOSED MITIGATION MEASURES COMMENTS the environment and may result in impact on river quality.

Pollution hazard may also result from heavy operating machinery, from storage of potential pollutants, such as petrol or engine oils, from concrete production, from drainage of earth stock piles, from inappropriate disposal of used engine oils and locally generated waste (workshops, labor camps).

QWNE: The domestic sewage construction will produce sludge water (main pollutant SS) which it will be discharged into the environment and may result in impact on river quality.

Pollution hazard may also result from heavy operating machinery, from storage of potential pollutants, such as petrol or engine oils, from concrete production, from drainage of earth stock piles, from inappropriate disposal of used engine oils and locally generated waste (workshops, labor camps).

Wastewater generated during construction of the water intake will be recovered and not discharged into the reservoir.

Strict contractor environmental specifications regarding the handling, storage or disposal of hazardous products and of waste produced on the construction sites.

Compliance monitoring of drainage water quality from sites and enforcement of effluent standards. Management measures at work site oriented towards prevention of pollution or accidental spill.

Monitoring of river quality upstream and downstream construction sites.

MNPR : No impacts

CWTUP :No impact is anticipated on construction sites

QWNE: The impact on the natural environment is limited. The ecological environment of the region is medium

MNPR : No impacts

Impacts on wildlife and habitats

MWTUP : :No impact is anticipated on construction sites

CWTUP :If inappropriately managed, workforce may create relational problems with surrounding residents.

If inappropriately managed, labor camps may become the site of epidemic burst out among workers and spread to surrounding population.

QWNE and MWTUP: No information in the EA reports

Awareness training of all workers on environmental and social issues.

Strict obligations imposed to the contractor for the organization and the management of labor force and camps. Contractor to prepare a CSEMP for approval. Monitoring of labor camps and of worker health conditions by the ESU and Department of Public Health.

ESD/ESU assist in training workers on environmental basics and justification of mitigation measures.

Contractor requested to have recruitment medical check for each worker, and medical visit once a year. Availability of medicine in case of epidemic will be requested at workers camps (dormitory or canteens).

Impacts on public health4

MNPR : As before impacts minimized due to small size of construction footprint


CWTUP :Occupational health and accident issues, resulting in serious wounds or death of workers.

Impacts on on-site public safety


Contractor to prepare a CSEMP for approval. In this plan, contractor will clearly define the safety procedures in case of accident on site, ensure that minimum first aid equipment is available on all sites and ensure availability

Monitoring of construction sites by ESU.

4 No information in Chinese EA on public health and safety issues during construction




FIELD POSSIBLE IMPACTS PROPOSED MITIGATION MEASURES COMMENTS and enforcement to wear PPE (personal protective equipment).



CWTUP :Risk is higher for components located in densely populated areas. Increased traffic of trucks on some road sections may increase risk of traffic accident. For network component, increase risk of traffic accident because the alteration of the road traffic and risk for residents if excavation and works in the streets are not well isolated and protected from public area.


Strict clauses imposed to the contractor for the implementation of acceptable standards for the safety of residents surrounding construction sites: fencing, information to concerned residents, access to roads and buildings, procedure if road accident. Detailed specifications on traffic regulation inside and outside the construction area to be prepared.

Monitoring by ESFIs. Impacts on off-site public safety



Impacts on cultural heritage

CWTUP :No impact is anticipated on construction sites




FIELD POSSIBLE IMPACTS PROPOSED MITIGATION MEASURES COMMENTS 2 - ISSUES ASSOCIATED WITH THE OPERATION STAGE – Shanghai Water Supply Project

Impact on the quality of life

CWTUP, QWNE, MNPR and MWTUP: will improve the water quality and quantity distributed in the city to resolve the existing problems on the water supply.

No mitigation measure required. For improvements in tap water quality to be achieved, need to be associated with accompanying measures including

• Effective water resources protection

• Improvements in distribution networks

Impact on surface water

CWTUP :The water quality in Huangpu river will not be impacted by the Changqiao project, but pollutions could occur from industrial effluents in the river.

Generated wastewater after water utilization in the current service area is not likely to increase. Existing wastewater facilities exist in the service area..




FIELD POSSIBLE IMPACTS PROPOSED MITIGATION MEASURES COMMENTS QWNE: Generated wastewater after water utilization in the city will increase. According to planning, the wastewater treatment capacity needs to be upgraded.

Implementation of Qingpu District Wastewater Masterplan One project in Huaxin is proposed as part of the DFV

MNPR : No impact

MWTUP : The water quality in Huangpu river will not be impacted by the Minhang project, but pollutions could occur from industrial effluents in the river.

Generated wastewater after water utilization in Shanghai city will increase. But according to planning (SSP2), the wastewater treatment capacity will be sufficient.

CWTUP and MWTUP : The noise impact is mainly due to the pumping and the ozone production.


Monitoring to be carried out on a random basis by EPB.

QWNE: The noise impact is mainly due to the pumping

Impact of noise

MNPR : No impact

CWTUP and MWTUP: Chlorine has strong irritating characters, with the maximum concentration present in the factory.

Tanks storage room should be air tight

Sun light (i/e large windows) has to be avoided, because heating of chlorine tanks.

Direct circulations with others rooms (evaporation, dosage, etc.) have to be cancelled). The only possible entrance has to be the main door where chlorine tanks are unloaded.

A complete system of gas leakage detection, with suction conducts and a gas scrubber plant has to be provided.

Safety equipement (eyes rinser, shower, gas masks, oxygen device saving system, etc.) has to be provided

Remedial measures to be also carried out on existing plant

CWTUP and MWTUP :Ozone is not poisonous but with highly oxidation power. Ozone can irritate and damage respiratory system.

CWTUP and MWTUP: Ammonia: Mixing with air, ammonia can be exploded once contact with fire

Ammonia: high concentration can injured.

Impact on air pollution

QWNE and MNPR: Not relevant

Impact of the waste activated Carbon

CWTUP and MWTUP : The waste activated Carbon from the process could become a potential pollution source.

Periodical collection and reclaim.

Regeneration of the activated Carbon.

Impact of the CWTUP and MWTUP :The impact due to the production of




FIELD POSSIBLE IMPACTS PROPOSED MITIGATION MEASURES COMMENTS domestic rubbish domestic rubbish will be similar than the actual: the staff will

be unchanged.

Impact of the solid waste

QWNE and MNPR: Not relevant

Impact of sludge CWTUP and MWTUP :Sludge from WTP could become a potential pollution source for surface water and groundwater. However the impacts are minor because it basically contains no harmful substances.

Impact on the water resource

CWTUP and MWTUP :No impact, the water resource will be unchanged




TABLE 2: SUMMARY OF IMPACTS AND MITIGATION MEASURES OF SHUEP APL2 WASTEWATER COMPONENTS

FIELD POSSIBLE IMPACTS PROPOSED MITIGATION MEASURES COMMENTS 1 - ISSUES ASSOCIATED WITH THE CONSTRUCTION STAGE – Shanghai Waste Water Project

WTS - Western Trunk Sewer Project will involve the acquisition of 153,390m2 of land for the implementation of the 24.45km sewer pipe and 39,080m2 of land for the construction or the upgrade of the pumping stations

Farmers: (A) work at a governmental business or institutions, (B) governmental subsidiaries (lump sum in one time) for relocation, (C) governmental pension for elderly people. See Resettlement Action Plan.

Residents: (A) Relocation at nearby new town. (B) Construction of their own house on a given piece of land with funds obtained for compensation. (C) Obtain financial compensation for resettlement.

Businesses: (A) Relocation accordingly to the town plan. (B) Financial compensation

Actions will undertaken jointly by the Shanghai City Draining Company Ltd and Local Authority


Farmer contractors will be warned sufficiently in advance for them to find alternative jobs.

The relocation of farmers can improve their quality of life.

Ensure activities are carried out in pre-construction period in order to cope with project construction schedule.

WTS - Western trunk Sewer construction will use temporarily 222,215m2 including 175,688m2 for the construction of the western sewer pipe and 46,527m2 for the branch connection. The vegetable farming production will be impacted and farmers’ income will decrease.

Financial compensation for lack of income due to disruption of farming activites.



Compensation fees (greater than loss) should be planned.

Any need for temporary land outside project sites will involve a procedure of approval by ESD prior to land occupation.

Impacts on land use, land acquisition and resettlement

BSMF - The Bailonggang Management Facility will be located at the WWTP and does not require any land acquisition

No mitigation required


WST and BSMF - For the Western Trunk Sewer, construction of facilities will be distributed all over a densely built urban area, with high risks of detrimental impacts regarding nuisances and public safety if works do not cope with international standards and good practices.



Payment procedures for environmental activities of the

Creation of the Environmental and Social Department inside project’s PMO and of the Environmental and Social Unit inside the Construction Supervision Engineer organization

Environmental and Social field Inspectors provide routine monitoring of activity.




FIELD POSSIBLE IMPACTS PROPOSED MITIGATION MEASURES COMMENTS contractor follow an incentive approach.

Impacts from earthworks and spoil production, handling and disposal

WTS - Large quantities of spoil will result from earthwork excavation.

About 164,000 m3 of excavation spoil is anticipated from project, mainly from the construction of the sewage pipeline system.

Spoil from sewage pipeline system will be reuse for backfill as much as possible, and then only 70,000m3 will be disposed in a landfill.

A detailed construction program, including phasing, proposal for transport route and description of proposed disposal sites, will be required from the concerned contractors prior to start the works.

WST and BSMF - Dust and sediment discharge to canals and rivers may occur from uncovered and unconsolidated materials during earthworks in dry season.

Dust from earth excavation and spoil transportation may affect surrounding vegetation and population.



The construction agency should comply with the Shanghai Management Method for the flying dust pollution prevention.

WST and BSMF - Transport of material as earth fill, earth spoil, sand and gravel to or from site may affect urban areas crossed by the trucks if appropriate measures not implemented, resulting in serious impacts on road traffic, public safety, air quality and noise.

Washing station for trucks leaving construction sites to limit mud transport in city roads, strict obligations regarding size of trucks, of load, necessary load cover, routes and timing will be imposed to concerned contractor.

Impact from hasardous wastes

WST - Demolition material may contain hazardous material.

During construction hazardous wastes may be encountered.

The EPB should be informed prior to demolition of the building or of any hazardous wastes and adequate measures should be taken before works continue.

Impact from construction workers

WST and BSMF - The construction will involve numerous workers which will produce sanitary wastes and domestic wastes which may cause sanitation issues.

The local sanitation bureau should be informed of the work campsite in order to ensure quick collection of the wastes and construction workers should be made ware of good practice for waste handling.

Impact of traffic WST - The route of the sewer crosses multiple roads, farming lane and rivers.

The road traffic at the site and in the surroundings may be aggravated by road diversion or lane narrowing.

The farming lanes may be cut-off which will impact farmers work and stop crop production.

The fluvial traffic may be disrupted.

The Design institute must carry out a comparative analysis to determine the route for which there is the less impact.

Temporary road or bridges should be built. Works should be limited during rush hours and stock piles should be removed promptly.

Construction agency should inform navigation administration agencies of the construction works and works should be sign posted and traffic should be coordinated with police.


WTS - Impacts concern mainly the components located in dense urban areas. Fumes and exhaust gas from trucks and heavy machinery on construction sites may affect air

Monitoring of construction sites to focus primarily in urban construction sites. Specifications regarding operation and maintenance of construction equipment and transport of





FIELD POSSIBLE IMPACTS PROPOSED MITIGATION MEASURES COMMENTS quality, as well as dust from material transport by trucks and

earthworks. materials by truck.

WTS - Noise from heavy machinery, particularly along the sewage pipelines and pumping stations construction.


Forbidding the use of certain works during night-time.

Temporary fence should be used around construction sites.


WTS - Traffic congestion resulting from sewage pipelines and pump stations construction may result in temporary higher levels of pollutants (TSP, NOx, CO).



BSMF - Impact from construction site of Bailonggang is considered low as surrounding receptors are located 1,500m away. However, impact from truck traffic is a concerned.

Adequate transportation timing (forbidden traffic from 11.00PM to 6.00AM) and route should be selected to minimize the impact from traffic.

Construction works should be carried out accordingly with the “Shanghai Dust Pollution Prevention and Control Policy and method”


WTS and BSMF - Impact of run-off water containing high SS and BOD and COD and nitrogen particles which may discharge in the environment.

Groundwater with high SS content encountered during excavation works will be pumped and discharged in the drainage or water course.

Pollution hazard may also result from heavy operating machinery, from storage of potential pollutants as petrol or engine oils, from concrete production, from drainage of earth stock piles, from inappropriate disposal of used engine oils and locally generated waste (workshops, labor camps).

Drainage water or pumped groundwater should be intercepted into a settling tank before discharge into water course or drainage network.

Strict contractor environmental specifications regarding the handling, storage or disposal of hazardous products and of waste produced on the construction sites.


Monitoring of river quality upstream and downstream construction sites.


WTS - Temporarily occupied land will represent 222,150m2 for the sewage pipelines construction. The quality and the fertility of farmland may be impacted due to stockpile of construction material and compaction of the ground.

Minimize disturbance of the structure of the ground during construction.

Re-instatement of the farmland to its original condition and ensure farming productivity

Addition of fertilizers if necessary.

WTS - Uncontrolled drainage water from construction may disperse into farmland and impact the soil fertility.

Construction contractor should have a good knowledge of topography and drainage system.

Impact on farming activities

WTS - Impact on irrigation systems and farmers income due to excavation works

Construction plan should identify alternative water source for irrigation




FIELD POSSIBLE IMPACTS PROPOSED MITIGATION MEASURES COMMENTS Impacts on public health

WTS and BSMF - If inappropriately managed, workforce may create relational problems with surrounding residents.







WTS and BSMF Occupational health and accident issues, resulting in serious wounds or death of workers.

Contractor to prepare a CSEMP for approval. In this plan, contractor will clearly define the safety procedures in case of accident on site, ensure that minimum first aid equipment is available on all sites and ensure availability and enforcement to wear PPE (personal protective equipment).


WTS -Trench shoring collapse leading to damage to adjoining property and endangering life of workforce.

Access to deep open trenches with danger to public safety

Correctly designed and tested temporary works structures and operational procedures.

On site checks on frequent basis.

Open trenches to be kept to minimum and severely fenced, especially after working hours. Security guard employed to monitor safety issues.

Impacts on off-site public safety

Risk is higher for components located in densely populated areas.

Increased traffic of trucks on some road sections may increase risk of traffic accident.

For network component, increase risk of traffic accident because the alteration of the road traffic and risk for residents if excavation and works in the streets are not well isolated and protected from public area.

Strict clauses imposed to the contractor for the implementation of acceptable standards for the safety of residents surrounding construction sites: fencing, information to concerned residents, access to roads and buildings, procedure if road accident.

Detailed specifications on traffic regulation inside and outside the construction area to be prepared.

Monitoring by ESFIs.

Impact on public underground services

WTS - Interruption or damage of the public services (communication, power, water, etc..) due to construction works.

The Design Institute should select a route for the sewer which avoids underground services. If it is not possible, the relevant service department should be informed prior construction and mitigation measures should be taken.

Impacts on loss of green areas

WTS - The western trunk project will demolish 930m2 of tree which will affect the surrounding environment and the landscape.

Two rows of trees should be replanted on both side of the sewer route and natural vegetation impacted by the construction should recover its original condition with time.


WTS - No impact is anticipated on construction sites. Possible presence of archaeological or historical artifacts under the future excavations.

Specific procedures if underground artifacts are identified during excavation works in coordination with ESU.




(TABLE XX CONTINUED)

FIELD POSSIBLE IMPACTS PROPOSED MITIGATION MEASURES COMMENTS 2 - ISSUES ASSOCIATED WITH THE OPERATION STAGE – Shanghai Wastewater Project

Impact on the quality of life

WTS - Construction of Western trunk Sewer will improve the quality of life and surrounding environment by increasing inhabitants’ safety and promoting social and economical development..

No mitigation measure required.

Impact on waste water management

WTS - The Western trunk sewer will improve the collection and management of waste water in the northern area of Shanghai.

BSMF - The sludge treatment facility will enable to achieve and promote better sludge management in the area of Shanghai

No mitigation required.

Inhabitant safety WTS - The derelict part from existing sewer may affect inhabitant safety. Risk of collapsing.

An adequate management of the sewer should be established to ensure the safety of the existing sewer.

WTS - The western sewer discharge waste water in the Shidongkou WWTP. The change of sewage characteristics may impact the functioning of the WWTP and the discharge quality in the water course.

Compliance monitoring of effluents should be performed by operators.

Random controls of effluent quality should be performed by EPB.

Monitoring of water quality in river at discharge point by EPB.

Impact on water quality

BSMF - After stabilization, the sludge will not be disposed in sludge lagoons and potential future leaching of contaminants should be reduced. Quality of the surrounding groundwater and surface water should be improved

Monitoring of groundwater and surface water quality within the sludge disposal lagoon area.

WTS - Odorous pollutants will be produced in pumping stations. The odour assessment showed that the odour produced by the Xincun road pumping station may have an impact on surrounding building.

Odour removal measures should be undertaken.

Planting of vegetation which has odour adsorbing properties at the pumping station.

Generally, pumping station should be constructed at least 5 m from residential housing and any development should be located at least 40m away any pumping station grid.


The protective sanitary distance (40m) should be respected.

Impact on air quality and odors

BSMF - The cumulative odor and gas impact from the Baillongang sludge treatment facility and the WWTP.

An adequate odour removal system should be utilized at the sludge treatment plant and the Design Institute should carry a comparative analysis to select the best odour removal system.




FIELD POSSIBLE IMPACTS PROPOSED MITIGATION MEASURES COMMENTS WTS - Noise assessment from pumping stations indicated that there are no impact from water pump, but may have an impact if air ventilation system is used.

Measures as soundproofing of the outer wall of the ventilation system, adequate location and tree planting around the pumping stations should be envisaged in order to noise level to meet the class II standard.


Impact of noise

BSMF - Forecasted night noise level at Bailonggang WWTP slightly exceeds required Class II standard for factory boundaries. There is no noise impact on the Chaoyang village.

Low equipment noise should be used, building should be sound insulated and green belt around plant should be planted.

WTS - The operation of the western sewer trunk may be impacted by accidental risk such as accidental cracks and breakage of pipeline, natural disasters, noxious gas discharge, accidental power cut, and accidental discharge to storage tank.

Inform and train staff of potential risks. Design the western trunk sewer to withstand risks.

Impact from accidental risks

BSMF - Risk of explosion from methane produced from digestion.

Training for staff, installation of an automatic control system and strict risk management procedures.

Impact of sludge short term

BSMF - Transportation to the landfill disposal site Sludge should be promptly moved away from the site and watertight transportation vehicle should be utilized.

Transportation route should minimize impact of noise, dust and traffic.

BSMF - Transportation to the disposal site Sludge should be promptly moved away from the site and airtight transportation vehicle should be utilized.

Transportation route should minimize impact of noise, dust and traffic.

Impact of sludge long term

BSMF - Impact of the sludge on the receiving site Monitoring of the soil should be undertaken and if the soil results do not comply with the relevant standards, the groundwater, the drainage water quality of the receiving site should be monitored.

Monitoring carried out by the EPB?

Impact on waste water and solid waste from operation staff and process

WTS and BSMF - The quantity of solid and water waste produced by the staff or process of the pumping stations or the sludge treatment remain relatively small. The impact is considered low if the waste adequately managed.

The sanitation bureau should collect solid wastes and waste water can be re-circulated in the sewer / waste water treatment plant.




TABLE 3: SUMMARY OF IMPACTS AND MITIGATION MEASURES OF SHUEP APL2 SOLID WASTE COMPONENTS

FIELD POSSIBLE IMPACTS PROPOSED MITIGATION MEASURES COMMENTS 1 - ISSUES ASSOCIATED WITH THE CONSTRUCTION STAGE – Shanghai Solid Waste Project

Chenshan – Land acquisition of the quarry is required Financial compensation for the transfer of land use right Need to confirm the compliance with the planning

Gucun – Resettlement of residents close to the dumpsite is required.

Financial compensation for lack of income due to disruption of farming activities.

See Environmental Impact Assessment.


Compensation fees (greater than loss) should be planned.

Any need for temporary land outside project sites will involve a procedure of approval by ESD prior to land occupation.

Impacts of land use, land acquisition and resettlement

Minhang – No land acquisition is required for dumpsite closure

Residents to the west need relocation. (See Environmental Impact Assessment)

Minhang and Gucun - For the closure of the dumpsites, high risks of detrimental impacts on safety, air, water environment, and noise





Creation of the Environmental and Social Department inside project’s PMO and of the Environmental and Social Unit inside the Construction Supervision Engineer organization

Environmental and Social field Inspectors provide routine monitoring of activity.

Impacts from excavation of solid waste, conveyance, and back fill

Gucun and Minhang – On site storage and mixing of construction materials may produce large quantity of dust.

Transportation may affect environment along the route by overloading and bumping.


Stock piles should be covered or sprayed with water when it is windy.

Dust pocket to be attached at the bottom outlet of the bulk cement tank to avoid dissipation


The construction agency should comply with the Shanghai Management Method for the flying dust pollution prevention.

Gucun and Minhang - Transport of material as earth fill, Washing station for trucks leaving construction sites to Strengthen environmental awareness by training of




FIELD POSSIBLE IMPACTS PROPOSED MITIGATION MEASURES COMMENTS earth spoil, sand and gravel to or from site may affect urban areas crossed by the trucks if appropriate measures not implemented, resulting in serious impacts on road traffic, public safety, air quality and noise.

limit mud transport in city roads, strict obligations regarding size of trucks, of load, necessary load cover, routes and timing will be imposed to concerned contractor.

constructers

Impact from construction workers

Gucun and Minhang - The construction will involve numerous workers which will produce sanitary wastes and domestic wastes which may cause sanitation issues.

The local sanitation bureau should ensure quick collection of the wastes and construction workers should be made aware of good practice for waste handling.

Gucun and Minhang - Noise from heavy machinery Enforcement of existing noise standards related to machinery and working period.

Forbidding the use of certain works during night-time.

No landfill operation during 22:00- 6:00 Silencer to be installed on high noise equipment Isolation wall to be installed on the side towards

inhabitants




Gucun – Leachate is the main source of pollution.

High content of organics will considerably affect the water quality due to the lack of horizontal penetration proof at the bottom.

Long-term track monitoring of surface water bodies and groundwater around the dumpsite to keep informed of the contamination condition and take relevant measures Leachate backfill may concentrate the pollutants and cause serious pollution of groundwater and the surface water system. Therefore, it is recommended to collect the leachate and connected into the sewerage network. Due to high COD concentration of the leachate, pretreatment (biotreatment with oxidized pond plus A/O denitrogenation) is required prior to the connection to the sewerage network

Compliance monitoring to be performed by Co Strict contractor environmental specifications regarding the handling, storage or disposal of hazardous products and of waste produced on the construction sites.


Monitoring of river quality upstream and downstream construction sites.ntractors, with random controls of EPB. Keep leachate (COD >24000mg/L) sewage ratio under 4%, and leachate (COD=3500mg/L) sewage ratio under 40% to avoid sludge expansion

Separate the storm water and wastewater; waterproof clay to be adopted for earth backing




FIELD POSSIBLE IMPACTS PROPOSED MITIGATION MEASURES COMMENTS Minhang - Leachate is the main source of pollution.

High content of organics will considerably affect the water quality and since the dumpsite is close to several water courses, there is a high risk of pollution.

Long-term track monitoring of surface water bodies and groundwater around the dumpsite to keep informed of the contamination condition and take relevant measures Considering the closeness with several watercourses, it is not enough with simply vertical penetration proof and separate drainage system. Therefore, it is recommended to collect the leachate and connect into the sewerage network., or send to WWTP for treatment. Bio-treatment is required before the leachate can enter the municipal sewerage system leading to WWTP, due to high COD concentration of the leachate.

Minhang and Gucun - Uncontrolled drainage water from construction may disperse into farmland and impact the soil fertility.

Crops are impacted as farmland around the dump is polluted by these flying litters

Construction contractor should have a good knowledge of topography and drainage system.

Traveling purse net need to be installed to block off the flying dust and floating litters.

Impact on farming activities

Impacts on public health

Gucun and Minhang - If inappropriately managed, workforce may create relational problems with surrounding residents.


If inappropriately managed, the local residents will suffer from various diseases.






Gucun and Minhang Occupational health and accident issues, resulting in serious wounds or death of workers.

Contractor to prepare a CSEMP for approval. In this plan, contractor will clearly define the safety procedures in case of accident on site, ensure that minimum first aid equipment is available on all sites and ensure availability and enforcement to wear PPE (personal protective equipment).


Impacts on off-site public safety

Increased traffic of trucks on some road sections may increase risk of traffic accident.

Strict clauses imposed to the contractor for the implementation of acceptable standards for the safety of residents surrounding construction sites: fencing,

Monitoring by ESFIs.




FIELD POSSIBLE IMPACTS PROPOSED MITIGATION MEASURES COMMENTS For river transportation, increase risk of traffic accident. information to concerned residents, access to roads and

buildings, procedure if road accident.

Detailed specifications on traffic regulation inside and outside the construction area to be prepared.

Impact on public underground services

Gucun and Minhang - No impact is anticipated on construction sites.

No mitigation required

Impacts on loss of green areas

Gucun and Minhang - No impact is anticipated on construction sites.

No mitigation required As project component, landscaping has been included in Minhang, Gucun closure.


Gucun and Minhang - No impact is anticipated on construction sites. Possible presence of archaeological or historical artifacts under the future excavations.

Specific procedures if underground artifacts are identified during excavation works in coordination with ESU.

(FIELD POSSIBLE IMPACTS PROPOSED MITIGATION MEASURES COMMENTS 2 - ISSUES ASSOCIATED WITH THE OPERATION STAGE – Shanghai Wastewater Project

Gucun and Minhang – Closure of dumpsites will improve the quality of life and surrounding environment by cutting off the connection between the pollution sources and the ambient environment, improving the quality of surface water and air, and facilitating the ecological rehabilitation of the soil

No mitigation measure required. Impact on the quality of life

Minhang and Gucun- Risk of sludge expansion if leachate is to be transported to theW WTP.

Proper ratio should be controlled to avoid impact on the operation of WWTP

Separate drainage system to be adopted

Impact on waste water management

Inhabitant safety Minhang and Gucun – Risk of explosion and fire from the landfill gas will be greatly reduced after the closure.

-Risk of collapsing.

Gucun, Minhang - Low impact on groundwater and surface water due to the lack of horizontal penetration proof at the bottom.

Vertical penetration proof should be constructed as deep as reaching the natural horizontal impervious barrier

Vegetation coverage of the dumpsite.

Random controls of effluent quality should be performed by EPB.

Monitoring of water quality in river at discharge point by EPB.

Impact on water quality




(FIELD POSSIBLE IMPACTS PROPOSED MITIGATION MEASURES COMMENTS Gucun and Minhang – Landfill gas will be produced on dumpsite for about 15 years from the closure, which will have odour and fire/explore hazard.

Odour removal measures should be undertaken.

Comprehensive utilization of landfill gas

Burn off the remaining combustible gas

Planting of vegetation which has odour adsorbing properties at the dumpsite.

To reduce the population of mosquitoes and flies:

No exposure of the waste to the open air;

Removal of leachate promptly;

Using pesticides to kill mosquitoes and flies.


The protective sanitary distance (50m) should be respected.

Environmental friendly pesticides to be applied; or if possible, try alternatives that no pesticides are needed�such as patented flycatcher.

Impact on air quality and odors

Gucun and Minhang – No noise impact is envisaged after the closures.

No landfill operation during 22:00- 6:00 Silencer to be installed on high noise

equipment Isolation wall to be installed on the side

towards inhabitants


Impact of noise

Impact from accidental risks

Gucun and Minhang - Risk of explosion from methane produced from anaerobic degradation.

Training for staff, installation of an automatic control system and strict risk management procedures.

Impact on waste water and solid waste from operation staff

SGucun and Minhang - The quantity of solid and water waste produced by the staff remain relatively small. The impact is considered low if the waste adequately managed.

The sanitation bureau should collect solid wastes and waste water can be re-circulated in the sewer / waste water treatment plant.




3. MITIGATION PROGRAM

Mitigation requirements and measures identified during the Environmental Assessment studies of the projects mainly concern the following issues:

• The need for a solid contractual background to facilitate the enforcement of all environmental obligations relevant to contractor responsibility,

• The need for setting up a strong and efficient organization capable of monitor all environmental and social issues related to construction activities and to enforce mitigation measures,

• The compensation for temporary or permanent land acquisition, with resettlement program if involuntary displacement of persons,

• Specific plans and/or investments for each component.

These various requirements or measures are developed in the following sections. The supporting monitoring activities are presented in Chapter 4.

3.1. STRENGTHENING CONTRACTUAL BACKGROUND FOR ENVIRONMENTAL MANAGEMENT

3.1.1. CONTRACTUAL OBLIGATIONS

Experience suggests that clear task definition and associated payment allocation will attain the best response from contractors. This is the basis for any construction contract which relies on detailed technical specifications and their related bills of quantities. To be effective, the environmental and social obligations of a contractor must be comprehensively specified and individually payable through the contract documents. Both actions work together because the payment system will influence the way specifications are prepared and presented.

In case a project is funded through a loan from an International Funding Agency, such as the World Bank, the Environmental Assessment report with the EMP are generally referenced in the Loan Assurances in a way that all mitigation measures recommended have to be implemented.

Most of the international construction contracts follow standards established by the International Federation of Consulting Engineers (FIDIC). A contract is generally constituted of several documents which receive an order of priority in case uncertainties or inconsistencies are observed between them: 1) the Memorandum of Contract Negotiation, 2) the Technical Specifications, 3) the Supplementary Information and Annexes, and 4) the Contract Conditions. These documents have a hierarchical level of importance, the first two prevailing. To secure an efficient implementation of the environmental and social mitigation measures, these measures must be presented in the first two documents through a clear reference to the EA and EMP, and should be detailed in the Technical Specifications.

Thus, the preparation of detailed environmental and social specifications for the Contractor will be a first mitigation measure proposed prior to the bidding process, with the objective to have eventually a contractual document which establishes clearly the obligations of the contractor, the quantities of work involved and the related cost of measures.




3.1.2. PREPARATION OF TECHNICAL ENVIRONMENTAL SPECIFICATIONS

The concerned subprojects may provide useful models for the several other projects of similar nature to be developed in the Shanghi in the coming years. To achieve this objective, it is proposed to develop detailed environmental and social specifications for the Contractor, which can be in the future easily adapted to the specific context of each considered project. These specifications will be organized into 4 sections:

• Section A : Environmental Protection Management • Section B : Labor Camps and Occupational Health Management • Section C : Safety Management • Section D : Social Management

Each section should address the 2 following aspects: • Sub-Section 1: description of the Contractor's obligations with regards to those aspects

covered by the section. • Sub-Section 2: description of performance indicators that will be monitored for further

payment of the services.

3.1.2.1. DESCRIPTION OF CONTRACTOR OBLIGATIONS

Section A: Environmental Protection Management

Section A will specify the Contractor obligations regarding the preparation of a Construction Site Environmental Management Program (CSEMP) aiming at protecting the work sites and their surroundings against potentially adverse impacts. The Contractor's CSEMP will include the facilities and procedures for the management of labour camps and construction wastes, the soil conservation measures and proposed rehabilitation works once construction is complete, the measures aiming at protecting cultural and ecological assets if any, the preventive measures against water pollution and the environmental monitoring program (air, water).

For each issue, the environmental specifications will provide the contractor with standards or quality objectives to be achieved.

Section B: Labour Camps and Occupational Health Management

The Section B will address the minimum standards to be implemented in the labour camps and facilities regarding issues as accommodation, food supply and canteen, waste management, water supply, treatment of sewage and sanitary conditions on site. The following topics should be addressed:

• Mechanisms to ensure contractors provide their work force and camps with adequate quantities and standards of the following : – Accommodation of workers, – Sanitation and solid waste disposal, – Health checks (recruitment and routine), – Disease pathogen and vector control, – Security and lighting, – Fire extinguishers and fire drills, – Training for specific tasks, particularly safety training, – Catering and canteen services, – Personal Protective Equipment (PPE).

• Actual quantities and standards for the above mentioned items.




Section C: Safety Management

For safety issues, Environmental Specifications will address two distinct aspects, i) On-site Safety, PPE, and Medical issues, and ii) Off site Safety issues.

On-site Safety, PPE, and medical aspects address all the measures the Contractor needs to implement to ensure a safety standard equivalent to international practice, and appropriate medical emergency procedures for the workforce.

Off-site Safety concerns all issues to be dealt with outside construction sites proper. It covers traffic hazards resulting from the transport of equipment to or from the construction sites, and focuses mainly on the western trunk sewer network component which will involve construction activities along about 24.5km in populated and high traffic density areas and the Qingpu Network Extension. Related to off-site issues, the Public safety component deals with the procedures and specific measures the Contractor will implement before and during construction activities to reduce the risk of injuries or severe inconvenience to the local population.

For Off-site issues, the Environmental Specifications will define objectives. The Contractor will detail in his proposal the plan he intends to implement to achieve these objectives. Major aspects to be covered under this headline include:

– First aid and emergency medical facilities and procedures for the construction sites, – Security fencing of construction sites in urban areas, – Road signs and safety markings, – Road accidents procedures and reporting for all vehicles related to the project, – Procedures for hazardous load transport, – Procedures for exceptional load movement, – Off-site damage / injury claim procedures, – Neighbourhood liaison and communication arrangements, – Repair of roads and public equipment damaged by project, – Load shedding and spillage accidents.

Section D: Social Management

Section D will define the framework conditions for the Contractor to manage social issues related to construction activities. Most of these conditions will focus on how to reduce nuisance to residents, mainly anticipated from noise, from the temporary road closing and the cut-off of electricity, gas, water or telephone services when laying the trunk and water networks

The contractors will prepare a Nuisance Control Plan (NCP) which will be discussed with ESD, with other Municipal Agencies concerned and during information and consultation meetings organized with the residents (or their direct representatives) likely to be subjected to nuisance events from construction activities. Issues to be discussed will focus on the procedures to be applied by the contractor prior to close a road or to cut-off water, gas or any other service, and on the general nuisance as access to buildings and shops, noise and air pollution.




3.1.2.2. DESCRIPTION OF MONITORING INDICATORS

For the four specification sections, information should also be provided on the indicators to be monitored during the site inspections.

• For measurable items: Most of contractor’s environmental and social obligations are measurable. For these obligations, indicators to be monitored will be quantities and the Contractor will be paid on the basis of the quantities actually observed on the sites.

• For non-measurable items: Some environmental and social obligations remain difficult to quantify. A typical example is the protection of areas adjacent to construction areas: It is not realistic to specify a penalty for a number of trees cut at a wrong place, or for any cubic meter of material cast aside the road. But for these non-measurable items, it is important to specify the methods anticipated to reduce adverse impacts and also to specify clearly which condition would constitute a non-payment situation.

3.1.2.3. PAYMENT PROCEDURES FOR ENVIRONMENTAL AND SOCIAL OBLIGATIONS

An adapted payment procedure is the most efficient tool to ensure a Contractor fulfils his environmental obligations. The payment procedures should provide the executive agency with the maximum guarantee that money is to be paid only when the work is totally and satisfactorily completed. Also, the payment procedure should act as an incentive for the Contractor, exacerbating its willingness to fulfil its environmental and social obligations with the best results. In such case, the budget considered for the services should be significantly higher than what should be the expenses to implement the measures.

These issues will be discussed between ESD, PMO and the World Bank when preparing the environmental specifications for the contractor, and they will consider the most appropriate and acceptable solution for the remuneration of Contractor’s Environmental and Social Obligations. As an example, the following 3 types of payment procedures should receive full consideration during these discussions:

Environmental Performance Bond

Most Performance Securities are drafted upon the basis that, subject to any limitation in the amount of the security, a claim will be paid on the first simple demand of the project developer. However, this procedure is highly favourable to the project developer in ensuring compliance of Contractor obligations and is more effective than the non-certification of payment.

The non-certification of payment through the Bill of Quantities prevents payment being made to the contractor when the work is not considered as completed. The drawback of this system is that if the contractor decides not to carry out the work, then he will be simply not paid. However, as no expenses were incurred, the contractor does not lose money and is not effectively penalized. This situation is frequently observed for activities occurring close to the end of a contract, for the final rehabilitation of construction sites for example. The budget for these tasks is often underestimated for bidding competition reason. In such situation, the contractor prefers not to fulfil the task and to be not paid rather than carrying a task which will cost probably more than what he will receive. In contrast, a claim under a Performance Bond withdraws money from the company bank account and is a direct loss.

The creation of a separate Environmental Performance Bond could bring an additional assurance that the environmental and social works will be carried out to the same satisfactory standard as the construction works. Conditions of claim under, and the amount of the Environmental Performance Bond should be specified in the contract document. A sum of 1% of the contract price would be reasonable in accordance with the potential cost of non-compliance.




Bonus for Environmental High Performance

As usually met in contract documents of international standards, and in a view of being fair with the contractors, any penalty system for low performance is usually balanced by a bonus system for high quality work, often for earlier completion of the works.

Likewise, in case an Environmental Performance Bond is considered in the Contract, it may be advisable to balance this Environmental Performance Bond by an Environmental Performance Bonus. Conditions of bonus certification would need to be specified with regards to standards required in the Technical Specifications.

Bill of Quantities

The Bill of Quantities (BoQ) is the most common basis for payments to the contractor. It shows agreed details of contractor rates and prices for materials, manpower and equipment. The whole cost of complying with the provisions of the Contract is included in the items provided in the Bill of Quantities. Where no items are specified, the cost is deemed to be distributed among the rates and prices entered for the related Items of Works, which is normally the most commonly observed situation for environmental measures. Two recommendations may be formulated to improve this situation:

• Provide Specific Environmental Bill of Quantities: A key issue for an effective implementation of social and environmental measures is probably to stop considering the costs for health, safety, welfare of workers, nuisance to residents and environmental protection, to be distributed among the rates and prices provided for materials, manpower and equipment. Each of the social and environmental measures should be detailed in an appropriate bill of quantities as an individual item, so that rates and prices for a specific task are clearly defined. With this option, the contractor will have a direct financial incentive in complying with its environmental and social obligations: If he does not comply with those obligations, there is still a possibility for the developer to sub-contract part of the work to another company using the funds rated in the Bills of Quantities and initially devoted to the main contractor.

• Adapt the Rules of Payment: As most of the contractor’s environmental obligations have to be implemented throughout the construction phase, the principle of a lump sump payment must be avoided. For most items, the contractor will have fixed charges corresponding to the installation or initiation of the concerned measure (building of worker rooms, purchase of PPE, installation of monitoring equipment, implementation of safety plans with residents, etc.) plus time-related charges (operation costs) to be paid on a monthly basis (maintenance of environmental equipments or facilities, operation of monitoring stations, active patrolling by safety officer, etc.). It may happen the contractor initiates a measure to be paid for the investment, but later fails to operate or maintain the concerned facility for any type of reason. To minimize this risk, it is recommended that the cost of environmental and social obligations be not indicated in the form of unit price in the BoQ, but as a percentage of the sub-total concerned. This percentage must be stipulated by the Executing Agency in the bidding documents in order to ensure a convenient amount money is budgeted for environmental and social components of the construction works. The bidder will use this percentage in his offer in a Schedule of Prices for Environmental and Social Obligations. In each monthly certificate, the various Bill of Quantities will include the amounts related to the 4 Sections of Environmental and Social Obligations.




3.2. ENVIRONMENTAL MANAGEMENT ORGANIZATION

3.2.1. PROJECT ORGANIZATION

3.2.1.1. GENERAL PROJECT MANAGEMENT

The SHUEP implementation will be managed by the Project Management Office (PMO) under the Shanghai Municipal Government. Under this PMO, five Project Implementation Units (PIUs) will be created within each Project Owner:

• Shanghai South Water Company PIU • Minhang Water Company PIU • SMSC PIU • SCAESAB PIU • DFV PIU

The PMO will be assisted by an independent Construction Supervision Engineer (CSE) during the construction stage of the facilities. It is proposed that there is one unique CSE for the APL2 project, with a CRE residing with the PMO.

It is proposed to strengthen environmental and social management during the implementation of the EMP at both PMO and CSE levels.

3.2.1.2. ENVIRONMENTAL AND SOCIAL MANAGEMENT

To ensure that applicable national, provincial and municipal environmental laws, regulations and standards, as well as WB environmental and social requirements are respected during Project preparation and implementation, an Environmental and Social Division (ESD) will be established within the PMO. The ESD will have the responsibility to coordinate monitoring activities during construction with the contractors and concerned government agencies, in order to ensure the effective implementation of the mitigation measures decided in the EMP.

The ESD will be composed of 2 specialists, one Head of the Department (Environmental Specialist) and one Resettlement Coordinator. These two specialists will be assisted by a full time Secretary. It is assumed that accountancy needs of the ESD will be satisfied on a part time basis by the accountancy staff of the PMO. To carry out their tasks, the personnel of the ESD will have transportation facilities, office facilities and access to computer network. One laptop computer (for field visit, meeting presentation) and two desktop computers will be made available to the staff of the ESD.

The Head of ESD must have a solid background in environmental and social issues related to project construction in the environmental sector, as well as a managerial capacity to supervise the general activities of the ESD, to manage budgets, to establish and maintain coordination with Government Agencies concerned and to report at PMO level. The ESD Resettlement Coordinator will have good experience in resettlement and land acquisition operations, with a good knowledge of related WB safeguards requirements.

At field level, the ESD will rely on the Construction Supervision Engineer, through an Environmental and Social Unit (ESU) including a Construction Supervision Environmental Adviser (CSEA) assisted by three Environmental and Social Field Inspectors (ESFI): one appointed to the Shanghai Water Supply Project component, one appointed to the Wastewater Treatment Project component and one for the Solid Waste Project component.

The proposed general organization for Environmental and Social management of the project is presented in Figure 5.




FIGURE 5: PROPOSED ENVIRONMENTAL AND SOCIAL MANAGEMENT ORGANIZATION FOR THE CONSTRUCTION STAGE OF THE PROJECT

EnvironmentalSupervision

agencies

SEPA

EMPDesign & ConstructionPeriod

Shanghai SouthWater Supply

CompanyPIU

1 ES Coordinator

Contractor(s) forSSWPC

Shanghai Municipal Government

PMO

Construction SupervisionAdvisor

Environmental SupervisionUnit (ESU)

1 Environment Specialist1 Construction Supervision

Environmental Adviser (CSEA)

ShanghaiMunicipal

EPB

Env. Management Division (EMD)

1 Environment Specialist & 1 Social Specilist

Minhang WaterSupply Company

PIU

1 ES Coordinator

SMSCPIU

1 ES Coordinator

CHENGTOU (SOLIDWASTE)

PIU

1 ES Coordinator

Contractor(s) forMWSC

Contractor(s) forSMSC

Contractor(s) forCHENGTOU

SCEAM (DFV) PIUEMD

1 Environment Specialist& 1 Social Specilist

District Level EPB& Monitoring

Centres

Contractor(s) forDFV

CSE

ESFI

MonitoringUnit

CSE

ESFI

MonitoringUnit

MonitoringUnit

MonitoringUnit

MonitoringUnit

CSE

ESFI

CSE

ESFI

CSE

ESFI




3.2.2. ROLES AND RESPONSIBILITIES

3.2.2.1. ENVIRONMENTAL AND SOCIAL FIELD INSPECTORS

The Environmental and Social Field Inspectors (ESFI) will have the principal responsibility for observing contractor construction activities and other project related activities as land acquisition and resettlement, and for ensuring that those activities are accomplished in compliance with the Project's environmental requirements, specifications, goals and objectives. They will ensure coordination at field with representatives of government agencies in charge of land acquisition and resettlement supervision as well as those in charge of control and monitoring activities.

To accomplish this, each ESFI will be responsible for understanding the Project Technical Specifications, the Environmental Specifications and Obligations of the Contractor particularly as they apply to their monitoring assignment. The CSEA will be responsible for the good understanding the ESFI have of the Project documentation. Training sessions for the staff will be organized prior to project construction.




The specific responsibilities of the ESFI will be to:

1. Confirm that all plans, processes, approvals and requirements are in place to ensure EMP compliance prior to initiation of any work.

2. Check the accomplishment of the environmental measures by Contractor crews against contractual obligations by: – Performing monitoring activities as scheduled; – Evaluating contractor efforts and effectiveness; and – Identifying circumstances requiring management decisions to evaluate variance or

compliance issues.

3. Prepare monthly Standard Review Sheet (SRS) related to contractors' efforts and achievement for the purpose of monthly payment certificate for environmental and social activities.

4. Compile documentation of monitoring observations by: – Maintaining daily record of monitoring activity on standard logs indicating locations,

dates and times as well as general observation and compliance details; – Collecting specific data assigned to them; – Documenting observed non-compliance situations on standards forms.

5. Identify circumstances requiring special study or activity, such as: – Pre-programmed site-specific surveys; – A committed activity linked to a specific construction activity; and – Special requirements related to a specific resource observations, i.e. archaeological

control during excavation works; and communicate to CSEA to allow timely and efficient implementation of specific commitments.

6. Interface with CSE field construction personnel to: – Assist in field interpretation of environmental requirements; – Provide advice regarding corrective actions and resolving non-compliance situations

(after consultation with CSEA if necessary); and – Request issuance of specific formal instructions to Contractor, as required.

7. Interface with Contractor’s construction liaison personnel (advisory role only) to: – Help communicate requirements; – Obtain a hands-on view of special problems so that implementation difficulties can be

communicated to CSE to aid in problem resolution; – Request consideration of work stoppage or a redirection of effort in the event that

imminent potential for damage to a sensitive resource or a serious non-compliance situation is observed.

8. Communicate to CSEA and construction personnel by: – Preparation of routine weekly monitoring reports; – Preparation of special non-compliance records for Level I or Level II circumstances (see

further section for definition of non-compliance levels); – Interaction with ESD as needed to define corrective action recommendation for any

identified non-compliance situation.




3.2.2.2. CONSTRUCTION SUPERVISION ENVIRONMENTAL ADVISER (CSEA)

The CSEA will be in charge of supervising environmental and social issues related to construction activities and of coordinating the ESFI activities.

The CSEA will coordinate with agencies in charge of land acquisition and resettlement to ensure these activities are carried out in compliance with the project schedule and that no risk of delaying the construction may result from these activities. He will more particularly carry out the following tasks:

1. Provide training to the ESD staff and the ESFI with support of Technical Assistance.

2. Prepare monitoring specifications for ESFI (Standard Review Sheets and other documentation format) with the support of Technical Assistance.

3. Communicate with ESD and construction personnel by: – Preparation twice a month of routine monitoring reports to be submitted to the ESD

Manager; – Preparation of special non-compliance records for Level II or Level III circumstances

(see section 3.2.3.1); – Verbal communication to Contractor staff to discuss problems and explore solutions as

compliance situations are identified; and – Interaction with ESD as needed to define corrective action recommendation for any

identified non-compliance situation.

4. Visit construction sites on a regular basis and coordinate with ESFI environmental and social monitoring activities.

5. Attend coordination meetings with PMO, CSE, ESD and Contractors.

3.2.2.3. ENVIRONMENTAL AND SOCIAL DEPARTMENT

In general, the ESD is responsible for coordinating environmental and social monitoring efforts of Government Agencies, and for communicating with PMO management and Government Agencies on the status of Contractors' environmental performance. The ESD will be responsible also for reporting through the PMO to Shanghai Municipal Government and World Bank the progress of environmental and social mitigation measures and monitoring efforts at project level.

The specific responsibilities of the ESD will be to:

1. Ensure at the earliest stage of the Project and with the support of Technical Assistance the preparation of contractor environmental specifications, contractor monitoring specifications, work programs and TOR for the recruitment of ESD staff.

2. Provide, via PMO, a quarterly reporting to the Shanghai Municipal Government and to the World Bank concerning monitoring activity, compliance status and corrective actions.

3. Manage aspects of environmental-related training by: – As-needed conducting environmental awareness briefings and supplemental training for

construction executive staff of PMO; – Coordinating specialist activities as necessary to accomplish these efforts.

4. To appoint specialists as foreign consultants or specialists from Institutes or Agencies to assist in the training needs, in methodological or technical aspects as required.

5. To coordinate Project review missions of World Bank environmental and social specialists and to act as principal interface with World Bank environmental officer in charge of the project during supervision missions.




6. Manage special studies and surveys associated with site-specific conditions, special construction requirements or changes. Coordinate specialist activities as needed to accomplish these efforts.

7. Conduct routine monthly meetings with the PMO Manager and the PMO Technical Division Manager to present monthly monitoring summary and discuss compliance issues.

8. Conduct routine semi-monthly meetings with the CSEA to discuss work progress and compliance issues.

9. Provide the PMO Manager and the PMO Technical Division Manager with recommendations concerning the resolution of compliance situations and emerging issues based on the review of technical issues and outside agency issues. Follow up on all major compliance issues and provide advice on all documentation required to closeout compliance issues.

10. Provide senior technical and policy advice to PMO.

11. Conduct field visits of construction sites.

12. Ensure public information through meetings and regular updating of the Internet site for the Project.

3.2.2.4. SUPPORT FROM TECHNICAL AGENCIES

Under the co-ordination of the ESD, Government Agencies will provide support and/or guidance in monitoring activities and in the implementation of mitigation measures.

SEPA through its Shanghai Environmental Protection Bureau (EPB) will provide assistance for random sampling of water drains and effluents inside and around contractor installations. These sampling and analysis will confirm or otherwise the appropriateness of contractors' water quality monitoring. EPB, through its monitoring networks will also monitor ambient quality (water, air, soil, groundwater, etc)

Environmental Protection Bureau will also provide assistance for monitoring air quality and noise during construction and operation of the facilities.

EPB will also provide assistance on groundwater, soil and water monitoring for closure of landfill sites.

EPB will also provide assistance for soil (if necessary groundwater, drainage water and odour) monitoring of receiving site for sludge disposal.

Other Government Agencies or Institutes as the Department in charge of historical and archaeological issues may be requested to provide expertise on an ad-hoc basis.




3.2.3. COMMUNICATIONS AND NON-COMPLIANCE RESOLUTION

3.2.3.1. HIERARCHY OF NON-COMPLIANCE

The management of the environmental and social monitoring effort will involve open communications between the field personnel of the CSE, the ESD, the PMO and senior executive staff of Shanghai Municipal Government. An important element of the communication process will be the organized relay of information concerning situations that do not comply with the project environmental requirements, specifications, goals or objectives. These situations are identified on site by the CSEA and his ESFI staff, and then reported when appropriate at higher level for decision.

To help focus senior management attention on the most important issues, non-compliance observations will be separated into three levels on the basis of importance, and communications requirements for the observations will be commensurate with the severity of the non-compliance situation.

The three levels of importance of non-compliance situation and expected response processes for such situations are as follows:

Level I. Definition: A non-compliance situation not consistent with original requirements but not believed to represent an immediate threat to an identified important resource. Repeated Level I concerns may become Level II concerns if left unattended.

Response: Level I situations will typically be addressed adequately by normal co-ordination and routine communications (e.g. discussion with the Contractor staff in many cases). Corrective action should be agreed to as expeditiously as practical. Formal communications will typically be limited to routine weekly reports from ESFI to CSEA and Site Construction Manager.

Level II Definition: A non-compliance situation that has not yet resulted in clearly identified damage or irreversible impact to a sensitive or important resource, but requires expeditious corrective action and site-specific attention to prevent such effects. Repeated Level II concerns may become Level III if left unattended.

Response: Level II events are to be reported by CSEA to ESD Manager and to the Site Construction Manager the same day as identified. The ESD Manager will inform the PMO Construction Manager within 3 days, as practical, with suggested corrective action. Corrective action should be agreed to and initiated as expeditiously as practical, typically within the week following initial identification of the issue requiring attention.

Level III Definition: A critical non-compliance situation, typically including observed damage to a specifically protected sensitive resource or a reasonable expectation of impending damage. Intentional disregard of specific prohibitions is also classified as Level III concerns.

Response: Level III concerns are to be reported by CSEA to the ESD and the PMO Construction Manager the same day as they are identified. The ESD will notify the PMO Manager within one day whenever practical. Corrective action should be agreed to and initiated within 3 days of original observation unless special circumstances require a longer period.

Although specific decision/response time frame may not be achievable in all instances, the general intent will be to define and initiate action to minimize adverse effects and/or curtail adverse effects as expeditiously as practical. If necessary, the ESD may require the construction manager to halt specific activities in order to protect resources while corrective actions are implemented.




3.2.3.2. COMMUNICATIONS PROCEDURES

As presented above, it is suggested to use a tiered approach to communicate and respond to non-compliance situations observed during the construction phase of the Project. The process expected to be used to implement this approach is illustrated in the following Figure 5 with the general flow of the communications, notification, and incident resolution decision making process being depicted with solid arrows and with the documentation and reporting process depicted with dashed arrows.




FIGURE 6: PROPOSED COMMUNICATION, REPORTING, DOCUMENTATION AND PROBLEM RESOLUTION FLOW CHART

Yes

ESFI notifies Construction Contractor and CSEA; if needed, requests work stoppage. Determines incident severity level (e.g. Level I, II or III).

Non-compliance observation byEnvironmental or Social Field Inspector (ESFI)

As appropriate from incident investigation, ESU team to determine if change in processes is needed to prevent future recurrences.

ESFI makes follow-up observation. Is situation satisfactorily resolved?

Construction Contractor takes (or has taken) corrective action consistent with EMP?

Is/was this a Level III incident?

Documentation in routine bimonthly report by CSEA to ESD Manager and by ESD Manager to PMO Manager

Yes

No

Level I

Routine notification of PIU Construction Representative

and CSEA

Corrective actionresolved by construction staff

and by ESU staff

Level II

Urgent notification of PIU Construction Representative

and CSEA

CSEA notifies ESD within 3 days

Corrective actionresolved by ESD Manager in

Consultation with PMO Technical Division

Level III

Urgent notification of PIU Construction Representative,

ESD Manager, by CSEA. PMO Construction Manager

notified same day byESD Manager

Corrective action resolved under PMO Construction

Manager leadership

No

No

Documentation in routine weekly report to CSEA and PIU Construction Manager

Documentation in special weekly reportto ESD Manager and to

PMO Construction Manager

Yes

ESFI notifies Construction Contractor and CSEA; if needed, requests work stoppage. Determines incident severity level (e.g. Level I, II or III).

Non-compliance observation byEnvironmental or Social Field Inspector (ESFI)

As appropriate from incident investigation, ESU team to determine if change in processes is needed to prevent future recurrences.

ESFI makes follow-up observation. Is situation satisfactorily resolved?

Construction Contractor takes (or has taken) corrective action consistent with EMP?

Is/was this a Level III incident?

Documentation in routine bimonthly report by CSEA to ESD Manager and by ESD Manager to PMO Manager

Yes

No

Level I

Routine notification of PIU Construction Representative

and CSEA

Corrective actionresolved by construction staff

and by ESU staff

Level II

Urgent notification of PIU Construction Representative

and CSEA

CSEA notifies ESD within 3 days

Corrective actionresolved by ESD Manager in

Consultation with PMO Technical Division

Level III

Urgent notification of PIU Construction Representative,

ESD Manager, by CSEA. PMO Construction Manager

notified same day byESD Manager

Corrective action resolved under PMO Construction

Manager leadership

No

No

Documentation in routine weekly report to CSEA and PIU Construction Manager

Documentation in special weekly reportto ESD Manager and to

PMO Construction Manager




With regard to communications, notifications and situation resolution, the Figure shows that the approach places emphasis on resolving less serious situations (Level I) in the field through open communications with construction personnel, whereas progressively higher level personnel will be informed and brought into decision process to resolve more serious non-compliance situations (Levels II and III).

With regard to reporting and documentation, the lower portion of Figure 5 indicates the formal documentation that will be incorporated into the process. Routine documentation of monitoring observations will include the preparation of detailed weekly reports by the ESFI, and a monthly summary report compiled by the ESD to provide ongoing documentation of monitoring activities.

This process also includes three other notable aspects:

• First, the process includes a mechanism whereby work can be stopped in the event of serious non-compliance situation. Such request can be initiated by the ESFI, but it can also be made to the contractor through the Construction Manager by the ESD and by the PMO Executive Manager.

• Second, the process includes a feedback loop. Specifically, the ESFI are required to make follow-up visits to the sites of observed non-compliance incidents to verify that the situation has been appropriately rectified by the contractor.

• Third, the process includes an incident investigation step which can be invoked as appropriate to determine the root causes of significant incidents and to evaluate if changes in requirements, specifications or processes are needed to prevent similar incidents from occurring in the future.

Regarding this last point, it is the role of the CSEA to promote the experience of one ESFI to the other ones.

3.2.3.3. SPECIFIC COMMUNICATION, DOCUMENTATION & COORDINATION RESPONSIBILITIES

As discussed above, communications among ESD and PMO field staff and various senior environmental and construction management personnel will include routine weekly communications, formal bimonthly and monthly reporting and review requirements, and urgent communications when needed to address issues that present an immediate threat to the social or natural environment. A detailed communication guideline, showing originating party, recipient, frequency of communication and description will be elaborated during the training and implementing stage of the ESD.

3.2.3.4. DOCUMENTATION & TRACKING

To effectively manage the environmental performance of the project, the ESD will need a process to document and track non-compliance observations, decisions on situation resolution, corrective actions taken, and the observed results of these corrective actions. A process based on a computer database will allow tracking and analysis of this information. This will likely be capable of generating a variety of reports sorted by key fields which may include non-compliance situation level, non-compliance type, date range, location, etc. Topics of these reports would likely include:

– Comprehensive listings of all non-compliance situations observed; – Summaries of non-compliance situations; – Status of non-compliance situation resolution based on last monitoring observation.




The ESD will be responsible for maintaining the non-compliance database. The database will be accessible to every environmental and construction staff in ESD and PMO and it is expected that these groups will use it for various purposes including report generation, trend analysis or reference when facing non-compliance situations similar to previously experienced ones.

3.3. REQUIRED STRENGTHENING OF CAPABILITIES AND MEANS

Environmental and social capacity building of ESD personnel will be carried out as part of the technical assistance component of project. The training will be closely associated with the intervention of the Technical Assistance Environmental Specialist forming part of the Construction Management Engineering team, who will basically prepare the work program of the ESD and ESU staff.

As a preliminary overview of the needs for the ESD staff, the following components may be considered in their training program:

• Review of World Bank safeguards.

• Detailed review of environmental and social specifications for the contractors. After preparation of the specifications by the TA consultant, a detailed review of each specification will be made leading to the understanding of monitoring needs.

• Training on the monitoring process of construction sites: Organization, communication, roles and responsibilities, decision process, reporting, standardization of observations.

• A specific training for the ESFI will be required focusing on monitoring observations and frequencies, the reporting of observations on standard forms, the communication procedures at construction site level. This training will be carried out by the CSEA under the responsibility of the CSE.

• Small scale workshops organized on specific topics, inviting specialists from other Government Institutes and Agencies to train the staff. Subjects may cover water sampling and analysis, air quality sampling and analysis, evaluation of assets in land acquisition process, environmental standards in PRC.




3.4. COMPENSATION FOR LAND ACQUISITION AND RESETTLEMENT

Mitigation measures for social impacts are developed in the RAP report. For more details concerning land acquisition and resettlement, refer to the separate report. The mitigation measures include for:

• inventory of the existing assets and activities for the affected people,

• resettlement of affected people,

• analysis of regulations for compensation and resettlement applicable in Shanghai Municipality

• job reallocation,

• compensation for demolished buildings and land lease,

• building of new structures for affected enterprises.

All these tasks fall outside of the responsibility of the ESD. The main role of the ESD Social Coordinator assisted on the field by the ESFIs, will be to ensure land is made vacant in accordance with the progress of the construction works, in order to avoid costly delays.

3.5. DECOMMISSIONING: RECLAMATION OF TEMPORARY USED SITES

For a temporary period the Contractor may require some area outside the construction site acquired for the facility, for the purpose of storage of equipment, disposal of spoil or worker camp. For the Minhang Water Works, Changqiao Water Works, Waste Removal and closure of Salintan dumpsite, it is anticipated that all activities will occur within the premises of the acquired land. Closure of Gucun and Minhang dump sites will not require land acquisition or use of temporary sites. However, for the western trunk sewer and the Qingpu extension, the construction activities will involve frequent moving of storage facilities and worker camps.

For any area, not definitively acquired but used temporarily by the contractor, full rehabilitation of site before leaving will be required in order to return the area or its use at least to the same standard or quality as it was before occupation. It will be the responsibility of the ESD assisted by the ESU to approve the site location and size proposed by the contractor, to establish its current condition and usage and to ensure site is returned to its previous public or private use in appropriate condition.

Particularly for the Western Trunk sewer network, farming land occupied during construction of the project should be re-instate to their initial standard to guarantee equivalent crop production and all trees cut down during this project should be replaced in according with the requirements of the Shanghai Municipal Garden Bureau.

All these aspects will be clearly mentioned and detailed in the Contractor Specifications.




3.6. DETAIL OF ACTIVITIES

The following table presents activities required for strengthening contractual background and setting-up the organization of the task force in charge of environmental supervision. The table presents a tentative list of key activities, and attributes the responsibilities for the execution, the supervision and the funding of each activity.

TABLE 4: DETAIL FOR ORGANIZATION ACTIVITIES

RESPONSIBILITY SCHEDULE ACTIVITIES

EXECUTION SUPERVISION FUNDING COMMENTS

PRE-CONSTRUCTION PERIOD

Year -1 Creation of the ESD with appointment of its 3 staff (two specialists & 1 secretary)

PMO PMO PMO Appointment of personnel with office and transport facilities, equipment, operating budget

Year -1 Construction Supervision Eng. (CSE) to appoint CSEA

CSE PMO CSE Approval of CV by ESD

Year -1 CSEA to select and appoint 4 ESFIs

CSEA CSE CSE

Year -1 CSEA to carry out training of ESFIs

CSEA CSE CSE

Year -1 Prepare and implement a training program for ESD

CSEA PMO CSE Part of the global training component for the project

Year -1 Prepare standard specifications for Contractor Environmental and Social Obligations

CSEA & ESD

PMO/WB CSE Specifications to be included in the bidding documents

Year -1 Finalize the mode of payment for environmental services provided by the contractors

PIU, PMO, CSE

SMG PMO Decide on payment procedures, and level of incentive (Bonus)

Year -1 Prepare Work Program for ESD and ESU

CSEA & ESD

PMO CSE Includes distribution of roles and responsibilities among ESD and ESU staffs,

Year -1 Prepare working documentation: Standard Site Inspection Review Sheet (SRS) and format for various activity reports

CSEA & ESD

PMO CSE Initial format documentation to be eventually adjusted and improved during use on sites

Year -1 Prepare QA/QC for ESD/ESU and detailed procedures for supervision and reporting of non-compliances detected

CSEA PMO CSE

Year –1 to year +1

Prepare an Internet site for Project Environmental Management during construction

CSEA & ESD

PMO and SEPA

CSE Includes also preparation of information posters to invite residents to contact the site for information on the project.

Year -1 Contribute to tender evaluation for the environmental and social aspects & contract negotiation

ESD assisted by CSEA

PMO/WB CSE/PMO

Year -1 Organize land compensation and Resettlement

ESD social coordinator assisted by ESFIs

Shanghai Resettlement Bureau

ESD to ensure procedures are applied and land is freed in accordance with work plan




(TABLE 3 CONTINUED)



CONSTRUCTION PERIOD

Year 1 (months 0-3)

ESU staff to discuss with ESD for adjustment/improvement of documentation and procedures

ESD/ESU PMO - Required adjustment of procedures for improved efficiency

Year 1 (months 0-3)

Each Civil Work Contractor to appoint one Environmental responsible for dealing with ESU and ESD

Contractor PMO Contractor CVs to be approved by PMO

Year 1 Each Civil Work Contractor to organize environmental awareness meetings and measures for labour force

Contractor ESD/ESU Contractor Meetings to introduce environ. Management & issues on sites by ESD staff and CSEA.

Year 1 Prepare Public Communication Campaign and supporting material

ESD assisted CSEA

PMO PMO Establish communication rules & procedures, radio / TV spots Preparation of posters and stickers for on-site and off-site safety rules

Formalize co-ordination with other Provincial or Municipal Agencies and Institutions

ESD PMO PMO Co-ordination for all EMP activities

OPERATION PERIOD

Bailongang & Zhuyuan Sludge Treatment Plants

SMSC and its operating companies

SWA/EPB SMSC SWA is in charge of discharge in the combined sewer system and EPB is responsible for discharge from industries

Western Trunk Sewer Management - WST

SMSC and ist operating companies

SWA/EPB SMSC Control of pumping stations and main collection sewer

Shanghai South Water Company Components

SSWC SWA/EPB SSWC

Minhang Water Company Components

MWSC SWA/EPB MWSC

Solid Waste Components Chengtou SCAESAB/EPB

Chengtou

Define procedures for reporting environmental issues during operation

Operators of BSMF and WTW

EPB Operators




4. MONITORING PROGRAM

In order to ensure the strict and efficient implementation of the mitigations measures proposed, including the respect of environmental obligations during the construction stage, a program of monitoring activities will be required, which includes mainly five types of monitoring:

• The general environmental and social monitoring of construction sites and activities,

• The specific monitoring of surface water quality and water pollution control,

• The specific monitoring of ground water quality and soil quality ,

• The specific monitoring of air quality and air pollution control, and of noise.

• The specific monitoring of sludge quality.

• The specific monitoring of the receiving site for land application of sludge.

Monitoring of land acquisition and resettlement is considered in RAP reports and will not be detailed in the present EMP document.

4.1. MONITORING OF CONSTRUCTION ACTIVITIES

4.1.1. OBJECTIVE OF MONITORING CONSTRUCTION ACTIVITIES

Past experience has shown that many construction contractors do not fully understand their obligations with respect to environmental protection measures. Too often, they do not make adequate provisions in their bidding for the work to be done and they do not rely on sufficient funds to fully implement the mitigation measures. This is particularly observed for the works which come at the end of a project construction and which frequently concern the rehabilitation of construction or disposal sites.

Once the construction contract includes provisions to ensure i) the Contractor clearly understands environmental mitigation measures and its environmental and social obligations, ii) the mitigation measures are specified in sufficient details that the contractor can make reasonable estimates of actual costs in its tender documentation, iii) the project management has the legal and financial power to enforce the application of mitigation measures through the Contractor, then it is of utmost importance that the Project management monitors and evaluate in real-time the Contractor's performance in this regard.

The environmental monitoring of construction activities is at the centre of the effective implementation of the EMP: The objective is to carry out a regular and comprehensive review of the actual implementation status of the environmental obligations of the Contractor. This monitoring aims at ensuring compliance of Contractor activities with its contractual commitments as well as with the environmental regulations and standards prevailing in PRC.

4.1.2. CONTENT AND IMPLEMENTATION OF THE MONITORING

Monitoring is carried out throughout the project construction stage by the CSEA, assisted in his task by two Environmental and Social Field Inspectors (ESFI). ESFIs monitor field activities on a daily basis while CSEA will make a monthly routine visit to each construction site, keeping aside exceptional visits resulting from the observation of non-compliance.




In accordance with the Environmental Specifications of the Contractor, the ESU will monitor all aspects relevant to the 4 sections of the specifications: Environmental Protection Measures Section, Labor camps and Occupational Health Management Section, Safety Management Section and Social Management Section.

For each section, a Standard Site Review Sheet (SRS) will be prepared at the early in the project, by the ESD. The SRS system should allow on a monthly basis i) a rapid review of the progress of all environmental components in the various construction sites, ii) an easy way for ranking the level of satisfaction for each group of components, and iii) a formal means of checking if requirements expressed to the Contractor the previous month have been given due satisfactory attention. Based on this review by the ESU, the ESD will give or not its approval for payments of the concerned components for the given period. For information, an example of a SRS is provided in Appendix B.

4.1.3. DETAIL OF ACTIVITIES

The following Table 4 details key activities deemed necessary for the efficient monitoring of the construction sites and activities.

TABLE 5: DETAIL FOR MONITORING OF CONSTRUCTION ACTIVITIES



CONSTRUCTION PERIOD

Year 1 (months 1-2)

Prepare Construction Site Environmental Management Program (CSEMP)

Contractor ESU and ESD

Contractor Plan submitted not later than 1 month after contract notification Final plan before end month 2 Review by CSEA, final approval by ESD

Construct. period

Review for approval, boundaries proposed by Contractor for each site

CSEA CSE - Contractor required to submit map prior to implementation

Year 1 (months 1-3)

Prepare a Nuisance Control Plan (NCP) for air pollution, noise

Contractor ESU and ESD

Contractor Review by CSEA, final approval by ESD after consultation with other concerned Agencies and groups of residents

Construct. period

Air/Noise and Water monitoring (refer to specific section 4.2 and 4.3 of EMP report)

Construct. period

Ensure activities of Contractor comply with specifications and provisions of NCP and CSEMP. Review every weeks status of camps and facilities, of prior requests made to contractor, of implementation of mitigation measures

ESFIs CSEA - Daily to weekly site visits by ESFIs Monthly visit of all sites by CSEA

Construct. period

Fill Standard Review Sheet for monthly evaluation of Contractor Environmental compliance

ESFIs and CSEA

CSE - Advisory role of CSE, for eventual decision of ESD/PMO on payment issue.

Construct. period

Report non-compliance observed in accordance with procedures and level of seriousness (3 levels)

ESFIs CSEA / ESD / PMO

- Level I: CSEA Level II: CSEA and ESD Level III: CSEA, ESD and PMO

Construct. period

Decision to retain or not Contractor payment concerned

ESD PMO -




(TABLE 4 CONTINUED)



Construct. period

Ensure expropriation and land acquisition progress satisfies construction schedule

ESD resttl. coordinator

PMO and resettlement bureau

Role of ESFIs limited to follow effective land availability. ESD/PMO to coordinate with Shanghai Resettlement Bureau

Construct. period

Inform farmers of change in irrigation system an implement necessary alternative irrigation systems

Contractors

Construct. period

Provide information on road / fluvial traffic issues resulting from pipelines construction program

Contractor

ESU & ESD

Contractor Contractor to submit updated construction program to ESU & ESD for review with Traffic Dept Final approval by ESD

Construct. period

Up dating of Internet site with latest info on traffic disruptions

ESD ESD PMO ESD updates information on the Internet site

Construct. period

Implementation of necessary road signs to secure traffic near construction sites

Contractor ESU & Traffic Dept

Contractor

Construct. Period

Implementation of necessary sign post on river to secure traffic when construction crosses rivers

Contractor ESD Contractor

Construct. Period

Construction of temporary bridges and roads to mitigate traffic impact

Contractor ESD Contractor

Construct. period

Information on temporary cut-off of services (water, gas). Stick posters in area of concern at least 3 days in advance

Contractor ESD and concerned Agencies

Contractor Contractor to submit updated plan to ESD for review with Agencies

Construct. period

Up dating of Internet site with latest info on cut-off of services

ESD ESD PMO

Construct. period

Weekly and monthly reporting ESFI To CSEA - Weekly routine reporting of site visits; monthly filling of SRS

Construct. period

Bi-monthly and monthly reporting CSEA To CSE & ESD

- Routine information and non-compliance detected

Construct. period

Monthly & Quarterly reporting ESD To PMO - Reporting to stick to project organization requirement

Construct. period

6 Monthly reporting PMO To SMG and WB

- Reporting to stick to project organization requirement

Construct. period

Monthly Environmental and Social Review of Project components

ESD Meetings at component level with PMO Chief Eng., ESD, ESU, Contractor; other agencies invited as appropriate

End of Construct. period

Rehabilitation of temporary used areas, evacuation of all construction material and equipment

Contractor ESU Contractor

End of Construct. Period

Re-instatement of the original quality of the temporary used farming areas, add fertilizers and

Contractor ESU Contractor






import soil

End of Construct. period

Replanting of road trees cut for sewer construction necessity

Contractor Shanghai Gardens Bureau

Contractor Minimum requirement tree will be planted on both side of the pipe route. Specifications to be provided by Shanghai Gardens Bureau

OPERATION PERIOD

Follow up of temporary sites rehabilitation (example: crop production) the first year after completion of construction

ESD PMO - Reporting of non-compliance to PMO for suspension of payment

Replicate experience gained from the project to other similar projects in the Shanghai region

ESD, EPB

Formalize procedures and organization; participate to inter agency workshops for results and benefits presentation

4.2. WATER QUALITY MONITORING (WQM)

4.2.1. OBJECTIVES OF MONITORING

Objectives of water quality monitoring are:

• To ensure a strict control of pollution from construction activities and to check the efficiency of water quality protection measures set up by the civil work contractor;

• To ensure that construction activities do not alter significantly the river or reservoir water quality;

• To ensure that operation do not alter significantly the rivers or sea quality.

To satisfy these objectives, two distinct monitoring activities will be organized, one focusing on potential sources and on the release of pollutants, the other on the condition of the receiving water bodies.

The first monitoring system is called a Compliance Monitoring, which will compare discharges from the sites activities with existing standards in PRC. Implicit in this system is the assumption that if a characteristic being monitored is within acceptable limits, then the effects will also be within acceptable limits.

The second monitoring type is called an Effect Monitoring, as it tries to link specific human activities to any changes in the environmental characteristics of the receiving water bodies. This monitoring is the most widely used in EA, but unfortunately, frequently with very limited results, due to elevated existing background contaminants of the water bodies (poor quality of the water course). During construction period, the monitoring of water quality will be performed in order to provide information on the impacts of the construction activities and in order to initiate a water quality monitoring on the long term to demonstrate the beneficial impacts of the project on the river and canals water quality.

A summary of some of the major standards applied in the PRC to different discharges and ambient measurements is provided in Appendix B.




4.2.2. WASTE WATER SPECIFIC MONITORING

During construction, compliance monitoring of the water discharging from the settling tanks should be undertaken. If a risk of eutrophication of surface water is suspected due to long-term closure of water course by a weir during construction, the quality of the river should be monitored.

During the operation period of the Waste Water component, the new western trunk may affect the functioning of the Shidongkou WWTP and therefore the impact the quality of the WWTP water discharge. Therefore monitoring of the Shidongkou outfall and of Yangzte River downstream from the Shidongkou outfall should be carried out. This was originally proposed in the EA for the Shindongkou WWTP; however, it is understood that this monitoring point has not been implemented.

Compliance waste water analyses have to be undertaken along pipeline connected to the Western Trunk Sewer and at the pumping stations in order to monitor and control the quality of the sewage. The compliance of the monitoring for the waste water will be carried out by Shanghai Municipal Waste Water Monitoring (SMWWM), under SMSC.

TABLE 6: WASTE WATER MONITORING – WESTERN TRUNK

Parameters Location Frequency (per year)

Domestic pipe > 100m3/d ≥3

Domestic Pipe 50-100m3/d ≥2

Domestic Pipe 10-50m3/d ≥1

pH, SS, BOD, COD, total organic carbon, NH3, Total N, Total P, phenol, hydrocarbons, heavy metals

Pumping station – inlet or outlet 4 times

The quality of the surface and groundwater water at Bailonggang should be monitored as part of the monitoring program of the sludge disposal lagoon.

4.2.3. WATER SUPPLY SPECIFIC MONITORING

To be completed

4.2.4. SOLID WASTE SPECIFIC MONITORING

Water monitoring is proposed for three different media

• Ambient surface water (carried out at three points, three times per year)

• Ambient ground water (carried out at three points, one to serve as a reference point, four times per year)

• Leachate collection tank (4 times per year)




4.2.5. ORGANIZATION

The organization proposed for the Project relies on the present role of the EPB in monitoring water quality and pollution in the area, and on the level of responsibility of the Contractor regarding pollution control from construction facilities.

Water quality monitoring during construction and operation periods will be under the responsibility of EPB, because of their prominent role in the long term monitoring of the area, their experience in pollution discharge monitoring, their existing network of sampling stations, and the fact that their laboratories are certified, which means results of analysis may be legally used if a case must go to court. The selection of precise sites upstream and downstream construction sites will provide the basis for a routine monitoring of the related reaches of river.

Also, EPB will carry out on a random basis, or at the request of the ESD, control sampling of the pollution loads from construction sites, Sludge Treatment Plant, WTW and WWTP, to ensure the results provided by the Contractors are true and correct. During construction period, a minimum control sampling twice a month will be considered as a starting point and adjusted later depending on site requirements.

The Contractors will be requested to follow up the pollution load from its installations on a monthly basis during construction period and on weekly basis during operation, in imposed sampling sites and in accordance with sampling procedures determined by EPB and imposed by the ESD. Samples will have to be delivered to a certified laboratory for analysis.

4.2.6. LOCATION OF SAMPLING SITES

For the construction sites monitoring (compliance monitoring), sampling sites will be distributed in critical points where the control of effluents from construction activities can be easily implemented. This concerns, for example, any drainage outlet from construction sites, from concrete batching plants, from labour camps, from disposal areas for earth-fill or construction waste, from machinery repair yards or from petroleum products storage areas.

During operation, for the effluents monitoring (compliance monitoring), sampling sites will be distributed where the control of effluents from Sludge Treatment Facility, WTW and WWTP can be easily implemented.

NB: For the long term monitoring of water quality in rivers and canal networks, sampling stations need to be located at least upstream and downstream of the anticipated influence zone of the Treatments Works. The exact location for these stations will be defined by EPB.

4.2.7. SAMPLING AND ANALYSIS

4.2.7.1. PARAMETERS TO BE MEASURED

Two types of indicators will be considered:

• Those related to the follow up of potential pollution sources, and

• Those related to larger characterization of the receiving water bodies in relation to its quality objectives.




During construction period, the most frequently observed pollution types from construction works are mainly suspended solids due to earthworks, acidification due to concrete related activities, and hydrocarbons from engine leakage and maintenance. Potential pollution from labour camps is mainly of bacteriological nature and related to sanitation issues. The parameters to be followed must be the best indicators of activities anticipated in the sites, which may clearly establish the presence, or not, of a nuisance directly induced by the activities.

The other types of parameters concern those providing more general information on the condition of the receiving water bodies. Sampling stations have to be located at a greater distance from the potential sources, to ensure that they reflect the wider influence of the construction activities on the receiving water bodies. In this case, sampling is performed simultaneously upstream the activity area and downstream. However, due to the existing pollution observed, the monitoring proposed during construction has only limited opportunity to reveal the direct influence of any potential sources on the water bodies quality.

During operation period, the parameters to be followed must be the best indicators of activities performed in the sites (WTW and WWTP and Sludge Treatment Facility), which may clearly establish the presence or not of a nuisance directly induced by the activities.

Therefore, the recommended parameters to be monitored are:

• Group 1: Indicators of pollution – At any discharge point from the construction sites: Temperature, pH, Electrical

Conductivity, Dissolved Oxygen (DO). – At the treated effluent discharge point from the labour camps: fecal coliforms, Ammonia,

Biological Oxygen Demand in 5 days (BOD5). – At the outlet of concrete production effluent (if any): Total Suspended Solids (TSS) and

pH. – At the outlet/drains draining construction activities and mechanical maintenance areas:

pH, Turbidity or (TSS), Hydrocarbons (PAH), oils. – At the treated effluent discharge point from WTW: parameters designated in “Integrated

wastewater discharge standard, GB8978-1996 (COD, BOD5, oils, SS, ammonia nitrogen, pH, etc.).

– At the treated effluent discharge points from WWTP: parameters designated in “Discharge standard of pollutants from municipal wastewater treatment plant, GB18918-2002 (COD, BOD5, oils, SS, total nitrogen, ammonia nitrogen, pH, bacteria, etc.).

• Group 2: Indicators of water body quality – Monitoring will follow parameters conventionally designated for Municipal or National

Monitoring stations of the EPB network. – Temperature, pH, electrical conductivity, TSS, TDS, Chemical Oxygen Demand (COD),

Biological Oxygen Demand (in 5 days (BOD5), Ammonia, Total Nitrogen, Total Phosphorus, Metals.

4.2.7.2. TYPE OF SAMPLING AND FREQUENCY OF COLLECTION

During construction period:




• Sampling for Group 1 indicators should be performed on a weekly basis5. The Contractors will be requested to carry out the sampling and the analysis, the EPB being in charge of random control sampling.

• Sampling for Group 2 indicators should be performed on a monthly basis by EPB, random control sampling should be also performed.

During operation period:

• Sampling for Group 1 indicators should be performed on a daily basis. The Contractors will be requested to carry out the sampling and the analysis, the EPB being in charge of random control sampling.

Samples should be kept in the dark and maintained as cool as possible within a chilled insulated container and returned to the laboratory promptly after collection. Samples should be analyzed as soon as possible and preferably within 8 hours of collection. It is recommended that samples are not stored longer than 24 hours at 5°C. These instructions will be provided to the Contractor and, during the monitoring activities, the ESU staff will check the acceptability of the sampling procedures of the Contractor.

Temperature, turbidity, TSS, pH and Dissolved Oxygen could be measured directly on site in using a multi-parameter probe, with regular laboratory calibration.

BOD5 , Hydrocarbons (PAH) and bacteriology will be measured in a Water Quality Laboratory.

4.2.7.3. DATA BASE

All results (site and laboratory) will be recorded in a logbook and in a computer data base similar to or fully compatible with the existing EPB data base system.

4.2.8. REPORTING

During construction period, weekly results from compliance monitoring compiled by the Contractor are reported to the ESU. These will be copied to ESD, and ESD will provide monitoring results on a weekly basis to EPB.

Reports on WQM results and interpretative analysis will be provided every month by EPB to ESD. Monthly reports will also include results from random control analysis carried out by EPB in some facilities of the construction sites.

Monthly reports of WQM and other monitoring results are provided by ESD to the PMO Director.

Quarterly reports and annual summary of WQM activities and results will be prepared and submitted by ESD to PMO and eventually to Shanghai Municipal Government and the World Bank.


The following Table 7 details key activities needed for the water quality monitoring of the construction works and of the operation activities.

TABLE 7: DETAIL FOR WATER QUALITY MONITORING



5 Weekly basis during the first few months of construction, then twice a month if results appear satisfactory.







Year -1 Prepare Contractor specifications for water quality compliance monitoring, to be included in the bidding documentation

ESD assisted by TA.

PMO with advice from EPB

PMO Defines number of sites, location, parameters to analyze, frequency of sampling, procedures for sampling, identification of certified laboratory designated for analysis, reporting procedures of results.

Year -1 Identify exact location for stations on the river to be used for construction stage and long term monitoring of the WWTP discharges

EPB in coord. with ESD

SEPA -

CONSTRUCTION PERIOD

Construct. Period

Sampling in selected sites on a weekly basis, deliver samples to laboratory and provide weekly report on results

Contractor ESD Contractor Weekly report submitted to ESD

Construct. Period

Carry out monthly random sampling to control accuracy of contractor's monitoring

EPB ESD PMO Results to be reported to ESD for further action if required

Construct. Period

Prepare formal notice to Contractor if results do not comply with standards

ESD PMO - Follow up for effective implementation of corrective action by Contractor, if required

Construct. Period

Carry out real time monitoring of receiving water body in stations located U/S and D/S of each construction sites

EPB GPG Operational budget of EPB

Results to be reported to ESD for further action if required

Construct. period

Monthly report of water quality results

ESD PMO - Report with conclusions to be submitted to PMO with copy to EPB

Construct. period

Quarterly report and Annual Summary on water quality monitoring

ESD PMO - Report with conclusions to be submitted to PMO, NMG and WB

Year 1 (months 1-3)

Monthly results of water quality monitoring made available on the Internet site of the Project

ESD PMO -

OPERATION PERIOD

Routine monitoring of influent, treated effluent (daily & weekly) and sludge

SMSC SWA/EPB SMSC Routine compliance monitoring, with random control by EPB

Routine monitoring of effluent, raw water quality and treated water quality and sludge

SSWC SWA/EPB SSWC Routine compliance monitoring, with random control by EPB

Routine monitoring of effluent, raw water quality and treated water quality and sludge

MWSC SWA/EPB MWSC Routine compliance monitoring, with random control by EPB

Routine monitoring of gas leachates from landfill closures;

SCAESAB/CHENGTO

SCAESAB/EPB

SCAESAB/CHENGTO

Routine compliance monitoring, with random control by EPB






monitoring of leachates from disposal site

U U

Routine monitoring of water bodies quality, control of sludge quality, air quality, …

EPB SMG Operational budget of EPB

4.3. AIR AND NOISE MONITORING

4.3.1. PURPOSE OF MONITORING

Monitoring of air quality and noise will be maintained throughout construction and operation stages of the project. Purpose of monitoring is to ensure that air pollution, dust and noise standards are respected on the construction sites and that these nuisances are kept at the minimum acceptable level for the surrounding residents.

In order to reduce the impacts of construction noise on adjacent residents and in accordance with local regulations for stationary noise source control and management, construction sites located within 200 m of residences should not be allowed to operate during the period from 11 PM to 6 AM next morning. In addition, it is required that equipment with low noise outputs is used. If it comes necessary, for construction purposes, to work occasionally at night, causing a noise nuisance to local residents, it is required i) to use noise-reduction measures ii) to limit as much as possible the duration of the nuisance and iii) to provide information on location, date and expected duration of the nuisance, in advance to the concerned population using posters and fresh information on the Internet site. Work during night period should not be authorized in areas located less than 200 m from hospital or clinics.

4.3.2. AIR QUALITY MONITORING

During construction, monitoring sites will be established around the construction sites and nearby sensitive spots located around, particularly in the most sensitive ones selected during EA studies.

Monitoring will concentrate on key emissions related to construction activities: Dust from earthworks (measured as Total Suspended Particulates-TSP) and fumes from machinery (measured as NOx and CO). Permanent stations for TSP will be installed around major sites and particularly near sensitive areas (residential areas). Monitoring will be operated by ESFI on a random basis, without informing the contractors.

During the operation phase, the gases should be monitored in order to control the operation of the Bailonggang Sludge Management facility and to ensure that odour from pumping stations are kept to a minimum and are not a nuisance for the surrounding residents. The monitoring of gas during operation is described below.

TABLE 8 GAS MONITORING WATER COMPONENTS– OPERATION

Monitoring parameters Site Monitoring Location Frequency No of samples

Cl, NH3, odour Changqioa WTP South gate of WWTP Continuous -




Minhang WTP Odour removal tower Continuous -

Sanlin Tan Air vent or boundary of pumping station Continuous -

TABLE 9: GAS MONITORING WASTEWATER COMPONENT– OPERATION


Bailonggang South gate of WWTP Yearly 1

Bailonggang Odour removal tower Yearly 1

H2S, NH3, odour

Western Trunk Air vent or boundary of pumping station Yearly 3

SO2, NO2 Bailonggang Methane boiler Yearly 1

Total 6

TABLE 10 GAS MONITORING SOLID WASTE COMPONENTS– OPERATION


Gucun South gate of WWTP Continuous -

Minhang Odour removal tower Continuous -

CH4, H2S, CO2, NH3, odour

Sanlin Tan Air vent or boundary of pumping station Continuous -

4.3.3. NOISE MONITORING

During construction period, noise will be monitored by EPB, on a base frequency of once per month. Noise levels will be monitored over 24 hours duration inside the construction sites and around, following national standard GB16297 for measurement methods.

Monitoring will be operated on a random basis, without informing the contractors. Special attention will be provided to noise levels during night-time and to noise levels around the Western Trunk Sewer and the water supply component working sites, most being located in dense residential areas.

During the operation phase, the noisiest sources should be monitored by EPB and noise measurements should be carried out twice a day (during the day and during the night).

The monitoring locations for the water, waste water, and solid waste components are as follows:

TABLE 11: NOISE MONITORING – OPERATION PHASE – WATER COMPONENT

Site Monitoring Locations Frequency No. of samples

Bailonggang 1m from the WWTP, south west and north west 4 times per year 8

Western trunk 1m from the pumping station – most sensitive side yearly 3

Total 11 Noise levels will be taken during day and night

TABLE 12: NOISE MONITORING – OPERATION PHASE – WASTE WATER COMPONENT








TABLE 13: NOISE MONITORING – OPERATION PHASE – SOLID WASTE COMPONENT





4.3.4. ORGANIZATION AND REPORTING

EPB will carry out during the construction period, monthly monitoring of air quality at sites determined jointly by EPB and ESD at the start of the works. EPB may also carry out additional monitoring of air quality upon written request by ESD or following repeated claims from residents in a specific area.

EPB will carry out during the construction period, random monitoring of noise produced by equipment and machines used on the construction sites. Control will also be performed at the request of the ESD Manager, following either primary request from the CSEA/ESFI of ESU or direct claims from residents.

Results from measurements and analysis are compiled by EPB in a monthly report submitted to ESD. Exceptional monitoring activities carried out upon special request, will be reported within three days to ESD for immediate action if justified.

Results from monthly air and noise monitoring will be forwarded by ESD to PMO Director in the ESD Monthly Activity Report. Quarterly reports and annual summary of air and noise related activities and results will be prepared and submitted by ESD to PMO and eventually to Shanghai Municipal Government and the World Bank.

During the operation stage of the facilities, routine monitoring will be carried out by the operator of each facility. Results will be controlled by EPB through random sampling and measurement.


Details of key activities needed for the air and noise monitoring of the construction works and of the operation activities are listed in Table 14.

TABLE 14: DETAIL FOR AIR AND NOISE MONITORING




Year -1 Prepare Contractor specifications for air emissions and noise compliance

ESD assisted by TA.


PMO Integrate key parameters from standards into bidding documentation

Year -1 Define site locations for TSP monitoring measurement in and around construction sites

EPB in coord. with ESD

SEPA -

CONSTRUCTION PERIOD

Construct. period

Dust (TSP) monitoring in selected sites on a weekly basis,

Contractor ESD / ESU with EPB

Contractor Weekly report submitted to ESD






and provide weekly report on results

Construct. period

Carry out random measurement to control accuracy of contractor's monitoring

EPB ESD PMO Results to be reported to ESD for further action if required

Construct. period

Prepare formal notice to Contractor if results do not comply with standards

ESD PMO - Follow up for effective implementation of corrective action by Contractor, if required

Construct. period

Open telephone line to collect claims of residents regarding noise, dust or fumes

EPB NMG Operational budget of EPB

Request control measurement by EPB if several claims from same site

Construct. period

Monthly report of noise and air pollution monitoring results

ESD PMO - Report with conclusions to be submitted to PMO and copy to EPB

Construct. period

Quarterly report and Annual Summary of noise and air pollution monitoring

ESD PMO - Report with conclusions to be submitted to PMO, NMG and WB

OPERATION PERIOD

Routine monitoring of noise and odors from WWP, WWTP and pumping stations

SMSC EPB SMSC Routine compliance monitoring, with random control by EPB

Routine monitoring of noise and odors from WTP and pumping stations

SSWC SWA/EPB SSWC Routine compliance monitoring, with random control by EPB

Routine monitoring of noise and odors from WTP

MWSC SWA/EPB MWSC Routine compliance monitoring, with random control by EPB

Routine monitoring of gas emissions from landfill closures

SCAESAB SCAESAB/EPB

SCAESAB Routine compliance monitoring, with random control by EPB

Control monitoring of noise and odors

EPB SMG Operational budget of EPB

Ensure compliance of facilities with standards

4.4. SEWAGE SLUDGE MONITORING


Objectives of the sewage sludge monitoring are:

• To enable the operator to control the operation of the sludge treatment facility.

• To provide information concerning the composition of sludge and/or its toxicity controlling the ultimate disposal route for sludge.

Sludge quality standards applied in PRC and toxicity tests are provided in Appendix B. It should be noted that the standard GB stipulates an extended range of parameters (covering toxic organic parameters and




4.4.2. ORGANIZATION

The sewage sludge monitoring will be generally undertaken by the Bailonggang and Zhuyuan WWTP operators with controlling samples monitored by EPB.


Sampling will be undertaken at the Bailonggang and Zhuyuan WWTP6 before and after treatment.


4.4.4.1. TYPES OF MONITORING

Three types of sampling will be undertaken:

• Type 1: Those related to the functioning of the sludge handling of the WWTP itself;

• Type 2: Those related to the toxicity of the sludge which will dictate which type of disposal route can be applied;

• Type 3: Those relating to the chemical composition of the sludge (the precise sampling will generally depend on the disposal method adopted)

The recommendations for each type of monitoring are as follows:

Type 1: Operation of the sludge handling process relating to the measurement of the quantity of sludge produced. 6 samples will be taken per day after each sludge treatment step during 7 days. This will be repeated at least 3 times per year. Parameters to be monitored would include: MES, MVS, solid matter content, MO, pH,

Type 2: Toxicity of sludge. Toxicity tests according to the leaching test descried in Appendix B will be undertaken once per month.

Type 3: Dependent on the type of disposal/reuse route for sludge the chemical composition of the sludge will be determined. For agricultural (land application including composting) the following measurements are to be undertaken:

• Agronomic parameters : NTK, NH4, P2O5, K2O, CaO, MgO, As,B, Co, Fe, Mn, Mo,

• Trace elements : Cd, Cr, Cr6+,Cu, Hg, Ni, Pb, Zn,

• Organic composants : PCB, flouranthene, benzo(b)fluoranthene, benzo(a)pyrene.

Initially these parameters will be monitored once per month at each station to build up a database concerning the chemical composition. Thereafter, dependent on the final reuse/disposal route the frequency could be increased/decreased (a minimum of 6 samples per year will be taken).

4.4.4.2. DATABASE

All results (site and laboratory) will be recorded in a logbook and in a computer data base.

6 It is also recommended for harmonisation purposes that the same tests are carried out at SMSC’s other major WWTP, Shidongkou.





Reports on SSM results and interpretative analysis will be provided every month to EPB/SWA and to ESD. Monthly reports will also include results from random control analysis carried out by EPB in some facilities.

Quarterly reports and annual summary of SSM activities and results will be prepared and submitted by ESD to PMO and eventually to Shanghai Municipal Government and the World Bank.


Details of key activities needed for the sewage sludge monitoring of the operation activities are listed in Table 7.

TABLE 15: DETAIL FOR SEWAGE SLUDGE MONITORING




Year -1 Start immediately to monitor sewage sludge in existing plant (Jiaochangshan WWTP)

WWTP Managt. Company

PMO with advice from EPB-


All available existing data should be compiled

Year -1 Develop Sludge Management Plan on the basis of improved measurements




Develop TOR.

CONSTRUCTION PERIOD

Construct. period

Continue Sampling WWTP Managt. Company

ESD Contractor Weekly report submitted to ESD

OPERATION PERIOD

Routine monitoring of sludge adapted on the basis of the disposal method adopted


EPB WWTP budget

Routine compliance monitoring, with random control by EPB

4.5. MONITORING OF RECEIVING SITES


The sludge in the long term is proposed to be applied on land after stabilization. If land utilization consists in agricultural use, conditioning and landscaping, the receiving site should be monitored in order to assess the quality of the site and control the potential impact of sludge application.

4.5.2. ORGANIZATION

The monitoring of the soil of the receiving site will be undertaken by the site owner and reported to Shanghai Gardens Bureau/EPB





The soil of the receiving site used for land application should be sampled.


4.5.4.1. TYPES OF MONITORING

Based on current good practice of agricultural land utilization (Working Document on sludge, 3rd draft, Brussels 2000), the soil of the receiving site should be analysed for parameters such as: pH, heavy metals (including cadmium, chromium, copper, mercury, nickel, lead and zinc)., total nitrogen and total phosphate.

If elevated contaminant concentrations are encountered in the soils, further testing as leaching tests, groundwater analysis, surface/drainage water analysis should be undertaken. Specifications of these tests should be based on the contaminants present in the soils.

4.5.4.2. DATABASE

All results (site and laboratory) will be recorded in a logbook and in a computer data base.


Soil of the receiving site should be sampled before the first use of sludge and every ten years thereafter. The representative soil sample for analysis should be a composite sample of 25 samples collected within a maximum of 5ha. The depth of the sample should be 0.25m.

Reports on Receiving site results and interpretative analysis will be provided at each sampling round by EPB and to ESD.


Details of key activities needed for the sewage sludge monitoring of the operation activities are listed in Table 7.

TABLE 16: DETAIL FOR SEWAGE SLUDGE MONITORING



PRE - OPERATION PERIOD

The soil of the receiving site should be carried out prior to applying treated sludge

Site owner EPB/Shanghai Gardens Bureau

Site owner






OPERATION PERIOD

After the first sludge land application, the receiving site should be monitored very ten years

Site owner EPB/Shanghai Gardens Bureau

Site owner




5. BUDGET ESTIMATE AND SOURCE OF FUNDS

5.1. DISTRIBUTION OF BUDGETS

The implementation of the EMP measures relies on the intervention of several parties resulting in various funding requirements from different budget lines or sources.

Most of the activities involving routine measurements, field sampling or testing are to be provided by the contractors, and will be included in his cost. These costs will be presented in his proposal in accordance with the requirements and specifications of the bidding documentation. They should cover all activities related to the 4 fields of environmental management as defined previously in this EMP: Environmental Protection Management, Labor Camps and Occupational Health Management, Safety Management and Social Management. It is expected that these costs should not exceed 1.5% of the construction costs. A significant part of this budget is anticipated for the public safety activities related to the Qingpu network and the West trunk sewer laying works in areas of dense population or road traffic. EMP budget devoted to network activities is probably close to 2% of related construction works while the part related to the WTW and the WWTP is probably closer to 1% of the related construction costs.

However, the rather limited budgets involved in environmental activities are probably not sufficient to raise a strong interest from the Contractor point of view. Until environmental protection practices become a fully integrated part of construction contracts, incentives/penalties are the most efficient way to speed up the process. For that reason, it is considered to establish the contractor obligations budget as a fixed percentage of the construction costs, say 3%. This amount will be split into 1% direct fees to be paid to the contractor in accordance with the progress of the work, and 2% as an Environmental Retainer, to be paid in accordance with the full compliance with EMP requirements. This amount will be with hold until such time as full compliance is achieved.

Operational costs for the ESD should be included in the global Project Management Cost related to the PMO and the PIUs. Office and field equipment as well as transportation facilities costs should also be included in the same budget. Monitoring activity by ESFI and CSEA staff is part of the Construction Management and Supervision Cost of the Project.

A budget for water, air and noise monitoring by EPB has also to be secured. The budget proposed in the EMP covers only the contribution of the EPB for manual sampling activities (control of the Contractor’s Compliance Monitoring and subsequent laboratory works).

The environmental budgets allocated to each sub-project for environmental management and protections are provided in the following tables.

5.2. INVESTMENT BUDGETS

Limited investments are required as most of the monitoring activities are contracted to Government agencies already equipped. Main investment will concern the office equipment for the ESD Team, and cost related to the creation of the internet site for the Project. Estimated investments are presented in the following Table 7.




TABLE 17: INVESTMENT FOR ESD (IN RMB)

Item Quantity Unit cost Total Investment Source of Funds*

Field equipment Lump Sum - 12,000 PMO

Creation of Internet site Lump Sum - 10,000 PMO

Total Investments - - 22 000 PMO: 22,000

* Notes: PMO: Project Management Office

5.3. OPERATION BUDGETS

Tentative operation budgets for EMP are presented in Table 8. According to the duration of the APL 2 project implementation, the annual budget should be secured for approximately 3 years.




TABLE 18: TENTATIVE OPERATION BUDGET (IN RMB)

Item Annual Budget 3 years Budget Source of Funds*

EMD Operation (Budget Allocation) Salaries(2 env.specialists, full time) 40 000 120 000 PMO

Office operation costs 60 000 180 000 PMO Transportation 60 000 180 000 PMO

Total EMD Operation 160 000 480 000 PMO

Monitoring Activities For Water Component 84 560 261 800 WC

For Wastewater Component 165 080 412 700 SMSC For Solidwaste Component 182 720 456 800 CHENGTOU

Total Monitoring 432 360 1 131 300

ESU Budget including training For Water Component 320 000 960 000 CMSE

For Wastewater Component 160 000 480 000 CMSE For Solidwaste Component 160 000 480 000 CMSE

Total ESU Budget 640 000 1 920 000 CMSE

1 232 360 3 531 300 PMC: 480 000

(Year 1 only) (Years 1 to 3) CMSE 1 920 000

Total Operation Budget for EMP(Water,Wastewater and Solidwaste components)

PIU 1 131 300




The total budget for the implementation of the EMP is estimated at 22,000RMB as investment and 3.5 million RMB for operation, including RMB 1.9 million for the operation of the ESU of the Works Supervision Engineer (including training)

As already mentioned, the budget for the fulfilment of Contractors obligation is estimated as a percentage of the construction cost. Tentative weighting of various activities is presented in Table 19, as a percentage of the related construction cost. The percentages presented include for half the estimated actual expenses and for half an Environmental Performance Bonus as an incentive for the Contractor. It is proposed 3% of Contracts values for each component.

TABLE 19: DISTRIBUTION OF BUDGET PERCENTAGES FOR CONTRACTORS’ OBLIGATIONS

Contractor Obligations NWSP Component(as % of CCV)

CWP Component (as % of CCV) Source of funds*

Environmental Protection Management

0.5 0.5 CCV

Labor Camps & Occupational Health

0.5 0.5 CCV

Public Safety Management 1 1 CCV

Social Management 1 1 CCV * Notes: CCV: Construction Contract Value

5.4. MONITORING BUDGETS

Monitoring of facilities during operation is basically the responsibility of the Operators. They are in charge of sampling and analysis, under the control of Provincial or Municipal EPB. EPB will carry out random samplings during the year in order to confirm the validity of the data provided by the Operator.

Procedures for facility monitoring will be established by EPBs and imposed to the Operators. As well, the laboratory in charge of analysis will be a laboratory duly certified by the EPBs.




TABLE 20: SUMMARY TABLE FOR EMP MONITORING COSTS WATER COMPONENTS: CONSTRUCTION PERIOD

MinhangChangqiao WTP Qingpu Extension Network Rehabilitation Minhang WTP

No information and document for this project, so the budget for this project is estimated based on

Qingpu Extension project.

SS & Oil SS & Oil SS & Oil2 4 2

once per month once per month once per month100 RMB/monitoring once.one item 100 RMB/monitoring once.one item 100 RMB/monitoring once.one item

4 800 9 600 19 200 (100 RMB*12 months*2 Positions*2 Items) (100 RMB*12 months*4 Positions*2 Items) (100 RMB*12 months*2 Positions*2 Items)

5 4 4 4once per month once per month once per month once per month

70 RMB/once (daytime) and 110 RMB/once (nighttime)




10 800 8 640 8 640 8 640((70+110)*12months*5 positions) ((70+110)*12months*4 positions) ((70+110)*12 months*4 positions) ((70+110)*12months*4 positions)

2 2 2 3PM10 PM10 PM10 PM10

once per month once per month once per month once per month80 RMB/monitoring once.one item 80 RMB/monitoring once.one item 80 RMB/monitoring once.one item 80 RMB/monitoring once.one item

1 920 1 920 1 920 2 880(80 RMB*12 months*2 positions*1 item) (80 RMB*12 months*2 positions*1 items) (80 RMB*12 months*2 positions*1 items) (80 RMB*12 months*3positions*1 items)

5 000 5 000 5 000 5 000

22 520 25 160 15 560 35 720

86 600

Shanghai South

63 240

98 960




TABLE 21: SUMMARY TABLE FOR EMP MONITORING COSTS WATER COMPONENTS: INITIAL OPERATION/COMMISSIONING PERIOD

MinhangChangqiao WTP Qingpu Extension Network Rehabilitation Minhang WTP

5 4 4 4once per month once per month once per month once per month

70 RMB/once (daytime) and 110 RMB/once (nighttime) 70 RMB/once (daytime) and 110 RMB/once (nighttime) 70 RMB/once (daytime) and 110 RMB/once (nighttime) 70 RMB/once (daytime) and 110 RMB/once (nighttime)2 700 2 160 2 160 2 160

((70+110)*3 months*5 positions) ((70+110)*3 months*4 positions) ((70+110)*3months*4 positions) ((70+110)*3months*4 positions)

2 2 2 3Cl2, NH3, O3 NH3, H2S, SO2 NH3, H2S, SO2 Cl2, NH3, O3

once per month once per month once per month once per month110 RMB/once.item 110 RMB/once.item 110 RMB/once.item 110 RMB/once.item

1 980 1 980 1 980 2 970(110 RMB*3 months*2 positions*3 items) (110 RMB*3months*2 positions*3 items) (110 RMB*3months*2 positions*3 items) (110 RMB*3 months*3 positions*3 items)

5 000 5 000 5 000 10 000

9 680 9 140 9 140 15 130

86 600

Shanghai South

27 960

43 090




TABLE 22: SUMMARY TABLE FOR EMP MONITORING COSTS WASTEWATER COMPONENTS: CONSTRUCTION PERIOD

Project OwnerItem Bailonggang Zhuyuan North West Drainage Area

Water MonitoringMonitoring Items - - Petroleum, SS (2 items)

Monitoring Positions - - 7Monitoring Frequency - - once per month

Average Unit Cost - - 100 RMB/monitoring once.one itemAnnual Cost - - 16 800

(100 RMB*12months*7 positions*2 items)

Sludge MonitoringMonitoring Positions 2* 2*

Monitoring Items Heavy metals: As, Cr, Ni, Cd,Pb,Hg(6 items), Organic substances: PAHs, PCBs,Dioxins, Halogenated organics (4 items)

Heavy metals: As, Cr, Ni, Cd,Pb,Hg(6 items), Organic substances: PAHs, PCBs,Dioxins, Halogenated organics (4 items)

Monitoring Frequency once per month once per monthAverage Unit Cost 120 RMB/item.analysis (Heavy mental);

1,000RMB/item.analysis(Organics) 10,000RMB/item.analysis(Dioxin)

120 RMB/item.analysis (Heavy mental); 1,000RMB/item.analysis(Organics) 10,000RMB/item.analysis(Dioxin)

Annual Cost 30 280 30 280((120 RMB*6 items)*12months*2

positions)+(10,000+1000 RMB* 3 items)*1position((120 RMB*6items)*12months*2

positions)+(10,000+1000 RMB* 3 items)*1positionNoise Monitoring

Monitoring Positions 2* 2* 7Monitoring Frequency twice per year twice per year twice per year

Average Unit Cost 70 RMB/once (daytime) and 110 RMB/once (nighttime) 70 RMB/once (daytime) and 110 RMB/once (nighttime) 70 RMB/once (daytime) and 110 RMB/once (nighttime)

Annual Cost 4 320 4 320 8 640Annual Cost ((70+110)*12 months*2 positions) ((70+110)*12 months*2 positions) ((70+110)*12 months*4 positions)

Air MonitoringMonitoring Positions 5* 5* 4

Monitoring Items NH3, H2S, SO2 NH3, H2S, SO2 NH3, H2S, SO2Monitoring Frequency once per month once per month once per month

Average Unit Cost 110 RMB/monitoring once.item 110 RMB/monitoring once.item 110 RMB/monitoring once.itemAnnual Cost 19 800 19 800 15 840Annual Cost (110 RMB*12months*5 positions*3 items) (110 RMB*12 months*5 positions*3 items) (110 RMB*12 months*4 positions*3 items)

Staff & TransportationAnnual Cost 5 000 5 000 5 000

Subtotal Annual Budget 59 400 59 400 46 280

Total Annual Budget

SMSC

165 080




TABLE 23: SUMMARY TABLE FOR EMP MONITORING COSTS WASTEWATER COMPONENTS: INITIAL OPERATION/COMMISSIONING PERIOD

Project OwnerItem Bailonggang Zhuyuan North West Drainage Area

Water MonitoringMonitoring Items - - Petroleum, SS (2 items)

Monitoring Positions - - 7Monitoring Frequency - - once per month

Average Unit Cost - - 100 RMB/monitoring once.one itemAnnual Cost - - 16 800

(100 RMB*12months*7 positions*2 items)

Sludge MonitoringMonitoring Positions 2* 2*

Monitoring Items Heavy metals: As, Cr, Ni, Cd,Pb,Hg(6 items), Organic substances: PAHs, PCBs,Dioxins, Halogenated organics (4 items)

Heavy metals: As, Cr, Ni, Cd,Pb,Hg(6 items), Organic substances: PAHs, PCBs,Dioxins, Halogenated organics (4 items)

Monitoring Frequency 1次/月 1次/月Average Unit Cost 120 RMB/item.analysis (Heavy mental);

1,000RMB/item.analysis(Organics) 10,000RMB/item.analysis(Dioxin)

120 RMB/item.analysis (Heavy mental); 1,000RMB/item.analysis(Organics) 10,000RMB/item.analysis(Dioxin)

Annual Cost 30 280 30 280((120 RMB*6 items )*12months*2

positons)+(10,000+1000 RMB* 3 items)*1position((120 RMB*6 items )*12months*2

positons)+(10,000+1000 RMB* 3 items)*1positionNoise Monitoring

Monitoring Positions 2* 2* 7Monitoring Frequency twice per year twice per year twice per year

Average Unit Cost 70 RMB/once (daytime) and 110 RMB/once (nighttime) 70 RMB/once (daytime) and 110 RMB/once (nighttime) 70 RMB/once (daytime) and 110 RMB/once (nighttime)

Annual Cost 720 720 2 520Annual Cost ((70+110)*2 times*2 positions) ((70+110)*2 times*2 positions) ((70+110)*2 times*2 positions)

Air MonitoringMonitoring Positions 5* 5* 7

Monitoring Items NH3, H2S, SO2 NH3, H2S, SO2 NH3, H2S, SO2Monitoring Frequency twice per year twice per year twice per year

Average Unit Cost 110 RMB/monitoring once.item 110 RMB/monitoring once.item 110 RMB/monitoring once.itemAnnual Cost 3 300 3 300 4 620Annual Cost (110 RMB*2times*5 positions*3 items) (110 RMB*2times*5 positions*3 items) (110 RMB*2times*7 positions*3 items)

Staff & TransportationAnnual Cost 5 000 5 000 5 000

Subtotal Annual Budget 39 300 39 300 28 940

Total Annual Budget

SMSC

107 540




TABLE 24: SUMMARY TABLE FOR EMP MONITORING COSTS, SOLID WASTE COMPONENTS: CONSTRUCTION PERIOD

Project OwnerItem Minhang Dump Closure Gucun Dump Closure

Water MonitoringMonitoring Items

Monitoring Positions

Monitoring Frequency 1 per month 1 per monthAverage Unit Cost 110 RMB/monitoring once.one item 110 RMB/monitoring once.one item

Annual Cost 50 600 50 600

Sludge Monitoring

Monitoring Positions - -Monitoring Items - -

Monitoring Frequency - -Average Unit Cost - -

Annual Cost - -- -

Noise MonitoringMonitoring Positions 1 1

Monitoring Frequency once per month once per month

Average Unit Cost 70 RMB/once (daytime) and 110 RMB/once (nighttime)


Annual Cost 9 360 9 360Annual Cost ((70+110)*12 months*1 position) ((70+110)*12 months*1 position)

Air MonitoringMonitoring Positions 4 4

Monitoring Items NH3, H2S, SO2, CH4, Flying dust NH3, H2S, SO2, CH4, Flying dustMonitoring Frequency continuous continuous

Average Unit Cost Annual Cost 26 400 26 400Annual Cost

Staff & TransportationAnnual Cost 5 000 5 000

Subtotal Annual Budget 91 360 91 360Total Annual Budget

Chengtou

182 720

SS and Oil




TABLE 25: SUMMARY TABLE FOR EMP MONITORING COSTS, SOLID WASTE COMPONENTS: INITIAL OPERATION/COMMISSIONING PERIOD

Project OwnerItem Minhang Dump Closure Gucun Dump Closure

Water MonitoringMonitoring Items

Monitoring Positions

Monitoring Frequency 3 - 4 times per year 3- 4 times per yearAverage Unit Cost 110 RMB/monitoring once.one item 110 RMB/monitoring once.one item

Annual Cost 19 580 19 580

Sludge Monitoring

Monitoring Positions - -Monitoring Items - -

Monitoring Frequency - -Average Unit Cost - -

Annual Cost - -- -

Noise MonitoringMonitoring Positions 1 1

Monitoring Frequency twice per year twice per year

Average Unit Cost 70 RMB/once (daytime) and 110 RMB/once (nighttime) 70 RMB/once (daytime) and 110 RMB/once (nighttime)

Annual Cost 360 360Annual Cost ((70+110)*2 times*1 position) ((70+110)*2 times*1 position)

Air MonitoringMonitoring Positions 4 4

Monitoring Items NH3, H2S, SO2, CH4, Flying dust NH3, H2S, SO2, CH4, Flying dustMonitoring Frequency continuous continuous

Average Unit Cost Annual Cost 26 400 26 400Annual Cost

Staff & TransportationAnnual Cost 5 000 5 000

Subtotal Annual Budget 51 340 51 340Total Annual Budget

Chengtou

102 680

(1)Ground water(14 Items: pH、CODMn、NH3-N、NO2--N、NO3--N、Cl-、Cr6+、Cu、Pb、K、Zn、Total Hardness, Oil etc, (2) leachate(13 Items)：pH、SS、BOD5、CODcr、NH3-N、NO2--N、NO3--N、Cl-、TOC、TP、TN、TK、Heavy mentals, etc.

(1)Ground water:3 positions (2)leachate：1positions




APPENDIX A BIBLIOGRAPHY

SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2

DESIGN REVIEW AND ADVISORY SERVICES

SOGREAH/G8 - LWN - REPORT N° 655055. R1 APPENDIX A PAGE 1 2003 – NOVEMBER

N° Title Author Date 1 Shanghai Urban Environment Project Appraisal

Report Volume1 – Main Report Binnie Black & Veatch (Intn’l) Ltd

March 2002

2 Shanghai Urban Environment Project Appraisal Report Volume 2 – Urban Wastewater Management Report

Binnie Black & Veatch (Intn’l) Ltd

March 2002

3 Shanghai Urban Environment Project Appraisal Report Volume 3 – Urban Solid Waste Management Report


March 2002

4 Shanghai Urban Environment Project Appraisal Report Volume 4 – Urban Environment Improvement Report


March 2002

5 Shanghai Urban Environment Project Appraisal Report Volume 5 – Huangpu Environmental Management Report


March 2002

6 Shanghai Urban Environment Project Appraisal Report Volume 6 – Environmental Assessment Summary Report


March 2002

7 Shanghai Urban Environment Project APL – Note on Project Content and Structure

Chreod Ltd., Co. December 2001

8 Shanghai Municipal Solid Waste Project – Inception Report

E & E Inc. May 2003

9 Water Pollution Control and Management in Shanghai – the Huangpu River Basin as A Case Study

The World Bank September 1999

10 Water quality modelling for the Huangpu River system

DHI December 2002

11 Shanghai urban environment project Phase I – Project appraisal document

The World Bank May, 2003

12 Shanghai Municipal People’s Government (letter)


February, 2002

13 Report of the outline of the tenth five-year plan for national economic and social development of Shanghai Municipality

Mayor of Shanghai Municipality – Xu Kuangdi

February, 2001

14 Pre-feasibility study report of Bailonggang Municipal wastewater treatment plant (phase II), Shanghai Municipality

Shanghai Municipal Engineering Design & Research Institute

July, 2003

15 Summary of the Comprehensive Plan of Shanghai


May, 2001

16 Shanghai Municipality www.shanghai.gov.cn 17 The Shanghai Metropolitan Region:

Development Trends and Strategic Challenges, Interim Report

Chreod Ltd. August, 2003

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Seungho Lee May, 2003

19 Shanghai Metropolitan Region.ppt Chreod Ltd. December, 200320 Shanghai Framework Recommendation Chreod Ltd. December, 200321 Cultural Heritage Policy Permanent Committee Office,

Shanghai People’s Congress November, 2002

22 Shanghaj Wastewater Treatment System Plan Shanghai Water Authority December, 200123 Shanghai Water Supply Masterplan Shanghai Water Authority July, 2002




N° Title Author Date 24 Second Shanghai Sewerage Project Design

Review and Advisory Services---Appraisal Report-volume 2 ---Feasibility Report—Part Ⅰ-Main Report

The World Bank June, 1995

25 Second Shanghai Sewerage Project Design Review and Advisory Services—Phase Ⅲ -Interim Engineering Report

The World Bank December, 1995

26 Feasibility Pre-study of Shanghai Bailonggang & Zhuyuan Urban WWTPs Sludge Treatment & Disposal Project

SMSC, SWEC, Shanghai Municipal Project Design & Research Institute, Shanghai Urban Construction Design & Research Institute

November, 2003

27 Feasibility Pre-study of Changqiao Water Plant 800,000 m3/d Reconstruction Project Phase 1

Shanghai Municipal Project Design & Research Institute

November, 2003

28 Feasibility Pre-study of West Trunk Reconstruction Project

SMSC, SMPDRI November, 2003

29 Feasibility Pre-study Report of Shanghai Water Supply Minhang Co. Ltd. No. 2 Water Plant Advanced Treatment Project (Draft)

SMPDRI November, 2003

30 Shanghai Water Supply Master Plan (Comments)

September, 1999

31 Promoting water sector development by attracting social capital inflow (by Liu Qiang)

Shanghai Water Asset Operation Co.Ltd.

November, 2003

32 Turbidity Maximum in the Changjiang Estuary Shen Huanting, Pan Ding’an September, 200133 Material Flux of the Changjiang Estuary Shen Huanting et al. September, 200134 Shanghai Practical Atlas China Map Publishing House,

China Cartology Society March, 2003

35 Ecology: Concepts and Applications Manuel C. Molles August, 200036 Environmental Biotechnology: Principles and

Applications Bruce E. Rittmann, Perry L. McCarty

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37 Integrated Solid Waste Management George Tchobanoglous, Hilary Theisen, Samuel Vigil

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38 Wastewater Engineering Treatment and Reuse (Fourth Edition) (Ⅰ,Ⅱ,Ⅲ)

Metcalf & Eddy, Inc. January, 2003

39 Modelling Studies for SSPⅢ Preparation DHI Water & Environment March 7, 200240 Shanghai Municipal Solid Waste Project—APL2

Preparation: Draft Institutional Development Plan, including discussions of the related Market-Based-Instruments

Ecology & Environment, Inc. March, 2004

41 Shanghai Municipal Solid Waste Project—APL2 Preparation: Review of Market Based Instruments for Municipal Solid Waste Service-Report and Recommendations


42 Shanghai Municipal Solid Waste Project—APL2 Preparation: Municipal Solid Waste Charging System Study - Report and Recommendations


43 Plan for implementing the development Master Plan for the disposal of solid waste in Shanghai（Cn & En）

Shanghai Institute For Design&Research In Environmental Engineering

March, 2004

44 Comments and Recommendations for the Implementation Plan USTDA Grant

SADAT Inc. May, 2004

45 Shanghai Solid Waste MIS Project Conspectus (Cn&En)

Shanghai Environmental Sanitation Engineering Design Institute

March, 2004

46 Pre-Feasibility Study On Sanitary Landfill Site Engineering For Chongming County Household Refuse (Cn & En)


March, 2004




N° Title Author Date 47 Pre-feasibility Study On Minhang Dump Closure

Engineering (Cn & En) Shanghai Environmental Sanitation Engineering Design Institute

March, 2004

48 Feasibility Study On Shanghai Proper Transfer Station & Transport Vehicle Procurement (Cn & En)


March, 2004

49 Pre-feasibility Study On Gucun Dump Closure Engineering (Cn & En)


February, 2004

50 Pre-feasibility Study On Sanlin Dump Closure Engineering


March, 2004

51 Back to Office Report: January 2002 Mission EASUR, the World Bank 29 January, 200252 Sludge Reduction Study VA Tech. Vienna University of

Agriculture and Forestry April 25, 2000

53 Specialized Master Plan of Shanghai Sludge

Treatment SWA, SMSC, SMEDI, Tongji University

May,2004

54 TOR of EIA SAES Sept.200455 Plan on Laogang Solid Waste treatment

industry park and Transferred system of container in inner river in City Area

Chengtou (UDIC) Dec.2004

56 Shanghai Water Supply Professional Plan Powerpoint Presentation

SWPDI March 2004

57

FS: Vehicles procurement Project for Solid Waste Collecting and transportation in Pudong

SAES

58 FS: Minhang Water Treatment (with FA) SMEDI Sept.200459 FS: Zhongshan (w) Rd Old pipelines renovation SMEDI DEC.10,200460 FS: Huaxiang Rd Pumping Station Project SMEDI Oct.200461 FS: Sludge Treatment Project for Bailonggang

(EN) SMEDI Dec.2004

62 FS: West Trunk Renovation Project (EN) SMEDI Dec.200463 64 EA Bailonggang Sludge Treatment Project SAES /

Huadong Normal University Jan.5,2005

65 EA Huaxin Waste Water Networks SAES Jan.5,200566 EA West Trunk SAES Jan.5,200567 EA Chongming Solide Waste Treatment Site SAES Jan.5,200568 EA Gucun Dump Site Closure Project SAES Jan.5,200569 EA Minhang Dump Site Closure Project SAES Jan.5,200570 EA Sanlin Dump Site Closure&Removal Project SAES Jan.5,200571 EA Changqiao Water Plant Upgrading Project SAES Jan.5,200572 EA Minhang Water Co., Secondary Treatment

Plant (CN) SAES Jan.5,2005

73 EA Water Supply Pipeline Project of Xujing and Huaxin (EN)

SAES Jan.5,2005

74 RAP: Qingpu Network Extension(EN) Shinan water Co., Dec.20,200475 RAP : Bailonggang Sludge Treatment Project SMSC Sep.200476 RAP: Chongming WWTP Environmental Industry Management

Co., of UDIC Nov.19,2004

77 RAP: Minhang Water Minhang Water Co., / Bohong Nov.12,200478 RAP: Sanlin Dump Site Closure and Removal SCAESAB Nov.200479 RAP: West Trunk (draft) SMSC Sept.2004 80 SIA: Sanlin Dump Site Closure and Removal

Project SCAESAB Dec.26,2004

81 SIA: West Trunk Rennovation BO Hong Nov.19,2004




APPENDIX B ENVIRONMENTAL QUALITY STANDARD

SOGREAH - PAGE 1

APPENDIX B ENVIRONMENTAL QUALITY STANDARD

1. ENVIRONMENTAL QUALITY STANDARDS

1.1. ENVIRONMENTAL AIR QUALITY STANDARDS

Environmental Air Quality Standard (GB3095-1996) is presenting in the following table. The Class II standard applies to residential, business and educational areas.

ENVIRONMENTAL AIR QUALITY STANDARDS (UNIT: MG/M3)

CONCENTRATION LIMITS POLLUTANTS 1 HOURLY

AVERAGE DAILY

AVERAGE YEARLY

AVERAGE

SO2 0.50 0.15 0.06

NOx 0.15 0.10 0.05

TSP - 0.30 0.20

PM10 - 0.15 0.10

NO2 0.12 0.08 0.04

CO 10 4 -

03 0.16 - -

1.2. ENVIRONMENTAL QUALITY STANDARDS FOR NOISE

Environmental Noise Standards (GB3096-1993) is presenting in the following table.

NOISE STANDARDS OF URBAN AREA (UNIT: LEQ[DB(A)])

CLASS APPLICATION DAY NIGHT

0 Nursing home, villas,

hotels and places needed special quiet

50 45

I Residence, education/office districts 55 45

II Mixed area with residence and industry 60 50

III Industry 65 55

IV Traffic lines (road, railways, …) 70 55

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1.3. ENVIRONMENTAL QUALITY STANDARDS FOR SURFACE WATER

Surface Water Quality Standards (GB3838-2002) are presented in the following table. - Class I standard applies to water source, national conservation district - Class II standard applies to water resources area (class A conservation district), extinct

animal habitat area and fishpond position. - Class III standard applies to water resources area (class B conservation district), area

where fish live during winter, marine breeding area, swimming area. - Class IV standard applies to industrial area and non-recreational area. - Class V standard applies to agriculture and landscape water usage.

QUALITY STANDARD FOR SURFACE WATER (UNIT: MG/L, EXCEPT PH)

POLLUTANTS CLASS I CLASS II CLASS III CLASS IV CLASS V

pH 6 to 9 6 to 9 6 to 9 6 to 9 6 to 9 DO > 7.5

(or 90% sat) 6 5 3 2

CODMn ≤ 2 4 6 10 15 CODCr ≤ 15 15 20 30 40 BOD5 ≤ 3 3 4 6 10 N-NH3 ≤ 0.015 0.5 1.0 1.5 2.0 Total phosphorus (P) ≤ 0.02 (0.01)* 0.1 (0.025)* 0.2 (0.05)* 0.3 (0.1)* 0.4 (0.2)* Total Nitrogen (N) ≤ 0.2 0.5 1.0 1.5 2.0 Copper (Cu) ≤ 0.01 1.0 1.0 1.0 1.0 Zinc (Zn) ≤ 0.05 1.0 1.0 2.0 2.0 Fluoride (F) ≤ 1.0 1.0 1.0 1.5 1.5 Selenium (Se) ≤ 0.01 0.01 0.01 0.02 0.02 Arsenic (As) ≤ 0.05 0.05 0.05 0.1 0.1 Mercury (Hg) ≤ 0.00005 0.00005 0.0001 0.001 0.001 Cadmium (Cd) ≤ 0.001 0.005 0.005 0.005 0.01 Chromium (Cr6+) ≤ 0.01 0.05 0.05 0.05 0.1 Total lead (Pb) ≤ 0.01 0.01 0.05 0.05 0.1 Total cyanide (CN-) ≤ 0.005 0.05 0.2 0.2 0.2 Volatile phenol ≤ 0.002 0.002 0.005 0.01 0.1 Oil ≤ 0.05 0.05 0.05 0.5 1.0 Anionic detergent ≤ 0.2 0.2 0.2 0.3 0.3 Sulphide ≤ 0.05 0.1 0.2 0.5 1.0 Coli forms (number/L) ≤ 200 2000 10,000 20,000 40,000

*Value within bracket for lakes and reservoirs

SOGREAH - PAGE 3

1.4. DRINKING WATER QUALITY STANDARDS

Drinking Water Quality Standards (CJ3020-1993) is presented in the following table. Class II standard applies to water that need a normal treatment (coagulation, sedimentation, disinfection) to meet the GB5749 standard and be provided as drinkable water.

QUALITY STANDARDS FOR DRINKING WATER (UNIT: MG/L)

PARAMETERS LIMITS FOR CLASS II

Colour no obvious colour Smell and taste No obvious smell and taste pH value 6.5 to 8.5 Total hardness (by CaCO3) <=450 Dissolved Fex+ <=0.5 Mn <=0.1 Cu <=1.0 Zn <=1.0 Volatile hydroxybenzene (by phenol) <=0.004 Anion synthetic detergent <=0.3 Sulfate <250 Chloride <250 DTS <1000 Fluoride <=1.0 CN <=0.05 As <=0.05 Se <=0.01 Hg <=0.001 Cd <=0.01 Cr+6 <=0.05 Pb <=0.07 Ag <=0.05 Beryllium <=0.0002 N-NH3 <=1.0 Nitrate (by Nitrogen) <=20 COD (KMnO4) <=6 Benzene (µg/L) <=0.01 DDT (µg/L) <=1 BHC (µg/L) <=5 BaiJunqing <=0.01 Total coli form group (no./L) <=10000 Total α radioactivity (Bq/L) <=0.1 Total β radioactivity (Bq/L) <=1

SOGREAH - PAGE 4

1.5. ENVIRONMENTAL QUALITY STANDARDS FOR GROUNDWATER

Groundwater Quality Standards (GB/T14848-1993) is presented in following table. - Class I standard reflects to low background concentration of groundwater. - Class II standard reflects to normal background concentration of groundwater. - Class III standard, based on requirement for people’s health, mainly for domestic

drinking water, industrial and agricultural resources. - Class IV standard is based on the requirement for agriculture and industry. - Class V standard applies to not drinkable water.

QUALITY STANDARDS FOR GROUNDWATER (UNIT: MG/L, EXCEPT PH)

PARAMETER CLASS I CLASS II CLASS III CLASS IV CLASS V Color <=5 <=5 <=15 <=25 >25 Smell and taste No no no No yes Turbidity <=3 <=3 <=3 <=10 >10 Material can be seen byeyes No no no no yes

pH 6.5 to 8.5 5.5 to 6.5 8.5 to 9 <5.5,>9

Total hardness(byCaCO3) <=150 <=300 <=450 <=550 >550 TDS <=300 <=500 <=1000 <=2000 >2000 Sulfate <=50 <=150 <=250 <=350 >350 Chloride <=50 <=150 <=250 <=350 >350 Fe <=0.1 <=0.2 <=0.3 <=1.5 >1.5 Mn <=0.05 <=0.05 <=0.1 <=1.0 >1.0 Cu <=0.01 <=0.05 <=1.0 <=1.5 >1.5 Zn <=0.05 <=0.5 <=1.0 <=5.0 >5.0 Mo <=0.001 <=0.01 <=0.1 <=0.5 >0.5 Co <=0.005 <=0.05 <=0.05 <=1.0 >1.0 Volatile hydroxybenzene(by phenol) <=0.001 <=0.001 <=0.002 <=0.01 >0.01

Anion synthetic detergent Can not be inspected <=0.1 <=0.3 <=0.3 >0.3

Permanganate index <=1.0 <=2.0 <=3.0 <=10 >10 Nitrate (by N) <=2.0 <=5.0 <=20 <=30 >30 nitrite (by N) <=0.001 <=0.01 <=0.02 <=0.1 >0.1 N-NH3 <=0.02 <=0.02 <=0.2 <=0.5 >0.5 Fluoride <=1.0 <=1.0 <=1.0 <=2.0 >2.0 Iodide <=0.1 <=0.1 <=0.2 <=1.0 >1.0 Cyanide <=0.001 <=0.01 <=0.05 <=0.1 >0.1 Hg <=0.00005 <=0.0005 <=0.001 <=0.001 >0.001 As <=0.005 <=0.01 <=0.05 <=0.05 >0.05 Se <=0.01 <=0.01 <=0.01 <=0.1 >0.1 Cd <=0.0001 <=0.001 <=0.01 <=0.01 >0.01 Cr+6 <=0.005 <=0.01 <=0.05 <=0.1 >0.1 Pb <=0.005 <=0.01 <=0.05 <=0.1 >0.1 Be <=0.00002 <=0.0001 <=0.0002 <=0.001 >0.001 Ba <=0.01 <=0.1 <=1.0 <=4.0 >4.0 Ni <=0.005 <=0.05 <=0.05 <=0.1 >0.1 DDT(µg/L) No inspected <=0.005 <=1.0 <=1.0 >1.0 BHC(µg/L) <=0.005 <=0.05 <=5.0 <=5.0 >5.0 Total coliform group(number/L) <=3.0 <=3.0 <=3.0 <=100 >100

Total number of bacteria(number/L) <=100 <=100 <=100 <=1000 >1000

Total α radioactivity (Bq/L) <=0.1 <=0.1 <=0.1 >0.1 >0.1 Total β radioactivity (Bq/L) <=0.1 <=1.0 <=1.0 >1.0 >1.0

1.6. ENVIRONMENTAL QUALITY STANDARDS FOR SEAWATER

Sea water Quality Standards (GB3097-1997) is presented in following table. - Class I standard applies to fishing area, conservation area and extinct species

protection area.

SOGREAH - PAGE 5

- Class II standard applies to breeding area for aquatic products, marine bathing place, spotting and entertainment area, water intake area for food industry.

- Class III standard applies to normal industrial area and coastal scenery. - Class IV standard applies to marine port area and construction area for marine

developpement.

QUALITY STANDARDS FOR SEAWATER (UNIT: MG/L)

PARAMETER CLASS I CLASS II CLASS III CLASS IV

Color, odour, taste No strange No unpleasant Suspended substances <= 10 <= 10 <= 100 <= 150 Coliform (number/l) 10000 - DO 6 5 4 3 COD 2 3 4 5 BOD5 1 3 4 5 Inorganic nitrogen 0.2 0.3 0.4 0.5 Ammonia 0,002 Phosphorus 0.015 0.030 0.030 0.045 Hg 0.00005 0.0002 0.0005 Cd 0.001 0.005 0.01 0.01 Pb 0.001 0.005 0.01 0.05 Cr6+ 0.005 0.01 0.02 0.05 Total Cr 0.05 0.1 0.2 0.5 As 0.02 0.03 0.05 0.05 Cu 0.005 0.01 0.05 0.05 Zn 0.02 0.05 0.1 0.5 Se 0.01 0.02 0.02 0.05 Ni 0.005 0.01 0.02 0.05 CN 0.005 0.005 0.1 0.2 S 0.02 0.05 0.1 0.2 Volatile hydroxybenzene 0.005 0.005 0.01 0.05 Petroleum 0.05 0.05 0.3 0.5 Hexachlorobenzene 0.001 0.002 0.003 0.005 DDT 0.00005 0.0001 0.0001 0.0001 P-pesticide 0.0005 0.001 0.001 0.001 Methyl-p-pesticide 0.0005 0.001 0.001 0.001 Benzo(a)pyrene 0.0025 0.0025 0.0025 0.0025

1.7. TOXICITY (LEACHING) TEST

National Standard GB5085.3-1996<Identification Standards of Hazardous Waste, Identification of Lixiviating Toxicity>

Hazardous characters Items Identification date of

hazardous waste Corrosivity pH of lixivium ≥12.5 or≤2.0

Original sieving of acute toxicity

Half death rate of little white mice (or big) which were filed with lixivium through mouth

1:1lixivium compound the filling quantity of little white mice is no more

than 0.4mL/20g avoirdupois, while that of

big is 1.0mL/100g avoirdupois

Organic mercury None Lixiviating toxicity Concentration of hazardous Mercury and its compounds (in total Hg) 0.05

SOGREAH - PAGE 6

Lead (in total Pb) 3 Cadmium (in total Cd) 0.3

Total chromium 10 Cr6+ 1.5

Copper and its compounds (in total Cu) 50 Zinc and its compounds (in total Zn) 50

Beryllium and its compounds (in total Be) 0.1 Barium and its compounds (in total Ba) 100 Nickel and its compounds (in total Ni) 10

Arsenic and its compounds (in total As) 1.5 Inorganic fluoride (except calcium

fluoride) 50

elements in lixivium

Cyanide (in CN) 1.0

SOGREAH - PAGE 7

2. EMISSION STANDARDS

2.1. EXHAUST GAS

Exhaust gas adopts Comprehensive Emission Standards of Air Pollutant (GB16297-1996)

LIMITED VALUES OF AIR POLLUTANT FROM NEW SOURCE (UNIT; MG/M3)

Pollutant Maximum acceptable emission concentration Controlling value to in-organized emission

SO2 - Beyond boundary; 0.40

TSP 120 (others) Beyond boundary; 1.0

NOx 240 (others) Beyond boundary; 0.12

Cl2 65 Beyond boundary; 0.40

F- 9.0 (others) Beyond boundary; 20(µg/m3)

2.2. NOISE

Construction noise adopts Limiting Values in Construction Area (GB12523—90) standards.

NOISE LIMITING VALUES IN CONSTRUCTION AREA UNIT: LEQ(DB(A))

LIMITING VALUES CONSTRUCTION PERIOD MAIN NOISE SOURCES

DAY NIGHT

Cubic meter of earth and stone Bulldozer, grab, loading truck 75 55

Piling Various pile driver 85 Ban

Construction Concrete mixer, vibrating tamper, electrical saw, etc. 70 55

Fitting Crane, elevator, etc 65 55

SOGREAH - PAGE 8

2.3. WASTEWATER

Integrated wastewater discharge standard (GB8978-1996). - Class I standard applies to wastewater discharged into Class III (GB3838) district and

Class II (GB3097) district. - Class II standard applies to wastewater discharged into Class IV and V (GB3838)

district and Class III (GB3097) district. - Class III standard applies to wastewater discharged into towns and cities which own

biological treatment plants.

EMISSION STANDARDS OF WASTEWATER (UNIT MG/L EXCEPT PH)

POLLUTANT CLASS I CLASS II CLASS III pH 6 to 9 6 to 9 6 to 9 SS 70 200 400 CODCr 100 150 500 BOD5 20 30 300 Oil 5 10 20 P 0.1 0.3 0.3 N-NH3 15 25 - Volatile hydroxybenzene 0.5 0.5 2.0 Sulfide 0.5 0.5 1.0 Fluoride 10 10 20 Total Cu 0.5 1.0 2.0 Total Zn 2.0 5.0 5.0 Total Mn 2.0 2.0 5.0 Total CN 0.5 0.5 2.0

SOGREAH - PAGE 9

2.4. EFFLUENT FROM MUNICIPAL WASTEWATER TREATMENT PLANT

Discharge standard of pollutants for municipal wastewater treatment plant (GB18918-2002). - Class IA standard is the basic requirement for municipal WWTP which discharge water

into small rivers or lakes. - Class IB standard applies to effluent discharged into Class II (GB3838) district and

Class II (GB3097) district and into closed lakes and pools. - Class II standard applies to effluent discharged into Class IV and V (GB3838) district

and Class III and IV (GB3097) district. - Class III standard applies to WWTP which is not in important areas of water resource.

EMISSION STANDARDS OF EFFLUENT (UNIT MG/L EXCEPT PH)

CLASS I POLLUTANT TYPE A TYPE B

CLASS II CLASS III

pH 6 to 9 6 to 9 6 to 9 6 to 9 SS 10 20 30 50 CODCr 50 60 100 120 BOD5 10 20 30 60 Oil 1 3 5 15 Anionic surfactant 0.5 1 2 5 Total Nitrogen 15 20 - - Ammonia Nitrogen 5 8 25 - Total Phosphate (constructed before 31/12/05) 1 1.5 3 5

Total Phosphate (constructed after 01/01/06) 0.5 1 3 5

Color index (dilution ratio) 30 30 40 50 Total coliform bacteria (unit/l) 103 104 104 -

oOo




APPENDIX C EXAMPLES OF STANDARD

SITE REVIEW SHEETS

SOGREAH - PAGE 1

SOGREAH - PAGE 2




APPENDIX D EA FRAMEWORK FOR SHUEP APL

Environmental Assessment Framework for

Shanghai Urban Environment Project Financed by World Bank Adaptable Program Loans

1. Background and Strategic Considerations The Shanghai Municipal Government (SMG) has adopted a sustainable development strategy to explicitly link continued environmental improvement with the city’s long-term economic growth in its effort to become an international economic, trade, and shipping center, and to become a sustainable, global and competitive City-Region. In order to meet its environmental objectives and implement the strategy, SMG has established a core program of activities and billions of RMB investments that it considers to be the top priority and requested the World Bank’s support over the next 5 to 10 years via a series of Adaptable Program Loans (APLs). The successful implementation of the ambitious urban environmental management strategy would not only provide sustainable conditions for the rapid economic expansion in Shanghai and improve urban and environmental infrastructure to better serve its citizens and protect the environment, but also set a model of concurrent economic development and environmental protection and turning a good environmental performance into competitive advantages for other urban areas throughout China. It would have major demonstration effects to others that investments in the environmental improvement would lie the foundation for attracting domestic and foreign investment and for fostering long-term, sustained economic growth. The proposed APLs is to help SMG in the following aspects: • implement the urban environmental improvement goal of its development strategy

and thereby help to ensure that economic growth takes place in an environmentally and institutionally sustainable manner;

• provide major long-term environmental benefits to its millions of citizens and to the ecology of the Shanghai area; and

• develop innovative policies, institutional reforms and financing methods that are needed to support the environmental goals and that will serve as models for concurrent environmental protection/improvement and economic growth for other parts of the country.

The proposed series of APLs is designed on a City-Region wide perspective to improve environmental conditions through progressive development and an integrated approach. The current core program is divided into three phases, each is designed to give prominence to one aspect of the urban environmental strategy being pursued which contributes to and enables the pursuit of the next phase.

In Phase 1, prominence is given to further developing the underpinnings and enabling conditions to pursue an integrated/regional approach to environmental issues. Investments included in this phase are those that are already known to be priority components of the integrated/regional approach (e.g., protection of upstream sources for water supply, expansion of shared landfills, complementary investments to increase efficiency of earlier investments). Further development of integrated/regional programs and related investments is expected to be continued during subsequent phases.

Phase 2 will support implementation of programs that address environmental issues of greater complexity and respond to the deepening of SMG’s work on the environmental agenda (e.g., solid-waste management program, bond finance and a municipal environmental fund, pilots to test approaches to upgrading urban environment services in poorer, underserved areas). Preparations for these Phase 2 activities are to be made during implementation of Phase 1.

Phase 3 is the stage at which the Shanghai authorities hope to begin realizing the fruits of their efforts to build up to a sustainable financial system for urban environment services. It is anticipated that further improvements to the operations, management and finances of at least some urban environment service utilities over the course of Phases 1 and 2 will enable them to move beyond the municipal budget to finance their capital investments on acceptable terms, either on the capital markets and/or obtaining finance from a sustainable municipal environment fund. Complementing this is the development and establishment during Phases 1 and 2 of the supply side, including enabling capital market/finance arrangements and institutions and establishment of a municipal environment fund for project finance. Phase 3 also continues the deepening of the environmental agenda, moving on to begin pursuing some of the improvements in air quality potentially available from the increased supply of natural gas to the Shanghai metropolitan area. Despite major investments over the last decades in pollution control, and urban and environmental infrastructure and services, including three previous World Bank financed projects, the environmental conditions and municipal services in Shanghai are still of serious concern, and in some cases, deteriorating. Less than 60% o the wastewater and stormwater in the city is hygienically intercepted and disposed of and about 53% of municipal sewage flows are treated and safely disposed. In several sections of the Huangpu river including the upper reaches and urban sections, water quality cannot meet the applicable surface water quality standards designated for these areas and some even worse than the lowest standards, Category V indicating serious water pollution. The area sources from agricultural activities and major point source discharges from township and village industries and pig farms in the upper Huangpu area have not been effectively controlled threatening the water quality and ecosystem downstream and drinking water safety for millions of citizens in Shanghai. Municipal solid waste volume has been and will continue increasing while the existing sanitary landfill has only two years’ capacity remaining. The existing capacity for sanitary and safety disposal of municipal solid waste cannot handle all the solid waste

generated and random dumping of municipal solid waste with little engineering control still occurs around the city. Ambient air quality, particularly nitrogen oxides and dust participation, has also deteriorated during past few years. In addition, over 3 million urban residents are still living in very crowded conditions, with in adequate access to drinking water, sanitation and other municipal services, despite substantial progress during the last decade in upgrading of environmental and municipal infrastructure. The City is responding to local, regional and global environmental issues. SMG fully understands the highly complex and interrelated nature of the measures needed to address the urban environmental issues as well as the urgency for their implementation. A strategic framework including a series of environmental and urban upgrading programs for short- and long-term developments, based on innovative, ambitious and far-reaching policy themes, has been developed, adopted by SMG and included in the city’s Master Plan and Tenth Five Year Plan. These programs represent a deepening of the environment and urban sectors development agenda, as they progress from the relatively straightforward issues in water supply and primary types of infrastructure for wastewater collection (where substantial progress has been achieved under the previous two World Bank financed projects) into more difficult, complex and integrated areas such as wastewater treatment, solid waste management and air quality improvement. The proposed APLs represent World Bank’s continued support to SMG in its effort to achieve the ambitious environment improvement and urban upgrading objectives. The implementation of the APLs financed projects would improve the competitive advantage of Shanghai in the region and the world through improved urban environmental conditions, thus improving the quality of urban life within the municipality and the sustainability of its infrastructure. 3.2 Approach to and Objectives of EA Framework As APLs supported projects will be a series of progressive developments over a period of 5 to 10 years and not all the sites and specifics of activities and physical investments have been defined at once, a two-phased approach for EA is taken. A policy, methodology and general assessment framework (this Chapter) has been drafted during APL preparation and definition. Detailed and site specific environmental impacts assessments (EIAs) and environmental management plans (EMPs) will be prepared when physical investments of APL components have been defined or triggered during the different APL phases. The purpose of the EA framework is two folds: it provides a regulatory and policy framework and a methodology framework with which the detailed EA will be conducted for specific physical investments in APLs funded projects once they are defined; and it provides a generic assessment of potential impacts based on the types of the components which would be included in the APL projects in different phases. As such, the EA framework will provide a broad understanding of the nature and scale of the potential

impacts from APL projects even though the project components may not be fully developed at the planning stage. During its design, the APLs financed Shanghai Urban Environment Project (SHUEP) has taken full consideration in order to avoid or minimize activities and land occupancy that would result in adverse impacts to the natural and socio-economic environments, and to support and argument those which would result in positive impacts. According to World Bank’s OP4.01 and the relevant regulatory requirements of China, if a physical investment occurs in an APL component, an EA including preparation of EIA and EMP, would be a pre-requisite before the investment is approved by the state and/or municipal regulatory authorities (depending on the scale, nature and potential environmental impacts of the investments) and the World Bank. This EA will be initiated as early as possible in project processing and definition and be integrated closely with the economic, financial, institutional, social and technical analyses, as well as with the engineering design of a proposed physical investment. Many physical components in the APL supported SHUEP will be major infrastructure developments with profound impacts to social, economic and/or natural environments. The objective of the EA is to identify and determine the levels of these potential impacts at the project planning and design stage to ensure the development will be environmentally sound and sustainable. More specifically, the EA is to: • Evaluate the project's potential environmental risks and impacts in its area of

influence; • Examine project alternatives; • Identify ways of improving project selection, siting, planning, design, and

implementation by preventing, minimizing, mitigating, or compensating for adverse environmental impacts and enhancing positive impacts;

• Include the process of mitigating and managing adverse environmental impacts throughout project implementation. Preventive measures will be first considered and preferred over mitigatory or compensatory measures, whenever feasible; and

• Identify the responsibilities for environmental management of implementation organizations during both construction and operation phases, and clarify their timeline and obligations.

3.3 Regulatory and Policy Framework The guiding principle of the Environmental Assessment (EA) Framework is the relevant state and municipal environmental laws, regulations, guidance and environmental and urban/regional development master plans and strategic goals of China and Shanghai, as well as the World Bank’s Operational Policies (OP) 4.01 on Environmental Assessment, and other World Bank safeguards policies. More specifically, the applicable regulations in conducting EAs for all physical investments in the APLs supported projects are:

• Environmental Protection Law of PRC, December 1989; • Air Pollution Prevention Law of PRC, September 2000; • Water Pollution Prevention Law of PRC, May 1996; • Noise Pollution Prevention Law of PRC, October 1996; • Solid Waste Pollution Control Law of PRC, October, 1995; • Environmental Protection Management of Construction Project, State Council,

January 1998; • Environmental Impact Assessment Technical Guides of SEPA, November 1996; • Notice on strengthening environmental impact assessment work in construction

projects financed by international financial organizations” No. (1993) 324 of SEPA, State Planning Committee, Chinese Ministry of Finance and People’s Bank of China; and

• Shanghai Environmental Protection Regulations of Shanghai Municipal Government, December 1994.

One of the major objectives of EAs for the physical investments in the APL SHUEP is to support and comply with the regional environmental plans and strategic environmental goals in Shanghai. SMG has set forth ambitious urban environmental strategy and targets through the Shanghai City Master Plan (1999-2020), the Tenth Five Year Development Plan (2001-2005), Shanghai Environmental Master Plan (---------) and Comprehensive Huangpu Riverside Redevelopment Program (2002-2010). Collectively through these plans and programs, SMG has set the following environmental goals: Ambient air quality – meet the ambient air quality standards suitable for living and business development in Shanghai urban area by 2005 and meet the same quality levels as in developed countries for major air quality indicators at the time by 2010; Surface water quality – basically eliminate black and stink pollutant plumes in main waterways in the city proper and halt the water quality deterioration in the suburb by 2005, and restore the desired functioning of water bodies and aquatic ecosystem including returning of fish in waterways in Shanghai over the long term; Noise – comply 100% with residential noise standards, 90% traffic noise standards, 90% stationary source noise emission standards in short term and 95% traffic noise standards and 100% stationary source noise emission standards over the long terms; Solid waste management – achieve 90% sorted collection for municipal solid waste from the urban area, 64% re-use and resources recovery, and 100% environmentally sound disposal of all municipal solid waste from the urban area through landfill, incineration, bio-treatment and integrated resources recovery, by 2005; Greening – over 6 m2 of public green area per capita, 12 m2 total green area per capita, 30% green area coverage in the urban area for the short term and over 10 m2 public green area per capita, 21 m2 total green area per capita and 35% green coverage in the urban area for the long term (2020); and

Huangpu riverside redevelopment – convert a total of 6.83 km2 of riverside area, stretched along almost all urban section of the river, from current warehouses, docks, and industrial land into financial, trade, residential, parks and tourist attractions zones and potential site for the EXPO 2010 which Shanghai is applying to host. Together with regulatory requirements and standards, the above strategic goals will be the basis for the EAs for APL components. The EAs are to ensure that the APL supported activities will contribute achieving and comply with the environmental and urban development goals. Those to the contrary will be identified and analyzed in the EAs so that they can be avoided (the first choice), minimized or otherwise mitigated to acceptable levels. The EAs will also be guided by the World Bank ten safeguards policies. All the safeguards policies will be undertaken in a preliminary screening and, where triggered, applied in full assessment. These safeguards policies and the triggers for applications are summarized in Table 3-1.

Table 3-1 World Bank Safeguard Policies Policies Code Objective Trigger Environmental assessment

OP4.01 To ensure that Bank-financed projects are environmentally sound and sustainable, and that decision-making is improved through appropriate analysis of actions and of their likely environmental impacts

if a project is likely to have potential (adverse) environmental risks and impacts in its area of influence.

Forestry OP4.36 To reduce deforestation, enhance the environmental contribution of forested areas, promote afforestation, reduce poverty and encourage economic development.

By forest sector activities and other Bank sponsored interventions which have the potential to impact significantly upon forested areas.

Involuntary resettlement

OD4.30 OP4.12 (draft)

• Avoid or minimize involuntary resettlement where feasible, exploring all viable alternative project designs.

• Assist displaced persons in improving their former living standards, income earning capacity, and production levels, or at least in restoring them.

• Encourage community participation in planning and implementing resettlement

• Provide assistance to affected people regardless of the legality of title of land.

• Relocation or loss of shelter;

• Loss of assets or access to assets;

• Loss of income sources or means of livelihood, whether or not the affected people must move to another location

Indigenous people

OD4.20 • Ensure that the development process fosters full respect for the

• There are indigenous peoples in the project

dignity, human rights and cultural uniqueness of indigenous peoples.

• Ensure that they do not suffer adverse effects during the development process.

• Ensure that indigenous peoples receive culturally compatible social and economic benefits.

area, • Potential adverse impacts

on indigenous peoples are anticipated,

• Indigenous peoples are among the intended beneficiaries.

Policies Code Objective Trigger Safety of dams OP4.37 New dams: to ensure that

experienced and competent professionals design and supervise construction; the Borrower adopts and implements dam safety measures for the dam and associated works. Existing dams: to ensure any dam upon which the performance of the project relies is identified, a dam safety assessment carried out, and necessary additional dam safety measures and remedial work are implemented.

A project involving construction of a large dam (15 m or higher) or a high hazard dam and a project which is dependent upon an existing dam, or dam under construction (DUC).

Pest management

OP4.09 • Promote the use of biological or environmental control methods and reduce reliance on synthetic chemical pesticides. In Bank-financed agricultural operations, pest populations are normally controlled through Integrated Pest Management (IPM) approaches. In Bank-financed public health projects, the Bank supports controlling pests primarily through environmental methods.

• Ensure that health and environmental hazards associated with pesticides are minimized. The procurement of pesticides in a Bank-financed project is contingent on an assessment of the nature and degree of associated risk, taking into account the proposed use and the intended user.

• As necessary, strengthen capacity of the country's regulatory framework and institutions to promote and support safe, effective and environmentally sound pest management.

• Procurement of pesticides is envisaged (either directly through the project, or indirectly through on-lending, co-financing, or government counterpart funding).

• The project may affect pest management in a way that harm could be done, even though the project is not envisaged to procure pesticides. This includes projects that may (I) lead to substantially increased pesticide use and subsequent increase in health and environmental risk, (ii) maintain or expand present pest management practices that are unsustainable, not based on an IPM approach, and /or pose significant health or environmental risks.

Cultural OPN11. • To assist in their preservation, and By projects which, prima

property 03 OP4.11 (draft)

to seek to avoid their elimination. • Assist in the protection and

enhancement of cultural properties encountered in Bank-financed projects.

facie, entail the risk of damaging cultural property (e.g. any project that includes large scale excavations, movement of earth, surficial environmental changes or demolition)

Policies Code Objective Trigger Natural habitats

OP4.04 The Bank supports the protection, maintenance and rehabilitation of natural habitats in its project financing, as well as policy dialogue and analytical work. The Bank supports, and expects Borrowers to apply, a precautionary approach to natural resource management to ensure opportunities for environmentally sustainable development.

By any project (including subproject under a sector investment or intermediary loan) with the potential to cause significant conversion (loss) or degradation of natural habitats whether directly (through construction) or indirectly (through human activities induced by project).

Project in disputed area

OP4.60 To ensure that projects in disputed areas are dealt with at the earliest possible stage: so as not to affect relations between the Bank and its member countries; to affect relations between the Borrower and neighboring countries or other claimants; and not to prejudice the position of either the Bank or the countries concerned.

if the proposed project will be in a "disputed area." (Consult LEG for advice on identifying disputed areas) • Is the Borrower or

borrowers involved in any disputes over an area with any of its neighbors?

• Is the project situated in a disputed area;

• Could any component or sub-component financed or likely to be financed as part of the project situated in a disputed area?

Project in international waterways

OP7.50 To ensure that Bank-financed projects affecting international waterways would not affect: • Relations between the Bank and its

Borrowers and between states (whether members of the Bank or not), and

• the efficient utilization and protection of international waterways.

• Any river, canal, lake or similar body of water that forms a boundary between, or any river or body of surface water that flows through, two or more states, whether Bank members or not

• Any tributary or other body of surface water that is a component of any waterway described under (a); and

• Any bay, gulf strait, or channel bounded by two

or more states, or if within one state recognized as a necessary channel of communication between the open sea and other states, and any river flowing into such waters.

In this APL supported SHUEP, except Projects in International Waterways, Projects in Disputed Areas, and Safety of Dams which will not be relevant and thus be applied, all other safeguards policies will at least go through a screening and, where triggered by the above thresholds, full application during the EAs. 3.4 Description of APLs Programs The APLs supported program will be located in Shanghai Municipality including the core urban area or city proper and the upper Huangpu catchment which is the principal source of water for the city. The core urban area had a population of 8.7 million in 1999 with a density of 7,087 persons per square kilometer while the suburban districts and counties including the upper Huangpu area had a population of 4.4 million and density of 867 persons per square kilometer. Objectives, timeframes and components in the three phases of APL programs are: Phase 1 (2002-2007, Developing underpinnings and enabling conditions to pursue integrated/regional approach to urban environment issues): • facilities for the collection, treatment and disposal of domestic wastewater in the

urban area of Shanghai; • environmentally secure municipal solid and non-hazardous industrial waste disposal

facilities in the urban area; • urban environmental infrastructure services upgrading in underserved areas and

preserving valuable heritage elements and communities in the historic Old City, which is facing strong pressure for redevleopment;

• urban environment improvement, increasing more city open space; • protection of water resources in the Upper Huangpu Catchment, through providing

facilities and financing mechanisms for treatment and disposal of district wastewater and animal wastes; and

• strengthening of institutions with responsibility for environmental management including executive capacity building.

Phase 2 (2003-2008, Deepening the urban environment agenda and implementing the programs prepared under Phase 1): • urban wastewater management; • urban solid waste management; • urban environmental infrastructure services upgrading in underserviced area; • urban environment improvement, increasing more open space in urban areas;

• Upper Huangpu catchment environmental management; • air pollution management pilot program; and • institutional and executive management strengthening. Phase 3 (2006-2010, beginning to reap the benefits of the past efforts): • environmental infrastructure improvements in the Upper Huangpu catchment; • rehabilitation of antiquated wastewater infrastructure; • redevelopment of depressed and derelict areas, containing a high proportion of low-

income communities and large industrial communities, including housing; • first phase investments to address agricultural pollution control; • air quality management improvement investments; and • institutional and executive management strengthening and training. 3.5 General Environmental Impacts As a framework, environmental impact identification and assessment are of a generic, qualitative nature and not site and/or component specific. However, in general, the construction and operation of the APLs financed project components are expected to have the following positive and adverse impacts to the socio-economic and natural environments. Water Quality The implementation of APL financed SHUEP will significantly reduce sewage discharge into the upper Huangpu River, through the city reaches and to the Yangtze river mouth, as well as Huangpu River tributaries. Together with the Tenth Five Year Plan, SHUEP is expected to significantly contribute to reducing the pollutant load to the Huangpu River through sewage interception, conveyance from urban center to areas of less sensitivity and more assimilative capacity, and centralized treatment. As a result, Huangpu River quality is expected to meet Category IV standards in the middle to lower reaches and Category III in the upper reaches. The project will also contribute to the elimination of below Category V water bodies in all major waterways in Shanghai. While largely beneficial, SHUEP does pose potential adverse impacts to water quality. Large volumes of wastewater will be collected and, following the treatment, discharged in a single location. While the effluent will meet the discharge standards, the large volume of the discharge will place substantial pollutant loads on the receiving water body as pollutant concentrations in the treated effluent can still be several times higher than the desired surface water quality standards. The area of influence and levels of such impacts will depend to a large extent on the assimilative capacity and sensitivity of the receiving water and adjacent areas. Therefore, siting of wastewater treatment plants and discharge outfalls based on hydrodynamic modeling and assessment of impacts not only on the near field from the outfall but also on the entire area of influence will be required each time a wastewater treatment plant is to be included in APLs funded programs. Because of the hydraulic conditions and existing water quality of Huangpu river, discharges of wastewater treatment effluent to Huangpu river could have adverse impacts on water

quality extended to the downtown Shanghai including some of the water purification plants intakes, particularly in the undesirable scenarios such as dry seasons and emergency conditions requiring wastewater bypass. Other potential impacts to water quality include solid waste hauling by barge, sludge disposal, solid waste landfill leachate infiltration and drainage runoff, pesticide usage in green and landscaped areas, water front construction activities, etc. These adverse impacts can be controlled through careful evaluation and selection of alternative sites, impacts assessment, and incorporation of appropriate mitigation measures into engineering designs. Solid Waste Management By 2010, Shanghai plans to achieve 98% source separation of municipal solid waste, 20% recycling, 95% collection through compacted container trucks, 100% disposal in a sanitary and engineering controlled manner, and 70% of night soil collected and disposed of through the municipal sewer system and sewage treatment facilities. SHUEP will be implemented in the same period and its municipal solid waste components will help in achieving these goals. However, the operation of landfill would generate leachate which, if not appropriately contained, collected and treated, could impacted the groundwater at the landfill sites. There could be other adverse impacts of the solid waste handling and disposal, including nuisance odor, flies, landfill gas, littering, and pest management. Air Quality Ambient air quality is a high priority issue for SMG. Air quality improvement components have been included in the later phases of SHUEP. These will include centralized space heating, and cleaner fuel such as compressed natural gas (CNG) for city buses and taxi, etc. Other components throughout SHUEP will also contribute to the improvement of ambient air quality in Shanghai, such as landscaping and greening. Construction of virtually all APL funded physical works will have impacts on air quality from such sources as air-borne dust. Such impacts are expected to be short-term and localized and can be controlled to acceptable levels with appropriate mitigation measures. Wastewater operation such as grit removal, sludge disposal, solid waste collection, transfer and disposal can also generate nuisance odor affecting the immediate surrounding areas. Ecological Conditions The urban environment improvement (greening and landscape) components in SHUEP will help improve the urban eco-environment and the living conditions. The benefits will primarily be demonstrated in the following areas: • Alleviation of the “heat island” effect in the micro-climate of the project areas. The

high population density, dense buildings and development, and industrial,

commercial, transport and other major city activities are all among the cause of the serious “heat island” effect in urban Shanghai. Creation of more green areas and large open spaces, especially large trees will be used to introduce micro-climates on the project sites and in the immediately adjacent areas. Studies have shown that large green and open space is capable of creating a micro-climate with lowered the area ambient air temperature by approximately 0.6oC.

• Improvement of urban scenery. The greening and landscaping will have positive visual impacts in the urban area largely dominated by concrete and glass towers. Old Town upgrading, cultural property preservation and industrial community redevelopment will improve the environmental conditions in these areas.

• Air quality and noise control. Plants are known to be able to reduce air borne dust, and absorb certain air contaminants. Thick trees and woodland can also help attenuate urban noise.

Land Acquisition and Resettlement A certain amount of land will be permanently occupied by physical works in SHUEP. Houses on the land will be demolished and residents, relocated and resettled. Most of the land is urban land or sterile land in the suburbs already reserved for infrastructure projects. The redevelopment of these land, particularly those for greening, landscape, Old City upgrading and industrial community redevelopment will help improve the impacts areas, including reduction of population density, increase in land value, and neighborhood environment improvement. The residents and organizations on the project acquired/occupied land will be relocated mostly to the outer part or suburb of the city. The impacts will be mixed. The residents will lose their current convenience of being in the urban center, such as public transport network, shopping, education, entertainment, and access to other services and institutions typically located in the downtown areas. However, the relocated residents will enjoy much improved living conditions compared with their current conditions. Most of the project affected residents now live in underserviced areas of the city with very crowded housing and in adequate municipal services such as water supply and plumbing. According to the relevant guidelines and resettlement action plans, The relocated housing will provide up to four times of more living space than their current residences and the new housing will be fully equipped with water supply and sanitation, situated in a better surrounding environment and ambient surrounding conditions such as much more green and open spaces, low noise, better air quality, less traffic congestion, etc. The new areas will also be provided with public transport, school, hospitals, commercial areas and other urban infrastructure and services. Cultural Properties One of the objectives of SHUEP is the preservation of cultural properties through Old City upgrading and cultural property preservation components. The implementation of the program will provide better protection of the cultural properties.

However, cultural property preservation and upgrading components require special assessment by cultural heritage professionals and archaeologist. Any mis-design, even with the intention of preservation, or inappropriate construction activities could result in potential damage to the valuable historical and cultural sites or architecture. Professional archaeological screening will also be needed in the physical works sites to ensure SHUEP projects will not impact currently unknown archaeological and other cultural relics potentially existing on the project sites. Policy and Institutional Reform Policy and financial reform, capacity building and institutional strengthening will be an integral part of SHUEP and critical to its success. Through these initiatives, SHUEP will aim to achieve: • Substantial corporatization of municipal services to ensure urban environment

infrastructure will operate efficiently and sustainably; • Establishment of reasonable and affordable service tariff system for water and

municipal solid waste so that the municipal services will eventually be financially self-supporting;

• Effective water conservation program to reduce water usage rates and preserve the natural resources;

• Private participation in infrastructure project financing in order to widen funding sources, optimize capital structure in urban environment projects and balance risks between public and private parties in infrastructure development;

• Successful issuance of municipal bonds – another non-government funding source for infrastructure project funding;

• Establishment of an independent price setting mechanisms for municipal services; and

• Waste management mechanisms, including permitting and permit trading, solid waste management, wastewater treatment plant operations, etc.

Compatibility with Shanghai’s Master Plan and Other Development Programs The overall objectives and definition APLs project fully comply with the Shanghai’s development strategy, economic reform and re-structuring and policy themes. The components proposed for APLs funding over the next eight years support the implementation of specific items in the Shanghai’s Master Plan in urban infrastructure development and upgrading in areas of sewerage systems, environmental sanitation, landscape, greening, historical site preservation, and improvement in policy, planning and implementation mechanisms. The APLs financed projects are also in full compliance with the objectives and physical investments of other relevant city plans in Shanghai such as the Tenth Five Year Plan and the Comprehensive Redevelopment Program for the Huangpu riverside. 3.6 Methodology Framework

When physical investments of project components for each phase of APLs are being defined, a site/component specific EA will need to be conducted to identify and quantitatively evaluate potential impacts in greater details, to analyze alternatives, and to plan measures for mitigating potential adverse impacts. The EA for each APL phases will be conducted through the following tasks: Project Analysis The objective of a project analysis is to identify pollutant sources, quantity, discharge loads and discharge routes through analysis and understanding of proposed APLs funded physical investments. As such, the analysis will also determine the key factors which could potentially bring in adverse impacts of the road to the surrounding biophysical and socio-economic environments, and bridge construction and operation, help determine the feasibility of various mitigation measures and provide a basis for the impact assessment and mitigation planning. The methodology used for the project analysis will include collection and review of available information and existing data, particularly APLs components planning, feasibility and other project study documents, analogy with similar operating projects elsewhere, for the types and intensity of pollution, and site investigation as necessary. Environmental Baseline Understanding of environmental baseline in the project region and project sites is critical to analyze alternative sites and evaluate the potential impacts in the later stage of the EA. The baseline conditions include existing air quality, water quality and hydrology, soil and hydro-geology, flora and fauna, acoustic conditions, and sensitive receptors such as drinking water sources, residential areas, natural habitats, cultural properties, etc. A complete inventory of sensitive receptors in the project area are important as they will be the focus of impact assessment and mitigation planning. Environmental baseline data are obtained through collection of historical data, supplemented by environmental monitoring programs designed specifically for the project. Detailed investigations of the project sites and the surrounding areas are essential for understanding environmental baseline. Water Quality Impact Assessment Two and/or three dimensional mixing and degradation models are the most important tool to establish necessary knowledge of the water fluxes and to predict the impact of wastewater discharges following the treatment to the surface water bodies, basically Huangpu river or Yangtzi river estuary. The water quality model will be primarily used for assessment of project impact. The model will be applied for both high and ebb tides, during the dry season and during the emergency conditions when the wastewater treatment must be shut down and wastewater will be bypassed without treatment.

Water impact assessment must be closely related to the conditions and sensitivity of the receiving water. Nature of the river side land uses, future development plan of the riverside, functioning and water quality category designation of the receiving water bodies, locations of drinking water intakes and fish habitats, visual impacts and environmental aesthetics, etc. Sludge disposal is probably single largest adverse environmental impact a largely beneficiary wastewater treatment project can generate. Impact assessment for wastewater treatment plants must include detailed assessment for sludge handling and disposal, including sludge generation, thickening and dewatering, storage, hauling, and disposal. The EA must ensure that any proposed sludge disposal option be technically mature and feasible, and economically sustainable. Noise Impact Assessment Noise impact will be predicted by using models which have been proven fit to the project site conditions. The results of the noise prediction modeling will be applied to determine the potential impacts of the project construction and operation in comparison with the applicable standards with a focus on sensitive receptors. The modeling results are particularly relevant as a reference for development of mitigation measures. Air Quality Impact Assessment Air emissions sources from various project facilities in both construction and operation stages will be identified. The impact such emissions will be assessed through dispersion modeling to determine the potential adverse impacts on the areas immediately surrounding the project areas, particularly the sensitive receptors such as schools and residential areas, as well as regional impacts. Biological Systems and Scenery Impact Assessment The scope of the impact assessment for biological systems and scenery will include all plants and major scenery within 200 m of proposed sites. Impacts to trees and greens areas will be determined based on the potential damages or removal/occupation. The scenery assessment will be mostly conducted through visual observations. Construction Phase Impact Assessment Construction phase impact assessment will be conducted based on the understanding of construction activities for APL projects. For many components such as interception pipelines, sewer network upgrading, urban environment improvement through creation of more green and open space and cultural property preservation, construction is the main activities which could result in adverse impacts and therefore is the focus of the impact assessment. The potential impacts will include, but not limited to:

• Air quality primarily from airborne dust caused by excavation, demolition, materials handling and increased traffic;

• Noise from construction machinery and construction trucks, particularly at night and other sensitive time periods near the sensitive receptors;

• Water quality from construction camps discharges and machinery or construction vehicle washing; In- and near water construction could also impact the waterbodies potentially through increased suspended solids, oil and grease and impacts on hydrology;

• Impacts on traffic, particularly in the congested areas in the urban centers, as many of the construction activities would require temporary occupation of urban roads, forced them to semi- or completely closed during construction; and

• Construction materials exploration and transportation, such as sand, gravel and earth, spoiled materials disposal, construction camps, traffic disruption, site safety, hazardous materials handling, etc.

Safeguards Policies Screening and Assessment The EA will include considerations of the World Bank’s ten safeguard policies. Those which are likely the issues with SHUEP will undertake a screening and, if triggered, a full assessment. The likely application of safeguards policies in the APL funded project components are: Full Application • OP/BP/GP4.01, Environmental Assessment; and • OD4.30, Involuntary Resettlement. Screening and if triggered, full application A screening will first be conducted for the following policies. If the screening results exceed the thresholds, a full assessment will be triggered. If the screening results do not, the application of the particular policies in this EA will be terminated: • OP/GP4.36, Forestry; • OP/BP4.04, Natural Habitats; • OPN11.03 and soon to be OP4.11, Cultural Property; and • OP4.09, Pest Management. Not applicable The APL funded project components do not involve issues related to the following safeguards policies and they will therefore not applied in the EA. • Safety of Dams (OP/BP4.37); • Indigenous People (OD4.20); • Projects in Disputed Areas (OP/BP/GP7.60); and

• Projects on International Waterways (OP/BP/GP7.50). Mitigation Planning Mitigation planning will be based on the result of the impact assessment. The overall objective is to avoid, reduce or minimize the adverse impacts to the acceptable levels. The general criteria for acceptable impacts will be compliance with applicable state and local discharge and/or ambient environmental quality standards. The mitigation measures will be developed for three stages of the project: • Design stage: those which need to be incorporated into project engineering design,

such as noise mitigation, wastewater treatment and solid waste landfill design modifications, etc.

• Construction stage: those which will be applied in the construction stage such as mitigation measures to be implemented by contractors at the construction sties; and

• Operation stage: those which will be implemented in operation stage such as those to be implemented by the wastewater and solid waste management operation company.

The mitigation measures will cover air, noise, water, biological systems, and socio-economic systems, and will be specific and detailed enough for implementation and supervision. Public Consultation There will be at least two rounds of public consultation: the first round will be carried out at the EA terms of reference stage to inform the public of the project and solicit public concerns and opinions. The second stage will be at the draft EA report stage to inform the public of the results of the assessment, including assessment of issues raised by the public in the first round of consultation. Also in the second round, the mitigation measures planned for the project will be communicated to the public, focusing on those raised by the public, to determine whether the affected and concerned public is satisfied with the mitigation proposed. The major methods of public consultation will include: • Public meetings/hearings; • Interviews with selected public members or institutions; and • Public opinion polls. The public consultation will focus primarily on those groups or individuals who will be directly affected by the project construction and operation. More specifically, these include schools, urban residences, rural villages, shops, institutions/office towers, and factories within the project impacted areas. To reach the affected public, public notice for the consultation process will be distributed or advertised to ensure those who are concerned and wish to express their opinions on the

environmental issues of the project have the opportunities to express their thoughts. In addition, EA TOR, draft report and final report, when finished, will be released and displayed in public accessible places for public review. Public consultation and information release are a continued process and the EA team will maintain such a process throughout the EA process as well as recommending project executing agencies to continue the consultation process during project construction and operations. Environmental Management Planning Based on the impact assessment results and mitigation planning of An environmental management plan will be developed for APL funded projects covering both the construction and operation stages. The environmental management plan will have, but not limited to, the following key components: • Environmental management organizations and their specific responsibilities in APL

project development; • Key impact mitigation measures; • Environmental monitoring programs for both construction and operation stages,

focusing on monitoring of the receiving environment of the project; • Environmental training; and • Cost estimate for environmental management. Besides a chapter in the EIA report, a stand alone Environmental Management Plan (EMP) will be prepared as part of the EA documentation for each of the APL projects.




APPENDIX E RAP POLICY FRAMEWORK FOR SHUEP

APL

1

SHANGHAI APL II RESETTLEMENT POLICY FRAMEWORK

Draft, July 25, 2004

(Converted from RPF for APL I Dated April 29, 2001) A. Objective of the Policy Framework 1. With consideration that the Shanghai APL II (the Project) will involve land

acquisition and resettlement which may or may not be identified prior to project appraisal, there is need to formulate a Resettlement Policy Framework (RPF) to place the policy, principles, institutional arrangements and procedures that the Project Proponent will follow during preparation and implementation of subproject involving unavoidable resettlement.

2. Provision is also made in the RPF for the process for reviewing and accepting subsequent Resettlement Action Plans (RAP) before any subproject is approved for inclusion in World Bank-supported programs.

B. Laws and Regulations for Resettlement and Land Use 3. The RPF is formulated according to the World Bank's OP 4.12 and China's laws and

regulations related to land and resettlement.

4. The overall objectives of the World Bank's OP 4.12 on involuntary resettlement are the following:

a) Involuntary resettlement should be avoided where feasible, or minimized, exploring all viable alternative project designs;

b) Where it is not feasible to avoid resettlement, resettlement activities should be conceived and executed as sustainable development programs, providing sufficient investment resources to enable the persons displaced by the project to share in project benefits.

c) Displaced persons should be meaningfully consulted and should have opportunities to participate in planning and implementing resettlement programs; and

d) Displaced persons should be assisted in their efforts to improve their livelihoods and standards of living or at least to restore them, in real terms, to pre-displacement levels or to levels prevailing prior to the beginning of project implementation, whichever is higher.

e) Displaced persons should be provided prompt and effective compensation at full replacement cost for losses of assets attributable directly to the project.

5. Based on the OP4.12, in case resettlement and land acquisition cannot be avoided, a

RAP should therefore be prepared and followed in order to ensure improvement to the affected or at least restoration of their living standards.

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6. The contents of the RAP policy framework should be based on the laws and regulations, such as:

a) Land Administration Law of China (1999); b) Relevant provisions of Land Administration Law of China; c) Provision of Urban Housing Demolition Management Regulation (June 13, 2001); d) Notice of Compensation Rates for Property on Land Requisitioned for

Construction by Shanghai Land Administration Bureau in 1990; e) Notice of Adjusting Compensation Rates for Property and Land Requisitioned for

Construction (proposal) and Compensation Rates for Houses and Attachments, by Shanghai Land Administration Bureau in 1993;

f) Shanghai Administration Regulations for Land for Construction, issued in January, 1992 and revised in December ,1997;

g) Notice on Implementation of Land Administration Law of China; h) Approval of Adjusting Compensation Rates of Land Requisition, by Shanghai

Price Bureau and Shanghai Finance Bureau in 1999; i) Notice of Supplementary of Shanghai Taxes for Using Cultivated Land

Regulation, by Shanghai Finance Bureau in1998; j) Shanghai Resettlement Regulations for Agricultural Population with Collective

Land Requisitioned for House Construction, issued with Shanghai People's Government Order No.62 on April 22,1994;

k) Notice of Increasing Pension for People Affected by Land Requisition, by Shanghai Labor and Social Security Bureau in 1999.

C. Basic Principles Guiding Resettlement Activities 7. In line with OP 4.12 and China’s China's laws and regulations related to land and

resettlement, basic principles are as follows:

a) During its design, all subprojects under the Shanghai APL II will take full consideration in order to avoid or minimize permanent and/or temporary occupancy of land that would result in involuntary resettlement;

b) If involuntary resettlement is unavoidable, RAPs will be formulated to eliminate or minimize the negative impacts;

c) Adequate funds will be timely provided for implementing RAPs; d) Preparation and implementation of RAPs will be conducted in consultation with

the local governments and the displaced persons; e) Compensation will be paid at replacement costs without depreciation, and such

payments will be made prior to land acquisition and relocation of the displaced persons;

f) The displaced persons will be assisted in their livelihood rehabilitation activities during relocation;

g) The living standards of the displaced persons will be either restored or improved, after resettlement activities;

h) Absence of legal or formal title will not be an obstacle for the affected to get compensation and assistance during the resettlement implementation;

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i) All the costs related to land acquisition and structure demolition will be included in the project cost estimates;

j) Adequate supervision and monitoring should be introduce to the resettlement management in order to timely identify the potential issues related to the land usage and resettlement;

k) The resettlement organizations and their responsibilities should be defined or clarified at the project preparation stage; and

l) RAP is a pre-requisite before the subproject involving resettlement is listed in the overall project investment plan. All RAPs will be reviewed and approved by the municipality/district and be submitted to the World Bank for prior review.

D. Measures to Avoid or Minimize Resettlement

a) Taking full consideration in the design alternatives with regard to the socio-economic impacts of the project should be an important factor in the profit-loss analysis of the project;

b) Making project design to steer clear of residential areas, units and farmland; c) Minimizing scope of permanent and temporary occupation of land; d) Abbreviating construction period and land leasing duration in order to minimize

the negative impacts due to the project; e) Temporary land usage will be undertaken between autumn harvest and winter

planting seasons. The compensation for land and its green crops would be compensated before the land usage;

f) Any land usage would be strictly controlled and any land acquirement and leasing will be submitted for approval.

E. Planning and Implementation of Land Acquisition and Resettlement 8. All activities involving land acquisition and resettlement will formulate a plan for

land acquisition and resettlement and implementation, which will serve as the basis for initiation of the activities;

9. Where less than 200 people are affected, an abbreviated plan would be prepared including:

a) a census survey of displaced persons and valuation of assets; b) description of compensation and other resettlement assistance to be provided; c) consultations with displaced people about acceptable alternatives; d) institutional responsibility for implementation and procedures for grievance

redress; e) arrangements for monitoring and implementation; and f) a timetable and budget.

10. If more than 200 people are affected, a full plan would be prepared. A basic outline of a full land acquisition and resettlement plan (see Annex I) would include:

a) The objective for land acquisition and its location and scope;

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b) The principles for the land acquisition and relevant policy and law; c) Social and economic investigation of the scope of land acquisition; d) Impact of land acquisition and compensation standard; e) Measures for restoring of livelihood and production of the displaced persons; f) Cost estimates and fund management for land acquisition; g) Implementation schedule; h) Establishment of land acquisition institution and personnel allocation; i) Public participation; j) What impact will land acquisition bring to farmers and community; k) Complains and grievance; l) Monitoring & evaluation and report system; m) Annex, maps and tables.

F. Design Procedures for Land Acquisition and Resettlement

a) Investigation on social and economic situation in the would-be land acquisition areas (a socio-economic survey);

b) Investigation and registering of affected population (persons, households, villages, types and quantities and the affected scope etc., i.e. census and inventory); and

c) Formulating measures for land acquisition and resettlement in line with relevant policy, law, regulation and compensation standard.

G. Information Dissemination during Planning 11. From project inception up to the end of resettlement implementation, information on

the project and the resettlement related national laws and regulations have and continue to be publicized through public participation activities. Resettlement workers and local governments are responsible for informing the displaced persons of the following: affected assets; the calculation process for compensation standards; means of compensation; relocation methods; the disbursement and utilization of resettlement compensation; their rights and preferential policies; etc.

12. RAPs of the project will be available in libraries at City and County level for the stakeholders and relocated households.

13. The dissemination of Resettlement information booklet. The issuance of these information booklets will be of paramount importance in ensuring awareness of all displaced persons, enhancing transparency, and increasing the efficiency of resettlement operations.

H. Grievance Redress Mechanism 14. During project resettlement planning the displaced persons and units' rights will be

fully recognized, maintained, and protected. In addition to some adequate compensation, opportunities and rights for further development will be made available for them. The mechanism of claiming will be regulated and set up in the

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action plan of the land acquisition and resettlement. In particular, if any project affected person have justified grievances during implementation, they will have an adequate channel to report to and make claims to the department(s) concerned. Such claims must be found in conformity with the plan and policy to be settled quickly.

I. Monitoring and Evaluation 15. In the case of land acquisition and resettlement in a sub-project, SHUE PMO will

employ an independent third party to be responsible for monitoring and evaluation of the land acquisition, resettlement and compensation. In addition, PMOs at each level should include construction land, land acquisition and compensation items in the project progress table when submitting it to higher-level PMOs.

16. Monitoring and evaluation personnel should regularly check and visit the site to assess progress and identify problems, and ask the project office at each level to take measures to solve problems, if any.

17. Main Monitoring Indicators would include:

a) Signing land acquisition agreement; b) Payment of compensation expenses; c) Time to raise compensation funds and its disbursement period; d) Changes in the affected household economic situation; e) Implementation of the planned measures; f) Usage of the occupied land; and g) Re-cultivation time of the temporarily acquired land.

J. Resettlement Management Organizations and Their Responsibilities 18. The coordination of resettlement projects. Given the project covers a number of sub-

projects from different Districts and belonging to diverse departments, the Project proponent should set up a specific resettlement office to coordinate all the resettlement assignments of the sub-projects. The tasks of the resettlement office are to cooperate with staff from each sub-project, to organize and implement the implementation of resettlement, and to summarize and report the outcome of the resettlement situation. The resettlement office will:

a) Organization and supervision of the resettlement structure of the Project to realize the resettlement target of the project;

b) Direct the construction units to follow this document to formulate RAPs; c) Coordinate the setup of the resettlement management system under sub-projects,

and manage the other issues such as funding of resettlement; d) Supervise and/or implement the resettlement; e) Coordinate relationship between the construction units and those affected; f) Summarize the resettlement implementation progress and report semi-annually

the resettlement progress and effects to the World Bank, as well as supply cooperation to the supervision of the World Bank Mission;

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g) Employ and supervise external monitoring unit. K. Resettlement Management Capacity Strengthening 19. Each resettlement office at various levels should staff 1 to 2 workers and be equipped

with basic facilities such as vehicles, computers, faxes and phones. The resettlement training program should cover each resettlement office, and the training cost should be included in the total budget of the project.

20. Training program for resettlement staff. In order to strengthen the management capacity of the resettlement staff, it is necessary to set up a training system. The training program would include technical lectures, seminars, on site project visits and training on duty. The contents of training will cover

a) Resettlement policy and management method; b) Management of Plan and design; c) Implementation Management; d) Management on the implementation progress; e) Financial management; f) Quality control; g) Management information system; h) Resettlement supervision; i) Resettlement monitoring and evaluation; j) Project Management.

L. Reporting System 21. The project resettlement office should develop a set of reporting tables to collect and

manage information of resettlement information from each sub-project.

22. The project resettlement office should semi-annually prepare a progress document and submit to the Bank.

23. Independent Monitoring Report should be reported twice a year.

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Annex I: TOC of RAPs 1 Project Description 1.1 Brief Introduction of the Project 1.2 Areas Affected/Benefited By the Project 1.3 Socio-economic background of the project area 1.4 Approval of the project 1.5 Design process of the project 1.6 Project ownership and organizations 1.7 Target of resettlement and rehabilitation 2 Project Impacts 2.1 Definition of the displaced persons by the project 2.2 Impacts of the project 2.2.1 Components of the projects 2.2.2 Project Impacts 2.3 Impacts Analysis 2.3.1 Impact Analysis on Land Used Temporarily 2.3.2 Impact Analysis on Land Acquisition 3 Socioeconomic Survey 3.1 Procedure of Socioeconomic Survey 3.2 Analysis of the Socio-economic Situation 3.3 Interview with the affected 4 Resettlement Policies and Compensation Rates 4.1 Laws and Regulations 4.2 Administration Procedures 4.3 Resettlement Policies of the Project 4.4 Compensation Rates 4.4.1 Land compensation 4.4.2 House compensation 4.4.3 Other compensation 5 Rehabilitation Scheme for PAPs' Production and Living 5.1 Resettlement of Residents 5.2 Resettlement Scheme for Enterprises Affected 5.3 Environment Protection 6 Cost and Budget 6.1 Cost 6.1.1 Basic Cost 6.1.2 Management fee 6.1.3 Contingencies fee 6.1.4 Survey and Design Cost

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6.1.5 Monitoring and evaluation costs 6.2 Annual Investment Plan 6.3 Fund Source 6.4 Cash Flow 7 Public Participation and Appealing 7.1 Public Participation and Information Publication 7.2 Procedures of Appealing 8 Organizations and Management 8.1 Concerned Organizations for Resettlement Action 8.2 Responsibilities of Each Organization 8.2.1 Organizations in Charge 8.2.2 Organizations' Responsibilities 8.2.3 External Monitoring Unit 8.3 Measures for institutional strengthening 8.4 Monitoring 8.4.1 Internal Monitoring 8.4.2 External Independent Monitoring 8.4.3 Monitoring Indicators 9 Schedule of Implementation 9.1 Resettlement and Implementation of the Project 9.2 Implementation Schedule of Resettlement 9.2.1 The principles for making schedule of acquisition and resettlement 9.2.2 Overall Plan of Land Acquisition and Resettlement 10 Entitlement Matrix List of Tables List of Photos List of Maps List of Annexes

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