SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 E1091 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK v6 TABLE OF CONTENTS 1. INTRODUCTION ...................................................................................................................................... 1 1.1. GENERAL BACKGROUND FOR EA ................................................................................................................ 1 1.1.1. CLASSIFICATION OF EA .................................................................................................................. 1 1.1.2. PRINCIPLE AND METHODOLOGY FOLLOWED..................................................................................... 1 1.1.3. COVERAGE OF EA .......................................................................................................................... 1 1.2. LAYOUT OF EA REPORT .............................................................................................................................. 1 2. POLICY, LEGAL AND ADMINISTRATIVE FRAMEWORK ................................................................................. 2 2.1. NATIONAL POLICIES AND TARGETS ............................................................................................................. 2 2.2. ENVIRONMENTAL INSTITUTIONS AND ROLES................................................................................................. 3 2.2.1. NATIONAL LEVEL: EPC AND SEPA................................................................................................. 3 2.2.1.1. ENVIRONMENTAL PROTECTION COMMISSION (EPC) ......................................................... 3 2.2.1.2. STATE ENVIRONMENTAL PROTECTION ADMINISTRATION (SEPA)...................................... 3 2.2.1.3. ADMINISTRATIVE CENTER FOR AGENDA 21 ...................................................................... 4 2.2.2. PROVINCIAL AND MUNICIPAL EPB................................................................................................... 4 2.3. LEGAL ENVIRONMENTAL FRAMEWORK ........................................................................................................ 4 2.3.1. ENVIRONMENTAL IMPACT ASSESSMENT .......................................................................................... 4 2.3.1.1. EIA SUPPORTING LAWS & REGULATIONS .......................................................................... 4 2.3.1.2. EIA PROCEDURES ........................................................................................................... 5 2.3.2. ENVIRONMENTAL QUALITY STANDARDS .......................................................................................... 6 2.3.3. INTERNATIONAL CO-OPERATION...................................................................................................... 7 2.3.3.1. INTERNATIONAL CONVENTIONS ON ENVIRONMENT ............................................................ 7 2.3.3.2. WORLD BANK ENVIRONMENTAL SAFEGUARDS ................................................................. 7 2.3.4. LAND ACQUISITION, COMPENSATION & RESETTLEMENT STANDARDS ............................................... 8 3. SHANGHAI DISTRICT FINANCING VEHICLE................................................................................... 9 3.1. DFV’S INITIAL PROJECT PORTFOLIO.................................................................................................... 9 3.1.1. CHENGQIAO DOMESTIC WASTEWATER COLLECTION AND TREATMENT. .......................................... 10 3.1.2. HUAXIN WASTEWATER COLLECTION. ............................................................................................ 10 3.1.3. CHONGMING DOMESTIC SOLID WASTE LANDFILL........................................................................... 10 3.1.4. JINSHAN DOMESTIC SOLID WASTE COLLECTION............................................................................ 10 3.2. ADDITIONAL INVESTMENTS. ....................................................................................................................... 10 4. METHODOLOGICAL FRAMEWORK .......................................................................................................... 11 4.1. PRELIMINARY SCOPING OF IMPACTS .......................................................................................................... 11 4.1.1. FULL APPLICATION ....................................................................................................................... 11 4.1.2. SCREENING AND IF TRIGGERED, FULL APPLICATION ....................................................................... 11 4.1.3. NOT APPLICABLE .......................................................................................................................... 11 4.2. STRATEGIC ENVIRONMENTAL CONSIDERATIONS ........................................................................................ 12 4.3. PROJECT ANALYSIS .................................................................................................................................. 12 SOGREAH - REPORT N° 655055 PAGE I 2004 – DECEMBER SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK 4.4. ENVIRONMENTAL BASELINE ...................................................................................................................... 12 4.5. WATER QUALITY IMPACT ASSESSMENT ..................................................................................................... 13 4.6. NOISE IMPACT ASSESSMENT ..................................................................................................................... 13 4.7. AIR QUALITY IMPACT ASSESSMENT ........................................................................................................... 13 4.8. BIOLOGICAL SYSTEMS AND SCENERY IMPACT ASSESSMENT ...................................................................... 13 4.9. CONSTRUCTION PHASE IMPACT ASSESSMENT ........................................................................................... 14 4.10. MITIGATION PLANNING .............................................................................................................................. 14 4.11. PUBLIC CONSULTATION ............................................................................................................................ 14 4.12. ENVIRONMENTAL MANAGEMENT PLANNING ............................................................................................... 16 4.13. MAPS & DIAGRAMS ................................................................................................................................... 16 LIST OF APPENDICES APPENDIX 1: ENVIRONMENTAL STANDARDS IN PRC APPENDIX 2: SUMMARY TABLE CONCERNING WORLD BANK SAFEGUARD POLICIES SOGREAH - REPORT N° 655055 PAGE II 2004 – DECEMBER SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK LIST OF TABLES TABLE 1: PUBLIC CONSULTATION & INFORMATION DISCLOSURE AIDE MEMOIRE FOR GPRDUEP..............................................................15 SOGREAH - REPORT N° 655055 PAGE III 2004 – DECEMBER SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK LIST OF FIGURES SOGREAH - REPORT N° 655055 PAGE IV 2004 – DECEMBER SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK ABBREVIATIONS, ACRONYMS AND UNITS BOD5 Biochemical Oxygen Demand (5 days) COD Chemical Oxygen Demand CSEMP Construction Site Environmental Management Plan EIA Environmental Impact 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 GEF Global Environment Facility GIS Geographic Information System ISO 14001 Quality Standard for Environmental Management System MNR Municipal Nature Reserve NCP Nuisance Control Plan NGO Non-Government Organization NNR National Nature Reserve PAP Project Affected Person PIU Project Implementation Unit PMO Project Management Office PPE Personal Protective Equipment PRC People’s Republic of China RAP Resettlement Action Plan SA Social Analysis SDPC State Development Planning Committee SEPA State Environmental Protection Administration SNE Sewer Network Extension SRS Standard Site Inspection Review Sheet SS Suspended Solids TA Technical Assistance WB World Bank WWTP Wastewater Treatment Plant CURRENCIES RMB Chinese Yuan (Renminbi) USD United States Dollar Conversion rate: 1 USD = 8 RMB SOGREAH - REPORT N° 655055 PAGE V 2004 – DECEMBER SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK 1. INTRODUCTION 1.1. GENERAL BACKGROUND FOR EA 1.1.1. CLASSIFICATION OF EA In accordance with PRC National Regulations and the World Bank Operational Policy 4.01 related to Environmental Assessment, the concerned wastewater components of the Project would most likely fall under the Category A project and as such, they will require full EA. 1.1.2. PRINCIPLE AND METHODOLOGY FOLLOWED In accordance with the Government Regulation “Strengthening Environmental Impact Assessment (EIA) Management for the Construction Project Loaned by International Finance Organisation” of June 21, 1993 and the World Bank Safeguards Operational Policy, the Project Owner, will commission a local institute or institutes to carry out the EA studies for the wastewater components. Similarly, Resettlement Action Plans (RAP) for each of the subcomponents will be carried out by a local institute in accordance with the PRC regulations and the World Bank Safeguards, and an overall RAP will be prepared with the assistance of the DRA Consultant. 1.1.3. COVERAGE OF EA This Framework EA has been carried in accordance with the State and Shanghai laws, codes and criteria relating to environmental protection. It has been developed to provide guidance to Chinese EA preparers concerning the technical demands of international financial organisations with respect to environmental safeguard measures. In practice this means meeting the requirements of the World Bank’s environmental safeguards, and more precisely those of the Operational Policy 4.01 for EA. 1.2. LAYOUT OF EA REPORT The following chapters of this report present the detailed analyses conducted as part of the Overall Environmental Assessment. • Chapter 2 Discusses the policy, legal and administrative framework within which the EA will be conducted describing both the environmental requirements of the PRC and the World Bank • Chapter 3 Provides a summary technical presentation of the DFV Component; • Chapter 4 provides a methodological framework for the preparation of the individual EAs The report is accompanied by a series of Appendices covering the following topics : • APPENDIX 1: Environmental Standards in PRC • APPENDIX 2: Summary Table Concerning World Bank Safeguard Policies SOGREAH - REPORT N° 655055 PAGE 1 2004 – DECEMBER SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK 2. POLICY, LEGAL AND ADMINISTRATIVE FRAMEWORK 2.1. NATIONAL POLICIES AND TARGETS China’s vision for the future conditions of the environment has been expressed by SEPA1 : “The vision is that within the next decades, polluted and toxic rivers and waters will again be clear, the air will be clean and fresh to breathe, the soils will be fertile, the forests will grow and be healthy, and the natural resources shall be used in a way that ensures there is enough also for future generations.” This vision concords with that of the World Bank in their policy document for China’s Environment in the 21st century entitled “Clear Water, Blue Skies” (1997). Both visions embody the concepts of “sustainable development” and “environmental regeneration” at the heart of the World Bank’s Lending Policy in which sustainable development is a requirement that all projects must meet. China has put the issue of environmental protection as one of its fundamental policies to guarantee a sustainable development of the nation in the 21st century. The Chinese government has drawn up three main principles for pollution control: • Prevention first and combining prevention with control, • Polluters pay, and • Strong environmental regulatory framework Prevention should be achieved by the obligation to carry out environmental impact assessments for all new projects and by the "three-at-a-same-time" system by which pollution prevention and control should be carried out simultaneously with the planning, the construction and the putting into operation of new projects. A regulatory framework has been set up, including laws for environmental protection and prevention and control of water pollution, standards for emission of pollutants and regulations concerning environmental fines for units that exceed the set limits. The water pollution control issues have been given attention in the Tenth Five-Year Plan. Particular concern is given to the surface water quality, to the water shortages and to the industrial pollution from large industries as well as from Town and Village Enterprises (TVEs). The China Trans-Century Green Project is an important component part of the National Ninth and Tenth Five-year Plan for Environment Protection and the long-term Target for the Year 2010. It is a concrete plan with specific projects and key areas, designed to organise the relevant departments, localities and enterprises and pool financial and material resources in carrying out a series of project measures with regard to some key regions ,major basins and vital environmental problems and in conformity with the implementation of international conventions ,wages several great campaigns, promote the work as a whole and declare war on environmental pollution and ecological destruction under control by and large and improve the environmental quality of some cities and regions at the end of this century and gradually attain the general objectives of environmental protection in China in 2010 (SEPA). "The Green Project", spanning 15 years ,is divided into three phases . The first phase ran simultaneously with the "Ninth Plan", that is between the year 1996 and 2000. The second and third Phases follow sequentially. The principles for compiling a project under of the "Green Project" are : • Special attention is paid to major environmental problems; • Technology and economy are both feasible ; 1 SEPA, 1998. State of the Environment in China SOGREAH - REPORT N° 655055 PAGE 2 2004 – DECEMBER SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK • Consideration must be given to environmental ,social and economic benefits ; • "Polluter pays for the pollution"; the capital input is to be borne mainly by the localities and the enterprises; • The implementation of every project will be regulated by the current investment management system. In November 1998, the State Council issued the National Ecological Environment Construction Plan. Based on ecological environment protection and conservation in China, this new plan introduced some important aspects related to terrestrial ecological environment conservation. The main content of the plan included the protection of natural resources such as natural forests, tree and grass planting, water and soil conservation, desertification control. These activities should all be carried out with particular emphasis on public participation and with the effective use of modern technologies. 2.2. ENVIRONMENTAL INSTITUTIONS AND ROLES 2.2.1. NATIONAL LEVEL: EPC AND SEPA 2.2.1.1. ENVIRONMENTAL PROTECTION COMMISSION (EPC) This Commission, situated at the highest level of the central Government, has the function to formulate and issue laws and regulations for environmental protection and to put forward planning requirements. 2.2.1.2. STATE ENVIRONMENTAL PROTECTION ADMINISTRATION (SEPA) SEPA was set up as a ministry at the end of March 1998 when the National Environmental Protection Agency (NEPA) was upgraded from a sub-ministry to a ministry level. Presently, SEPA is a ministerial-level authority directly under the State Council responsible for the environmental protection in China. Its main responsibilities are as follows: • To formulate national guidelines, policies, laws and regulations on environmental protection and provide supervision over their implementation. • To work out national plans and programmes for environmental protection; to participate in the formulation of medium and long-term programmes and annual plans for national economic and social development. • To formulate and issue national standards for environmental protection. • To oversee environmental protection concerning the atmosphere, water, soil and oceans; to provide supervision and management for the control and prevention of pollution. • To formulate and organize the implementation of national policies for environmental protection. • To supervise and administer the country’s work in nature conservation and to make programmes and plans for establishment of nature reserves, preparing and presenting proposals to the State Council for approval in establishing new national nature reserves. • To organize the implementation of environmental management and enforcement, provide monitoring and perform environmental impact assessments. • To manage and supervise environmental monitoring nationwide. • To direct and coordinate national education on environmental protection. • To assist in the formulation of China’s basic principles on global environmental issues and to participate in negotiations dealing with international conventions. SOGREAH - REPORT N° 655055 PAGE 3 2004 – DECEMBER SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK 2.2.1.3. ADMINISTRATIVE CENTER FOR AGENDA 21 In 1992 and 1993, China developed a National Agenda 21 - White Paper on China's Population, Environment and Development in the 21st Century. A Leading Group co-chaired by a deputy minister of the State Science and Technology Commission and a deputy minister of the State Planning Commission was established in August 1992 to organise and coordinate the formulation and implementation of China's Agenda 21, which was approved by the State Council in March 1994. In 1994, the State Council also issued a directive calling on government institutions at all levels, to consider China's Agenda 21 as an overarching strategic guideline for the formulation of economic and social development plans, and particularly to integrate it into the Five Year Plan (1996-2000), plans for the year 2010, and into day-to-day management. Agenda 21 aims to solve pressing problems associated with population, natural resources, environment and development confronting the country. A priority programmes of the Centre will be incorporated into medium-and long-term national economic and social Development plans particularly the Tenth Five-Year Plan (2001-2006). The priority programmes of China's Agenda 21 include 69 programmes in nine distinct groups, including some having a direct relationship with the present project as Cleaner Production and Environmental Protection Industry (Group3), Environmental Pollution Control (Group9). An Administrative Centre for China’s Agenda 21 has been set up to coordinate and follow the implementation of the Priority Program by the several institutions concerned. 2.2.2. MUNICIPAL EPB Environmental Protection Bureaus (EPBs) at the level of the Municipality are in charge of • Drafting local laws and regulations. • Issuing administrative regulations. • Organizing work on environmental monitoring and control. • Supervising the treatment of pollution. • Dealing with the major pollution incidents; and • Carrying out education and training in environmental protection. 2.3. LEGAL ENVIRONMENTAL FRAMEWORK 2.3.1. ENVIRONMENTAL IMPACT ASSESSMENT 2.3.1.1. EIA SUPPORTING LAWS & REGULATIONS At National level Since 2002, the EIA process in China is under the Environmental Impact Assessment Law (2002- 10-28). Several other national laws and regulations provide a legal background to EIA: • Environmental Protection Law (1979 & 1989) • Regulation on the Environmental Protection Management of Construction Projects (1986, 1998, by the State Council) • Environmental Protection Management for Construction Projects, State Council, November 1998; • Regulations on the Certificate for the EIA of Construction Projects (1989 NEPA) • Regulations on Criteria for the Classification of Construction Project on a Large and Medium Scale SOGREAH - REPORT N° 655055 PAGE 4 2004 – DECEMBER SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK • Regulations on Environmental Impact Assessment: Standards of Environmental Protection Industry of the People’s Republic of China, HJ/T2.1-2.3, 93 • Regulations on Environmental Impact Assessment: Non-pollution Ecological Impact (Standards of Environmental Protection Industry of the People’s Republic of China, HJ/T19, 1997) Technical regulations for EIA consist of environmental quality standards, basic health standards, public safety standards, standards for controlling toxic and radioactive substances, and pollutant emission standards. Except for the pollutants emission standards, local governments are not allowed to adopt their own prescriptions in any of the other four categories having to follow the national regulations. At Municipal level: To be completed 2.3.1.2. EIA PROCEDURES Environmental regulations in China require developers to submit EIA reports to the Environmental Protection Bureau and other concerned departments. Each EIA report must specify measures to ensure that environmental standards are met in the design, construction, and operation phases EIA reports must be prepared by specialists/institutions that hold a Certificate for Assessment issued by either the State Environmental Protection Agency or a related provincial authority. Legally, the environmental agencies at provincial or municipal levels have the authority to review and approve all EIA reports regardless of the project’s scale. In practice, EIA reports for large projects are normally handled in conjunction with the SEPA which plays a leading role. Small and local projects with an investment under RMB 30 million are generally reviewed and approved by local environmental agencies (Environmental Protection Bureaus, EPBs). For projects funded by such international institutions as the World Bank or the Asian Development Bank, the EIA requirements are slightly different, with the obligation to fulfill also the requirements of the concerned institution. In this case, two sets of documents are prepared, one following Chinese EIA regulations, the other following the requirements of the international funding agency. This is the situation of the present project. However, differences between both requirements are limited, most of the requirements from both side being the same. Differences concern mainly specific points as the analysis of project alternative and systematic public hearing of target population and beneficiaries. The provincial and municipal EPBs are in charge of monitoring the projects’ progress and report any irregularities to SEPA. The EIA Stage The core of the project’s feasibility study is the EIA. In the scrutiny of the project proposal, the environmental agency will decide on the proper format of the EIA report. EPB screens the project in order to decide which category the project belongs to. The 3 categories are: • Category 1: Project with significant impacts for which full EIA is required • Category 2: Project with limited impact and easy mitigation, for which only simplified EIA is required • Category 3: Project with little or no impact for which only an EIA table to be filled is required. SOGREAH - REPORT N° 655055 PAGE 5 2004 – DECEMBER SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK The project proponent/owner will then commission an EA specialist/institution to prepare the Terms of Reference for the EA report (huanping dagang) to be approved by the Environment Agency (EPB, SEPA). Once it is approved, the project proponent will finalize a contract with the EIA specialist/institution who will then prepare the EIA study and reports. The EIA report has to be drafted with reference to local environmental quality standards and pollutants emission standards Once finished, the EA report is first examined by the commercial and industrial authorities that have jurisdiction over the project, followed by the Environmental Agency (EPBs, SEPA) If the project is believed to have significant environmental impacts or to involve complicated environmental issues, it can be requested the EIA specialist/institution testify before a panel of experts organized by the environmental agency. The environmental agency has the final authority to accept or reject the EIA report The “three synchronization” stage The approval of EA report brings the project into the last stage of the process, the “three synchronization” stage The environmental agency will ensure that environmental prescriptions specified in the EA report are followed in the project design, construction, and completion phases. 1. During the design phase, the proponent will prepare and submit to the environmental agency the project’s environmental plan which specifies actions for carrying out the environmental protection measures prescribed in the EA report and provides an investment budget; 2. During the construction phase, the construction contractor is required to provide regular reports on specific matters arising during construction, such as the difficulty in complying with emission standards for example 3. At the completion phase, the project proponent should submit an application for test operation to the EPB and to other concerned municipal authorities. 2.3.2. ENVIRONMENTAL QUALITY STANDARDS Most of the following standards are detailed in Appendix 3: Environmental Quality Standards. National standards for surface water quality previously enforced successively by GB3838-1983, and GB3838-1988 were recently revised in 2002 (GB3838-2002). The water bodies are divided into five classes according to their utilization purposes and protection objectives: • Class I is mainly applicable to spring water and to national nature reserves. • Class II is mainly applicable to first class of protected areas for main sources of drinking water, for the protection areas of rare fish species, and for spawning grounds for fish and shrimp. • Class III is mainly applicable to second class of protected areas for main sources of drinking water, and to protected areas for the common fish and for swimming areas. • Class IV is mainly applicable to the water for industrial use and entertainment which has no direct contact with human body. • Class V is mainly applicable to water bodies for agricultural use and landscape requirement. Wastewater treatment plant effluents must conform to the Comprehensive Emission Standards of Waste Water (GB8978-1996), revised in 2002. SOGREAH - REPORT N° 655055 PAGE 6 2004 – DECEMBER SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK Several other standards apply either during the construction or operation phases of the project. These include mainly: • Drinking Water Quality Standards GJ3020-1993 • Ground Water Quality Standards GB/T14848-1993 • Environmental Air Quality Standard (GB3095—1996) with regulation GB3095-96 for Fluoride and standard for maximum concentration of Chlorine from Industry Designing Sanitary Standards (TJ36-1979). • Standards for the Protection of Crops (GB9173—88) set the maximum concentration of some air pollutants in order to preserve the safe consumption of crops. • Class Two standard of Urban Area Environmental Noise Standards GB3096-1995, which applies to residential, commercial and industrial mixed area. • Environmental vibration adopts Urban Area Environmental Vibration Standards GB10070-88, which apply to mixed area and commercial centre area, day 75dB(A), night 72dB(A). • Exhaust gas which adopts Comprehensive Emission Standards of Air Pollutant (GB16297- 1996) • Construction noise which adopts Limiting Values for Construction Area (GB12523—90) • Control standards for pollutants in sludge for agricultural use GB 4284-1984 2.3.3. INTERNATIONAL CO-OPERATION 2.3.3.1. INTERNATIONAL CONVENTIONS ON ENVIRONMENT China is a Party to several international treaties or conventions in the field of Environment: • 1971 Ramsar Convention on Wetlands of International Importance Especially as Waterfowl Habitat and 1972 London Convention • 1972 Convention concerning the protection of the World Cultural and Natural Heritage • 1973 Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES) • 1985 Vienna Convention for the protection of the Ozone layer • 1987 Montreal Protocol on Substances that deplete the Ozone layer • 1990 Amendment to the Montreal Protocol on Substances that deplete the ozone layer • 1989 Basel Convention on the Control Trans-boundary movements of Hazardous wastes and their Disposal (ratified 17 Dec.91) • 1992 Convention on Biological Diversity (ratified 5 Jan.93) • 1992 UN framework Convention on Climate Change • Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES) Treaties and Conventions China has signed but not yet ratified: • Convention to Combat Desertification • Convention on Nuclear Safety • Protocol to the Antarctic Treaty on Environmental Protection – Madrid • Kyoto Protocol • China has been actively participating in the implementation of the amended London Guidelines for the Exchange of Information on Chemicals in International Trade. 2.3.3.2. WORLD BANK ENVIRONMENTAL SAFEGUARDS The World Bank requires environmental assessment (EA) of projects proposed for financing to help ensure that they are environmentally sound and sustainable, and thus to improve decision making. SOGREAH - REPORT N° 655055 PAGE 7 2004 – DECEMBER SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK For any project processed with the participation of an International Funding Agency, in addition to the fulfilment of national requirements, the proponent must also satisfy the requirements of the funding organisation. Environmental and social policies and requirements of the World Bank are presented in the following reference safeguards: • Operational Policy 4.01, Environmental Assessment, January 1999 (including Annex A, Annex B, Annex C, dated January 1999) • Operational Policy 4.04, Natural Habitats, June 2001 • Operational policy 4.09, Pest management, December 1998 • Operational Policy 4.11, Cultural Property, August 1999 • Operational Policy 4.12, Involuntary Resettlement, December 2001 • Operational Directive 4.20, Indigenous Peoples, September 1991 • Operational Policy 4.36, Forests, September 1993 (including Annex A, dated March 1993) • Operational Policy 4.37, Safety of Dams, October 2001 • Operational Policy 7.50, Projects on International Waterways, June 2001 • Operational Policy 7.60, Projects in Disputed Areas, June 2001. 2.3.4. LAND ACQUISITION, COMPENSATION & RESETTLEMENT STANDARDS The Resettlement Action Plan (RAP) prepared for the present Project follows National, Provincial and Municipal laws, regulations and guidelines for land acquisition and resettlement as well as the recommendations of WB-OD 4.12 related to Involuntary Resettlement. The most relevant national, provincial and municipal laws and regulations are listed below. • Land Management Law of People's Republic of China • Implementation Measures of Guangdong Provincial Land Management • Compensation Standards for Agricultural Land Acquisition • Guangzhou Municipal Ordinances on Urban Housing Resettlement Management • Implementation Details of Urban Housing Resettlement Management and Compensation • Regulations of Urban Housing Resettlement Management and Compensation • Regulations on Overseas Chinese-Owned Urban Housing Demolition Affected in Land Acquisition for State Project in Guangdong Province SOGREAH - REPORT N° 655055 PAGE 8 2004 – DECEMBER SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK 3. SHANGHAI DISTRICT FINANCING VEHICLE As part of the Shanghai Urban Environment Program (SHUEP) Adaptable Program Loan Stage 2 (APL2), the Shanghai Municipal Government (SMG) proposed to establish a centralized mechanism through which a portion of the proceeds of the World Bank loan can be distributed to District Governments and their affiliated companies for long-term financing of environmental infrastructure. This mechanism is called the “District Financing Vehicle”, or DFV. It is managed through a special purpose subsidiary corporation that has been formed by Shanghai Chengtou Corporation . This company is named “Shanghai Chengtou Environment Assets Management Co. Ltd.” (SCEAM). SCEAM is the legal entity that provides financing to Districts. The rationale for the DFV is lodged in the enormous urban growth pressures that Shanghai is facing in its inner and outer suburban areas. SCEAM estimates that Shanghai’s population could reach approximately 24 million by 2020, an increase of 6 million people from the 2003 population of 18 million. Virtually all of this growth will occur in suburban Districts. The DFV has two principal operational objectives, and two policy objectives. The operational objectives are to: 1) directly provide long-term financing for District and Town-level urban environmental infrastructure; and 2) provide a central vehicle for facilitating accelerated access by District and Towns governments and their operating companies to World Bank support for the development of environmental infrastructure. The two policy objectives are to: 1) improve the effectiveness of capital investments in District and Town-level infrastructure through project preparation and management to international standards; and 2) improve the effectiveness and efficiency of delivery of environmental infrastructure services at the District and Town levels. In the medium term (3-5 years), DFV may pursue two additional policy objectives: 1) promotion of access to local capital markets for infrastructure financing; and 2) facilitation of public-private partnerships in the delivery of environmental infrastructure services across Shanghai Municipality. The core function of DFV is to provide funds for the financing of environmental infrastructure by District governments and their project companies. DFV provides three types of funds: 1) proceeds from APL loans from the World Bank; 2) other long-term and low cost investments with a tenor of 10-20 years; and 3) grant-based capital investments. These financing instruments are managed on the basis of practices and procedures that conform to requirements of the World Bank. DFV acts as intermediary between final users in Districts and the Shanghai Municipal Government and the World Bank. DFV ensures that all projects in which it invests meet the requirements of SMG and the World Bank, thereby assuming the management tasks and reporting obligations that would otherwise be incurred by District borrowers in the absence of DFV’s intermediary function. 3.1. DFV’S INITIAL PROJECT PORTFOLIO DFV is currently considering initial investments in the following four projects: 1) Chengqiao Domestic Wastewater Collection and Treatment; 2) Huaxin Wastewater Collection; 3) Chongming Domestic Solid Waste Landfill; and 4) Jinshan Domestic Solid Waste Collection. SOGREAH - REPORT N° 655055 PAGE 9 2004 – DECEMBER SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK 3.1.1. CHENGQIAO DOMESTIC WASTEWATER COLLECTION AND TREATMENT. The project consists of a WWTP in the largest town in Chongming County, and collection sewers. The proposed WWTP will serve an area of 77 km2, with service population of 270,000 by 2020. Anticipated wastewater flows to be generated within the service areas would amount to 40,370 m³/day by 2007, 56,840 m3/day by 2010, and 107,020 m3/day by 2020. The WWTP has been designed for phased implementation including short-term and long-term considerations. The first phase of the WWTP will provide a capacity of treatment of 50,000 m3, and serve an area of 36 km2, During Phase I, civil and site works will be built to the full capacity of 50,000 m3/day, but treatment process equipment will be initially installed up to 25,000 m3/day and duplicated by 2010. The second phase of the WWTP will provide an ultimate treatment capacity of 100,000 m3/day to accommodate the entire service area by 2020. The treatment selected is the Anaerobic-Oxic process (A/O) which has performed successfully elsewhere in China. 3.1.2. HUAXIN WASTEWATER COLLECTION. The long-term plan for wastewater management in Huaxin Town in Qingpu Districts involves constructing a wastewater treatment plant to 45,000 t/day to serve the town seat and surrounding villages within the administrative area of 48 km². The total investment to reach 45,000 m³/day would be 200 million RMB. Phase I will involve the construction of a plant with 15,000m³/day treatment capacity. The WWTP will be developed through BOT, but Huaxin Town has asked DFV to co-finance the costs of developing the first phase of the sewer system, including pumping stations. 3.1.3. CHONGMING DOMESTIC SOLID WASTE LANDFILL. The project is the design and construction of a sanitary landfill to serve the entire County. The long-term integrated waste disposal strategy for Chongming County (entire island) will ultimately include recycling of materials at the source/transfer station, composting of organics, and the recovery of energy from landfill gas. There is also a plan for mining the landfill in the future to remove organics and upgrade them using composting, and to expand the life of the landfill. Long- term waste reduction will be achieved by recycling and composting. Residues will be landfilled. Incineration is not being considered. The proposal is for Stage 1 of the strategy, the design and construction of the first phase of a new sanitary landfill. The landfill will be developed in 3 stages for an ultimate design capacity of 34 years. The first phase will provide 11 years of capacity. The first project stage is scheduled to begin in 2005, and provide 300 – 500 ton/day for 11 years of disposal capacity. 3.1.4. JINSHAN DOMESTIC SOLID WASTE COLLECTION. Upgrades are required for the collection and transfer system across Jinshan District on the border with Zhejiang Province. Vehicles are old and there are only 2 transfer stations. The project consists of upgrading and expanding the collection and transfer system, including 26 8-ton trucks, and 11 15-ton trucks, a transfer station, and containers. The district is planning on building an incinerator with adjacent landfill for the ash, but these two components are not to be co-financed by DFV. The site for the transfer stations have yet to be identified, but the incinerator and landfill are to be located adjacent to the Xinjiang wastewater treatment plant on the south coast of Jinshan District along Hangzhou Bay. 3.2. ADDITIONAL INVESTMENTS. DFV is currently examining 11 additional project opportunities across Shanghai Municipality in the water, wastewater, and solid waste sectors. SOGREAH - REPORT N° 655055 PAGE 10 2004 – DECEMBER SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK 4. METHODOLOGICAL FRAMEWORK When physical investments of project components for inter-municipal component are being defined, a site/component specific EA will need to be conducted to identify and quantitatively evaluate potential impacts in greater details, to analyse alternatives, and to plan measures for mitigating potential adverse impacts. The EA for each component will be conducted through the following tasks 4.1. PRELIMINARY SCOPING OF IMPACTS A preliminary scoping of the EIA studies associated with the proposed DFV components of SHUEP should be undertaken. This preliminary scoping should help Chinese institutions in charge of EIA studies for the various components of the Project to focus more easily and more appropriately on environmental issues which need special care and attention in preparing the related Terms of Reference and in carrying out the Environmental Assessment. Also, it should help in producing study reports which satisfy the requirements of the DFV. The EA will include considerations of the World Bank’s ten safeguard policies (see Appendix 2). Those which are likely will undertake a screening and, if triggered, a full assessment. The likely application of safeguards policies in the DFV funded project components are: 4.1.1. FULL APPLICATION • OP/BP/GP4.01, Environmental Assessment; and • OD4.30, Involuntary Resettlement. 4.1.2. 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. 4.1.3. 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). SOGREAH - REPORT N° 655055 PAGE 11 2004 – DECEMBER SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK 4.2. STRATEGIC ENVIRONMENTAL CONSIDERATIONS Aside from the scoping of impacts and environmental issues to be covered by the EIA, some more general and strategic environmental considerations should apply in the selection of alternatives. From the environmental point of view, the selection of the best site for the environmental infrastructure should rely on: • Residential areas: should be as far as possible from residential areas, in order to avoid nuisance and conflicts with surrounding population. • Access to site should be easy from large axis, and should not cross dense residential or commercial areas. If sludge has to be disposed off by trucks, this may result in an unacceptable heavy traffic of trucks in such crowded areas. • Size of the site should be large enough to allocate enough area, for possible extension reserve and for tree plantation around the site. • In the case of WWTP, the site or outfall should be located as downstream as possible in order to favor a better dilution of treated effluent, and to minimise the risk of impact on water intakes during backflow periods in the dry season. Among other key issues to be addressed by the EIA, the sludge management is crucial. • The WWTP will produce large amounts of sludge to be disposed off. According to the quality of the sludge, and particularly with regards to its heavy metal content, it may be safely disposed on land, re-use in agriculture or tree plantation. To maintain the safety level, it will be an obligation to enforce strictly the regulation related to the discharge of industrial effluents in the sewer network and to propose efficient and applicable monitoring solutions. The issue of treatment, transport and disposal of WWTP sludge should be carefully adressed by the EIA study in a wider approach. 4.3. 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 physical investments. As such, the analysis will also determine the key factors which could potentially bring in adverse impacts of the projects to the surrounding biophysical and socio-economic environments, 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 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. 4.4. 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. SOGREAH - REPORT N° 655055 PAGE 12 2004 – DECEMBER SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK 4.5. WATER QUALITY IMPACT ASSESSMENT Dependent on the characteristics of the receiving water, a variety of 1 dimensional and/or two dimensional modelling tools will be required to analyse the impact of the discharges on surface water bodies in the Shanghai area. The 1 dimensional model will be generally used to analyse impacts at the river basin level, outside of the mixing zone. Because of tidal effects within Shanghai, this will generally consist of a coupled dynamic hydraulic-water quality model. In general two (possibly three) dimensional models will be used to investigate impacts within the mixing zone of outfalls or impacts within the estuary/bay/lakes. The water quality model will be primarily used for assessment of project impact and should be calibrated with respect to existing conditions. The models 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. 4.6. NOISE IMPACT ASSESSMENT Noise impact will be predicted by using models which have been proven to fit 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. 4.7. 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. 4.8. 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. SOGREAH - REPORT N° 655055 PAGE 13 2004 – DECEMBER SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK 4.9. CONSTRUCTION PHASE IMPACT ASSESSMENT Construction phase impact assessment will be conducted based on the understanding of construction activities for DFV projects. For many components such as interception pipelines, sewer network upgrading, 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. 4.10. 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. 4.11. 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. SOGREAH - REPORT N° 655055 PAGE 14 2004 – DECEMBER SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK 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. The following table provides an Aide Memoire to the various stages of public consultation and information disclosure required by the World Bank. TABLE 1: PUBLIC CONSULTATION & INFORMATION DISCLOSURE AIDE MEMOIRE FOR GPRDUEP SUBSTANCE BY WHOM WITH WHOM WHEN WHERE BANK’S REQUIREMENT Interview during field OD 4.30 and OP social economic survey 4.01 and follow-up field surveys RAP outline consultation Draft EA TOR OP4.0: consultation consultation during TOR stage (their work done before OP requirement) EA TOR consultation OP4.01: consultation during TOR stage (their work done before OP requirement) Distribution of questionnaires and key EA and RAP messages in bullet point format in first public meetings RAP Surveys Distribution of project OP4.01: information and draft Consultation prior EA and RAP in second to finalization of public meetings draft report Final EA Final RAP DOCUMENT DATE OF DISCLOSURE LOCATION BANK’S REQUIREMENT Copies of EA TOR and RAP OP 4.01; OD 4.30; outline BP 17.50 Questionnaires and key EA and RAP messages Draft EA reports Draft RAP reports Final EA and RAP reports Notice for availability of EA and RAP reports on Web Site Resettlement information booklet SOGREAH - REPORT N° 655055 PAGE 15 2004 – DECEMBER SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK 4.12. ENVIRONMENTAL MANAGEMENT PLANNING Based on the impact assessment results and mitigation planning of an environmental management plan will be developed for DFV 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 the DFV 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 the DFV Project. 4.13. MAPS & DIAGRAMS The EIA should be illustrated with the following maps and diagrams as a minimum: • Maps illustrating location of the proposed project • Diagrams illustrating the proposed project • Maps and diagrams associated with baseline conditions • Location of monitoring points for establishing baseline conditions; • Location of “sensitive spots”; • Location of associated disposal sites during both construction and operation • Location of monitoring points as part of the EMP. SOGREAH - REPORT N° 655055 PAGE 16 2004 – DECEMBER SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK APPENDIX 1 ENVIRONMENTAL STANDARDS IN PRC SOGREAH - REPORT N° 655055 PAGE 1 2004 – DECEMBER SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK ENVIRONMENTAL QUALITY AND EMISSION STANDARDS 1. ENVIRONMENTAL QUALITY STANDARDS 1.1. ENVIRONMENTAL AIR QUALITY STANDARDS Environmental Air Quality Standard (GB3095—1996) with regulation GB3095-96 for Fluoride and standard for maximum concentration of Chlorine from Industry Designing Sanitary Standards (TJ36-1979). ENVIRONMENTAL AIR QUALITY STANDARDS CONCENTRATION LIMITS POLLUTANTS SOURCE OF STANDARDS AND UNITS 1 HOURLY DAILY YEARLY AVERAGE AVERAGE AVERAGE SO2 0.50 0.15 0.06 (GB3095—1996) Nox 0.15 0.10 0.05 3 (mg/Nm ) TSP 0.30 0.20 — 3 F 7 20 (GB3095—1996) (µg/m ) 3 Cl2 0.10* 0.03 (TJ36—79)(mg/Nm ) 1.2. AIR QUALITY STANDARDS FOR THE PROTECTION OF CROPS Standards for the Protection of Crops (GB9173—88) set the maximum concentration of some air pollutants in order to preserve the safe consumption of crops.. AIR POLLUTANT CONCENTRATION LIMITS FOR PROTECTING CROPS AVERAGE DAILY POLLUTANT CONCENTRATIO AVERAGE ANY SENSIBILITY CROPS S N IN GROWING CONCENTRAT TIME SEASON ION Winter wheat, spring wheat, barley, Sensitive crop 0.05 0.15 0.50 soybean, ginger, spinach, cabbage, SO2 and so on (mg/m ) 3 Medium Rice, corn, cotton, tobacco, tomato, 0.08 0.25 0.70 sensitive crop broomcorn, etc. Insensitive crop 0.12 0.30 0.80 Horsebean, , taro, strawberry, etc. SOGREAH – BYN – N°– 355073 NOVEMBER 2003 PAGE 1 SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK AVERAGE DAILY POLLUTANT CONCENTRATIO AVERAGE ANY SENSIBILITY CROPS S N IN GROWING CONCENTRAT TIME SEASON ION Winter wheat, earthnut, sugar Sensitive crop 1.0 5.0 cane, apple, peach, pear, etc. NOx Middling Barley, rice, corn, soybean, 2.0 10.0 (mg/dm d) 2 sensitive crop broomcorn, cabbage, etc. Cotton, tea, helianthus, eggplant, Insensitive crop 4.5 15.0 capsicum, potato, etc. 1.3. ENVIRONMENTAL QUALITY STANDARDS FOR SURFACE WATER Surface Water Quality Standards (GB3838—2002) are presented in the following table. Some parameters not covered by this standard adopt the Class I of the Fishery Water Quality Standards (GB11607—89) and of the Waste Water Comprehensive Emission Standards (GB8978—1996). ENVIRONMENTAL QUALITY STANDARDS OF SURFACE WATER (GB3838-2002) UNIT: MG/L (EXCLUDING PH) REF POLLUTANTS CLASS I CLASS II CLASS III CLASS IV CLASS V 1 pH 6 to 9 6 to 9 6 to 9 6 to 9 6 to 9 2 DO > 7.5 6 5 3 2 (or 90% sat) 3 COD Mn ≤ 2 4 6 10 15 4 CODCr ≤ 15 15 20 30 40 5 BOD5 ≤ 3 3 4 6 10 6 N-NH3 ≤ 0.015 0.5 1.0 1.5 2.0 7 Total phosphorus (P) ≤ 0.02 (0.01)* 0.1 (0.025)* 0.2 (0.05)* 0.3 (0.1)* 0.4 (0.2)* 8 Total Nitrogen (N) ≤ 0.2 0.5 1.0 1.5 2.0 9 Copper (Cu) ≤ 0.01 1.0 1.0 1.0 1.0 10 Zinc (Zn) ≤ 0.05 1.0 1.0 2.0 2.0 11 Fluoride (F) ≤ 1.0 1.0 1.0 1.5 1.5 12 Selenium (Se) ≤ 0.01 0.01 0.01 0.02 0.02 13 Arsenic (As) ≤ 0.05 0.05 0.05 0.1 0.1 14 Mercury (Hg) ≤ 0.00005 0.00005 0.0001 0.001 0.001 15 Cadmium (Cd) ≤ 0.001 0.005 0.005 0.005 0.01 6+ 16 Chromium (Cr ) ≤ 0.01 0.05 0.05 0.05 0.1 17 Total lead (Pb) ≤ 0.01 0.01 0.05 0.05 0.1 - 18 Total cyanide (CN ) ≤ 0.005 0.05 0.2 0.2 0.2 19 Volatile phenol ≤ 0.002 0.002 0.005 0.01 0.1 20 Oil ≤ 0.05 0.05 0.05 0.5 1.0 21 Anionic detergent ≤ 0.2 0.2 0.2 0.3 0.3 22 Sulphide ≤ 0.05 0.1 0.2 0.5 1.0 23 Coli forms (number/L) ≤ 200 2000 10,000 20,000 40,000 *Value within bracket for lakes and reservoirs * Fishery water quality standards , ** Class 1 of Waster water comprehensive emission standards SOGREAH – BYN – N°– 355073 NOVEMBER 2003 PAGE 2 SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK 1.4. DRINKING WATER QUALITY STANDARDS Drinking Water Quality Standards GJ3020-1993 is presented in the following table. WATER QUALITY STANDARDS OF DRINKING WATER REF PARAMETERS LIMITS FOR CLASS 2 1 Colour no obvious colour 2 Turbidity 3 Smell and taste No obvious smell and taste 4 pH value 6.5 to 8.5 5 Total hardness by CaCO3 (mg/L) <=450 x+ 6 Dissolved Fe (mg/L) <=0.5 7 Manganese (mg/L) <=0.1 8 Copper (mg/L) <=1.0 9 Zinc (mg/L) <=1.0 10 Volatile hydroxybenzene (by phenol) (mg/L) <=0.004 11 Anion synthetic detergent (mg/L) <=0.3 12 Sulfate (mg/L) <250 13 Chloride (mg/L) <250 14 DTS (mg/L) <1000 15 Fluoride (mg/L) <=1.0 16 Cyanide (mg/L) <=0.05 17 Arsenic (mg/L) <=0.05 18 Selenium (mg/L) <=0.01 19 Hg (mg/L) <=0.001 20 cadmium (mg/L) <=0.01 21 chrome +6 (mg/L) <=0.05 22 Pb (mg/L) <=0.07 23 Ag (mg/L) <=0.05 24 Beryllium (mg/L) <=0.0002 25 N-NH3 (mg/L) <=1.0 26 Nitrate by Nitrogen (mg/L) <=20 27 COD KMnO4 (mg/L) <=6 28 Benzene (µg/L) <=0.01 29 DDT (µg/L) <=1 30 BHC (µg/L) <=5 31 BaiJunqing (mg/L) <=0.01 32 Total coli form group (no./L) <=10000 33 Total α radioactivity (Bq/L) <=0.1 34 Total β radioactivity (Bq/L) <=1 SOGREAH – BYN – N°– 355073 NOVEMBER 2003 PAGE 3 SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK 1.5. ENVIRONMENTAL QUALITY STANDARDS FOR GROUND WATER Ground Water Quality Standards GB/T14848-1993 is presented in following table. QUALITY STANDARDS FOR GROUND WATER REF PARAMETER CLASS I CLASS II CLASS III CLASS IV CLASS V 1 Color <=5 <=5 <=15 <=25 >25 2 Smell and taste non non non non yes 3 turbidity <=3 <=3 <=3 <=10 >10 Material can be seen by 4 non non non non yes eyes 5.5 to 6.5 5 pH 6.5 to 8.5 <5.5,>9 8.5 to 9 Total 6 hardness(byCaCO3)(mg/L <=150 <=300 <=450 <=550 >550 ) 7 TDS (mg/L) <=300 <=500 <=1000 <=2000 >2000 8 Sulfate(mg/L) <=50 <=150 <=250 <=350 >350 9 Chloride(mg/L) <=50 <=150 <=250 <=350 >350 10 Fe (mg/L) <=0.1 <=0.2 <=0.3 <=1.5 >1.5 11 Mn (mg/L) <=0.05 <=0.05 <=0.1 <=1.0 >1.0 12 Cu(mg/L) <=0.01 <=0.05 <=1.0 <=1.5 >1.5 13 Zn (mg/L) <=0.05 <=0.5 <=1.0 <=5.0 >5.0 14 Mo (mg/L) <=0.001 <=0.01 <=0.1 <=0.5 >0.5 15 Co (mg/L) <=0.005 <=0.05 <=0.05 <=1.0 >1.0 Volatile hydroxybenzene 16 <=0.001 <=0.001 <=0.002 <=0.01 >0.01 (by phenol) (mg/L) Anion synthetic detergent Can not be 17 <=0.1 <=0.3 <=0.3 >0.3 (mg/L) inspected Permanganate index 18 <=1.0 <=2.0 <=3.0 <=10 >10 (mg/L) 19 Nitrate (by N) (mg/L) <=2.0 <=5.0 <=20 <=30 >30 20 nitrite (by N)(mg/L) <=0.001 <=0.01 <=0.02 <=0.1 >0.1 21 N-NH3 (mg/L) <=0.02 <=0.02 <=0.2 <=0.5 >0.5 22 Fluoride (mg/L) <=1.0 <=1.0 <=1.0 <=2.0 >2.0 23 Iodide (mg/L) <=0.1 <=0.1 <=0.2 <=1.0 >1.0 24 Cyanide (mg/L) <=0.001 <=0.01 <=0.05 <=0.1 >0.1 25 Hg (mg/L) <=0.00005 <=0.0005 <=0.001 <=0.001 >0.001 26 As (mg/L) <=0.005 <=0.01 <=0.05 <=0.05 >0.05 27 Se (mg/L) <=0.01 <=0.01 <=0.01 <=0.1 >0.1 28 Cd (mg/L) <=0.0001 <=0.001 <=0.01 <=0.01 >0.01 29 Cr(+6 (mg/L) <=0.005 <=0.01 <=0.05 <=0.1 >0.1 30 Pb (mg/L) <=0.005 <=0.01 <=0.05 <=0.1 >0.1 31 Be (mg/L) <=0.00002 <=0.0001 <=0.0002 <=0.001 >0.001 32 Ba (mg/L) <=0.01 <=0.1 <=1.0 <=4.0 >4.0 SOGREAH – BYN – N°– 355073 NOVEMBER 2003 PAGE 4 SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK REF PARAMETER CLASS I CLASS II CLASS III CLASS IV CLASS V 33 Ni (mg/L) <=0.005 <=0.05 <=0.05 <=0.1 >0.1 34 DDT(µg/L) No inspected <=0.005 <=1.0 <=1.0 >1.0 35 BHC(µg/L) <=0.005 <=0.05 <=5.0 <=5.0 >5.0 Total coliform group 36 <=3.0 <=3.0 <=3.0 <=100 >100 (no./L) Total number of bacteria 37 <=100 <=100 <=100 <=1000 >1000 (no./L) 38 Total α radioactivity (Bq/L) <=0.1 <=0.1 <=0.1 >0.1 >0.1 39 Total β radioactivity (Bq/L) <=0.1 <=1.0 <=1.0 >1.0 >1.0 1.6. ENVIRONMENTAL QUALITY STANDARDS FOR NOISE Class Two standard of Urban Area Environmental Noise Standards GB3096-1995, applies to residential, commercial and industrial mixed area. NOISE STANDARDS OF URBAN AREA TYPES DAY UNIT ; [LEQ[DB(A)] NIGHT [UNIT ; LEQ[DB(A)] 0 50 45 1 55 45 2 60 50 3 65 55 4 70 55 1.7. ENVIRONMENTAL VIBRATION STANDARDS Environmental vibration adopts Urban Area Environmental Vibration Standards (GB10070-88), which applies to mixed area and commercial center area: day 75dB(A), night 72dB(A). 1.8. TOXICITY (LEACHING) TEST National Standard GB5085.3-1996 Hazardous Identification date of Items characters hazardous waste Corrosivity pH of lixivium ≥12.5 or≤2.0 1:1lixivium compound the filling quantity of little white Original sieving of Half death rate of little white mice (or big) which were filed mice is no more than acute toxicity with lixivium through mouth 0.4mL/20g avoirdupois, while that of big is 1.0mL/100g avoirdupois Lixiviating toxicity Concentration of Organic mercury None hazardous Mercury and its compounds (in total Hg) 0.05 SOGREAH – BYN – N°– 355073 NOVEMBER 2003 PAGE 5 SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK elements in Lead (in total Pb) 3 lixivium 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 50 fluoride) Cyanide (in CN) 1.0 SOGREAH – BYN – N°– 355073 NOVEMBER 2003 PAGE 6 SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK 2. EMISSION STANDARDS 2.1. WASTE WATER Waste water treatment plant effluents must conform to the National Comprehensive Emission Standards of Waste Water (GB8978-1996), as presented below. COMPREHENSIVE EMISSION STANDARDS OF WASTE WATER (UNIT MG/L EXCEPT PH) REF. POLLUTANT CLASS ONE CLASS THREE 1 PH 6 to 9 6 to 9 2 SS 70 400 3 CODCr 100 500 4 BOD5 20 300 5 Oil 5 20 6 P 0.1 0.3 7 N-NH3 15 — 8 Volatile hydroxybenzene 0.5 2.0 9 Sulfide 1.0 1.0 10 Fluoride 10 20 11 Total Cu 0.5 2.0 12 Total Zn 2.0 5.0 13 Total Mn 2.0 5.0 14 Total Hg* 0.05 0.05 15 Total Cd* 0.1 0.1 16 Total Cr* 1.5 1.5 6+ 17 Cr * 0.5 0.5 18 Total As* 0.5 0.5 *Adopts maximum acceptable emission concentration 2.2. WASTE WATER DISCHARGED TO A SEWERAGE SYSTEM This standard (CJ3082-1999) covers discharges of different sources to a waste water network and covers: • Industrial pollution source (newly built or existing) which discharges wastewater into a wastewater treatment system collection network should meet Discharge Standards of Municipal sewers (CJ3082-1999). SOGREAH – BYN – N°– 355073 NOVEMBER 2003 PAGE 7 SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK • Newly built residential areas within a wastewater treatment catchments should discharge their wastewater through a separate system installed within the residential area itself. • Wastewater generated from restaurants, recreation spots or services places should go through oil and residue removal pretreatment before they discharge into a wastewater collection network. • Disinfection should be applied to wastewater discharged from hospitals. Details of the standard are listed in the following table. STANDARDS FOR WASTEWATER DISCHARGE TO A WASTEWATER TREATMENT SYSTEM COLLECTION NETWORK Parameters Highest allowed value Parameters Highest allowed concentration pH 6—9 Hg 0.05mg/L SS 400mg/L Cd 0.1mg/L Oil 20.0mg/L Pb 1.0mg/L BOD5 300mg/L Zn 5.0mg/L CODcr 500mg/L Ni 1.0mg/L NH3-N 35mg/L Cu 2.0mg/L Phosphate 1.0mg/L As 2.0mg/L chromatic value 80mg/L Cr6+ 0.5mg/L 2.3. EXHAUST GAS Exhaust gas adopts Comprehensive Emission Standards of Air Pollutant (GB16297-1996) LIMITED VALUES OF AIR POLLUTANT FROM NEW SOURCE (UNIT; MG/M3) Maximum acceptable emission Ref Pollutant Controlling value to in-organized emission concentration 1 SO2 - Beyond boundary; 0.40 2 TSP 120 (others) Beyond boundary; 1.0 3 NOx 240 (others) Beyond boundary; 0.12 4 Cl2 65 Beyond boundary; 0.40 - 5 F 9.0 (others) Beyond boundary; 20(µg/m3) 2.4. NOISE Construction noise adopts Limiting Values in Construction Area (GB12523—90) standards. NOISE LIMITING VALUES IN CONSTRUCTION AREA U NIT : L EQ ( D B(A)) SOGREAH – BYN – N°– 355073 NOVEMBER 2003 PAGE 8 SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK LIMITING VALUES CONSTRUCTION PERIOD MAIN NOISE SOURCES DAY NIGHT Cubic meter of earth and Bulldozer, grab, loading truck 75 55 stone Piling Various pile driver 85 Ban Concrete mixer, vibrating tamper, Construction 70 55 electrical saw, etc. Fitting Crane, elevator, etc 65 55 oOo SOGREAH – BYN – N°– 355073 NOVEMBER 2003 PAGE 9 SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK APPENDIX 2 SUMMARY TABLE CONCERNING WORLD BANK SAFEGUARD POLICIES SOGREAH - REPORT N° 655055 PAGE 2 2004 – DECEMBER SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK Policies Code Objective Trigger identified, a dam safety assessment carried out, and necessary additional dam safety measures and remedial work are implemented. Pest management OP4.09 • Promote the use of biological or • Procurement of environmental control methods and reduce pesticides is envisaged reliance on synthetic chemical pesticides. In (either directly through Bank-financed agricultural operations, pest the project, or indirectly populations are normally controlled through through on-lending, co- Integrated Pest Management (IPM) financing, or government approaches. In Bank-financed public health counterpart funding). projects, the Bank supports controlling pests • The project may affect primarily through environmental methods. pest management in a • Ensure that health and environmental way that harm could be hazards associated with pesticides are done, even though the minimized. The procurement of pesticides in project is not envisaged a Bank-financed project is contingent on an to procure pesticides. assessment of the nature and degree of This includes projects associated risk, taking into account the that may (I) lead to proposed use and the intended user. substantially increased • As necessary, strengthen capacity of the pesticide use and country's regulatory framework and subsequent increase in institutions to promote and support safe, health and effective and environmentally sound pest environmental risk, (ii) management. 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 property OPN11.03 • To assist in their preservation, and to seek By projects which, prima OP4.11 to avoid their elimination. facie, entail the risk of (draft) • Assist in the protection and enhancement of damaging cultural property cultural properties encountered in Bank- (e.g. any project that financed projects. includes large scale excavations, movement of earth, surficial environmental changes or demolition) Natural habitats OP4.04 The Bank supports the protection, By any project (including maintenance and rehabilitation of natural subproject under a sector habitats in its project financing, as well as investment or intermediary policy dialogue and analytical work. The Bank loan) with the potential to supports, and expects Borrowers to apply, a cause significant precautionary approach to natural resource conversion (loss) or management to ensure opportunities for degradation of natural environmentally sustainable development. habitats whether directly (through construction) or indirectly (through human activities induced by project). Project in disputed area OP4.60 if the proposed project will To ensure that projects in disputed areas are be in a "disputed area." SOGREAH – GDM - REPORT N° 355073 R3 PAGE 2 2003 –JUNE SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK APPENDIX 2: WORLD BANK SAFEGUARD POLICIES The EAs will also be guided by the World Bank ten safeguards policies. All the safeguards policies will be taken into account in a preliminary screening and, where triggered, applied in full assessment. These safeguards policies and the triggers for application are summarised below: World Bank Safeguard Policies Policies Code Objective Trigger Environmental OP4.01 To ensure that Bank-financed projects are if a project is likely to have assessment environmentally sound and sustainable, and potential (adverse) that decision-making is improved through environmental risks and appropriate analysis of actions and of their impacts in its area of likely environmental impacts influence. Forestry OP4.36 To reduce deforestation, enhance the By forest sector activities environmental contribution of forested areas, and other Bank sponsored promote afforestation, reduce poverty and interventions which have encourage economic development. the potential to impact significantly upon forested areas. Involuntary resettlement OD4.30 • Avoid or minimize involuntary resettlement • Relocation or loss of OP4.12 where feasible, exploring all viable shelter; (draft) alternative project designs. • Loss of assets or access • Assist displaced persons in improving their to assets; former living standards, income earning • Loss of income sources capacity, and production levels, or at least or means of livelihood, in restoring them. whether or not the • Encourage community participation in affected people must planning and implementing resettlement move to another location • Provide assistance to affected people regardless of the legality of title of land. Indigenous people OD4.20 • Ensure that the development process • There are indigenous fosters full respect for the dignity, human peoples in the project rights and cultural uniqueness of indigenous area, peoples. • Potential adverse • Ensure that they do not suffer adverse impacts on indigenous effects during the development process. peoples are anticipated, • Ensure that indigenous peoples receive • Indigenous peoples are culturally compatible social and economic among the intended benefits. beneficiaries. Safety of dams OP4.37 New dams: to ensure that experienced and A project involving competent professionals design and supervise construction of a large dam construction; the Borrower adopts and (15 m or higher) or a high implements dam safety measures for the dam hazard dam and a project and associated works. which is dependent upon Existing dams: to ensure any dam upon an existing dam, or dam which the performance of the project relies is under construction (DUC). SOGREAH – GDM - REPORT N° 355073 R3 PAGE 1 2003 –JUNE SHANGHAI MUNICIPAL GOVERNMENT- THE WORLD BANK SHANGHAI URBAN ENVIRONMENT PROJECT – APL 2 DESIGN REVIEW AND ADVISORY SERVICES R4.6: DFV EA FRAMEWORK Policies Code Objective Trigger dealt with at the earliest possible stage: so as (Consult LEG for advice on not to affect relations between the Bank and identifying disputed areas) its member countries; to affect relations • Is the Borrower or between the Borrower and neighboring borrowers involved in countries or other claimants; any disputes over an and not to prejudice the position of either the area with any of its Bank or the countries concerned. 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 OP7.50 To ensure that Bank-financed projects • Any river, canal, lake or waterways affecting international waterways would not similar body of water that affect: forms a boundary • Relations between the Bank and its between, or any river or Borrowers and between states (whether body of surface water members of the Bank or not), and that flows through, two or • the efficient utilization and protection of more states, whether international waterways. 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. SOGREAH – GDM - REPORT N° 355073 R3 PAGE 3 2003 –JUNE