· 3 main text) i. introduction the project is an integral part of the basin-wide songhua water...

Version 1 Last updated by: Carolina T. Navarro Date: 25/08/2009

Project Number: 40665 August 2009

People's Republic of China: Songhua River Basin Water Pollution Control and Management Project (L2487-PRC)

Project Administration Manual

CONTENTS Page

Main Text ......................................................................................................................................... 3 I. Introduction............................................................................................................ 3 II. Purpose ................................................................................................................. 3 III. Overview................................................................................................................ 3 IV. Key Persons Involved in the Project...................................................................... 4 V. Loan Processing History........................................................................................ 5 Annex 1: Project Definition .............................................................................................................. 6 1.1 Sponsors, Stakeholders and External Agencies ................................................... 6 1.2 Impact and Outcomes ........................................................................................... 7 1.3 Outputs .................................................................................................................. 7 Annex 2: Project Management ........................................................................................................ 8 2.1 Project Organization Structure . ............................................................................ 8 2.2 Roles and Responsibilities .................................................................................. 10 Annex 3: Procurement Plan........................................................................................................... 12 3.1 Process Thresholds and Reviews ....................................................................... 12 3.2 Procurement Plan................................................................................................ 13 3.3 National Competitive Bidding (NCB) ................................................................... 39 Annex 4: Safeguards Plan............................................................................................................. 41 4.1 Environment ........................................................................................................ 41 4.2 Involuntary Resettlement..................................................................................... 42 4.3 Indigenous People............................................................................................... 43 4.4 Other Safeguards ................................................................................................ 43 Annex 5: Financing Plan................................................................................................................ 44 5.1 ADB Financing, Fund Flow and Disbursement Arrangements............................ 44 5.2 Allocation Table ................................................................................................... 46 5.3 Government Financing and Fund Flow ............................................................... 47 5.4 Other Financiers .................................................................................................. 47 Annex 6: Investment (Cost) Plan................................................................................................... 49 6.1 Detailed Cost Estimate ........................................................................................ 49 6.2 Forecast of Cost to Complete.............................................................................. 50 Annex 7: Execution Plan ............................................................................................................... 51 7.1 Work Breakdown Structure (WBS)...................................................................... 52 7.2 Responsibility Allocation by Activity ...................... Error! Bookmark not defined. 7.3 Gantt Chart .......................................................................................................... 54 7.4 Annual Operational Plan...................................................................................... 58 Annex 8: Performance Monitoring and Evaluation........................................................................ 59 8.1 Deliverables......................................................................................................... 59 8.2 Performance Indicators ....................................................................................... 59 8.3 Progress Report – design and attach report format. ........................................... 60 Annex 9: Major Covenants ............................................................................................................ 61 9.1 Legal Covenants.................................................................................................. 61 9.2 Financial Covenants ............................................................................................ 61 9.3 Safeguards Covenants ........................................................................................ 62 Annex 10: Appendixes................................................................................................................... 70

3

Main Text )

I. Introduction The Project is an integral part of the basin-wide Songhua water resources management initiative, and the Songhua River Basin Water Pollution Protection and Control Master Plan (SRBPCMP) to address pollution control in the Songhua River Basin (SRB). This comprehensive strategic approach to addressing pollution control in the SRB will serve as a model for demonstration and replication elsewhere in the People's Republic of China. Key areas for replication include, (i) the approach to studying the complex issues of SRB water quality and pollution control management; (ii) the river basin approach to managing water quality; (iii) the strategic pollution control action plan, which combines technical assessment, identifying investments on a prioritized basis, and institutional planning; and (iv) prioritized investments and related capacity building. II. Purpose The Project when completed in 2013 will reduce pollution and improve water supply, wastewater management, and solid waste management in the SRB, (i) reduce the total pollutants (COD) discharge to 81,630 tons per year; (ii) provide drinking water to 402,800 people in Heilongjiang province; (iii) increase the wastewater collection and treatment rate in the project counties of Heilongjiang and Jilin provinces from the 2007 average level of 45% to 80%; and (iv) increase the capacity of safe disposal of municipal solid-waste to 869,065 tons per year in Jilin province. III. Overview

Annex 1 Project Definition Annex 2 Project Management Annex 3 Procurement Plan Annex 4 Safeguards Plan Annex 5 Financing Plan Annex 6 Investment (Cost) Plan Annex 7 Execution Plan Annex 8 Performance Monitoring and Evaluation Annex 9 Major Covenants Annex 10 Appendixes

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Main Text )

IV. Key Persons Involved in the Project

A. ADB Staff The Urban and Social Sectors Division (EASS) under the East Asia Department (EARD) is responsible for the implementation of the Project in ADB. Urban and Social Sectors Division (EASS) East Asia Department (EARD)

Ms. Amy Leung Director, EASS Phone: +63 2 6326730 Email: [email protected]

Mr. Arnaud Heckmann Urban Development Specialist, EASS Phone: +63 2 6325382 Email: [email protected]

Ms. Carolina T. Navarro Project Officer, EASS Phone: +63 2 6326894 Email: [email protected]

Office of the General Counsel Mr. Xiaohua Peng Lead Professional Counsel, OGC Phone: +86 10 85521244 Email: [email protected]

Controller's Department Loan Administration Division CTLA-3

Ms. Oksana Nazmieva Financial Control Specialist, CTLA-3 Phone: +63 2 632 4423 Email: [email protected]

Central Operations Services Office Consulting Services Division 2

Mr. Joel Luis Syquia Procurement Specialist, COS2 Phone: +63 2 6324450 Email: [email protected]

Address Asian Development Bank No. 6 ADB Avenue, Mandaluyong City 1550 Metro Manila P.O. Box 789 0980 Manila, Philippines

Facsimile (EASS) +63 2 6362407

Website Address Main: http://www.adb.org Procurement: http://www.adb.org/Procurement/prequalification-bid-documents.asp Consulting Services: http://www.adb.org/Consulting /default.asp Disbursement: http://lfis.adb.org/home.asp

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Main Text )

B. Executing Agency

Heilongjiang Provincial Government Contact: Mr. Wang Xiquan

Designation: Deputy Director, FCUD, HPDRC Address: 202 Zhongzhan Road, Harbin, Heilongjiang Province, PRC 150001 Phone: 86 451 82629329 Fax: 86 451 82628547 Email: [email protected]

Jilin Provincial Government Contact: Dr. Li Xin Designation: Deputy Director, Region Economics Division, JPDRC Address: 329 Xinfa Road, Changchun, Jilin, PRC 130051 Phone: 86 431 88905708 Fax: 86 431 88904549 Email: [email protected] [email protected]

V. Loan Processing History PPTA Fact-Finding Mission 19 – 30 April 2007 Consultants' Selection 9 October 2007 Approval of PPTA 28 September 2007 PPTA Consultants' Contract Negotiation 28 January 2008 Fielding of PPTA Consultants 4 February 2008 Consultants' Submission of Inception Report 7 March 2008 PPTA Inception Mission 22 April 2008 Consultants' Submission of Interim Report 21 April 2008 Consultants' Submission of Draft Final Report 2 June 2008 PPTA Tripartite Review Mission 15 July 2008 Loan Fact-Finding Mission 3 – 15 July 2008 Summary Resettlement Action Plan on ADB website 11 July 2008 Management Review Meeting 18 August 2008 Completion or Feasibility Study and Final Report 22 October 2008 Loan Appraisal Waived Staff Review Committee Meeting Waived Loan Negotiations 3 – 4 November 2008 Board Circulation 20 November 2008 Board Consideration and Approval 11 December 2008 Loan and Project Agreements Signing 25 May 2009 Loan Effectiveness 24 August 2009

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Annex 1: Project Definition )

1.1 Sponsors, Stakeholders and External Agencies

(i) Sponsors: Ministry of Finance, People's Republic of China Heilongjiang Provincial Government Jilin Provincial Government

Asian Development Bank

(ii) Stakeholders:

Heilongjiang Province • Fujin City Zhonghu Water Supply Co. • Harbin City Inland River Comprehensive Development Co. • Harbin City Inland River Development Construction Co. • New Era Urban Infrastructure Construction Investment Jiamusi Co. Ltd. • Qiqihar City Hecheng Wastewater Treatment Co. Ltd. • Qitaihe City Qingyuan Drainage Co. Ltd. • Shuagnyashan City Changyuan Drainage Co. Ltd. • Tangyuan County Water Supply Co. • Tonghe County Water Supply and Drainage Co. • Yanshou County Water Supply Co. • Fangzheng County Water Supply and Drainage Co. • Nenjiang County Water Supply Co. • Tangyuan County Xingyuan Urban Construction Investment Co. Ltd.

Jilin Province

• Dehui City Tianyi Water Co. Ltd. • Gongzhuling City Urban State-Owned Assets Operation Co. Ltd. • Fanhua Water Co. Ltd. • Da'an City Xingcheng Urban Infrastructure Development and

Construction Co. Ltd. • Huadian City Solid Waste Treatment Co. Ltd. • Jiaohe City Jiemei Solid Waste Co. • Meihekou City Jiecheng Domestic Solid Waste Collection, Transportation

and Treatment Co. Ltd. • Fusong County Lantianbishui Infrastructure Development Co. Ltd. • Fuyu County Wastewater Treatment Co. Ltd. • Jingyu County Yuhong Municipal Engineering Co. Ltd. • Liuhe County Bishui Wastewater Treatment Co. Ltd. • Tonghua County Water Supply Co. • Huinan County Chaoyang Township Huashu Domestic Solid Waste

Treatment Service Co. Ltd. • Jingyu County Huanyu Domestic Solid Waste Management Co. Ltd. • Liuhe County Liyuan Domestic Solid Waste Management and Service Co.

Ltd. • Tongyu County Hecheng Domestic Solid Waste Sanitary Landfill

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1.2 Impact and Outcomes

(i) Impact: Enhanced urban environment and improved public health and quality of life for the urban residents in the project counties and cities in Heilongjiang and Jilin provinces along the SRB.

(ii) Outcomes:

Reduced pollution and improved water supply, wastewater management, and solid waste management in the SRB.

1.3 Outputs

The Project has 3 components: 1. Component 1: Improved and expanded water supply services, and wastewater

treatment in the project counties and cities in Heilongjiang province. 1.1. Four WTPs in the project counties and cities in Heilongjiang Province which

have additional capacity and where the distribution mains is operational 1.2. Nine WWTPs and sewers in the project counties and cities in Heilongjiang

province are operational 2. Component 2: Improved and expanded wastewater treatment, solid waste

management, and river improvement in the project counties and cities in Jilin province. 2.1. Nine WWTPs and sewers in the pr oject counties and cities in Jilin Province are

operational 2.2. 10 sanitary landfill facilities in Jilin province are operational 2.3. River improvement at the source of the Songhua River is completed

3. Component 3: Institutional capacity development for project implementation.

3.1. Providing training to strengthen organizational structures and staff resources to

implement, operated, and maintain the project components 3.2. Strengthening management practices in human resources, finance, and

corporate planning 3.3. Providing support for the Government’s public awareness program to ensure

the sustainability of project benefits.

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Annex 2: Project Management

2.1 Project Organization Structure

Figure 1 Project Implementation Organizations in Heilongjiang Province

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Annex 2: Project Management

Figure 2 Project Implementation Organization in Jilin Province

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Annex 2: Project Management )

2.2 Roles and Responsibilities

(i) Strategic and Management Level

• Project Leading Group (PLG), chaired by the vice governor for each province. The PLG will provide overall policy guidance, facilitate interagency coordination, and resolve any institutional problems affecting project implementation. • SRBPCMP leading group, chaired by Ministry of Environmental Protection (MEP) with vice governors of each province as members will oversee effective coordination between the 2 provinces in implementing project activities. (ii) Operational Level

• Project Management Office at provincial level led by a Director and

equipped with sufficient staff shall be responsible for daily implementation works.

• Project Management Office at project counties and city governments for

each province chaired by Vice Mayors shall maintain interdepartmental coordination and work closely with the provincial PMO.

• The day-to-day implementation activities for the subprojects shall be

carried out by the implementing agencies. The board of directors of each IA will oversee the financial and operational matters of each IA, including (i) hiring and firing of senior management, (ii) reviewing staffing and remuneration plans, (iii) reviewing the progress of construction and approving annual construction plans, (iv) reviewing and approving annual financial budgets, (v) reviewing the investment plans and accounts of the IAs, and (vi) approving the procurement of major equipment and civil works contracts.

• The respective county or city PMOs, IAs and local governments will

provide assistance house construction and relocation during resettlement implementation.

• The project IAs will establish project resettlement units to supervise

implementation, continuing public consultation, monitoring progress and responding to grievances. The unit will have at least 2 full-time staff who will take the lead in coordinating the planning, implementation, and monitoring of land acquisition and resettlement.

• The PMOs, the IAs and the contractors will nominate a dedicated, trained

and qualified environment specialists to undertake environmental management activities and ensure effective EMP implementation.

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Annex 3: Procurement Plan )

3.1 Process Thresholds and Reviews

(i) Thresholds – Except as ADB may otherwise agree, the following process thresholds shall apply to procurement of goods and works.

Procurement of Goods and Works

Method Threshold International Competitive Bidding (ICB) Worksa > 10,000,000 ICB Goods > 1,000,000 National Competitive Bidding (NCB) Worksb > 100,000 NCB Goods > 100,000 Shopping Works ≤ 100,000 Shopping Goods ≤ 100,000 Exceptional Methods None anticipated

(ii) Reviews – Except as ADB may otherwise agree, the following prior or

post review requirements apply to the various procurement and consultant recruitment methods used for the project.

Procurement of Goods and Works

Procurement Method Prior or Post Comments ICB Works Prior ICB Goods Prior NCB Works Prior/Post Usage will follow NCB annex. Prior review applies to

the procurement of first NCB contract. Post review for the succeeding contracts.

NCB Goods Prior/Post Usage will follow NCB annex. Prior review applies to the procurement of first NCB contract. Post review for the succeeding contracts.

Shopping for Works Post Usage will follow NCB annex. Shopping for Goods Post Usage will follow NCB annex.

Recruitment of Consulting Firms

Quality and Cost-Based Selection (QCBS)

Prior Quality and cost-based selection based on 80:20 quality-cost ratio. Applied in accordance with Guidelines on the Use of Consultants (2007, as amended from time to time)

Consultants Qualifications Selection (CQS)

Prior -

Least-Cost Selection (LCS)

Prior -

Recruitment of Individual Consultants

- - -

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Annex 3: Procurement Plan )

3.2 Procurement Plan Contract No. Contract

Description Contract Value Procurement

Method Advertisement

Date ADB Review

Heilongjiang Province A. Subproject: Fujin City Water Supply Expansion Civil Works

FJWSE/1.1 & FJWSE/1.2

Construction of structures and installation of equipment of WTP; and water supply pipeline

2,010,000 2,840,000 NCB Apr 2009

May 2009 Prior Post

M&E

FJWSE/2.1 & FJWSE/2.2

Procurement of treatment process equipment for WTP expansion; and equipment for water supply pipeline

920,000 970,000 NCB Apr 2010

May 2009 Post

B. Subproject: Tangyuan County Water Supply Civil Works

TYWS/1.1 TYWS/1.2 TYWS/1.3

Construction of structures of WTP; installation of distribution pipe, fitting pipe and effluent pipe; and installation of equipment , fitting, electrical equipment of deep well and electrical equipment of WTP

860,000 340,000 490,000

NCB Apr 2009 May 2009 Jun 2010

Prior Post Post

M&E

TYWS/2.1 TYWS/2.2 TYWS/2.3 TYWS/2.4

Procurement of pumps, pipes, valves and other equipment and materials of the water source site; electrical equipment, instruments; and analyzing devices, office equipment, maintenance equipment transport vehicles, and heating equipment of the WTP

410,000 440,000 320,000 940,000

NCB

May 2010 Jun 2010 Jul 2010 Apr 2009

Post

C. Subproject: Tonghe County Water Supply Expansion

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Civil Works

THWS/1.1 THWS/1.2

Construction, procurement and installation of equipment for WTP and water supply pipe

1,854,000 2,958,000 NCB May 2009

Jun 2009 Prior Post

D. Subproject: Yanshou County Water Supply Expansion Civil Works

YSWSE/1.1 YSWSE/1.2 YSWSE/1.3 YSWSE/1.4 YSWSE/1.5

Construction of all civil works of (i) WTP; (ii) DN 300 pipe with length of 5000 meter from the WTP to water tower and 2800 meter from the water tower to development zone(Fangzhuang street); (iii) DN150 pipes of development zone with the length of 7737 meter; (iv) DN 200 pipes with the length of 3200 meter in Donggongan Street, Dongtongqing Street and Tianshun Street and DN 100 pipes with the length of 9940 meter in 25 streets in the eastern area of Jisheng Street; and (v) DN200 pipes of development zone with the length of 3000 meter in Tongfu Street, Xihongxing Street, Xigongan Streeet and Xixinhua Street and DN 100 pipes with the length of 6530 meter in 18 streets in the western area of Jisheng Street

502,000 222,000 167,000 464,000 317,000

NCB

Jan 2009 Aug 2008 Sep 2008 Oct 2008 Nov 2008

Post Prior Post Post Post

M & E

YSWSE/2.1 YSWSE/2.2 YSWSE/2.3 YSWSE/2.4 YSWSE/2.5

Procurement and installation of equipment of the newly built WTP and reconstructive old WTP; steel pipe

776,000 204,000 601,000 695,000 154,000

NCB

May 2010 Feb 2009 Aug 2008 Sep 2008 Oct 2008

Post

15

lined PE with the length of 19860 meter and fittings; steel pipe lined PE with the length of 19607 meter and fittings; and DIP pipe with the length of 1511 meter and fittings

E. Subproject: Fangzheng County WWTP +Sewerage Network Civil Works

FZWWT/1.1 FZWWT/1.2 FZWWT/1.3 FZWWT/1.4

Construction of civil works of structures of the WWTP; installation op pipe with the length of 8815 meter from Beisan Street to Beiliu Street; installation of pipe with the length of 9965 meter from Naner Street to Nanliu Street; and installation of the interception pipe with the length of 6215 meter

878,000 804,500 909,000 567,200

NCB

Jan 2009 Oct 2008 Nov 2008 Sep 2008

Post Post Post Prior

M & E

FZWWT/2.1 FZWWT/2.2 FZWWT/2.3

Procurement and installation of electrical equipment, automatic control equipment, maintenance equipment, analyzing devices, transportation vehicle for the WWTP; process equipment for WWTP; and installation of all pipes and fittings of the WWTP

360,000 960,000 735,000

NCB Feb 2010 Jan 2010 Mar 2010

Post

F. Subproject: Fujin City WWTP Civil Works

FJWWT/1.1 FJWWT/1.2

Construction of civil works of structures of the WWTP; and installation and commissioning of all equipment and pipes of the WWTP

2,940,000 1,790,000 NCB Apr 2009

Dec 2010 Prior Post

M & E FJWWT/2.1 FJWWT/2.2

Procurement of: (i) process

990,000 900,000 NCB Oct 2010

Nov 2010 Prior Post

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FJWWT/2.3 equipment; (ii) electrical equipment; and (iii) other equipment for the WWTP

980,000 Jan 2011 Post

G. Subproject: Harbin City Xinyigou District WWTP Civil Works

HBWWT/1.1 HBWWT/1.2 HBWWT/1.3 HBWWT/1.4 HBWWT/1.5 HBWWT/1.6 HBWWT/1.7 HBWWT/1.8 HBWWT/1.9

Construction of civil works of: (i) primary sedimentation tank; (ii) secondary sedimentation tank; (iii) biological reaction tank and sludge pump station; (iv) pump station, blower room, disinfection room, chemical room, water reuse room and sludge dewatering room; (v) administration building, maintenance room, power distribution room, storage room, guard gate and other auxiliary structures; and (vi) concrete ground, road, greening, fence, warming system, pipes, lighting and other auxiliary projects. Installation of interception pipe on the Left bank and right bank. Installation, commissioning, and test run of equipment, auxiliary equipment and electrical and automatic control equipment of the WWTP

810,000 1,330,000

861,000 1,639,000 4,416,000 2,187,000 7,538,000

938,000 3,483,000

NCB

Jan 2009 Jan 2009 Feb 2009 Mar 2009 Mar 2009 Apr 2009 Jan 2009 Jan 2009 Oct 2009

Post Prior Post Post Post Post Post Post Post

M & E

HBWWT/2.1 HBWWT/2.2 HBWWT/2.3 HBWWT/2.4 HBWWT/2.5

Procurement of: (i) interception pipe on the Left bank and right bank; (ii) process equipment of WWTP, auxiliary equipment; and

4,568,000 1,878,000 6,686,000

703,000 1,913,000

ICB ICB ICB NCB ICB

Sep 2008 Oct 2008 Aug 2009 Sep 2009 Aug 2009

Prior Prior Prior Post Prior

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(iii) electrical and automatic equipment, instruments, cables and lighting of the WWTP

H. Subproject: Jiamusi City East District WWTP + Effluent Reuse Civil Works

JMSWWT/1.1 JMSWWT/1.2

Construction of: (i) pipeline; (ii) structures of the WWTP

1,998,000 2,757,000 NCB Aug 2008

Jan 2008 Prior Post

M & E

JMSWWT/2.1 JMSWWT/2.2 JMSWWT/2.3 JMSWWT/2.4 JMSWWT/2.5

Procurement of equipment for: (i) clarify room, biological aeration filter, chlorine dosing room and blower room of the WWTP; (ii) distribution pump room, water reuse lift pump station, clear water tank and sludge dewatering room of the WWTP; (iii) electrical equipment of the WWTP; (iv) instruments and automatic control equipment of the WWTP; and (v) installation of equipment of the WWTP

595,900 457,100 308,300 352,000

1,145,000

NCB NCB NCB NCB ICB

Jan 2010 Jan 2010 Feb 2010 Feb 2010 Mar 2010

Post Post Post Post Prior

I. Subproject: Nenjiang County WWTP + Sewerage Network Civil Works

NJWWT/1.1 NJWWT/1.2 NJWWT/1.3

Procurement and installation of: (i) D1800 interception pipe with the length of 1000 meter; (ii) D800 interception pipe with the length of 5700 meter; and (iii) D300-800 interception pipe with the length of 5040 meter

400,000 814,000 786,000

NCB May 2009 Jun 2009 Jul 2009

Prior Post Post

J. Subproject: Qiaihar City WWTP (Phase II) Civil Works

QQWWT/1.1 QQWWT/1.2 QQWWT/1.3

Construction of: (i) CASS tank; and (ii) coarse screen well, lift pump station, fine screen well, aeration grit

7,050,000 3,921,000 4,700,000

NCB Jun 2009 Jul 2009

May 2009

Post Post Prior

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chamber, sand removal room, primary sedimentation tank, contact tank, effluent pump station, blower room, sludge thickener, sludge storage tank, sludge dewatering tank, chemical room, chlorine dosing room and storage room, power distribution room, administration building, plant drainage pump station, water supply system, warming system, lighting system and power input cable system. Earthworks, dam, concrete ground, road and etc.

M & E

QQWWT/2.1 QQWWT/2.2 QQWWT/2.3 QQWWT/2.4 QQWWT/2.5 QQWWT/2.6 QQWWT/2.7 QQWWT/2.8 QQWWT/2.9

Procurement, installation and commission of: (i) electrical equipment; (ii) automatic control system, instruments, PLC and communication devices; (iii) pumps; (iv) screens, grit removal equipment, sludge scrapers and solid waste transferring machine; (v) equipment of the CASS tank, including the fine bubble diffusion aerator; (vi) equipment in the blower room; (vii) equipment in the sludge dewatering room, odor control room and chlorine room; (viii) gate valve, vales, reverse valves, compensators

469,000 590,000 462,000 440,000 783,000

1,164,000 867,000 787,000 312,000

NCB NCB NCB NCB NCB ICB NCB NCB NCB

Mar 2010 Mar 2010 Dec 2009 Dec 2009 Jan 2010 Jan 2010 Jan 2010 Feb 2010 Apr 2010

Post Post Post Post Post Prior Post Post Post

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and hoists; and (ix) analyzing devices, office equipment, transportation vehicle and furniture

K. Subproject: Qitaihe City Effluent Reuse Civil Works

QTHER/1.1 QTHER/1.2 QTHER/1.3 QTHER/1.4

Construction of: (i) water regeneration room and administration building; (ii) clear water tank, effluent pumpstation and chlorine dosing room; (iii) road and all pipes. Installation and commissioning of process equipment and electrical equipment

2,300,000 1,260,000

420,000 800,000

NCB

Aug 2008 Sep 2008 Jan 2009 Jun 2009

Prior Post Post Post

M & E

QTHER/2.1 QTHER/2.2

Procurement of process equipment (pumps, motors, and valves) for the WTP; and electrical equipment, automatic control equipment and instruments

980,000 690,000 NCB Apr 2009

May 2009 Post

L. Subproject: Shuangyashan City WWTP Civil Works

SYSWWT/1.1 SYSWWT/1.2

Construction of the interception pipe and civil works of the WWTP

3,460,000 4,891,000 NCB July 2008

Aug 2008 Prior Post

M & E

SYSWWT/2.1 SYSWWT/2.2 SYSWWT/2.3 SYSWWT/2.4 SYSWWT/2.5 SYSWWT/2.6

Procurement and installation of equipment of: (i) pump station; (ii) coarse screen room and lift pump station of the WWTP; (iii) fine screen room and Jones sedimentation tank of the WWTP; (iv) water distribution system and bio-reaction tank of the WWTP; and

673,000 837,000 847,000 978,000 998,000 675,000

NCB

Feb 2009 Oct 2009 Oct 2009 Nov 2009 Dec 2009 Jan 2010

Post

20

(v) secondary sedimentation tank of the WWTP. Procurement of analyzing devices, office, transportation and furniture of the WWTP.

M. Subproject: Tangyuan County WWTP Civil Works

TYWWT/1.1 TYWWT/1.2 TYWWT/1.3 TYWWT/1.4 TYWWT/1.5 TYWWT/1.6

Construction of: (i) PRP pipe (DN300 – 1000) with the length of 13,417 meters in the central district; (ii) PTP pipe (DN300 – 1000) with the length of 4,522 meters and channel (BXH: 400X600-1,200X 1,200) with the length of 2,713 Meters in Huasheng District; (iii) structures of the WWTP The construction of pump station (No. 2 and 3); (iv) PTP pipe (DN300 – 900) with the length of 6,181 meters in Sanzhong District; (v) PTP pipe (DN300 – 1200) with the length of 12,740 meters and channel (BXH: 1,300X1,300) with the length of 700 meters in Tiedong District; and (vi) PTP pipe (DN500 – 1200) with the length of 6,010 meters, cast iron pipe (DN200 – 300) with the length of 1,700 meters and channel (BXH: 1,200X1,100) with the length of 550 meters in Tiedong District

890,000 610,000 980,000 460,000

1,350,000 800,000

NCB

Feb 2009 Feb 2010 Apr 2009 Mar 2010 Mar 2011 Apr 2011

Prior Post Post Post Post Post

M & E TYWWT/2.1 Procurement and 930,000 NCB Jan 2010 Post

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TYWWT/2.2 TYWWT/2.3 TYWWT/2.4 TYWWT/2.5

installation of: (i) mechanical equipment of the BAF of the WWTP; (ii) sloping plate settling tank and other auxiliary equipment of the WWTP; (iii) equipment of coarse screen room, fine screen room, Jones grit chamber, UV disinfection tank, sludge dewatering room, effluent lift pump station, electrical equipment, automatic control system and instrumets of the WWTP; and (iv) equipment of pump station (No. 2 and 3). Procurement of analyzing devices, furniture, transportation vehicle, communication devices, maintenance equipment and boiler.

910,000 970,000 240,000 500,000

Jan 2010 Feb 2010 Feb 2010 Mar 2010

N. Project Implementation Consultant

Procurement of all consultation service for subprojects in HLJ.

1,500,000 QCBS Oct. 2008 Prior

Contract No. Contract

Description Contract Value Procurement

Method Advertisement

Date ADB Review

Jilin Province A. Subproject: Dehui City WWTP Civil Works

DHWWTP/1.1 DHWWTP/1.2 DHWWTP/1.3

Construction of all structures and installation of: (i) process equipment of the WWTP, including civil works, installation of wastewater treatment equipment, automatic control equipment and electrical

2,386,000 896,000

6,225,000 NCB

Oct 2008 Sep 2008 Sep 2008

Post Prior Post

22

equipment and boiler; and (ii) earth backfill, fence, ground work, road, pipes, greening and lighting. Procurement and installation of PRP pipeline

M & E

DHWWTP /2.1 DHWWTP /2.2 DHWWTP /2.3

Procurement of (i) pumps, blowers, valves, activators, axial fans and hoists, (ii) electrical equipment, automatic control equipment and instruments, and (iii) specific equipment: dewatering centrifuge, mixers, sludge scrapers, disinfection equipment

191,000 702,000 472,000

NCB Oct 2009 Nov 2009 Oct 2009

Post

DHWWTP /2.4 DHWWTP /2.5 DHWWTP /2.6

Procurement of (i) transportation vehicle, (ii) analyzing devices, office equipment and furniture, and (iii) boiler and other auxiliary equipment

98,600 19,000 27,000

SH Dec 2009 Post

B. Subproject: Gongzhuling City Fanjiatun Town WWTP Civil Works

GZLWWTP/1.1 GZLWWTP/1.2 GZLWWTP/1.3

Construction of: (i) structures and the installation of the boiler & auxiliary equipment, electrical equipment and automatic control equipment of the WWTP; and (ii) earth backfill, fence, ground work, road, pipes, greening and lighting. Procurement and installation of PRP pipeline

3,816,000 226,000

4,751,000 NCB

Oct 2008 Sep 2008 Sep 2008

Post Prior Post

M & E

GZLWWTP/2.1 GZLWWTP/2.2

Procurement of: (i) electrical equipment,

674,000 211,000 NCB Dec 2009

Nov 2009 Post

23

automatic control equipment and instruments of the WWTP and pump station; and (ii) specific equipment: dewatering centrifuge, mixers, sludge scrapers, disinfection equipment. equipment transport vehicles, and heating equipment

GZLWWTP/2.3 GZLWWTP/2.4

Procurement of (i) transportation vehicle, and (ii) analyzing devices, office equipment and furniture

85,714 44,929 SH Jan 2010 Post

C. Subproject: Gongzhuling City Sewage Network Upgrade Civil Works

GZLSNU/1.1 GZLSNU/1.2

Construction of the pump station and installation of all process equipment, electrical and automatic control equipment in the sewerage pipeline system. Procurement and installation of PRP pipeline.

213,000 7,804,000 NCB Sep 2008

Oct 2008 Prior Post

M & E

GZLSNU/2.1 GZLSNU/2.2

Procurement of: (i) equipment, includes pumps, blowers, vales, activators, axial fans, hoists and screens; and (ii) electrical equipment of the pump station

173,000 49,000

NCB SH

Dec 2009 Jan 2010 Post

D. Subproject: Fusong County WWTP Civil Works

FSWWTP/1.1 FSWWTP/1.2 FSWWTP/1.3

Construction of: (i) structures and installation of all equipment of the WWTP; and earth backfill, fence, ground work, road, pipes, greening and lighting. Procurement and

2,429,000 605,000

2,434,000 NCB

Oct 2008 Sep 2008 Sep 2008

Post Prior Post

24

installation of PRP pipeline

M & E


Procurement of: (i) process equipment: pumps, blowers, valves, activators, axial fans, hoists, dewatering centrifuge, mixers, sludge scrapers, disinfection equipment; (ii) electrical equipment, automatic control equipment and instruments of the WWTP and pump station; and (iii) transportation vehicle

896,000 479,000 210,000

NCB Nov 2009 Dec 2009 Jan 2010

Post


Procurement of (i) analyzing devices, office equipment and furniture, boiler and auxiliary equipment, and (iii) maintenance equipment

72,429 23,800 12,143

SH Feb 2010 Post

E. Subproject: Fuyu County WWTP Civil Works

FYWWTP/1.1 FYWWTP/1.2 FYWWTP/1.3

Construction of: (i) structures and installation of all equipment of the WWTP; and (ii) earth backfill, fence, ground work, road, pipes, greening and lighting, access road. Procurement and installation of PRP pipeline

2,073,000 511,000

5,027,600 NCB

Oct 2008 Sep 2008 Sep 2008

Post Post Prior

M & E

FYWWTP/2.1 FYWWTP/2.2 FYWWTP/2.3 FYWWTP/2.4

Procurement of: (i) process equipment: pumps, blowers, valves, activators, axial fans, hoists; (ii) electrical equipment, automatic control equipment and instruments of the WWTP and pump station; (iii) process

345,000 640,800

1,705,000 163,000

NCB NCB ICB NCB

Nov 2009 Dec 2009 Nov 2009 Mar 2010

Post Post Prior Post

25

equipment: floating chain aerators, dewatering centrifuge, mixers, sludge scrapers, disinfection equipment. Procurement of transportation vehicle.

FYWWTP/2.5 FYWWTP/2.6

Procurement of (i) analyzing devices, office equipment and furniture, and (ii) boiler and auxiliary equipment

93,788 30,800 SH Mar 2010 Post

F．Subproject: Jingyu County WWTP Civil Works

JYWWTP/1.1 JYWWTP/1.2 JYWWTP/1.3

Construction of: (i) process structures and installation of all process equipment electrical equipment, automatic control equipment, boiler and auxiliary equipment of the WWTP; and (ii) earth backfill, fence, ground work, road, pipes, greening and lighting. Procurement and installation of PRP pipeline

1,574,000 546,000

6,370,000 NCB

May 2009 Apr 2009 Apr 2009

Post Post Prior

M & E

JYWWTP/2.1 JYWWTP/2.2 JYWWTP/2.3 JYWWTP/2.4

Procurement of: (i) equipment: pumps, blowers, valves, activators, axial fans, hoists; (ii) electrical equipment , access electricity equipment, automatic control equipment and instruments of the WWTP; (iii) process equipment: dewatering centrifuge, mixers, sludge scrapers, disinfection

161,000 680,000 756,000 148,571

NCB

Oct 2010 Nov 2010 Oct 2010 Jan 2011

Post

26

equipment; and (iv) transportation vehicle

JYWWTP/2.5 JYWWTP/2.6

Procurement of(i) maintenance equipment, analyzing devices, communication devices, office equipment and furniture, and (ii) boiler and auxiliary equipment

65,829 22,557 SH Jan 2011

Feb 2011

G．Subproject: Liuhe County WWTP Civil Works

LHWWTP/1.1 LHWWTP/1.2 LHWWTP/1.3

Construction of: (i) structures and installation of all Equipment (including process equipment, electrical equipment and instruments) of the WWTP; and (ii) earth backfill, fence, ground work, road, pipes, greening and lighting and installation of boiler and auxiliary equipment. Procurement and installation of PRP pipeline

953,000 451,000

2,000,000 NCB

Oct 2008 Sep 2008 Sep 2008

Post Prior Post

M & E


Procurement of: (i) equipment: pumps, blowers, valves, activators, axial fans, hoists; (ii) electrical equipment, automatic control equipment and instruments of the WWTP and pump station; and (iii) process equipment: dewatering centrifuge, mixers, sludge scrapers, disinfection equipment.

327,000 202,000 460,000

NCB Oct 2009 Nov 2009 Oct 2009

Prior Post Post


Procurement of (i) transportation vehicle, (ii) analyzing

29,643 24,286 14,800

SH Feb 2010 Feb 2010 Mar 2010

Post

27

devices, office equipment and furniture, (iii) boiler and auxiliary equipment

H．Subproject: Tonghua County WWTP Civil Works

THWWTP/1.1 THWWTP/1.2 THWWTP/1.3

Construction of: (i) structures and installation of all process equipment, electrical equipment, automatic control equipment, boiler and auxiliary equipment of the WWTP; and (ii) earth backfill, fence, ground work, road, pipes, greening and lighting. Procurement and installation of PRP pipeline

1,476,000 259,000

4,268,900 NCB

May 2009 Apr 2009 Apr 2008

Post Post Prior

M & E


Procurement of: (i) equipment: pumps, blowers, valves, activators, axial fans, hoists; (ii) electrical equipment, automatic control equipment and instruments of the WWTP and access electricity equipment; (iii) process equipment: dewatering centrifuge, mixers, sludge scrapers, disinfection equipment.

335,600 864,000 783,000

NCB Nov 2010 Dec 2010 Nov 2010

Post


Procurement of (i) transportation vehicle, (ii) maintenance equipment, analyzing devices, communication devices, office equipment and furniture, and (iii) boiler and auxiliary equipment

77,900 35,829 33,143

SH Jan 2011 Jan 2011 Feb 2011

Post

28

I. Subproject: Yushu City WWTP Civil Works

YSWWTP/1.1 YSWWTP/1.2 YSWWTP/1.3 YSWWTP/1.4

Construction of: (i) process structures and installation of all process equipment of the WWTP; (ii) auxiliary buildings and installation of all auxiliary equipment of the WWTP (including the boiler); (iii) earth backfill, fence, ground work, road, pipes, greening and lighting. Procurement and installation of PRP pipeline，construction and installation of equipment of pump station

2,208,000 182,000 256,000

3,790,000

NCB

Nov 2008 Nov 2008 Oct 2008 Oct 2008


M & E

YSWWTP/2.1 YSWWTP/2.2 YSWWTP/2.3

Procurement of: (i) process equipment: pumps, blowers, valves, activators, axial fans, hoists; (ii) electrical equipment, automatic control equipment and instruments of the WWTP and pump station; and (iii) process equipment: floating chain aerators, dewatering centrifuge, mixers, sludge scrapers, disinfection equipment

177,000 866,000 314,000

NCB Feb 2010 Mar 2010 Feb 2010

Post

YSWWTP/2.4 YSWWTP/2.5 YSWWTP/2.6

Procurement of (i) transportation vehicle, (ii) analyzing devices, office equipment and furniture, and (iii) boiler and auxiliary equipment

85,714 100,000 33,000

SH Jan 2011 Jan 2011 Feb 2011

Post

J. Subproject: Da’an City Sanitary Landfill Civil Works DASWM/1.1 Construction of: 2,754,000 NCB May 2009 Post

29

DASWM/1.2 DASWM/1.3 DASWM/1.4

(i) landfill , structures, auxiliary buildings, including administration building, boiler room, leachate treatment plant of the land fill and installation of liner, the boiler& auxiliary equipment and all equipment of the leachate treatment plant, including biological treatment equipment, ultra filtration equipment, nano-filtration equipment, sludge treatment equipment and electrical control equipment; (ii) earth backfill, fence, ground work, road, pipes, greening and lighting; (iii) rubbish collection center and installation and commission of equipment of solid waste collection center and dumpster. Disposal of the rubbish on the flood plain of Nenjiang River

1,295,000 109,000

1,386,000

Apr 2009 Jun 2009 Apr 2009

Prior Post Post

M & E

DASWM/2.1 DASWM/2.2 DASWM/2.3 DASWM/2.6

Procurement of: (i) liner of the landfill; (ii) general equipment of the landfill, including but not limited to rubbish trucks, roller, loader and bulldozer; (iii) equipment of the leachate treatment plant, including but not limited to biological treatment equipment, ultra

972,000 512,000 887,000 182,000

NCB

Jan 2011 Feb 2013 May 2012 Jun 2012

Post

30

filtration equipment, nano-filtration equipment, sludge treatment equipment and electrical control equipment; and (iv) equipment of the rubbish collection center and dumpster

DASWM/2.4 DASWM/2.5


68,000 97,800 SH Jun 2012 Post

K. Subproject: Fusong County Sanitary Landfill Civil Works

FSSWM/1.1 FSSWM/1.2 FSSWM/1.3

Construction of: (i) structures of the landfill , including but not limited to dam, flood intercepting trench, water dam, equalization tank, water storage tank, monitoring well, concrete opening area among utilizes, gas guiding pipe, leachate guiding layer and underground water guiding layer; (ii) rubbish transfer center with compressing; and (iii) structures of the employee living zone and leachate treatment plant

1,097,000 52,600

126,000

NCB SH

NCB

Apr 2009 May 2009 May 2009

Prior Post Post

M & E

FSSWM/2.1 FSSWM/2.2 FSSWM/2.3 FSSWM/2.4 FSSWM/2.5 FSSWM/2.7 FSSWM/2.6

Procurement of: (i) rubbish trucks and auxiliary equipment of the landfill; (ii) machines including roller, bulldozer and loader; (iii) equipment of the leachate treatment plant, including but not limited to biological

102,000 130,000 322,000 360,000 541,000 360,000 124,000

NCB

Jan 2012 Feb 2012 Jan 2012 Dec 2010 Dec 2011 Mar 2012 Jan 2011

Post

31

treatment equipment, nano-filtration equipment, electrical equipment and instruments; (iv) liners, unweaving cloth, bentonite blanket, leachate and gas guiding pipes of zones No. 1 and 2 of the landfill; (v) liners, unweaving cloth, bentonite blanket, leachate and gas guiding pipes of zones No. 3, 4 and 5 of the landfill; and (vi) rubbish truck and rubbish dumpster for rubbish transportation, including rubbish truck, container, pallet truck and dump truck . Procurement and installation of equipment of the rubbish transfer center, including roller, chute, monitoring equipment, odor control equipment and balancer.

L. Subproject: Huadian City Sanitary Landfill Civil Works

HDSWM/1.1 HDSWM/1.2 HDSWM/1.3

Construction of: (i) main structures of the landfill; (ii) auxiliary structures and installation of all equipment of the landfill, including but not limited to construction and installation of administrative building, boiler room and leachate treatment plant, installation of electrical equipment, automatic control equipment and instruments; (iii) earth backfill, fence, ground

8,067,000 832,000

1,957,000 NCB

May 2009 Jun 2009 Apr 2009

Post Post Prior

32

work, road, pipes, greening and lighting.

M & E

HDSWM/2.1 HDSWM/2.2 HDSWM/2.3 HDSWM/2.4 HDSWM/2.5 HDSWM/2.6

Procurement of: (i) liners material and auxiliary equipment of the landfill; (ii) machines including rubbish truck, roller, loader and bulldozer; (iii) electrical equipment, automatic control equipment and instruments of the leachate treatment plant and pump station; (iv) process equipment: dewatering centrifuge, mixers, sludge scrapers, disinfection equipment of the leachate treatment plant; (v) analyzing devices, office equipment and furniture; and (vi) boiler and auxiliary equipment

986,000 989,000 354,000 207,000 162,871 24,800

NCB NCB NCB NCB NCB SH

Nov 2010 May 2013 Dec 2011 Oct 2011 Jan 2012 Feb 2012

Post

M. Subproject: Huinan County Sanitary Landfill Civil Works

HNSWM/1.1 HNSWM/1.2 HNSWM/1.3

Construction of: (i) main structures of the landfill; (ii) auxiliary structures and installation of all equipment of the landfill, including but not limited to construction of administrative building, boiler room and equalization tank; and (iii) earth backfill, fence, ground work, road, pipes, greening and lighting

1,106,000 425,000 848,000

NCB Apr 2009 May 2009 Apr 2009

Prior Post Post

M & E HNSWM/2.1 HNSWM/2.2

Procurement of: (i) liners material

729,000 876,000 NCB Jan 2010

Mar 2012 Post

33

and auxiliary equipment of the landfill; and (ii) machines including rubbish truck, roller, loader and bulldozer

HNSWM/2.3 HNSWM/2.4

Procurement of (i) electrical equipment, automatic control equipment and instrument of the leachate treatment plant and pump station, and (ii) analyzing devices, office equipment and furniture

55,457 28,571 SH Jan 2012

Feb 2012 Post

N. Subproject: Jiaohe City Sanitary Landfill Civil Works

JHSWM/1.1 JHSWM/1.2

Construction of: (i) main structures auxiliary structures of the landfill, including but not limited to liners, and installation of all equipment of the landfill, including but not limited to construction of administrative building, boiler room and leachate treatment; and (ii) earth backfill, fence, ground work, road, pipes, greening and lighting

2,425,000 1,753,000 NCB July 2009

Jun 2009 Post Prior

M & E

JHSWM/2.1 JHSWM/2.2 JHSWM/2.3 JHSWM/2.4 JHSWM/2.5

Procurement of: (i) liners material and auxiliary equipment of the landfill; (ii) process equipment of the leachate treatment plant; (iii) electrical equipment, automatic control equipment and instruments of the leachate treatment plant and pump station; (iv) general equipment,

942,000 409,000 190,000 435,000 232,857

NCB

Oct 2010 Mar 2012 Apr 2012 Apr 2013 May 2013

Post

34

including rubbish truck, roller, loader and bulldozer; and (v) analyzing devices and other auxiliary equipment

O. Subproject: Jingyu County Sanitary Landfill Civil Works

JYSWM/1.1 JYSWM/1.2

Construction of: (i) structures of the landfill, including but not limited to main structures and liners and installation of all equipment of the landfill, including but not limited to construction of administrative building, boiler room and leachate treatment plant, installation of the boiler; and (ii) earth backfill, fence, ground work, road, pipes, greening and lighting

1,462,000 157,000 NCB May 2009

Apr 2009 Post Prior

M & E

JYSWM/2.1 JYSWM/2.2 JYSWM/2.4

Procurement of: (i) liners material and auxiliary equipment of the landfill; (ii) general equipment, including rubbish truck, roller, loader and bulldozer; and (iii) process equipment of the leachate treatment plant

330,000 372,000 443,000

NCB Jan 2011 Dec 2012 Feb 2012

Post

JYSWM/2.3 JYSWM/2.5 JYSWM/2.6

Procurement of (i) electrical equipment, automatic control equipment and instruments of the leachate treatment plant and pump station, (ii) analyzing devices and other auxiliary equipment, and (iii) boiler and auxiliary

44,000 51,000 73,786

SH Jan 2012 Mar 2012 Mar 2012

35

equipment P. Subproject: Liuhe County Sanitary Landfill Civil Works

LHSWM/1.1 LHSWM/1.2

Construction of: (i) main structures and installation of all main equipment of the landfill, including but not limited to administration building, boiler room, power distribution room and leachate treatment plant; and (ii) auxiliary structures and installation of auxiliary equipment of the landfill, including but not limited to earth backfill, ground work, transfer center, fence, road, pipes, greening and lighting

1,023,000 442,000 NCB Jun 2009

May 2009 Post Prior

M & E

LHSWM/2.1 LHSWM/2.2 LHSWM/2.5

Procurement of: (i) liners material and auxiliary equipment of the landfill; (ii) general equipment, including rubbish truck, roller, loader and bulldozer; and (iii) process equipment of the leachate treatment plant

857,000 700,000 406,000

NCB Dec 2010 Dec 2012 Feb 2012

Post

LHSWM/2.3 LHSWM/2.4 LHSWM/2.6 LHSWM/2.7

Procurement of (i) electrical equipment of the leachate treatment plant and pump station, (ii) automatic control equipment and instruments of the leachate treatment plant and pump station, (iii) office devices and furniture, and (iv) boiler and auxiliary equipment

52,000 4,286

86,000 25,714

SH

Mar 2012 Jan 2013 Apr 2012 Feb 2013

Q. Subproject: Meihekou City Sanitary Landfill Civil Works

36

MHKSWM/1.1 MHKSWM/1.2

Construction of: (i) earth backfill, access road and installation of pipes and outdoor auxiliary equipment; and (ii) main structures and structures of the leachate treatment plant

3,560,000 3,131,000 NCB May 2009

Jun 2009 Prior Post

M & E

MHKSWM/2.1 MHKSWM/2.2 MHKSWM/2.3 MHKSWM/2.4

Procurement of: (i) liners material and auxiliary equipment of the landfill; (ii) process equipment of the landfill and the leachate treatment plant; (iii) transportation vehicles; and (iv) analyzing devices and maintenance equipment

929,000 617,000

1,017,000 46,471

NCB NCB ICB SH

Nov 2010 Apr 2012 Apr 2013 Apr 2013


R. Subproject: Tongyu County Sanitary Landfill Civil Works

TYSWM/1.1 TYSWM/1.2 TYSWM/1.3

Construction of: (i) main structures of the landfill; (ii) auxiliary structures and installation of all equipment of the landfill, including but not limited to construction and installation of administrative building, boiler room and leachate treatment plant, installation of electrical equipment, automatic control equipment and instruments; and (iii) earth backfill, fence, ground work, road, pipes, greening and lighting.

1,277,000 285,500 240,000

NCB Jul 2009 Jul 2009 Jun 2009

Post Post Prior

M & E


Procurement of: (i) liners material and auxiliary equipment of the landfill; (ii) general

570,000 412,000 968,000

NCB Nov 2010 Feb 2013 Jun 2012

Post

37

equipment, including rubbish truck, roller, loader and bulldozer; and (iii) equipment of the leachate treatment plant


Procurement of (i) analyzing devices, office equipment and furniture, (ii) electrical equipment, automatic control equipment, instruments, boiler and auxiliary equipment, and (iii) boiler and auxiliary equipment

95,714 86,429 52,857

SH Dec 2012 Jan 2013 Jan 2013

S. Subproject: Yushu City Sanitary Landfill Civil Works

YSSWM/1.1 YSSWM/1.2

Construction of all structures of the landfill and installation of all equipment of the landfill, including but not limited to construction and installation of administrative building, boiler room and leachate treatment plant, installation of electrical equipment, automatic control equipment and instruments. Construction of all earth backfill, fence, ground work, road, pipes, greening and lighting

2,810,000 315,000 NCB May 2009

Apr 2009 Post Prior

M & E

YSSWM/2.1 YSSWM/2.2 YSSWM/2.3 YSSWM/2.4

Procurement of: (i) liners material and auxiliary equipment of the landfill; (ii) general equipment, including rubbish truck, roller, loader and bulldozer; (iii) electrical

786,000 816,000 244,000 171,000

NCB Nov 2010 Apr 2013 Sep 2012

Post

38

equipment, automatic control equipment and instruments of the leachate treatment plant and pump station; and (iv) process equipment of the leachate treatment plant

YSSWM/2.5 YSSWM/2.6


17,857 42,857 SH Oct 2012

T. Subproject: Changbaishan Mountain Administrative Committee WWTP/Civil Works

CBSWWTP/1.1 CBSWWTP/1.2 CBSWWTP/1.3 CBSWWTP/1.4

Construction of: (i) structures and installation of all equipment of the WWTP; (ii) access road; (iii) earth backfill, fence, ground work, road, pipes, greening and lighting. Procurement and installation of PRP pipeline

1,753,000 1,653,000

149,000 923,000

NCB

May 2009 Apr 2009 Jun 2009 Apr 2009

Post Prior Post Post

WWTP/M & E

CBSWWTP/2.1 CBSWWTP/2.2 CBSWWTP/2.3 CBSWWTP/2.4

Procurement of: (i) process equipment: pumps, blowers, valves, activators, axial fans, hoists; (ii) electrical equipment, automatic control equipment and instruments of the WWTP; (iii) process equipment: floating chain aerators, dewatering centrifuge, mixers, sludge scrapers, disinfection equipment; and (iv) transportation vehicle

578,000 759,000 921,000 147,000

NCB

Nov 2009 Dec 2009 Nov 2009 Jan 2010

Post

CBSWWTP/2.5

Procurement of analyzing devices, office equipment and

94,143 SH Feb 2010

39

furniture Landfill/Civil Works

CBSSWM/1.1 Construction of the rubbish transfer center

243,000 NCB May 2009 Post

Landfill/M & E

CBSSWM/2.1

Procurement of all general equipment, including rubbish truck, roller, loader and bulldozer.

683,000 NCB Dec 2012 Post

Q. Project Implementation Consultant

QCBS/1.2

Procurement of all consultation service for subprojects in Jilin

1,500,000 QCBS Oct. 2008 Prior

3.3 National Competitive Bidding Annex The Borrower’s Law of Tendering and Bidding of the People’s Republic of China promulgated by Order No. 21 of the President of the People’s Republic of China on August 30, 1999, are subject to the following clarifications required for compliance with the Guidelines: (i) All invitations to prequalify or to bid shall be advertised in the national press, or

official gazette, or a free and open access website in the Borrower’s country. Such advertisement shall be made in sufficient time for prospective bidders to obtain prequalification or bidding documents and prepare and submit their responses. In any event, a minimum preparation period of thirty (30) days shall be given. The preparation period shall count (a) from the date of advertisement, or (b) when the documents are available for issue, whichever date is later. The advertisement and the prequalification and bidding documents shall specify the deadline for such submission.

(ii) Qualification requirements of bidders and the method of evaluating the

qualification of each bidder shall be specified in detail in the bidding documents, and in the prequalification documents if the bidding is preceded by a prequalification process.

(iii) If bidding is preceded by a prequalification process, all bidders that meet the

qualification criteria set out in the prequalification document shall be allowed to bid and there shall be no limit on the number of pre-qualified bidders.

40

(iv) All bidders shall be required to provide a performance security in an amount sufficient to protect the Borrower/Project Executing Agency in case of breach of contract by the contractor, and the bidding documents shall specify the required form and amount of such performance security.

(v) Bidders shall be allowed to submit bids by mail or by hand. (vi) All bids shall be opened in public; all bidders shall be afforded an opportunity to

be present (either in person or through their representatives) at the time of bid opening, but bidders shall not be required to be present at the bid opening.

(vii) All bid evaluation criteria shall be disclosed in the bidding documents and

quantified in monetary terns or expressed in the form of pass/fail requirements. (viii) No bid may be rejected solely on the basis that the bid price falls outside any

standard contract estimate, or margin or bracket of average bids established by the Borrower/Project Executing Agency.

(ix) Each contract shall be awarded to the lowest evaluated responsive bidder, that is,

the bidder who meets the appropriate standards of capability and resources and whose bid has been determined (a) to be substantially responsive to the bidding documents and (b) to offer the lowest evaluated cost. The winning bidder shall not be required, as a condition of award, to undertake responsibilities for work not stipulated in the bidding documents or otherwise to modify the bid as originally submitted.

(x) Each contract financed with the proceeds of the Loan shall provide that the

suppliers and contractors shall permit ADB, at its request, to inspect their accounts and records relating to the performance of the contract and to have said accounts and records audited by auditors appointed by ADB.

(xi) Government owned enterprises in the Borrower’s country may be permitted to

bid if they can establish that they (a) are legally and financially autonomous, (b) operate under commercial law and (c) are not a dependent agency of the Borrower/Project Executing Agency.

(xii) Re-bidding shall not be allowed solely because the number of bids is less than

three (3).

41

Annex 4: Safeguards Plan )

4.1 Environment

• The Project is classified as category A according ADB's Environmental

Assessment Guidelines (2003). • Environmental impact assessment (EIA) reports in English language have been

prepared by certified EIA institutes in compliance with relevant laws, regulations, and guidelines of the PRC.

• The environmental benefits of the Project include: (i) reducing pollution loads to Songhua River and its tributaries significantly by intercepting and treating raw sewage currently discharged into the rivers and its tributaries;1 (ii) significantly improving the quality of water for Harbin residents by reducing wastewater discharge into the river; (iii) improving sanitation and hygiene by providing clean water; 2 and (iv) improving the quality of life by enhancing solid waste management.3

• Adverse impacts on the physical and natural environment during the construction and operational stages of the Project would be insignificant when the mitigation measures specified in the Summary Environmental Impact Assessments and Environmental Management Plans are appropriately implemented. The EMPs will be implemented by IAs, monitored and supervised by professional environmental management specialists and local environmental monitoring centers, and reported to the Jilin and Heilongjiang PMOs, HEPD, JEPD, and ADB.

• An annual environmental reports commencing from the start of project implementation until one year after the commencement of operation of project facilities will be submitted to ADB.

1 In Fangzheng County, Fujin City, Harbin City, Jiamusi City, Nenjiang County, Qiqihar City, Shuangyashan

City, and Tangyuan County of Heilongjiang Province and Dehui City, Gongzhuling City, Fusong County, Jingyu County, Liuhe County, Tonghua County, Yushu City, and Changbaishan Mountain Administrative Area of Jilin Province.

2 For the residents of Fujin City, Tangyuan County, Tonghe County, and Yanshou County of Heilongjiang Province.

3 In Da’an City, Fusong County, Huadian City, Huinan County, Jiaohe City, Jingyu County, Meihekou City, Tongyu County, Yushu City, and Changbaishan Mountain Administrative Area of Jilin Province.

42


4.2 Involuntary Resettlement

• The Songhua River Basin Water Pollution Control and Management Project will

have significant land acquisition and resettlement impacts. The implementing agencies (IAs) with the support of the respective design institutes prepared five short resettlement plans, two due diligence reports, and six statements of land acquisition and resettlement (LAR)4 for the Heilongjiang component. Three full and 13 short resettlement plans (one of which had a due diligence report) were prepared for the subcomponents for Jilin component. The primary objective of the resettlement plans has been to ensure that the affected people improve their living standards or are at least not made worse off because of the Project.

• The project IAs will establish project resettlement units to supervise

implementation, continuing public consultation, monitoring progress and responding to grievances. The grievance address procedures are well established and explanations are included in the resettlement information booklets.

• Each PMO will have at least one person and each IA will have at least two full-

time staff responsible for land acquisition and resettlement. Staff from each subproject resettlement unit will take the lead in coordinating the planning, implementation, financing, and monitoring of land acquisition and resettlement.

• Internal and external monitoring of resettlement plan implementation will be

conducted. Monitoring methodologies are specified in the resettlement plans. Internal supervision and monitoring will be done by each IA to ensure compliance with the provisions of the resettlement plan. The PMO and IAs have agreed to a set of supervision milestones with ADB, to ensure timely and effective implementation of resettlement activities. External monitoring and evaluation will be carried out by an independent agency under contract to the PMO of Heilongjiang and Jilin province. Monitoring and evaluation reports will be prepared every 6 months during implementation and annually for 2 years after the completion of resettlement. External monitoring reports will be forwarded directly to the PMOs, IAs, and ADB and will be uploaded on ADB website.

• JPG and HPG will, through the concerned county/city governments ensure that:

(a) all land and rights-of-way required by the Project are made available in a timely manner, (b) the resettlement plans are implemented promptly and efficiently in accordance with their terms; and the provisions of the resettlement plans are implemented in accordance with all applicable laws and regulations of the Borrower and ADB’s Policy on Involuntary Resettlement, (c) all affected persons are given adequate opportunity to participate in resettlement planning and implementation and that they will be at least as well off as they would have been in the absence of the Project, (d) timely provision of counterpart funds be paid for land acquisition and resettlement activities, and (e) any obligations in excess of the resettlement plan budget estimates shall be met.

4 Statements here refer to the subcomponents that involve state-owned land to be acquired. They do not

include land owned by village committees or farmers’ households that are affected.

43


4.3 Indigenous People Ethnic minorities represent a small percentage of the total population (4.1%) and are scattered across the project counties and cities. The social analysis determined that they are socially and economically integrated with the majority population and will not be subject to any adverse impacts of the Project as a result of their minority status, including land acquisition and resettlement. 4.4 Other Safeguards

• Labor issues. To ensure that vulnerable groups will gain maximum benefits from the Project, (i) priority will be given to the vulnerable groups for the employment and training opportunities generated from the project construction and operation phases; (ii) the selected contractors will be sensitized to the need to provide maximum benefits to the vulnerable; and (iii) the contractors will be required to adopt pro-active measures, such as quota systems and training programs for the vulnerable group (e.g., the contracts of the contractors will specify that at least 15% of total jobs and training opportunities will be provided to women and 15% to the poor and members of minorities).

• HIV & Health awareness. The project construction workers will be engaged

locally. HIV/AIDS training and sensitization will be provided to the contractors, ensured in the loan assurances and monitored in the social action plans. No other social risks and/or vulnerability are also anticipated as a result of the Project, except for the resettlement and land acquisition addressed in the resettlement plans.

• Gender and social issues. Results from the household survey and focus group

discussion indicate that women are primarily responsible for collection of household water, wastewater disposal and management, household garbage disposal and management, and care for the sick and elderly. Time and efforts spent on these activities will be significantly reduced, enabling women to be engaged in income-generating activities and family or leisure time. Lack of water supply, wastewater disposal and collection, and solid waste disposal and collection contribute to gender inequities and add to the burden of household work. The poverty and social assessment indicates that women strongly support the Project across all of the subprojects. Women have perceived that the Project will improve their living environments, create employment opportunities, and reduce the incidence of water-, vector- and airborne diseases.

44

Annex 5: Financing Plan )

5.1 ADB Financing, Fund Flow and Disbursement Arrangements

Flow of Funds for Heilongjiang Component

Asian Development Bank (ADB)

Ministry of Finance

Direct Payments to Consultants and Suppliers

Heilongjiang Provincial Finance Bureau

Counterpart Funding City Finance Bureaus

Country Finance Bureaus

Counterpart Funding

Commercial Lending

Commercial

Lending

- Fujin City Zhonghu Water Supply Co.

- Harbin City Inland River Comprehensive Development Co.

- Harbin City Inland River Development Construction Co.

- New Era Urban Infrastructure Construction Investment Jiamusi Co., Ltd.

- Qiqihar City Hecheng Wastewater Treatment Co., Ltd.

- Qitaihe City Qingyuan Drainage Co., Ltd.

- Shuangyashan City Changyuan Drainage Co., Ltd.

- Tangyuan County

Water Supply Co. - Tonghe County Water

Supply and Drainage Co.

- Yanshou County Water Supply Co.

- Fangzheng County Water Supply and Drainage Co.

- Nenjiang County Water Supply Co.

- Tangyuan County Xingyuan Urban Construction Investment Co., Ltd.

ADB/Counterpart/Local Bank Funds

ADB/Local Bank Repayment

Onlending

Onlending

Onlending Onlending

Implementing Agencies

45

Annex 5: Financing Plan )

5.1 ADB Financing, Fund Flow and Disbursement Arrangements

Flow of Funds for Jilin Component

)

Asian Development Bank (ADB)

Ministry of Finance

Direct Payments to Consultants and Suppliers

Jilin Provincial Finance Bureau

Counterpart Funding

City Finance Bureaus

Country Finance Bureaus

Counterpart Funding

C

omm

erci

al L

endi

ng

- Fusong County Lantianbishui Infrastructure Development Co., Ltd.

- Fuyu County Wastewater Treatment Co., Ltd.

- Jingyu County Yutong Municipal Engineering Co., Ltd.

- Liuhe County Bishui Wastewater Treatment Co., Ltd.

- Tonghua County Water Supply Co.

- Huinan County Chaoyang Township Huashu Domestic Solid Waste Treatment Service Co., Ltd.

- Jingyu County Huanyu Domestic Solid Waste Management Co., Ltd.

- Liuhe County Luyuan Domestic Solid Waste Management and Service Co., Ltd.

- Tongyu County Hecheng Domestic Solid Waste Sanitary Landfill

ADB/Counterpart/Local Bank Funds

ADB/Local Bank Repayment

Onlending

Onlending

Onlending

Onlending

Implementing Agencies

C

omm

ercial Lending

- Dehui City Tianyi Water Co., Ltd.

- Gongzhuling City Urban State-Owned Assets Operation Co., Ltd.

- Fanhua Water Co., Ltd.

- Da’an City Xingcheng Urban Infrastructure Development and Construction Co., Ltd.

- Huadian City Solid Waste Treatment Co., Ltd.

- Jiaohe City Jiemei Solid Waste Co.

- Meihekou City Jiecheng Domestic Solid Waste Collection, Transportation and Treatment Co., Ltd.

Changbaishan Administrative

Committee Finance Bureau

Changbaishan Development and Construction Group Co., Ltd.

46

Annex 5: Financing Plan 5.2 Allocation Table

ALLOCATION AND WITHDRAWAL OF LOAN PROCEEDS

CATEGORY ADB FINANCING BASIS

Total Amount Allocated for ADB Financing

($)

Number

Item

Category Subcategory

Percentage of ADB

Financing from the Loan Account

1 Civil Works 47,100,000 1A Heilongjiang Water Supply

Subcomponent 600,000 58 percent of total

expenditure 1B Heilongjiang Wastewater

Management Subcomponent 12,250,000 58 percent of total

expenditure 1C Jilin Wastewater Management

Subcomponent 13,250,000 58 percent of total

expenditure 1D Jilin Solid Waste Management

Subcomponent 20,500,000 58 percent of total

expenditure 1E Jilin River Improvement

Subcomponent 500,000 58 percent of total

expenditure 2 Equipment, Materials and

Vehicles5 125,400,000

2A Heilongjiang Water Supply Subcomponent

11,500,000 100 percent of total expenditure

2B Heilongjiang Wastewater Management Subcomponent


2C Jilin Wastewater Management Subcomponent


2D Jilin Solid Waste Management Subcomponent


2E Jilin River Improvement Subcomponent


3 Project Management Consulting Services and Training

2,600,000

3A Heilongjiang Component 1,400,000 100 percent of total expenditure

3B Jilin Component 1,200,000 100 percent of total expenditure

4 Interest and Commitment Charge 24,900,000 4A Heilongjiang Component 10,500,000 100 percent of amounts

due 4B Jilin Component 14,400,000 100 percent of amounts

due Total 200,000,000

5 Vehicles exclusively used for Project production and operation.

47

Annex 5: Financing Plan 5.3 Government Financing and Fund Flow

(i) Heilongjiang $46.4 million from state bonds $44.6 million equity from local government Jilin $19.7 million from state bonds $78.4 million equity from local government

(ii) Please refer to 5.1

5.4 Other Financiers

(i) $3.5 million from tariffs $3.4 million equity from private sector $0.3 million cofinancing from domestic commercial banks

5.5 Disbursement Arrangements The loan proceeds will be disbursed according to ADB’s Loan Disbursement Handbook (2007, as amended from time to time), and subject to the provision of Schedule 3 of the Loan Agreement. (i) The disbursement arrangements for ADB Loan are explained below:

a) Direct payment procedures for large civil works contracts b) Reimbursement procedures if government initially funds eligible

expenditures c) Imprest Account

• HPG and JPG will establish and maintain imprest accounts immediately after the loan becomes effective

• HPG and JPG will be responsible for the use, management, replenishment and liquidation of the imprest accounts

• The imprest account will be exclusively used to finance the ADB share of eligible expenditures

• The initial amount to be deposited into each account will not exceed the estimated expenditures in the first 6 months or 10% of the loan amount, whichever is lower

(ii) Required actions for withdrawal

a) For initial withdrawal (imprest account) • Certification from the Ministry of Finance

48

• Authorized signatory letter from the Ministry of Finance • Specimen signatures of authorized signatories • Withdrawal application (initial advance) and estimate of expenditures

b) For succeeding withdrawal

• Withdrawal application • Summary sheet • Supporting documents

49

Annex 6: Investment (Cost) Plan )

6.1 Detailed Cost Estimate Component Total Coste

A. Base Costa 1. Heilongjiang Component Water Supply 19.4 Wastewater Treatment 132.5 2. Jilin Component Wastewater Treatment 74.7 Solid Waste Management 73.9 Integrated River Improvement 7.8 3. Project Management, Training, Consulting Services 2.7 Subtotal 311.0B. Contingencies Physicalb 24.5 Pricec 35.9 Subtotal C. Financing Charges During Implementationd 24.9 Total 396.3a In May 2008 prices, including taxes and duties. b Computed at 8% for all civil works, equipment, training, and consulting services. c Computed, based on foreign exchange inflation rate of 6.8% in 2008, 0.7% in 2009, 1.4% in 2010, 0.4% in

2011, 0.5% in 2012 and onwards; and local currency inflation rate at 5.5% in 2008, 5.0% in 2009 and onwards; and includes provision for exchange rate fluctuation under assumption of a purchasing power parity exchange rate.

d Includes interest and commitment charges for both the Asian Development Bank (ADB) loans and domestic bank loans. Interest during construction for the ADB loan has been computed at the 5-year forward London-interbank offered rate (LIBOR) of 3.68% plus a spread of 0.2%.

e Includes taxes and duties of $11.06 million.

50

Item Amount % Amount % Amount % Amount % Amount % Amount % A. Heilongjiang Component

Water Supply Civil Works 0.63 30.40 0.00 0.00 0.00 0.00 1.45 69.60 0.00 0.00 2.09 100.00

Survey and Design 0.00 0.00 0.00 0.00 0.00 0.00 2.51 100.00 0.00 0.00 2.51 100.00Equipment 11.46 81.60 0.00 0.00 0.00 0.00 0.03 0.20 2.55 18.20 14.04 100.00Land Acquisition and Resettlement 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.71 100.00 0.71 100.00Subtotal 12.09 62.50 0.00 0.00 0.00 0.00 3.99 20.60 3.26 16.90 19.35 100.00

Wastewater TreatmentCivil Works 12.15 26.90 0.29 0.60 0.00 0.00 32.71 72.40 0.00 0.00 45.15 100.00Survey and Design 0.00 0.00 0.00 0.00 0.51 4.30 2.69 22.60 8.68 73.10 11.88 100.00Equipment 63.79 89.10 0.00 0.00 0.79 1.10 7.03 9.80 0.00 0.00 71.61 100.00Land Acquisition and Resettlement 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 3.88 100.00 3.88 100.00

Subtotal 75.95 57.30 0.29 0.20 1.30 1.00 42.42 32.00 12.56 9.50 132.51 100.00B. Jilin Component Wastewater Treatment

Civil Works 13.16 40.40 0.00 0.00 0.00 0.00 14.17 43.50 5.25 16.10 32.57 100.00Survey and Design 0.00 0.00 0.00 0.00 0.00 0.00 5.57 100.00 0.00 0.00 5.57 100.00Equipment 27.07 81.90 0.00 0.00 0.00 0.00 0.00 0.00 5.98 18.10 33.05 100.00Land Acquisition and Resettlement 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 3.50 100.00 3.50 100.00Subtotal 40.23 53.90 0.00 0.00 0.00 0.00 19.74 26.40 14.72 19.7 74.69 100.00

Solid Waste ManagementCivil Works 20.54 58.40 0.00 0.00 0.00 0.00 0.00 0.00 14.66 41.70 35.20 100.00Survey and Design 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 6.15 100.00 6.15 100.00Equipment 19.27 100.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 19.27 100.00Land Acquisition and Resettlement 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 13.24 100.00 13.24 100.00Subtotal 39.81 53.90 0.00 0.00 0.00 0.00 0.00 0.00 34.05 46.10 73.86 100.00

Integrated River Improvement Civil Works 0.46 21.10 0.00 0.00 0.00 0.00 0.00 0.00 1.73 78.90 2.20 100.00Survey and Design 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.71 100.00 0.71 100.00Equipment 3.76 80.00 0.00 0.00 0.00 0.00 0.00 0.00 0.94 20.00 4.70 100.00Land Acquisition and Resettlement 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.19 100.00 0.19 100.00Subtotal 4.23 54.20 0.00 0.00 0.00 0.00 0.00 0.00 3.57 45.80 7.80 100.00

C. Project Management/Training and Consulting ServicesHeilongjiang

Consulting Services 0.86 100.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.86 100.00Training 0.30 100.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.30 100.00Project Management 0.35 100.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.35 100.00Subtotal 1.51 100.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 1.51 100.00

Jilin Consulting Services 0.65 100.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.65 100.00Training 0.30 100.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.30 100.00Project Management 0.28 100.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.28 100.00Subtotal 1.23 100.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 1.23 100.00

Total Base Costa 175.05 56.30 0.29 0.10 1.30 0.40 66.15 21.30 68.16 21.90 310.95 100.00

D. ContingenciesPhysicalb 0.00 0.00 0.00 0.00 2.13 8.70 0.00 0.00 22.35 91.30 24.48 100.00Pricec 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 35.93 100.00 35.93 100.00Subtotal 0.00 0.00 0.00 0.00 2.13 3.50 0.00 0.00 58.28 96.50 60.41 100.00

E. Financing Charges during Implementationd

Heilongjiang 10.45 99.80 0.02 0.20 0.00 0.00 0.00 0.00 0.00 0.00 10.47 100.00Jilin 14.50 100.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 14.50 100.00Subtotal 24.95 99.90 0.02 0.10 0.00 0.00 0.00 0.00 0.00 0.00 24.97 100.00

Total Project Coste 200.00 50.50 0.31 0.10 3.43 0.90 66.15 16.70 126.44 31.90 396.33 100.00

a In May 2008 prices, inckuding taxes and duties of $11.06 million.b Computed at 8% for civil works, equipment, training, and consulting services.c Computed, based on foreign exchange inflation rate of 6.8% in 2008, 0.7% in 2009, 1.4% in 2010, 0.4% in 2011, 0.5% in 2012 and onwards; and local currency infaltion rate of 5.5% in 2008, 5.0% in 2009 and onwards; and includes provision for exchange rate fluctuation under assumption of purchasing power parity exchange rate.d Includes interest and commitment charges for both ADB loans and domestic bank loans. Interest during construction for the ADB loan has been computed at the 5-year forward LIBOR of 3.68% plus a spread of 0.2%.e Includes taxes and duties of $11.06 million.Source: Asian Development Bank estimates.

Local Gov't Equity and Tariffs Total

Table A5.1: Cost EstimatesComponents by Financiers ($ million)

Asian Development Bank Private Sector Equity State BondsDomestic Banks

Annex 6: Investment (Cost) Plan )

6.2 Detailed Cost Estimate by Financier

51

Annex 6: Investment (Cost) Plan

) 6.3 Forecast of Cost to Complete – Not available

52

Annex 7: Implementation Plan )

7.1 Responsibility Allocation by Activity

Level 1 Level 2 EA PMO Sub PMO

Cons Cont. ADB

1. Component 1 1. 1 Construction of four WTPs and Distribution Mains in Heilongjiang province

1.1 .1 Design the facilities, undertake land acquisition and resettlement, procure equipment and vehicles, and recruit 270 permanent staff.

x x x x x x

1.1.2 Construct four WTPs with a capacity of 49,500 m3/day by 2012.

x x x

1.1.3 Construct 119.79 km water transmission main (diameter 1400–1600 mm) by 2011.

x x x

1. 2 Construction of nine WWTPs in Heilongjiang province

1.2.1 Design the facilities, undertake land acquisition and resettlement, procure equipment and vehicles, recruit 480 permanent staff.

x x x x x x

1.2.2 Construct nine WWTPs with a capacity of 381,000 m3/day by 2013.

x x x

1.2.3 Construct 199.13 km wastewater collection system by 2012.

x x x

2. Component 2 2.1 Construction of nine WWTPs and Network Upgrade and Expansion in Jilin Province

2.1 ,1 Design the facilities, procure equipment and vehicles, complete land acquisition and resettlement, recruit 270 permanent staff.

x x x x x x

2.1.2 Construct eight WWTPs with capacity of 175,100 m3/day by 2012.

x x x

2.1.3 Construct 367.554 km of sewer pipelines by 2011.

x x x

2.2 Construction of Ten Domestic Solid Waste Management Facility in Jilin Province

2.2.1 Design, procure equipment and vehicles, undertake land acquisition and resettlement, recruit 320 permanent staff.

x x x x x x

2.2.2 Construct 10 well-functioning sanitary landfills with capacity of 2, 400 tons/day with a service life of 13–22 years by 2013.

x x x

2.2.3 Procure 10 solid waste transport trucks and 15 vehicles to be used in the landfill and transfer station by 2011.

x x x

2.3 River improvement at the source of the Songhua River

2.3.1 Construct two wastewater treatment stations with capacity of 3,100 m3/day

x x x

2.3.2 Construct 3.8 km of sewer pipelines operating by 2013.

x x x

2.3.3 Construct three solid waste transferring stations with capacity of 40 tons per day.

x x x

3. Component 3 3.1 Institutional Capacity development for Effective Project Management

3.1 .1Complete organizational arrangements for the Jilin PMO and Heilongjiang PMO to be able to implement the ADB loan by 2009.

x x x

53

3.1.2 Complete necessary organizational arrangements for IAs (hiring staff, set up accounting systems, financial, administrative and human resource policies and procedures) by 2009.

x x x

3.1.3 Develop plans, budgets, procedures for loan implementation and project control in the Jilin PMO and Heilongjiang PMO

x x x

3.1.4 Complete JPG PMO and Heilongjiang PMO and IA staff training by 2012 (training in ADB procedures, procurement, pollution control and wastewater treatment, solid waste treatment, environmental monitoring and financial management).

x x x

3.1.5 Establishment of the PPMS by 2010 x x x

54

Annex 7: Execution Plan )

7.2 Gantt Chart

A.

B.

C.

D.

E.

F.

G.

IMPLEMENTATION SCHEDULE

Sewer Network

Distribution Network

Water Treatment Plant



Wastewater Treatment Plant


Sewer Network

4 1



Item2008 2009




1 2 3 4 1 2 3

2012 2013

2 3 4 1

2010 2011

3 4212 3 4 1 2 3 4

Heilongjiang Province Subprojects

Fujin City Supply Expansion

Tangyuan County Water Supply

Tonghe County Water Supply Expansion

Yanshou County Water Supply Expansion

Fujin City WWTP

Harbin City Xinyigou District WWTP

Fangzheng County WWTP + Sewerage Network

55

H.

I.

J.

K.

L.

M.

Implementation Progress

Appraisal


Sewer Network



Sewer Network


Reuse Water Network

4 1Item

2008 2009

1 2 3 4 1 2 3

2012 2013

2 3 4 1

2010 2011

3 4212 3 4 1 2 3 4

Heilongjiang Province Subprojects

Jiamusi City Eastern District WWTP + Effluent Use

Nenjiang County WWTP + Sewerage Network

Qiqihar City WWTP (Phase II)

Qitaihe City Effluent Use

Shuangyashan City WWTP

Sewer Network

Tangyuan County WWTP


Reuse Water Network


Sewer Network


56

A.

B.

C.

D.

E.

F.

G.

H.

I.

Sewer Network


Sewer Network

Liuhe County WWTP

Jilin Province Subprojects

Tonghua County WWTP

212 3 4 1 2 3 4

2012 2013

2 3 4 1

2010 2011

3 41 2 3 4 1 2 3 1

Sewer Network

Item2008 2009

Sewer Network



Dehui City WWTP4

Gongzhuling City Fanjiatun Town WWTP

Gongzhuling City Sewer Network Upgrade

Fusong County WWTP


Sewer Network

Yushu City WWTP


Sewer Network


Sewer Network


Fuyu County WWTP

Jingyu County WWTP



Sewer Network

57

J.

K.

L.

M.

N.

O.

P.

Q.

R.

S.

T.

Implementation Progress

Appraisal

Sewer Pipeline

Solid Waste Stations

Baixi Town WWTP

Jilin Province Subprojects

Yushu City SWM

Changbaishan Integrated River Rehabilitation

212 3 4 1 2 3 4

2012 2013

2 3 4 1

2010 2011

3 41 2 3 4 1 2 3 1Item

2008 2009

4

Manjiang Town WWTP



Da'an City SWM

Fusong County SWM

Huadian City SWM

Huinan County SWM

Jiaohe City SWM

Jingyu County SWM

Liuhe County SWM

Meihekou City SWM

Tongyu County SWM

58

Annex 7: Execution Plan

) 7.4 Annual Work Plan

______________________________________________________________________

59

Annex 8: Performance Monitoring and Evaluation )

8.1 Deliverables

• Initial poverty and social assessment • Land Acquisition and Resettlement Plan completion reports (2 annual reports due within 3

months after project completion • Environment Monitoring Program completion reports (2 annual reports due within 3 months

after project completion • Internal monitoring reports

8.2 Performance Indicators

Impact: • Water quality of 48 drinking water sources, including Songhua Lake, improved to class III by

2020 from class IV • Water quality of Songhua River improved to class III by 2020 from class IV and V in 2007 • Reduction in the incidence rate of waterborne diseases in direct project beneficiary areas by

40% by 2020 compared to that in 2007 Outcomes:

• Total pollutants (COD) discharge in the SRB reduced to 81,630 tons/year by 2013 • By 2013, water supply subprojects in the project counties and cities in Heilongjiang Province

providing drinking water to 402,800 people • Wastewater collection and treatment rate in the project counties and cities in Heilongjiang and

Jilin provinces is increased from the 2007 average level of 45% to 80% by 2013 • Capacity of safe disposal of municipal solid-waste increased to 869,065 tons/ year in Jilin

province by 2013 Outputs - Physical:

• Four WTPs in Heilongjiang with additional capacity of 49,500 m3/day , water transmission pipelines, and distribution network operating by 2013

• Nine WWTPs with a capacity of 381,000 m3/day, and 199.13 km of sewer pipelines operating by 2013

• Nine WWTPs with a capacity of 175,000 m3/day, and 367.554 km of sewer pipelines operating by 2013

• 10 well-functioning sanitary landfills with capacity of 2,400 tons/day with a service life of 13–22 years operating by 2013

• Two WWTPs with capacity of 3,100 m3/day, three solid waste transferring stations with capacity of 40 tons per day, and 3.83 km of sewer pipelines operating by 2013

Outputs - Non-Physical:

• PMOs and IAs maintain the project implementation schedules • The 29 IAs have functioning Boards of Directors and operate as independent corporations by

2009 • The 29 IAs provide 199 staff and resources, as indicated in the cost estimates, to implement

the Project • The 29 IAs review and improve policies for cost control, internal financial control every 2 years

60

• Tariffs are reviewed annually and adjusted as needed to achieve full cost recovery for water supply by 2014, and wastewater treatment by 2016. Citizens are fully aware of the results of the annual tariff revision process.

)

8.3 Progress Report

• Project Performance Report (PPR) – The PPR is part of overall project performance management system, which is updated using the information in the EA's progress report. Sample format is in Appendix

Report Reference Due Time • Project Performance

Monitoring System o Develop comprehensive

PPMS procedures o Reporting of baseline and

progress data including environmental management plan

Project Agreement, Schedule, paras. 32 to 36

No later than 6 months after loan effectiveness Semiannual

• Quarterly Project Reports Project Agreement, Article IV, Section 2.08(b)

Semiannual, within 1 month after the end of each 6 months (July and January)

• Audited Financial Statements Project Agreement, Article IV, Section 2.09(a)

Not later than 6 months after the closed of fiscal year (June)

• Land Acquisition and Resettlement Monitoring o Construction Phase –

External Monitoring Report o Operations Phase –

External Monitoring Report

Project Agreement, Schedule, paras. 26

Twice a year 2 annual reports within 3 months after project completion

• Environmental Report o Construction Phase –

External Monitoring Report o Operations Phase –

External Monitoring Report

Project Agreement, Schedule, paras. 24

Twice a year 2 annual reports within 3 months after project completion

• Project Completion Report

Project Agreement, Article IV, Section 2.08(c)

Not later than 3 months after the physical completion of the Project

61

Annex 9: Major Covenants

) 9.1 Legal Covenants Change in Ownership 1. In the event that (a) any change in ownership of the Project facilities, or (b) any sale, transfer or assignment of the shares of any IA is anticipated, HPG and the concerned IA shall consult with ADB at least six months prior to the implementation of such change. HPG and the concerned IA shall ensure that such change shall be carried out in a lawful and transparent manner. (para. 8 of Schedule 5 to the Loan Agreement/para. 4 of Schedule to the Project Agreement) 2. HPG and each IA shall ensure that no material organizational changes (either financial, operational, or structural) to, nor material asset transfers to or from the IA be formally approved or implemented without the prior approval of the Borrower, ADB or HPG if such changes would affect the IA’s ability to perform its obligation under the Loan, Project or the Onlending Agreement. HPG and each IA shall ensure that any such change shall be made in a lawful and transparent manner through duly certified resolutions of the IA’s board of directors. (para. 9 of Schedule 5 to the Loan Agreement/para. 5 of Schedule to the Project Agreement)

9.2 Financial Covenants Counterpart Financing 3. The Borrower shall cause HPG and JPG to, and through HPG and JPG cause the concerned city and county governments to, ensure that all local cost financing including cash injection and equity contribution is provided for the Project on a timely basis to enable the full and timely completion of the Project. The Borrower shall cause HPG and JPG to, and through HPG and JPG cause the concerned city and county governments to, ensure that in the event of any shortfall of funds or cost overruns, HPG or JPG, as the case may be, and the concerned city and county governments shall make available such funds including foreign exchange as are required to complete the Project. (para 10 of Schedule 5 to the Loan Agreement/para. 6 of Schedule to the Project Agreement) Financial Management 4. Each IA shall establish financial control and management arrangements compatible with ADB’s Guidelines for Governance and Financial Management and other relevant guidelines. (para. 11 of Schedule to the Project Agreement) 5. HPG through the concerned city and county governments shall ensure that each IA have appropriate financial and managerial autonomy, including that the IA be entitled to receive the full amount of user charges levied, net of any amount required by the Finance Bureaus of the concerned city and county governments as the case may be, to service debt or provide funds to finance capital investments for the services once Project facilities are fully operational. (para. 12 of Schedule to the Project Agreement) 6. Each IA shall establish and maintain a sound financial management system in accordance with the ADB’s Guidelines for Governance and Financial Management. The financial management system shall comprise: (a) corporate planning, budgeting and budgetary control; (b) accounting consistent with applicable PRC standards; (c) internal control; and (d) data processing. Each IA shall

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establish separate bank accounts and maintain minimum balances to ensure smooth cash flow and the timely settlement of Project construction liabilities and future debt servicing. (para. 13 of Schedule to the Project Agreement) Cost Recovery and Pro-Poor Tariffs 7. HPG and JPG shall cause the concerned city and county governments to ensure that from 2014, the tariffs for treated water, and from 2016, the tariffs for wastewater services, and from 2018, the tariffs for solid waste management charged by the concerned IAs are set at a level that ensures full cost recovery of operation and maintenance, depreciation, and financial costs, which means debt service obligations, and a reasonable profit margin for the IAs. HPG shall cause the concerned city and county governments to undertake a review of the regulation on tariff regimes prior to the midterm review of Project implementation, and will ensure that public hearing be conducted on tariff increases with key stakeholders including representatives of the poor. Such a review will include: (i) recalculation of minimum cost recovery tariffs based on the actual Project costs, affordability and willingness-to-pay surveys, (ii) financial/economic benefits, and (iv) extension of the price escalation mechanism to household and commercial users and other potential fees, and charges to encourage water conservation and sound environmental behaviour. The findings shall be submitted to ADB for review and discussion during the midterm review of Project implementation. (para. 14 of Schedule to the Project Agreement) 8. HPG and JPG shall cause the concerned city and county governments to review the impact of tariff adjustments for water, wastewater, and on the poor to protect the basic living standards of the urban poor. (para. 16 of Schedule to the Project Agreement)

9.2 Safeguards Covenants Environment 9. HPG and JPG shall cause the concerned city or county governments to ensure and each IA shall ensure that the IA construct, operate, maintain, and monitor the Project facilities in strict conformity with: (a) all applicable laws and regulations of the Borrower, including national and local regulations and standards for environmental protection, health, labour, and occupational safety; and (b) ADB Environmental Policy and the environmental mitigation and monitoring measures detailed in the approved EIAs, SEIA, and the EMP for the Subprojects under the implementation of the IA. (para. 20 of Schedule to the Project Agreement) 10. HPG and JPG shall cause the concerned city and county governments to ensure, and each IA shall ensure, that (a) all civil works in the Project including water treatment plants and associated pipelines, water treatment and related pipelines, wastewater treatment plants, wastewater collection systems, and systems, be constructed and operated in accordance with all applicable environmental laws, policies, procedures and guidelines of the Borrower, and ADB’s Environment Policy (2003) and related operational procedures; (b) any adverse environmental impacts arising from the Project be minimized by implementing the mitigation measures prescribed in the EIAs and the EMP for the Heilongjiang and Jilin Components; (c) civil work contracts entered into with contractors under the Project include provisions relating to the environment including obligating contractors to carry out the mitigation and monitoring measures specified in the EIAs and the EMP for the Heilongjiang and Jilin Components; and (d) a budget be allocated for all such mitigation and monitoring measures. (para. 21 of Schedule to the Project Agreement) 11. HPG and JPG shall through the concerned city and county governments to ensure, and each IA shall ensure, that (a) the Project Facilities be constructed, operated, maintained and monitored in

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strict conformity with all relevant laws and regulations of the Borrower, including all applicable national and local environmental protection laws, regulations and standards for water and wastewater treatment, treatment, sediment and sludge disposal, and the environmental mitigation measures recommended in the EMP and the EIAs for the Heilongjiang and Jilin Components of the Project be implemented; (b) the mitigation measures be incorporated into the design and bidding documents, (c) justification be provided to ADB for any proposed changes to the mitigation measures required during design, construction, operations and maintenance and provided to ADB within 60 days if any changes to the EIA have to be implemented for safety or emergency reasons; and (d) environmental monitoring programs be monitored and recorded under the guidance and supervision of Heilongjiang Environmental Protection Department and Jilin Environmental Protection Department, and the concerned city and county governments Environmental Protection Bureaus and the monitoring information be submitted to ADB in the Heilongjiang PMO’s semi-annual Project progress reports. (para. 22 of Schedule to the Project Agreement) 12. HPG and JPG shall through the concerned city and county governments ensure that all sludge and dredged material generated in the course of implementation of the Project is disposed of in accordance with national and local laws and regulations, and that such disposal creates no significant risk of secondary pollution. (para. 23 of Schedule to the Project Agreement) 13. HPG and JPG shall through the Heilongjiang and Jilin PMOs submit to ADB annual environmental reports commencing from the start of the Project implementation until one year after the commencement of operation of the Project Facilities. The reports shall include (i) progress made on mitigation measures and monitoring; (ii) problems encountered; (iii) data collected; (iv) any research results; and (v) a corrective action plan if any violation of the Borrower’s environmental laws, regulations, standards, rules, policies, or guidelines shall have occurred; and (e) records of Environment Management Plan implementation. (para. 24 of Schedule to the Project Agreement) Land Acquisition and Resettlement 14. HPG and JPG shall through the concerned city and county governments ensure, and each IA shall ensure, that: (a) all land and rights-of-way required by the Project are made available in a timely manner; (b) the RPs be implemented promptly and efficiently in accordance with their terms; and the provisions of the RPs, be implemented in accordance with all applicable laws and regulations of the Borrower, and ADB’s Policy on Involuntary Resettlement; (c) all affected persons are given adequate opportunity to participate in resettlement planning and implementation; and that they will be at least as well off as they would have been in the absence of the Project; (d) timely provision of counterpart funds be paid for land acquisition and resettlement activities; and (e) any obligations in excess of the RP budget estimates shall be met. (para. 25 of Schedule to the Project Agreement) 15. HPG and JPG shall cause the concerned city and county governments to, and each IA shall, ensure that each RP be updated based on the final detailed design, including detailed measurement surveys, for the respective subcomponent of the Project, and such updated RPs be submitted to ADB for its concurrence prior to commencement of any related civil works; and disclosed to affected people in accordance with ADB’s applicable information disclosure requirements for resettlement. (para. 26 of Schedule to the Project Agreement) 16. HPG and JPG shall cause the concerned city and county governments to, and each IA shall, also ensure that: (a) adequate staff and resources are committed to supervising and internally monitoring the implementation of each Subproject RP and that ADB is provided with semi-annual monitoring reports during resettlement implementation, followed by a resettlement completion report for each Subproject; (b) an independent agency acceptable to ADB has been contracted to carry out monitoring and evaluation, including data disaggregated by gender where applicable, and forward reports to ADB semi-annually; (c) ADB is promptly advised of any substantial changes in the

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resettlement impacts and, if necessary, a revised RP is submitted to ADB for its approval; (d) civil works contractors’ specifications include requirements to comply with the RPs and entitlements for permanent and temporary impacts to affected persons; and (e) the contractors are supervised to ensure compliance with requirements of the RPs, applicable law and ADB’s Policy on Involuntary Resettlement. (para. 27 of Schedule to the Project Agreement) 9.3 Social Covenants Corporate Governance and Anticorruption 17. Each IA shall ensure that its respective board of directors operates effectively and fully discharge its supervisory and management responsibilities, including requiring the board of directors to meet regularly and discharge all the functions provided for in the company charter. Each IA establishes financial control and management arrangements compatible with ADB’s Guidelines for the Financial Governance and Management of Investment Projects Financed by the ADB and ADB’s Loan Disbursement Handbook. (para. 17 of Schedule to the Project Agreement)

18. During project implementation, HPG and JPG shall, and shall cause the concerned city and county governments to, and each IAs shall, comply with ADB’s Anticorruption Policy (1998), as amended from time to time. HPG, JPG, and each concerned city or county government, and each IA agree: (a) that ADB reserves the right to investigate any alleged corrupt, fraudulent, collusive or coercive practices relating to the Project; and (b) to cooperate fully with and to cause each IA to cooperate fully with any such investigation and to extend all necessary assistance, including providing access to all relevant books and records, as may be necessary for the satisfactory completion of any such investigation. In particular, HPG and JPG shall, and shall cause the concerned city and county governments to, (a) conduct periodic inspections on the contractors’ activities related to fund withdrawals and settlements; and (b) ensure that all contracts financed by ADB in connection with the Project include relevant provisions of ADB’s Anticorruption Policy in all bidding documents for the project specifying the right of ADB to audit and examine the records and accounts of each IA and all contractors, suppliers, consultants and other service providers as they relate to the Project. (para. 18 of Schedule to the Project Agreement) 19. HPG and JPG shall, and shall cause the concerned city and county governments to, undertake the following anticorruption actions: (i) involve respective concerned agencies with oversight responsibility for each IA in bidding and construction to enhance construction quality control and supervise effective work; (ii) introduce a dual-signing system, in which the civil works contract winner signs an anticorruption contract with the employer when they execute the civil works contract; (iii) periodically inspect the contractor’s activities related to fund withdrawals and settlements; (iv) engage the project management consultant to support City/County PMOs and the IAs to ensure good governance, accountability, and transparency in project operations; (v) in consultation with relevant central government ministries update rules and regulations on local and corporate governance and anticorruption and enhance transparency of each IA’s operations; and (vi) disclose a summary of the financial statements and Project accounts, schedules of proposed tariff increases and associated public hearings; and tracking of procurement contract awards on the existing provincial websites. (para. 19 of Schedule to the Project Agreement) Social Development and Poverty Reduction Strategy 20. HPG shall, and shall cause the concerned city and county governments to, ensure that the impact of increased water, wastewater, and tariffs on the poor is reviewed and the provision of tariff subsidy or tariff waiver and minimum living standard scheme are maintained to protect the basic living standard of the poor. HPG shall, and shall though the concerned city and county governments to ensure, and each IA shall cause each of the contractors involved in project implementation to,

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maximize employment of local poor persons, including ethnic minorities, who meet the job and efficiency requirements, provide training opportunities, and adopt pro-active measures, such as quota systems and training programs for the vulnerable group, and monitor the Project's impact on poverty and submit annual monitoring reports to ADB during Project implementation. (para. 28 of Schedule to the Project Agreement) Employment and Labour Standards 21. HPG and JPG shall ensure that the concerned city and county governments, and each IA shall, comply with all employment and labour standards set forth in applicable laws, regulations and policies of the Borrower. In addition, HPG and JPG shall, and shall cause the concerned city and county governments to, ensure that all civil works contracts under the Project contain provisions requiring all civil works contractors engaged under the Project to: (a) provide timely payment of wages and safe working conditions to all workers including male and female workers (with such requirements being included in civil works contracts); (b) provide at least 20% of the total employment opportunities generated from the Project during construction and operation phases, and pay equal wages to the women employees for the equivalent work; (c) not employ child labour (as defined in the applicable Borrower’s law) in the Project activities; and (d) monitor the effects of the Project on women through collection and compilation of gender-disaggregated data, where applicable, including in the RPs and project performance monitoring system (PPMS). HPG shall, and cause the concerned city and county governments to, require compliance to be monitored by the construction supervision consultants. (para. 29 of Schedule to the Project Agreement) 22. HPG and JPG shall cause that the concerned city and county governments to, and each IA shall, in coordination with the responsible agencies, (a) ensure that contractors disseminate information on the risks of transmitting and contracting socially and sexually transmitted diseases, including HIV/AIDS, to their employees during Project implementation; and (b) in coordination with other appropriate agencies, ensure that public environmental awareness and education programs on health and hygiene behaviour and managing wastewater and disposal will be conducted in project area to increase the likelihood that the Project health benefits are realized especially among the poor and vulnerable populations. (para. 30 of Schedule to the Project Agreement) 23. HPG and JPG shall cause the concerned city and county governments to, and each IA shall, ensure that construction and operational health and safety measures be incorporated into the design and bidding documents, and that health and safety information disseminated to contractors who will in turn disseminate such information to those employed during Project implementation and facility operations. Such measures shall, at a minimum, be sufficient to comply with the applicable national laws, and shall also be designed to generate a safe work environment. (para. 31 of Schedule to the Project Agreement) 9.4 Other Covenants Implementation Arrangements for Heilongjiang Component 24. HPG shall be the executing agency (EA) for the Heilongjiang Component. The Project Leading Group (PLG) established by HPG, chaired by a Vice Governor and consisting of members from Heilongjiang Provincial Development and Reform Commission (HPDRC), Heilongjiang Provincial Finance Department (HPFD), Heilongjiang Provincial Audit Bureau, and Heilongjiang Provincial Environmental Department, shall provide overall policy guidance, facilitate inter-agency coordination, and resolve any institutional problems affecting project implementation for implementation of the Heilongjiang Component. (para. 1 of Schedule 5 to the Loan Agreement) 25. The PMO established by HPG, led by a Director and equipped with sufficient staff shall be

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responsible for daily implementation work. The project county and city governments in Heilongjiang Province shall set up project management offices (City/County PMOs) with the similar organization structures chaired by their Vice Mayors. The City/County PMOs shall maintain interdepartmental coordination and work closely with Heilongjiang PMO. (para. 2 of Schedule 5 to the Loan Agreement) Implementation Arrangements for Jilin Component 26. JPG shall be the EA for the Jilin Component. The Project Leading Group (PLG) established by JPG, chaired by a Vice Governor and consisting of members from Jilin Provincial Development and Reform Commission (JPDRC), Jilin Provincial Finance Department (JPFD), Jilin Provincial Construction Bureau (JCB), and Jilin Provincial Environmental Protection Department shall provide overall policy guidance, facilitate inter-agency coordination, and resolve any institutional problems affecting project implementation for implementation of the Jilin Component. (para. 3 of Schedule 5 to the Loan Agreement) 27. The PMO established by JPG, led by a Director and equipped with sufficient staff shall be responsible for daily implementation work. The project county and city governments in Jilin Province shall set up City/Country PMOs with the similar organization structures chaired by their Vice Mayors. The City/County PMOs shall maintain interdepartmental coordination and work closely with Jilin PMO. (para. 4 of Schedule 5 to the Loan Agreement) Implementing Agencies and Onlending Amounts 28. The day-to-day implementation activities for the Subprojects under the Heilongjiang and Jilin Components shall be carried out by the IAs as described below, and for this purpose the proceeds of the Loan shall be on-lent to these IAs under Onlending Agreements in the various amounts as shown below. (para. 5 of Schedule 5 to the Loan Agreement) Heilongjiang Component

(i) $7,500,000 to Fujin City Zhongfu Water Supply Company Limited for Fujin City Water Supply Expansion and Fujin City WWTP;

(ii) $3,170,000 to Tangyuan County Water Supply Company for Tangyuan County Water

Supply;

(iii) $4,000,000 to Tonghe County Water Supply and Drainage Company for Tonghe County Water Supply Expansion;

(iv) $3,000,000 to Yanshou County Water Supply Company for Yanshou County Water

Supply Expansion;

(v) $3,500,000 to Fangzheng County Water Supply and Drainage Company for Fangzheng County WWTP and Sewerage Network;

(vi) $33,700,000 to Harbin City Inland River Comprehensive Development Company for

Harbin City Xinyigou District WWTP;

(vii) $5,000,000 to New Era Urban Infrastructure Construction Investment Jiamusi Company Limited for Jiamusi City East District WWTP and Effluent Reuse;

(viii) $4,000,000 to Nenjiang County Water Supply Company for Nenjiang County WWTP

and Sewerage Network;

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(ix) $14,000,000 to Qiqihaer City Hecheng Wastewater Treatment Company Limited for

Qiqihar City WWTP (Phase II);

(x) $6,000,000 to Qitaihe City Qingyuan Drainage Company Limited for Qitaihe City Effluent Reuse;

(xi) $10,130,000 to Shuangyashan City Changyuan Drainage Company Limited for

Shuangyashan City WWTP; and

(xii) $6,000,000 to Tangyuan County Xingyuan Urban Construction Investment Company Limited for Tangyuan County WWTP,

Jilin Component

(i) $6,700,000 to Dehui City Tianyi Water Company Limited for Dehui City WWTP;

(ii) $11,000,000 to Gongzhuling City Urban State-Owned Assets Operations Company

Limited for Wastewater Trunk Collector Pipelines and Effluent Discharge Pipelines Lingdong District and Fanjiantun Town WWTP and Sewerage Network Upgrade in Gongzhuling City;

(iii) $8,300,000 to Fusong County Lantianbishui Infrastructure Development Company

Limited for Fusong County WWTP and Fusong County SWM;

(iv) $6,400,000 to Fuyu County Wastewater Treatment Company Limited for Fuyu County WWTP;

(v) $5,900,000 to Jingyu County Yutong Municipal Engineering Company Limited for

Jingyu County WWTP;

(vi) $2,800,000 to Liuhe County Bishui Wastewater Treatment Company Limited for Liuhe County WWTP;

(vii) $4,700,000 to Tonghua County Water Supply Company for Tonghua County WWTP;

(viii) $10,100,000 to Fanhua Water (Yushu) Company Limited for Yushu City WWTP and

Yushu City SWM;

(ix) $6,300,000 to Da’an City Xingcheng Urban Infrastructure Development and Construction Company Limited for Da’an City SWM;

(x) $9,100,000 to Huadian City Solid Waste Treatment Company Limited for Huadian

City SWM;

(xi) $2,700,000 to Huinan County Chaoyang Township Huashu Domestic Solid Waste Treatment Service Company Limited for Huinan County SWM;

(xii) $4,800,000 to Jiaohe City Jiemei Solid Waste Company for Jiaohe City SWM;

(xiii) $1,600,000 to Jingyu County Huanyu Domestic Solid Waste Management Company

Limited for Jingyu County SWM;

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(xiv) $2,800,000 to Liuhe County Luyuan Domestic Solid Waste Management Company Limited for Liuhe County SWM;

(xv) $8,900,000 to Meihekou City Jiecheng Domestic Solid Waste Collection,

Transportation and Treatment Company Limited for Meihekou City SWM;

(xvi) $2,900,000 to Tongyu County Hecheng Domestic Solid Waste Sanitary Landfill Plant for Tongyu County SWM; and

(xvii) $5,000,000 to Changbaishan Development and Construction Group Company

Limited for Changbaishan Integrated River Improvement. 29. The Borrower shall ensure that HPG and JPG to undertake effective coordination in implementation of the Project. (para. 6 of Schedule 5 to the Loan Agreement) 30. The Borrower shall cause HPG, JPG and the concerned city and county governments, to ensure respectively that each IA under its control be maintained as separate legal entity with full financial and managerial autonomy as provided for under the relevant laws of the Borrower to be (a) responsible for day to day implementation activities for the concerned Subcomponent(s), (b) responsible for operating the project infrastructures of the concerned Subcomponent(s) developed in the concerned municipality and city; and (c) entitled to receive all monies collected by levying the appropriate water, wastewater, solid waste tariffs and fees, as applicable. (para. 7 of Schedule 5 to the Loan Agreement) Public Awareness Programs 31. HPG and JPG shall ensure that close coordination be carried out by each IA with the existing public environmental awareness and hygiene education program of the environmental protection bureaus and health bureaus. Appropriate public awareness campaigns shall be undertaken through media, public announcements, households, and schools to familiarize people living in the Songhua river basin area with issues related to water supply and sanitation. (para. 7 of Schedule to the Project Agreement) Monitoring and Evaluation 32. HPG and JPG shall cause the concerned city and county governments to, and each IA shall monitor and evaluate project impact through PPMS, as agreed to by the Borrower and ADB, to ensure that Project facilities are managed efficiently, benefits are maximized, and social impacts are monitored, including data disaggregated by gender and ethnic group, wherever possible. HPG and JPG shall cause the concerned city and county governments to, and each IA shall collect the necessary information and data on project performance before Project implementation, during midterm, and at completion of the Project. (para. 32 of Schedule to the Project Agreement) 33. HPG and JPG shall cause the concerned city and county governments to, and each IA shall, supply monitoring reports to the Heilongjiang and Jilin PMOs of the implementation of activities under this Project, and a semi-annual report of the implementation of Project activities relevant to such IA to the Heilongjiang and Jilin PMOs. HPG and JPG shall also cause the City/County PMOs of the concerned city and county governments to conduct periodic and random monitoring of the respective Subprojects implemented by it to determine the degree to which Project funds have been effectively and efficiently used to implement the Project, achieve its objectives, outcomes, and its performance indicators. (para. 33 of Schedule to the Project Agreement) 34. HPG and JPG shall, and shall cause the concerned city and county governments to, and ADB,

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in conjunction, shall carry out reviews of the Project during Project implementation. The reviews shall include an examination of budgetary allocations for the Project, operation and maintenance costs, staffing, implementation arrangements, any environmental, resettlement, gender and indigenous people impacts and other achievements under the Project. The review shall include assessing progress for each Subcomponent or Subproject, identifying difficulties and constraints, and determining ways to overcome them. (para. 34 of Schedule to the Project Agreement) 35. HPG and JPG shall, and shall cause the concerned city and county governments to, and ADB shall, undertake a comprehensive midterm review two years after the commencement of Project implementation. The mid-term review will include a detailed evaluation of (a) scope of the Project, (b) implementation arrangements, (c) resettlement, (d) achievements of the scheduled targets, (e) progress of the agenda for policy reform and institutional development, and (f) reallocation of the Loan proceeds and change to the disbursement percentages, if any. The results of the midterm review shall be discussed by the Borrower, HPG, JPG, the concerned city and county governments and ADB and, if required, appropriate corrective measures shall be formulated to ensure successful Project implementation and achievement of the Project objectives by the loan closing date. (para. 35 of Schedule to the Project Agreement) 36. HPG and JPG shall ensure that the Heilongjiang and Jilin PMOs, in consultation with the concerned city and county City/County PMOs and with assistance of the implementation consulting services contractor, prepare and submit a training plan(s) to be implemented under the Project to ADB for review and concurrence, and ensure that training institutes for such purpose will be selected in accordance with appropriate procedures. Following each training event, HPG and JPG shall through the concerned city and county governments cause each IA to submit a training completion report to the Heilongjiang and Jilin PMOs for consolidation and transmission to ADB. (para. 36 of Schedule to the Project Agreement)

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Annex 10: Appendixes )

Appendix 1. Design and Monitoring Framework Appendix 2. Environmental Management Plan Appendix 3. Resettlement Plan Appendix 4. Disbursement Procedure Appendix 5. Project Completion Report Outline Appendix 6. Progress Report Outline Appendix 7. Terms of Reference

Appendix 1 1 DESIGN AND MONITORING FRAMEWORK

Design Summary

Performance Targets/Indicators

Data Sources/Reporting Mechanisms

Assumptions and Risks

Impact Enhanced urban environment and improved public health and quality of life for the urban residents in the project counties and cities in Heilongjiang and Jilin provinces along the SRB

Water quality of 48 drinking water sources, including Songhua Lake, improved to class III by 2020 from class IV and V in 2007 Water quality of Songhua River improved to class III by 2020 from class IV and V in 2007 Reduction in the incidence rate of waterborne diseases in direct project beneficiary areas by 40% by 2020 compared to that in 2007

State of the Environment Reports and environmental monitoring reports of the Heilongjiang and Jilin Environmental Protection and Water Resource Departments Provincial, city, and county statistical yearbooks Municipal government health bureau data on drinking water quality and incidence of infectious diseases Annual socioeconomic surveys undertaken as part of PPMS Semi-annual reports by the PMOs and IAs

Assumptions • Timely implementation of the

11th Five-Year Plan and other medium - to long-term development plans in the project counties and cities in Heilongjiang province and Jilin province

• The urban city plans in the project counties and cities are successfully implemented

• Songhua River Basin Water Pollution Prevention and Control Master Plan is effectively implemented

Risks • Urban growth, including influx

of migrants, in project counties and cities exceeds forecasts and exerts more pressure on available urban infrastructure

• Weak enforcement of environmental laws and regulations

• Lack of effective environmental quality monitoring

Outcome Reduced pollution and improved water supply, wastewater management, and solid-waste management in the SRB

Total pollutants (COD) discharge in the SRB reduced to 81,630 tons/year by 2013 By 2013, water supply subprojects in the project counties and cities in Heilongjiang Province providing drinking water to 402,800 people Wastewater collection and treatment rate in the project counties and cities in Heilongjiang and Jilin provinces is increased from the 2007 average level of 45% to 80% by 2013 Capacity of safe disposal of municipal solid-waste increased to 869,065 tons/ year in Jilin province by 2013

Water quality monitoring data Water supply data (rate of utilization, service area coverage and flow volume) by the IA Wastewater effluent quality and quantity monitoring data by EPD Solid waste disposal monitoring data Annual operational reports of the solid waste company by IA ADB PCR Semi-annual progress reports by the PMOs and the IAs Semi-annual EMP reports by PMOs and the IAs

Assumptions • Continued growth in demand

for water supply, wastewater management, solid waste and river improvement to achieve full capacity utilization

• Project facilities are properly operated and maintained

• Supporting institutional, tariff, and regulatory mechanisms are put in place for water supply, wastewater management, and SWM and river improvement

Risks • Improving the environment of

project counties and cities is not regarded as a priority by the local government

• Lack of government support for institutional strengthening and financial reform processes

• Existing pollution control measures do not continue

• Insufficient enforcement and

2 Appendix 1 Design Summary




control systems Delays in increasing the tariff and tariff collection rates

Outputs 1. Component I Improved and expanded water supply services, and wastewater treatment in the project counties and cities in Heilongjiang Province

1.1 Four WTPs in the

project counties and cities in Heilongjiang Province which have additional capacity and where the distribution mains is operational

1.2 Nine WWTPs and sewers in the project counties and cities in Heilongjiang province are operational

2. Component II Improved and expanded waste water treatment, solid waste management, and river improvement in the project counties and cities in Jilin Province 2.1 Nine WWTPs and

sewers in the project counties and cities in Jilin Province are operational

2.2 10 sanitary landfill

facilities in Jilin province are operational

2.3 River improvement at

the source of the Songhua River is completed

3. Component III Institutional capacity development for project management

Four WTPs in Heilongjiang with additional capacity of 49,500 m3/day , water transmission pipelines, and distribution network operating by 2013 Nine WWTPs with a capacity of 381,000 m3/day, and 199.13 km of sewer pipelines operating by 2013

Nine WWTPs with a capacity of 175,000 m3/day, and 367.554 km of sewer pipelines operating by 2013 10 well-functioning sanitary landfills with capacity of 2,400 tons/day with a service life of 13–22 years operating by 2013 Two WWTPs with capacity of 3,100 m3/day, three solid waste transferring stations with capacity of 40 tons per day, and 3.83 km of sewer pipelines operating by 2013

Water sales record of the IAs Demand and production statistics (rate of capacity utilization, average and maximum day demand of WSC) WSC drinking water quality monitoring program data Site inspection and project implementation reports. Wastewater system data (rate of capacity utilization, influent and effluent flow volumes). Water supply data, (rate of utilization and flow volumes) Receiving water quality monitoring program data Quarterly progress reports, PAMs, MTR, PPMS, and PCR Annual financial, operation, and performance reports of IAs Social, resettlement, and poverty monitoring report by implementation consultants Compliance status with ADB covenant Quarterly progress reports, PAM, MTR, PPMS, and PCR Annual financial, operation, and performance reports of project companies Semi-annual progress reports by PMO Semi-annual EMP reports by PMO Quarterly reports by PMO and IAs ADB review missions

Assumptions • Effective stakeholder

participation and ownership developed

• Strong support from the JPG, HPG, and the project counties and cities’ local governments

• EPD enforces environmental monitoring standards

Risks • Resistance from some

stakeholders • Staff of two PMOs, EA and IA

leave after receiving training

Appendix 1 3 Design Summary




PMOs and IAs maintain the project implementation schedules The 29 IAs have functioning Boards of Directors and operate as independent corporations by 2009 The 29 IAs provide 199 staff and resources, as indicated in the cost estimates, to implement the Project The 29 IAs review and improve policies for cost control, internal financial control every 2 years Tariffs are reviewed annually and adjusted as needed to achieve full cost recovery for water supply by 2014, and wastewater treatment by 2016. Citizens are fully aware of the results of the annual tariff revision process.

Activities with Milestones 1. Component I 1. 1 Construction of four WTPs and Distribution Mains in Heilongjiang province Activity (1) Design the facilities, undertake land acquisition and resettlement, procure

equipment and vehicles, and recruit 270 permanent staff. Activity (2) Construct four WTPs with a capacity of 49,500 m3/day by 2012. Activity (3) Construct 119.79 km water transmission main (diameter 1400–1600 mm) by

2011. 1.2 Construction of nine WWTPs in Heilongjiang province Activity (4) Design the facilities, undertake land acquisition and resettlement, procure

equipment and vehicles, recruit 480 permanent staff. Activity (5) Construct nine WWTPs with a capacity of 381,000 m3/day by 2013. Activity (6) Construct 199.13 km wastewater collection system by 2012. 2. Component II 2.1 Construction of nine WWTPs and Network Upgrade and Expansion in Jilin Province Activity (7) Design the facilities, procure equipment and vehicles, complete land

acquisition and resettlement, recruit 270 permanent staff. Activity (8) Construct eight WWTPs with capacity of 175,100 m3/day by 2012. Activity (9) Construct 367.554 km of sewer pipelines by 2011. 2.2 Construction of Ten Domestic Solid Waste Management Facility in Jilin Province Activity (10) Design, procure equipment and vehicles, undertake land acquisition and

resettlement, recruit 320 permanent staff. Activity (11) Construct 10 well-functioning sanitary landfills with capacity of 2, 400

tons/day with a service life of 13–22 years by 2013. Activity (12) Procure 10 solid waste transport trucks and 15 vehicles to be used in the

landfill and transfer station by 2011.

Inputs ADB • Provide $200.0 million loan

with timely disbursement based on the construction plan of civil works.

JPG, HPG, and IAs • Provide $196.0 million in

counterpart funds with timely disbursement based on the construction plan of civil works.

− Provide $0.3 million as cofinancing from domestic commercial banks.

4 Appendix 1 Design Summary




2.3 River improvement at the source of the Songhua River Activity (13) Construct two wastewater treatment stations with capacity of 3,100 m3/day. Activity (14) Construct 3.8 km of sewer pipelines operating by 2013. Activity (15) Construct three solid waste transferring stations with capacity of 40 tons per day. 3. Component III 3.1 institutional Capacity development for Effective Project Management Activity (16) Complete organizational arrangements for the Jilin PMO and Heilongjiang

PMO to be able to implement the ADB loan by 2009. Activity (17) Complete necessary organizational arrangements for IAs (hiring staff, set up

accounting systems, financial, administrative and human resource policies and procedures) by 2009.

Activity (18) Develop plans, budgets, procedures for loan implementation and project control in the Jilin PMO and Heilongjiang PMO

Activity (19) Complete JPG PMO and Heilongjiang PMO and IA staff training by 2012 (training in ADB procedures, procurement, pollution control and wastewater treatment, solid waste treatment, environmental monitoring and financial management).

Activity (20) Establishment of the PPMS by 2010. ADB = Asian Development Bank, COD = chemical oxygen demand, EA = executing agency, EMP = environmental management plan, EPD = environmental protection department, IA = implementing agency, HPG = Heilongjiang provincial government, JPG = Jilin provincial government, km = kilometer, m2 = square meter, m3 = cubic meter, mm = millimeter, MTR = midterm review, PAM = project administration memorandum, PCR = project completion report, PMO = project management office, PPMS = project performance monitoring system, SRB = Songhua River Basin, WSC = water supply company, WTP = water treatment plant, WWTP = wastewater treatment plant.

ENVIRONMENTAL MANAGEMENT PLAN (HEILONGJIANG COMPONENT)

A. Objectives

1. The objective of establishing an environmental management plan (EMP) is to propose appropriate mitigation measures, and recommend the establishment of institutions or mechanisms to monitor and ensure compliance with environmental regulations and the implementation of the proposed mitigation measures. Such institutions and mechanisms will seek to ensure continuously improving environmental protection activities during project preparation, construction, and operation to prevent, reduce, or eliminate the adverse impact. 2. The EMP spells out (i) the objectives, (ii) the impact and mitigation measures (in summary), (iii) the environmental monitoring and inspection arrangements, (iv) the public consultations planned, (v) implementing responsibilities and authorities, (vi) institutional strengthening and training programs, (vii) reporting and supervision mechanisms, (viii) a work plan, (ix) cost estimates, and (x) a feedback and adjustment mechanism. The EMP will be reviewed and updated at the end of the detailed design and made consistent with the final detailed design. B. Summary of Potential Impact and Mitigation Measures

3. The potential impact of the Project during the construction and operation phases, as identified in the individual environmental impact assessments (EIAs), and the corresponding mitigation measures designed to minimize the impact are summarized in Table A1.1. The mitigation measures will be incorporated into the tendering documents (where appropriate), construction contracts, and operational management plans, and will be implemented by contractors and the implementing agencies (IAs) under the supervision of the Heilongjiang project management office (HPMO), the Heilongjiang Environmental Protection Bureau (HEPB), and the municipal environmental protection bureaus (MEPBs). The effectiveness of these measures will be evaluated on the basis of the results of the environmental monitoring to determine whether they should be continued or improvements should be made. Improvements need to be confirmed through stipulated environmental management procedures. 4. Resettlement plans have been prepared to ensure that the affected persons will be made better off or at least not worse off because of the Project. Details of the required actions are given in the resettlement plans for the individual subprojects.

Table A1.1: Summary of Potential Impact and Mitigation Measures (Heilongjiang) Impact Factor/ Stage

Potential Impact and

Issues

Mitigation Measures Implementing Agency

SupervisingAgency

A. Pre-construction 1. EIAs and Feasibility Study Stage

Site and alignment selection

• The recommended sites and pipeline routes for the individual subprojects were selected from various alternatives to minimize adverse impact on the environment.

Design institute and EIA institutes, IA

HPMO, HEPB, MEPB

Appendix 21

Impact Factor/ Stage


Issues


SupervisingAgency

Treatment

technology selection

• For each WWTP, three to five alternative treatment technologies were evaluated on the basis of predefined environmental and economic criteria.

Design institute, EIA institutes, IA

HPMO, HEPB, MEPB

Public consultations

• Two rounds of public consultations on environmental issues, poverty, and resettlement were conducted during the feasibility studies, and during EIA and SEIA preparation.

EIA institutes, IA, PPTA consultants

HPMO, HEPB, MEPB

2. Design Stage EMP updating • Mitigation measures defined in each individual EMP will be reviewed, updated, and incorporated into the detailed design to minimize adverse environmental impact.

Design institute, IA

HPMO, HEPB, MEPB

3. Biding and Construction Preparation

Bidding documents and contractors’ qualifications

• Environmental provisions will be included in RFPs.

• An environmental section will be included in the TOR for bidders.

• Environmental clauses for contractors in reference to the EMP and monitoring plan will be included in the construction and supply contracts.

Environmental management consultants or companies contracted by IA

HPMO, HEPB, MEPB

Environmental operation and supervision manual

• Contractors will be required to prepare an environmental operation and supervision manual, for approval by IAs.

Contractors IA, HPMO, HEPB, MEPB

Complaint and information office or appointed person

• A complaint and information office will be established or a responsible person appointed before the start of construction.

• Staff at the office must be well trained to handle conflicts with residents arising from environmental impact.

Contractors IA, HPMO

Environmental protection training

• Environmental specialists and HEPB and MEBP officials will be invited to provide training in the

HPMO HPLG

Appendix 22



Issues


SupervisingAgency

implementation and supervision of environmental mitigation measures to relevant persons, especially construction engineers and managers.

Resumption of land and property

• A resettlement office comprising local government officials will be established to manage the resettlement process.

• Community consultation programs will be conducted and information about entitlements based on PRC Land Administration Law disseminated.

• Resettlement activities must be reasonably completed before the start of construction on any subproject.

IA HPMO

B. Construction Phase 1. Water Wastewater

from construction camps

• Sewage and other wastewater from construction camps will be collected and treated in septic tanks before being discharged to avoid contamination of the surrounding areas.

Contractors IA, OEE, IEM, HPMO, HPEB, MEPB

Spill of hazardous and toxic substances

• A construction materials handling protocol (e.g., storage away from watercourses and provision of retention areas to contain accidental spills of toxic, hazardous, and harmful construction materials such as caustic and acidic substances, oil and petroleum products, and asphalt materials) will be prepared and applied to prevent the pollution of soil and of surface water and groundwater.

Contractors IA, OEE, IEM, HPMO, HEPB, MEPB

2. Air Generation of dust

• Vehicles delivering granular or fine materials to the sites must be covered.

• Materials storage sites must

Contractors IA, OEE, IEM, HPMO, HEPB,

Appendix 23



Issues


SupervisingAgency

be 300 m from residential areas and covered or sprayed with water.

• Water will be sprayed on construction sites and access roads twice a day.

• All roads and pavements used by vehicles of the contractors, subcontractors, and suppliers will be kept clean and clear of all dust, mud, or extraneous materials left behind by the construction vehicles. Such cleaning must be completed regularly.

MEPB

Emissions from vehicles and equipment

• Vehicle emissions must comply with GB18352-2005, GB17691-2005, GB11340-2005, GB3847-2005, and GB18285-2005.

• Equipment and machinery emissions must comply with GB16297-1996.

• A regular inspection and certification system will be initiated.


3. Noise Noise from equipment, vehicles, and plants

• Noise from equipment and machinery must comply with GB12523-1990.

• An adequate route will be provided for large trucks to keep them away from residential areas.

• At construction sites within 500 m of the nearest habitation, noisy construction work will be stopped between 10 p.m. and 6 a.m. the next day.


4. Solid Waste Domestic waste from workers’ camps

• Multi-compartment collection bins will be provided to facilitate reuse, recycling, and composting of solid waste.

• Waste will be stored away from water bodies and will be regularly hauled to landfills or designated dumping sites.

• Appropriate waste storage containers will be provided by


Appendix 24



Issues


SupervisingAgency

contractors. • Where appropriate,

agreements will be signed with local suppliers for waste disposal through local facilities. These arrangements will be made before the works begin.

5. Soil Erosion and Ecology

Soil erosion • Topsoil will be stripped and stockpiled, and retaining walls built where necessary, before dumping.

• Temporary detention ponds or containment will be provided to control silt runoff.

• Intercepting ditches and chutes will be built to prevent outside runoff from entering disposal sites, and runoff from sites will be diverted to existing drainage or ponds.

• Existing vegetation will be preserved where no construction activity is planned, or preserved temporarily where activity is planned for a later date.

• Disposal and borrow sites will be rehabilitated into grassland, woodland, or farmland after closing.

Contractors IA, OEE, IEM, HPMO, HWRB, MWRB, HEPB, MEPB

Vegetation • In compliance with the PRC Forestry Law, IAs will undertake compensatory planting of an equivalent or larger area of affected forest trees.

• The reforestation will comprise a selection of species that are suitable for the area and have the most appropriate attributes to survive and serve their designated functions.

• All disposal sites and borrow sites will be restored, where possible, to productive agricultural land or grass- and woodland.

• New plantings will be maintained during the

Contractors, IA

IA, OEE, IEM, HPMO, HWRB, MWRB, HEPB, MEPB

Appendix 25



Issues


SupervisingAgency

operation period.

6. Social Resettlement • All affected persons will be compensated and resettled in a timely and adequate manner, in accordance with the resettlement plans.

IA, municipal resettlement office

PLG, HPMO

Traffic jams or blocks

• Interim roads will be built. • Transport routes will be

selected to reduce disturbance to regular traffic.

• Traffic will be diverted at peak traffic hours, and the area reinstated to its original condition on completion of construction.

Contractors, IA

OEE, IEM, HPMO, municipal traffic bureaus

Cultural heritage

• Cultural heritage sites will be preserved where identified. In accordance with PRC regulations, no person shall destroy, damage, deface, conceal, or otherwise interfere with a relic.

• If an important site is unearthed, work should be stopped immediately and the matter promptly referred to the county, municipal, provincial, or state agencies for evaluation and decision on appropriate actions.

Contractors, IAs

OEE, IEM, HPMO, local and provincial cultural heritage bureaus

C. Operation Phase 1. Water Wastewater

from management office

• For water supply subprojects, a septic tank or on-site wastewater treatment device for each subproject will be installed. Wastewater from the management offices will be treated before being discharged into receiving water bodies.

• Wastewater from the management office will be collected and conveyed directly to the waste treatment facilities.

IA IEM, HPMO, HEPB, MEPB

WWTP malfunction

• Dual power supply will be used.

• O&M manuals will be prepared and adequate

IA IEM, HEPB, MEPB, HPMO

Appendix 26



Issues


SupervisingAgency

training provided to operators to ensure proper operation and maintenance of the facilities.

• Appropriate internal and external protocols will be set up for communicating with EPB and health authorities, effluent reuse users, and other agencies as determined to be suitable.

Illegal industrial discharges

• Industrial pollution control and management plans, requiring adequate treatment of industrial waste before discharge into the sewer system, will be developed.

• An industrial wastewater monitoring system will be set up, and prohibitions against illegal industrial discharges strictly enforced.

• Adequate process controls for the WWTPs will be selected.

IA, MEPB IEM, HEPB, HPMO

Effluent impact on receiving water bodies

• A project environmental acceptance audit by a licensed consultant will be conducted before the formal start of operations to ensure the effluents meet the PRC’s WWTP Discharge Standards (GB18918-2002, SEPA).

• An effluent monitoring program will be set up and carried out.

IA, licensed environmental companies contracted by IA

MEPB, HEPB, HPMO, IEM

2. Air Odor from WWTP

• A buffer zone and vegetation around the YWR will be provided.

• Potential odor sources such as the sludge dewatering area will be enclosed.

• Storage of dewatered sludge in YWR should be avoided.

• Enclosed transportation and haul to landfill for final disposal will be ensured.

• An adequate YWR layout will be ensured to minimize odors to potential receptors.

IA MEPB, HEPB, HPMO, IEM

Appendix 27



Issues


SupervisingAgency

Emission from heating boilers

• Dust removers will be installed for heating boilers so that emissions meet class II emission standards for air pollutants for coal-burning, oil-burning, and gas-fired boilers (GB13271-2001, SEPA).


3. Noise Noise from pumps and equipment operation

• Low-noise equipment and vehicles will be selected.

• High-noise equipment will be installed indoors.

• Pumping stations will be constructed in semi-buried structures.

• Trees will be planted around pump stations and plants.

• Adequate facility layouts will be ensured to minimize noise impact on potential receptors.


4. Solid Waste Sludge from WWTP

• Sludge will be sent to municipal sanitary landfill for safe disposal.

• For WWTPs whose sludge is to be composted and used as agricultural or urban landscaping fertilizer, chemical tests of sludge will be carried out to determine whether the quality of sludge complies with pollutant limits in Discharge Standards for Urban Waste Water Treatment (GB18918-2002, SEPA).


5. Ecology Vegetation • No less than 30% space will be provided for landscaping and vegetation within the sites.

• Vegetation will be properly maintained.


6. Environmental Risks

Accidental release of chlorine disinfectant

• An alarm and adsorption facility will be installed.

• Storage volume will be controlled.

• A buffering zone will be provided.

• Personal protection gear will be provided.

IA MEPB, HEPB, local health authorities

Appendix 28



Issues


SupervisingAgency

• Emergency response plans will be developed.

Leaking or bursting of pipes

• Adequate supervision and management will be provided.

• Proper maintenance will be ensured.

• Operation monitoring will be enhanced.

• An emergency response plan will be provided.

IA Local government, MEPB, HEPB HPMO, IEM

Facility malfunction

• Environment facilities will be maintained regularly.

• Emergency response plans will be prepared.


Insufficient environmental management capacity

• Environmental management training will be conducted, and facility and staff setup will be developed.


EIA = environmental impact assessment, EMP = environmental management plan, GB = Guo Biao (national standards), HEPB = Heilongjiang Environmental Protection Bureau, HPLG = Heilongjiang project leading group, HPMO = Heilongjiang project management office, HWRB = Heilongjiang Water Resources Bureau, IA = implementing agency, IEM = independent environmental monitor (as part of the implementation consultancy), m = meter, MEMC = municipal environmental monitoring center, MEPB = municipal environmental protection bureau, MWRB = municipal water resources bureau, O&M = operation and maintenance, OEE = on-site environmental engineer, PLG = project leading group, PPTA = project preparatory technical assistance, PRC = People’s Republic of China, RFP = request for proposal, SEIA = summary environmental impact assessment, SEPA = State Environmental Protection Administration, TOR = terms of reference, WSP = water supply plant, WWTP = wastewater treatment plant, YWR = Yichang–Wanzhou Railway. Sources: Domestic EIA reports for the subprojects prepared EIA institutes. C. Environmental Monitoring and Inspection

5. An environmental monitoring program is presented in Table A1.2. This program considers the scope of monitoring; environmental media; monitoring parameters, time, and frequency; and implementing and supervising agencies. The monitoring will follow the methodology provided in the national standard methods for monitoring pollutants. Other associated standards are national environmental quality standards and pollutant discharge and emission standards. 6. Internal Monitoring and Inspection. During the construction, IAs with supervision from the HPMO will recruit environmental supervision companies (ESCs) to conduct internal environmental monitoring and inspections and ensure that the environmental mitigation measures are being properly implemented. Inspections or audits will mainly cover construction activities, but will also review the affected environment. The inspections or audit activities will be conducted weekly. The activities and observations will be well documented, and the contractors and IAs will be informed of the outcomes. During operation, the IAs and the operators will be responsible for internal monitoring and will report their findings to the HPMO, the HEPB, and the MEPBs.

Appendix 29

7. Compliance Monitoring and Inspection. Local environmental monitoring centers under the MEPBs will be responsible for regular and random compliance monitoring and inspection before, during, and after construction, as well as in the event of emergencies. If abnormalities are found, the EPB will impose a fine and issue a notice of rectification with a specific deadline. 8. Environmental Acceptance Monitoring and Audit. Moreover, within 3 months after each subproject completion, or no later than 1 year, with permission from the responsible environmental authorities, environmental acceptance monitoring and audit reports will be (i) prepared by a qualified environmental institute in accordance with the People’s Republic of China (PRC) regulation on Environmental Check-and-Acceptance of Project Completion (State Environmental Protection Administration [SEPA], 2001); (ii) reviewed for approval by environmental authorities who approved the same EIA; and (iii) finally submitted to the Asian Development Bank (ADB). 9. Independent Environmental Monitoring. An independent consultancy will be engaged through competitive bidding to advise on and supervise loan implementation. The consultancy will include an environmental safeguard specialist to conduct independent environmental monitoring. The results of the environmental monitoring will form part of the progress report that will be submitted to ADB and the Executing Agency (EA) semiannually. 10. The environmental monitoring, including the environmental benefits monitoring, will be incorporated in the project performance management system (PPMS) indicators for the Project. The HPMO, with assistance from the IAs, will be responsible for analyzing and consolidating the data through their management information system. The PPMS will be designed to allow adequate flexibility to adopt remedial actions regarding project design, schedules, activities, and development impact. At the start of the Project, the HPMO, the IAs, and the consultants will develop comprehensive PPMS procedures for systematically generating data on inputs and outputs of the project components, and agree on environmental and related socioeconomic indicators to be used to measure project impact. The HPMO and the IAs will refine the PPMS framework, confirm achievable goals, firm up monitoring and recording arrangements, and establish systems and procedures no later than 6 months after the loan takes effect. 11. The monitoring results will be used to evaluate (i) the extent and severity of environmental impact compared with the predicted impact, (ii) the performance of the environmental protection measures or compliance with related rules and regulations, (iii) impact trends, and (iv) the overall effectiveness of the project EMP. The effectiveness of the mitigation measures and monitoring plans will be evaluated through a feedback reporting system. The measures required by the EMPs will be modified, if necessary. The HEPB, the MEPBs, and the HPMO will play critical roles in this feedback and adjustment mechanism, as shown in the chart at the end of this appendix. 12. The environmental monitoring program is in Table A1.2, and the cost estimates for the environmental monitoring program are shown in Table A1.7. Before implementing the monitoring plan, responsible agencies will present more accurate estimates and a further detailed breakdown of the estimated budget. During project implementation, the costs can be adjusted on the basis of actual requirements.

Appendix 210

Table A1.2: Environmental Monitoring Program (Heilongjiang) Item Parameters Location Time and

Frequency Implementing

Agency Supervising

Agency A. Construction (Internal) 1. Surface Water

pH, conductivity, SS, NH3-N, TN, TP, BOD, COD, oils

• For each subproject, minimum 2 locations on the river upstream and downstream of the construction site

3 samples each time, at start of construction and quarterly thereafter

MEMC, OEE HPMO, IEM, MEPB, HEPB

2. Air TSP • 2 monitoring locations for each construction site

3 samples at each location each time, semiannually


3. Noise Leq (dB(A)) • 1 location at the border with settlements within 200 m of construction site

Twice (daytime and nighttime) each time, monthly during peak construction, quarterly otherwise


4. Soil and Vegetation

Removal of vegetation and exposed surface

• All sites Visual inspection weekly

OEE HPMO, MWRB, IEM

B. Environmental Audit upon Project Completion 1. Surface Water Quality



Once upon subproject completion, 3 samples per day for 3 consecutive days at each location

Licensed environmental institutes

MEPB, HEPB

2. Air TSP, SO2, NH3, H2S, odor

• 2 locations at each WWTP



MEPB, HEPB

3. Noise Leq (dB(A)) • Minimal 4 locations for each WSP and WWTP at boundary and sensitive receptors

• Pump stations: minimal 2 locations for each pump station

2 samples for 1 day at each location


MEPB, HEPB

Appendix 211

Item Parameters Location Time and Frequency

Implementing Agency

SupervisingAgency

4. Effluent COD, BOD, SS, NH3-N, PO3−, oils, fecal coliform

• All WWTPs 3 samples for 3 days at each location


MEPB, HEPB

5. Sludge Water content, Zn, Cr, Cd, Pb, Cu, Hg

• All WWTPs 2 samples for 1 day, 1 time


MEPB, HEPB


Revegetation, landscaping

• All WSPs and WWTPs

Visual inspection Licensed environmental institutes

MEPB, HEPB

C. Operation 1. Effluent pH, SS, color,

COD, BOD, TN, TP, NH3-N, oils, fecal coliform

• Effluent outlets of all WWTPs

Mandatory online, real-time monitoring for all WWTPs (compliance) + daily (internal)

IA MEPB, HEPB

2. Surface Water

pH, conductivity, SS, NH3-N, TN, TP, BOD, COD, oils, fecal coliform

• Upstream and downstream of receiving rivers

3 samples per day for 3 consecutive days, quarterly

IA, MEMC MEPB, HEPB, HPMO, IEM

3. Air TSP, SO2, NO2, NH3, H2S, odor

• 1 location for each plant

Semiannually, 3 samples per day (compliance) + daily (internal)

MEMC MEPB, HEPB, HPMO, IEM

4. Noise Leq (dB(A)) • 4 locations for each WSP and WWTP around boundary and sensitive receptors


Daytime and nighttime sampling twice a month, 2 samples each time



• Sludge workshop Spot sample, twice a year (internal)


6. Leachate/ effluent from landfills

Heavy metals • Leachate treatment stations

• Effluent from WWTPs where leachate is treated



7. Ground-water

pH, SS, TN, TP, BOD, COD, metals

• For WSP, 4 locations around the plant

1 sample, quarterly (compliance) + daily (internal)


Appendix 212


Implementing Agency

SupervisingAgency

(As, Cr, Cu, Cd, Hg, Pb, Ni, Zn), oils, cyanide, fecal coliform, groundwater level

• For WWTP, 2 monitoring wells, 1 upstream, 2 downstream


Vegetation, landscaping

• All plants Visual inspections, once a year

MEPC MEPB, HEPB, HPMO, IEM

As = arsenic, BOD = biochemical oxygen demand, Cd = cadmium, COD = chemical oxygen demand, Cr = chromium, Cu = copper, dB(A) = A-weighted decibel, EIA = environmental impact assessment, H2S = hydrogen sulfide, Hg = mercury, HEPB = Heilongjiang Environmental Protection Bureau, HPMO = Heilongjiang project management office, IA = implementing agency, IEM = independent environmental monitor (as part of the implementation consultancy), Leq = equivalent continuous noise level, m = meter, MEMC = municipal environmental monitoring center, MEPB = municipal environmental protection bureau, MEPC = Ministry of Environmental Protection, MWRB = municipal water resources bureau, NH3 = ammonia, NH3-N = ammonia nitrogen, Ni = nickel, NO2 = nitrogen dioxide, OEE = on-site environmental engineer, Pb = lead, pH = measure of acidity and alkalinity, PO3− = phosphate, SS = suspended solids, SO2 = sulfur dioxide, TN = total nitrogen, TP = total phosphor, TSP = total suspended particulates, WSP = water supply plant, WWTP = wastewater treatment plant, Zn = zinc. Sources: Domestic EIA reports for the subprojects prepared by EIA institutes. D. Public Consultation

1. Public Consultation during Project Preparation

13. Various public consultations were conducted in the course of the preparation of the feasibility study reports and EIAs. During the feasibility study reports, the respective municipal governments were consulted to assist in site and process selection. During the EIAs and project preparatory technical assistance (PPTA), public consultations with various groups of stakeholders were conducted. The public consultations were held to assess the environmental impact of the proposed subprojects on nearby residents, to determine appropriate mitigation measures, and to thrash out resettlement issues. These activities were carried out in accordance with SEPA’s Interim Provisions of Public Consultations for Environmental Impact Assessment (2006)1 , and ADB’s Environmental Assessment Guidelines (2003).

2. Future Public Consultation Plan

14. Future plans for public involvement during the design, construction, and operation phases were developed during project preparation. These plans include public participation in (i) monitoring impact and mitigation measures during construction and operation, (ii) evaluating the environmental and economic benefits and social impact, and (iii) interviewing the public after the Project is completed. They include several types of consultations, e.g., site visits, workshops, investigation of specific issues, interviews, and public hearings (Table A1.3). 15. Public participation plans are part of the project implementation and management plan. The IAs are responsible for public participation during project implementation. The IAs will also establish an environmental management unit (EMU) to supervise implementation, engage in continuing public consultation, monitor progress, and respond to grievances. The staff at the

1 SEPA. 2006. Interim Provisions of Public Consultations for Environmental Impact Assessment. Beijing.

Appendix 213

offices will be well trained to handle crisis situations or conflicts with residents due to distress from environmental impact. The costs of the public participation activities during project construction are included in the project funding. The costs are estimated at CNY3,000 for each expert workshop, CNY20,000 for each public investigation on a particular issue, CNY10,000 for each resettlement survey, CNY5,000 for each public workshop, and CNY6,000 for each press conference. The costs of public participation activities during operation will be covered by the IAs. In addition, the established feedback mechanisms (see chart at the end of the appendix) will ensure timely feedback and measures to address concerns raised by communities affected by the Project.

Table A1.3: Public Consultation Program (Heilongjiang) Organizer Approach/Frequency Subjects Participants 1. Project Preparation HPMO, IAs, design institutes, EIA institutes, resettlement plan institutes, HEPB

• EIA public opinion surveys: once for each subproject

• Expert panel review: once for each subproject

• Socioeconomic surveys and surveys of affected persons

• Public consultation meeting + questionnaire: once for overall Project

• Site visits: several times

Priority, design, environmental benefits and impact, social benefits and impact, mitigation measures, attitudes toward subproject, and suggestions

HPMO, IAs, design institutes, EIA institutes, HEPB, MEPBs, other provincial and municipal government stakeholders, community representatives

2. Construction HPMO, IAs, IEM • Public consultation and site

visits: at least once a year Adjustments needed in mitigation measures, construction impact, comments and suggestions

Residents within construction area

• Expert workshop or press conference: at least once

Comments and suggestions on mitigation measures, public opinions

Experts from various sectors, media

• Public information session: at least once a year

Adjustments needed in mitigation measures, construction impact, comments and suggestions

Representatives of residents and social sectors

• Survey on resettlement: as required in the resettlement plan

Comments and suggestions

People affected by land acquisition and resettlement

3. Test Operation HPMO, IAs, IEM • Questionnaire survey: at least

once during test operation • Site visits: several, depending

on results of project completion environmental audit

Comments and suggestions on impact of operations, public suggestions on corrective actions

Local residents and social sectors, EPBs

Appendix 214

Organizer Approach/Frequency Subjects Participants 4. Operation PMO, IAs, IEM • Public opinion survey: once

per year in the first 5 years of operation

Effects of mitigation measures, impact of operation, comments and suggestions for corrective actions

Residents adjacent to plant

• Site visits: once every 6 months, by IEM and HPMO

Plant operating performance, informal interviews with local residents

Plant managers and workers, local residents adjacent to plant

• Public workshop: as needed, depending on results of public opinion survey and public complaints received

Public comments and suggestions on corrective measures


• Expert workshop or press conference: as needed, depending on results of public consultation and workshop

Expert comments and suggestions on corrective measures

Experts from residents, social sectors, media

EIA = environmental impact assessment, EPB = Environmental Protection Bureau, HEPB = Heilongjiang Environmental Protection Bureau, HMPO = Heilongjiang project management office, IA = implementing agency, IEM = independent environmental monitor, MEPB = municipal environmental protection bureau. Sources: Domestic EIA reports for the subprojects prepared by EIA institutes. E. Implementing Responsibility and Authorities

16. The Heilongjiang provincial government is the EA and has established a project leading group (PLG or HPLG) headed by the vice governor of the province and a project management office (PMO or HPMO). The HPMO is colocated in the Heilongjiang Provincial Development and Reform Commission (HDRC), and is headed by the deputy director general of the HDRC. The HPMO draws its members from the HDRC, the Heilongjiang Provincial Finance Bureau, the HEPB, and the Heilongjiang Provincial Construction Bureau. The HPMO will have overall responsibility delegated by the EA for supervising the implementation of mitigation measures and reporting to ADB. The subproject cities and counties have also established their own PMOs to coordinate and monitor the implementation of the subprojects. 17. The HPMO, the PMOs, the IAs, and the contractors will each nominate dedicated, trained, and qualified environment specialists to undertake environmental management activities and ensure effective EMP implementation. The independent environmental monitor (as part of the loan implementation consultancy engaged through international competitive bidding) will assist the EA, the HPMO, and the IAs in preparing semiannual EMP progress reports and carrying out training programs. Table A1.4 shows the environmental responsibilities in different phases of the Project. 18. EMC will be locally hired by the EA/IAs to supervise and inspect compliance with the PRC environmental laws and regulations. They will serve as internal monitoring and supervision agencies. The independent environmental monitor (IEM) will be recruited through international competitive bidding under the loan implementation consultancy. It will serve as the external and independent monitor, assisting the PMO with monitoring, supervision and reporting to ADB. IEM has the oversight role both on monitoring and mitigation activities, and is the one to send consolidated reports to ADB.

Appendix 215

Table A1.4: Environmental Responsibility Matrix (Heilongjiang) Phase Agencies Environmental Responsibilities Preparation Design institutes

Review and select alternatives (technological, design, siting, etc.)

EIA institutes Prepare EIAs and EMPs for subprojects, including public consultations

HEPB Review and approve individual EIAs including the EMPs

PPTA consultant Prepare SEIA, including public consultations

HPMO Coordinate and supervise EIAs, SEIA, and public consultations

HPG

Review and endorse SEIA, including the EMPs, for posting on ADB website

Design Design institutes Update the EMPs in cooperation with EIA institutes, and incorporate mitigation measures in engineering detailed designs and contracts

HPMO, IAs Review and approve environmental measures

Tendering and Contracting

HPMO, IAs, IEM

Incorporate EMP clauses in RFPs and contracts

Construction IAs Ensure implementation of mitigation measures, and public consultations

Contractors Implement mitigation measures

HPMO, HEBP, MEPB Advise on and supervise implementation of mitigation measures

EMCs contracted by IAs

Conduct internal monitoring and inspection, and public consultations

IEM Conduct independent monitoring (including public consultations), and prepare periodic monitoring reports to ADB and HPG

MEMCs Conduct compliance monitoring

Test Operation IAs, MEMCs Conduct project completion environmental audit, including sampling and lab tests, and prepare project completion environmental audit report

HEPB, MEPBs Review and approve project completion environmental audit report, and order corrective actions if necessary

EMCs, IEM

Participate in environmental audit and prepare progress reports to ADB and EA

Operation IAs Ensure proper operation of subproject facilities according to design standards, and implementation of mitigation measures and public consultations


Conduct internal environmental monitoring and inspection, supervise implementation of EMPs, and conduct public consultations

IEM Conduct independent monitoring (including public consultations), and prepare periodic monitoring reports to

Appendix 216

Phase Agencies Environmental Responsibilities ADB and HPG

MEMCs on behalf of HEPB, MEPBs

Conduct regular and unannounced environmental compliance monitoring and inspection

ADB = Asian Development Bank, EIA = environmental impact assessment, EMC = environmental management consultant, EMP = environmental management plan, HEPB = Heilongjiang Environmental Protection Bureau, HPMO = Heilongjiang project management office, HPG = Heilongjiang provincial government, IA = implementing agency, IEM = independent environmental monitor, MEMC = municipal environmental monitoring center, MEPB = municipal environmental protection bureau, PPTA = project preparatory technical assistance, RFP = request for proposal, SEIA = summary environmental impact assessment. Sources: Domestic EIA reports for the subprojects prepared by EIA institutes. 19. The IAs will be largely responsible for environmental management and the implementation of mitigation measures. They will ensure that the EMPs are carried out and will engage design institutes and professional consultants to help with environmental management during project preparation, design, construction, and operation. The IAs will be responsible for arranging environmental monitoring reviews and responding to any adverse impact beyond that foreseen in the EIAs. The IAs will also attend to the environmental protection bureaus’ and ADB’s requests for mitigation measures. 20. Construction contractors will be responsible for implementing mitigation measures during construction, while the IAs will be responsible for implementing such measures during operation. 21. In accordance with the EMPs, the IAs will set up their own EMUs, which will generally require two employees each. The EMUs will be responsible for (i) implementing the EMPs and developing further implementation details; (ii) supervising contractors’ implementation of mitigation measures during construction; (iii) implementing training programs for contractors; (iv) incorporating environmental management, monitoring, and mitigation measures into construction and operation management plans; (v) developing and implementing internal routine environmental monitoring; and (vi) reporting on the performance of the EMPs to the HPMO and responsible agencies. The EMUs will be supported and supervised by the ESCs, the independent environmental monitor, the HEPB, and the MEPBs. 22. The HEPB and the MEPBS will ensure compliance with PRC and local environmental regulations through regular and random environmental compliance monitoring and inspection during construction and operation. The municipal environmental monitoring centers (MEMCs) will conduct the actual environmental compliance monitoring and inspection on behalf of the HEPB and the MEPBs. On the basis of the environmental compliance monitoring and inspection, the HEPB and the MEPBs will impose fines and order corrective actions if necessary. 23. Local governments will provide the IAs with financial and management authority to operate the project facilities. The IAs will be strengthened by environmental management training provided under the Project, as summarized in Table A1.5. They will incorporate environmental management activities into construction management plans. F. Institutional Strengthening and Training

24. An assessment undertaken during the PPTA indicates that the HPMO has adequate technical and institutional capacity for project implementation. However, the IAs have weak capacity in environmental management and monitoring. For proper implementation of the EMPs,

Appendix 217

it is necessary to strengthen the capacity of the IAs. The proposed training is shown in Table A1.5. 25. It is considered that the three-tier implementation arrangement—HPLG, HPMO, and IAs —provides a reasonable framework for project management and control. The definition of roles, responsibilities, and relationships between the HPLG, the HPMO, the IAs, and other relevant agencies (e.g., the HEPB and the MEPBs) is adequate to ensure the effective implementation of the Project. 26. Environmental specialists in the HPMO, EPBs, the IAs, and the contractors will receive training in environmental management, environmental monitoring and supervision, mitigation planning, emergency response, environmental policy-making, and other environmental management techniques. Funding for this training will be included in the project budget and in the operation and management budget in the operation phase. The institutional strengthening and training program will be implemented by the IEM and coordinated by the JPMO. Trainers will be supplied by the IEM and if necessary, retained through subcontracts. IEM will receive instruction on its activities by the PMO/EA and ADB staff.

Table A1.5: Institutional Strengthening and Training (Heilongjiang) Activities Target Agencies/

Attendees Content Timing

Strengthening Institutional Strengthening

HPMO, IAs, HEPB, MEPBs

• Definition of institutional arrangements for environmental management, monitoring, supervision

• Definition of positions and responsibilities

• Appointment and recruitment of personnel

During project preparation


• Recruitment and contracting of EMCs for internal environmental management consultancy and monitoring

Before project implementation


• Recruiting and contracting an IEM for the overall Project, through international competitive bidding, for overseeing environmental management consultancy and conduct of independent external monitoring of environmental aspects of the project


Environmental Management Clauses and Protocols


• Development of environmental management clauses and incorporation of these clauses into construction and operating contracts

• Development and refinement of environmental monitoring protocols

• Development of environmental emergency response procedures


Appendix 218

Activities Target Agencies/ Attendees

Content Timing

Monitoring Equipment


• Procurement of lab equipment for environmental monitoring for each WSP and WWTP


Training Environmental Laws, Regulations, and Policies

HPMO, IAs, operators, contractors

• Environmental laws and regulations • Environmental policies and plans • Basic environmental management • Environmental emergency response


EMP Implementation

HPMO, EMCs, IAs, operators, contractors

• Project construction, management, and environmental protection responsibilities and duties

• Environmental protection tasks during project construction

• Key environmental protection considerations in project construction

• EMP improvement and corrective actions

Before and during project implementation

Environmental Technologies and Equipment

HPMO, IAs, operators, contractors

• Engineering technologies, pollution control equipment selection and procurement


Advanced Training on Water Supply, Wastewater Treatment

HPMO, IAs • Basics of theory and practice • International experiences and best

practices • Training will be carried out in the form

of an overseas study tour to countries with adequate experiences (e.g., Australia, Japan, Singapore, US and/or EU countries)

Prior to or at the beginning of project implementation

Community-Based Environmental and Hygiene Awareness Program

Selected community health workers and community members

(Training-of-trainers approach will be used such that the trained health workers and community members will train other community members)

• Water savings • 3R’s (reduce, reuse, recycle) • Wastewater minimization • Solid waste minimization • Community, household and personal

hygiene

During project implementation

Environmental Facility Operation and Maintenance

IAs, environmental facility managers, operators, contractors

• Operation and maintenance of environmental facilities

• Safety operation regulations • Equipment management and

emergency response procedures


Appendix 219


Content Timing

Environmental Monitoring, Inspection, and Reporting

IAs, HEPB, MEPBs, EMCs, operators, contractors

• Monitoring and inspection methods, data collection and processing, interpretation of data, reporting system

• Environmental reporting requirements


IEM • Oversight role both on project monitoring and mitigation activities


Prior and during project implementation

EMC = environmental management consultant, EMP = environmental management plan, HEPB = Heilongjiang Environmental Protection Bureau, HPMO = Heilongjiang project management office, IA = implementing agency, IEM = independent environmental monitor, MEPB = municipal environmental protection bureau, WSP = water supply plant, WWTP = wastewater treatment plant. Sources: Domestic EIA reports for the subprojects prepared by EIA institutes. G. Reporting and Supervision

27. Internal Monitoring Reports. During the construction period, the results of the internal monitoring by ESCs contracted by the IAs or the HPMO will be reflected in the weekly construction reports. The reports will summarize (i) environmental issues during construction; (ii) mitigation measures taken, if any; and (iii) consequences of the impact on the environment and the surrounding communities. 28. The contractors will be trained to take immediate action to remedy unexpected adverse impact or ineffective or inefficient mitigation measures, as required by the EMPs. The IAs will also respond to these reports to ensure that the contractors have taken appropriate and timely action. Additional measures may be taken, if needed, to ensure that all issues raised in the reports are appropriately addressed. 29. The results of the detailed internal environmental monitoring and mitigation actions for the construction phase will be submitted monthly to the IA, quarterly to the HPMO, and twice a year to the HEPB and the MEPBs. The HEPB and the MEPBs may request further environmental mitigation actions as they deem necessary, and may determine further mitigation measures for different stages, if necessary. 30. Compliance Monitoring Reports. MEMCs authorized by HEPB and MEPBs will be responsible for environmental compliance monitoring and inspection according to PRC environmental regulations, during construction and operation. The compliance monitoring reports will include (i) project background, (ii) construction and operation activities, (iii) environmental conditions, (iv) measurements or samples taken during auditing and their locations, (v) analytical results, (vi) interpretation and implications of the monitoring results, (vii) determination of the compliance status with regard to applicable regulations and standards, and (viii) recommendations for improvement. These reports will be submitted to the HEPB and the MEPBs by the MEMCs, with a copy to the HPMO. 31. Project Completion Environmental Audit Reports. A project completion environmental audit report on the completion of each subproject will be prepared in accordance with the SEPA Management Guideline on Project Completion Environmental Audit (2001)2 within 3 months after completion. The report will focus on the project compliance with

2 SEPA. 2001. Management Guideline on Project Completion Environmental Audit. Beijing.

Appendix 220

environmental performance standards when it is put into operation. The report will be sent to the environmental authorities for review and approval. If instances of noncompliance are found, the project will be asked to meet the requirements before the official start of operation. 32. Independent Environmental Monitoring Reports. The EA and the HPMO have the responsibility to monitor and assess overall project activities under the project design and monitoring framework, and will be accountable to ADB for ensuring the effective implementation of the EMPs. The HPMO will be assisted by the independent environmental monitor, as part of the loan implementation consultancy recruited through international competitive bidding, to fulfill its responsibilities related to environmental supervision, monitoring, and reporting to ADB. The environmental monitoring reports will be submitted to ADB and the EA and HPMO twice a year. The reports will emphasize: (i) progress made in implementing the EMPs, (ii) implementation of mitigation measures, (iii) environmental compliance, (iv) institutional strengthening and training, (v) public consultations, and (vi) problems that have occurred and corrective actions taken. ADB may request further environmental mitigation actions as it deems necessary, and may determine further mitigation measures for different stages, if necessary. 33. The environmental reporting plan is presented in Table A1.6.

Table A1.6: Environmental Reporting Plan (Heilongjiang) Reports From To Frequency Construction Phase

Internal monitoring report Contractors EMC, IA Monthly Internal Monitoring Internal monitoring report EMC HPMO, IA, IEM Quarterly

Compliance Monitoring

Compliance monitoring report

MEMC HEPB, MEPB According to PRC regulation

External Monitoring

External monitoring report IEM ADB, HPMO, IA Twice a year

Test Operation Project Completion Environmental Audit

Project completion environmental audit report

MEMC HEPB, MEPB, HPMO

Once within 3 months of project completion

Operation Phase Internal Monitoring

Internal monitoring report EMC HPMO, IA, IEM Quarterly for the first 3 years of operation



MEMC HEPB, MEPB According to PRC regulation

External Monitoring

External monitoring report IEM ADB, EA and HPMO, IA

Twice a year for the first 3 years of operation

ADB = Asian Development Bank, EA = executing agency, EMC = environmental management consultant, HEPB = Heilongjiang Environmental Protection Bureau, HPMO = Heilongjiang project management office, IA = implementing agency, IEM = independent environmental monitor, MEMC = municipal environmental monitoring center, MEPB = municipal environmental protection bureau, PRC = People’s Republic of China. Sources: Domestic EIA reports for the subprojects prepared by EIA institutes.

Appendix 221

H. Work Plan

34. Before construction, the HPMO and IAs will develop detailed responsibilities and requirements for contractors and will provide detailed cost estimates of mitigation measures and environmental monitoring in the construction contracts. The HPMO and the IAs also will detail the responsibilities of their environmental management offices and prepare their work schedules. 35. Before operation, the IAs as operators will develop detailed work plans for environmental management and monitoring during operation based on the EMPs. These work plans will be submitted to the HEPB and the MEPBs to help them supervise implementation. I. Cost Estimates for Environmental Management

36. The IAs, with help from the HPMO, will develop detailed plans for the procurement of equipment and materials, and for the civil works needed to implement the mitigation measures and monitoring plans. These plans will be incorporated into project contracts. Environmental factors will be considered in the procurement to ensure that it is environmentally responsive. 37. The cost estimates for the mitigation measures, environmental monitoring, public consultations, and capacity building are summarized in Table A1.7. The compliance monitoring costs will be borne by the HEPB and the MEPB as part of their enforcement functions. Internal monitoring costs will be borne by the contractors and the IAs. Independent monitoring costs will be covered by the loan implementation consultancy budget. Before implementing a monitoring plan, the responsible agencies will present a more detailed breakdown of the estimated budget. During project implementation, the budgets will be adjusted on the basis of actual requirements. Contractors will bear the costs of all mitigation measures during construction; these costs will be included in the tender and contract documents. The IAs will bear the costs related to mitigation measures during operation. Costs related to environmental supervision during construction and operation will be borne by the IAs. Capacity-building costs will be borne by the Project as a whole. The training costs during the operation phase will be included in the operation and maintenance budget.

Table A1.7: Cost Estimates for EMP (Heilongjiang) Item Pre-operation

(CNY’000) Operation

(CNY’000/Year) Environmental Mitigation Water Supply Plants 2,280 560 Wastewater Treatment Plants 5,850 1,350 Internal Environmental Monitoring Procurement of Lab Equipment for IAs 1,560 312 Sampling + Testing 1,170 832 Public Consultations 650 130 Environmental Management Consultancy EIA + Environmental Management Consultancy 1,680 260 Independent Environmental Monitoring 338 0 Environmental Management Training 2,106 208 Total 15,634 3,652 EIA = environmental impact assessment, EMP = environmental management plan, IA = implementing agency. Sources: Domestic EIA reports for the subprojects prepared by EIA institutes.

Appendix 222

J. Feedback and Adjustment Mechanism

38. From the inspection and monitoring reports, the environmental authorities will decide whether (i) further mitigation measures are required, or (ii) the environmental management practices need some improvement. If the inspection uncovers substantial deviation from the EMP or changes in the Project that may cause substantial adverse environmental impact or increase the number of people affected, then the HPMO should consult with the environmental authorities and ADB immediately and form an environmental assessment team to conduct additional environmental assessment and, if necessary, further public consultation. The revised EIA reports including the EMP should be submitted to the environmental authorities for approval, and finally reported to ADB. The revised EMP will be passed on to the contractor(s) and IAs for implementation.

Appendix 223

ADB = Asian Development Bank, DI = design institute, EMC = environmental management company, EMP = environmental management plan, HEPB = Heilongjiang Environmental Protection Bureau, HPLG = Heilongjiang project leading group, HPMO = Heilongjiang project management office, IA = implementing agency, IEM = independent environmental monitor, MEMC = municipal environmental monitoring center, MEPB = municipal environmental protection bureau. Source: Consultations with Provincial EPB.

Reporting

Supervision

Documentation of EMP Implementation and Performance/Information Flow

Action

HPLG ADB

Contractors (During Construction)

MEMC

HPMO

Implementation of Mitigation Measures,

Monitoring Program, and Public Consultation Plan

HEPB/MEPB

Consultants (DIs/EMCs)

IEM

IAs (Operators)

Feedback and Adjustment Mechanism (Heilongjiang)

Appendix 224

ENVIRONMENTAL MANAGEMENT PLAN (JILIN COMPONENT)

A. Objectives

1. The objective of establishing an environmental management plan (EMP) is to propose appropriate mitigation measures, and recommend the establishment of institutions or mechanisms to monitor and ensure compliance with environmental regulations and the implementation of the proposed mitigation measures. Such institutions and mechanisms will seek to ensure continuously improving environmental protection activities during project preparation, construction, and operation to prevent, reduce, or eliminate the adverse impact. 2. The EMP spells out (i) the objectives, (ii) the impact and mitigation measures (in summary), (iii) the environmental monitoring and inspection arrangements, (iv) the public consultations planned, (v) implementing responsibilities and authorities, (vi) institutional strengthening and training programs, (vii) reporting and supervision mechanisms, (viii) a work plan, (ix) cost estimates, and (x) a feedback and adjustment mechanism. The EMP will be reviewed and updated at the end of the detailed design and made consistent with the final detailed design. B. Summary of Potential Impact and Mitigation Measures

3. The potential impact of the Project during the construction and operation phases, as identified in the individual environmental impact assessments (EIAs), and the corresponding mitigation measures designed to minimize the impact are summarized in Table A2.1. The mitigation measures will be incorporated into the tendering documents (where appropriate), construction contracts, and operational management plans, and will be implemented by contractors and the implementing agencies (IAs) under the supervision of the Jilin project management office (JPMO), the Jilin Environmental Protection Bureau (JEPB), and the municipal environmental protection bureaus (MEPBs). The effectiveness of these measures will be evaluated based on the basis of the results of the environmental monitoring to determine whether they should be continued or improvements should be made. Improvements need to be confirmed through stipulated environmental management procedures. 4. Resettlement plans have been prepared to ensure that the affected persons will be made better off or at least not worse off because of the Project. Details of the required actions are given in the resettlement plans for the individual subprojects.

Table A2.1: Summary of Potential Impact and Mitigation Measures (Jilin) Impact Factor/ Stage


Issues


SupervisingAgency

A. Pre-construction 1. EIAs and Feasibility Study Stage

Site and alignment selection

• The recommended sites and pipeline routes for the individual subprojects were selected from various alternatives to minimize adverse impact on the environment.

Design institute and EIA institutes, IA

JPMO, JEPB, MEPB

Appendix 225



Issues


SupervisingAgency

Treatment technology selections

• For each WWTP, three to five alternative treatment technologies were evaluated on the basis of predefined environmental and economic criteria.

Design institute, EIA institutes, IA

JPMO, JEPB, MEPB

Public consultations

• Two rounds of public consultations on environmental issues, poverty, and resettlement were conducted during the feasibility studies, and during EIA and SEIA preparation.

EIA institutes, IA, PPTA consultants

JPMO, JEPB, MEPB

2. Design Stage EMP updating • Mitigation measures defined in each individual EMP will be reviewed, updated, and incorporated into the detailed design to minimize adverse environmental impact.

Design institute, IA

JPMO, JEPB, MEPB

3. Biding and Construction Preparation

Bidding documents and contractors’ qualifications

• Environmental provisions will be included in RFPs.

• An environmental section will be included in the TOR for bidders.

• Environmental clauses for contractors in reference to the EMP and monitoring plan will be included in the construction and supply contracts.

Environmental management consultants or companies contracted by IA

JPMO, JEPB, MEPB

Environmental operation and supervision manual

• Contractors will be required to prepare an environmental operation and supervision manual, for approval by IAs.

Contractors IA, JPMO, JEPB, MEPB

Complaint and information office or appointed person

• A complaint and information office will be established or a responsible person appointed before the start of construction.

• Staff at the office must be well trained to handle conflicts with residents arising from environmental impact.

Contractors IA, JPMO

Environmental protection training

• Environmental specialists and JEPB and MEBP officials will be invited to

JPMO JPLG

Appendix 226



Issues


SupervisingAgency

provide training in the implementation and supervision of environmental mitigation measures to relevant persons, especially construction engineers and managers.

Resumption of land and property

• A resettlement office comprising local government officials will be established to manage the resettlement process.

• Community consultation programs will be conducted and information about entitlements based on PRC Land Administration Law disseminated.

• Resettlement activities must be reasonably completed before the start of construction on any subproject.

IA JPMO

B. Construction Phase 1. Water Wastewater

from construction camps

• Sewage and other wastewater from construction camps will be collected and treated in septic tanks before being discharged to avoid contamination of the surrounding areas.

Contractors IA, OEE, IEM, JPMO, JPEB, MEPB

Spill of hazardous and toxic substances

• A construction materials handling protocol (e.g., storage away from watercourses and provision of retention areas to contain accidental spills of toxic, hazardous, and harmful construction materials such as caustic and acidic substances, oil and petroleum products, and asphalt materials) will be prepared and applied to prevent the pollution of soil and and of surface water and groundwater.

Contractors IA, OEE, IEM, JPMO, JEPB, MEPB

2. Air Generation of dust

• Vehicles delivering granular or fine materials to the sites

Contractors IA, OEE, IEM, JPMO,

Appendix 227



Issues


SupervisingAgency

must be covered. • Materials storage sites must

be 300 m from residential areas and covered or sprayed with water.

• Water will be sprayed on construction sites and access roads twice a day.

• All roads and pavements used by vehicles of the contractors, subcontractors, and suppliers will be kept clean and clear of all dust, mud, or extraneous materials left behind by the construction vehicles. Such cleaning must be completed regularly.

JEPB, MEPB

Emissions from vehicles and equipment

• Vehicle emissions must comply with GB18352-2005, GB17691-2005, GB11340-2005, GB3847-2005, and GB18285-2005.

• Equipment and machinery emissions must comply with GB16297-1996.

• A regular inspection and certification system will be initiated.


3. Noise Noise from equipment, vehicles, and plants

• Noise from equipment and machinery must comply with GB12523-1990.

• An adequate route will be provided for large trucks to keep them away from residential areas.

• At construction sites within 500 m of the nearest habitation, noisy construction work will be stopped between 10 p.m. and 6 a.m. the next day.


4. Solid Waste Domestic waste from workers’ camps

• Multi-compartment collection bins will be provided to facilitate reuse, recycling, and composting of solid waste.

• Waste will be stored away from water bodies and will be regularly hauled to landfills or designated


Appendix 228



Issues


SupervisingAgency

dumping sites. • Appropriate waste storage

containers will be provided by contractors.

• Where appropriate, agreements will be signed with local suppliers for waste disposal through local facilities. These arrangements will be made before the works begin.

5. Soil Erosion and Ecology

Soil erosion • Topsoil will be stripped and stockpiled, and retaining walls built where necessary, before dumping.

• Temporary detention ponds or containment will be provided to control silt runoff.

• Intercepting ditches and chutes will be built to prevent outside runoff from entering disposal sites, and runoff from sites will be diverted to existing drainage or ponds.

• Existing vegetation will be preserved where no construction activity is planned, or preserved temporarily where activity is planned for a later date.

• Disposal and borrow sites will be rehabilitated into grassland, woodland, or farmland after closing.

Contractors IA, OEE, IEM, JPMO, JWRB, MWRB, JEPB, MEPB

Vegetation • In compliance with the PRC Forestry Law, IAs will undertake compensatory planting of an equivalent or larger area of affected forest trees.

• The reforestation will comprise a selection of species that are suitable for the area and have the most appropriate attributes to survive and serve their designated functions.

• All disposal sites and borrow sites will be restored, where

Contractors, IA

IA, OEE, IEM, JPMO, JWRB, MWRB, JEPB, MEPB

Appendix 229



Issues


SupervisingAgency

possible, to productive agricultural land or grass- and woodland.

• New plantings will be maintained during the operation period.

6. Social Resettlement • All affected persons will be compensated and resettled in a timely and adequate manner, in accordance with the resettlement plans.

IA, municipal resettlement office

PLG, JPMO

Traffic jams or blocks

• Interim roads will be built. • Transport routes will be

selected to reduce disturbance to regular traffic.

• Traffic will be diverted at peak traffic hours, and the area reinstated to its original condition on completion of construction.

Contractors, IA

OEE, IEM, JPMO, municipal traffic bureaus

Cultural heritage

• Cultural heritage sites will be preserved where identified. In accordance with PRC regulations, no person shall destroy, damage, deface, conceal, or otherwise interfere with a relic.

• If an important site is unearthed, work should be stopped immediately and the matter promptly referred to the county, municipal, provincial, or state agencies for evaluation and decision on appropriate actions.

Contractors, IAs

OEE, IEM, JPMO, local and provincial cultural heritage bureaus

C. Operation Phase 1. Water Wastewater

from management office

• For water supply subprojects, a septic tank or on-site wastewater treatment device for each subproject will be installed. Wastewater from the management offices will be treated before being discharged into receiving water bodies.

• Wastewater from the management office will be collected and conveyed

IA IEM, JPMO, JEPB, MEPB

Appendix 230



Issues


SupervisingAgency

directly to the waste treatment facilities.

WWTP malfunction

• Dual power supply will be used.

• O&M manuals will be prepared and adequate training will be provided to operators to ensure proper operation and maintenance of the facilities.

• Appropriate internal and external protocols will be set up for communicating with EPB and health authorities, effluent reuse users, and other agencies as determined to be suitable.

IA IEM, JEPB, MEPB, JPMO

Illegal industrial discharges

• Industrial pollution control and management plans, requiring adequate treatment of industrial waste before discharge into the sewer system, will be developed.

• An industrial wastewater monitoring system will be set up, and prohibitions against illegal industrial discharges strictly enforced.

• Adequate process controls for the WWTPs will be selected.

IA, MEPB IEM, JEPB, JPMO

Effluent impact to receiving water bodies

• A project environmental acceptance audit by a licensed consultant company will be conducted before the formal start of operations to ensure the effluents meet the PRC’s WWTP Discharge Standards (GB18918-2002, SEPA).

• An effluent monitoring program will be set up and carried out.

IA, licensed environmental companies contracted by IA

MEPB, JEPB, JPMO, IEM

2. Air Odor from WWTP

• A buffer zone and vegetation around the YWR will be provided.

• Potential odor sources such as the sludge dewatering

IA MEPB, JEPB, JPMO, IEM

Appendix 231



Issues


SupervisingAgency

area will be enclosed. • Storage of dewatered

sludge in YWR should be avoided.

• Enclosed transportation and haul to landfill for final disposal will be ensured.

• An adequate YWR layout will be ensured to minimize odors to potential receptors.

Emission from heating boilers

• Dust removers will be installed for heating boilers so that emissions meet class II emission standards for air pollutants for coal-burning, oil-burning, and gas-fired boilers (GB13271-2001, SEPA).


3. Noise Noise from pumps and equipment operation

• Low-noise equipment and vehicles will be selected.

• High-noise equipment will be installed indoors.

• Pumping stations will be constructed in semi-buried structures.

• Trees will be planted around pump stations and plants.

• Adequate facility layouts will be ensured to minimize noise impact on potential receptors.


4. Solid Waste Sludge from WWTP

• Sludge will be sent to municipal sanitary landfill for safe disposal.

• For WWTPs whose sludge is to be composted and used as agricultural or urban landscaping fertilizer, chemical tests of sludge will be carried out to determine whether the quality of sludge complies with pollutant limits in Discharge Standards for Urban Waste Water Treatment (GB18918-2002, SEPA).


5. Ecology Vegetation • No less than 30% space will be provided for landscaping and vegetation within the sites.


Appendix 232



Issues


SupervisingAgency

• Vegetation will be properly maintained.

6. Environmental Risks

Accidental release of chlorine disinfectant

• An alarm and adsorption facility will be installed.

• Storage volume will be controlled.

• A buffering zone will be provided.

• Personal protection gear will be provided.

• Emergency response plans will be developed.

IA MEPB, JEPB, local health authorities

Leaking or bursting of pipes

• Adequate supervision and management will be provided.

• Proper maintenance will be ensured.

• Operation monitoring will be enhanced.

• Emergency response plans will be provided.

IA Local government, MEPB, JEPB JPMO, IEM

Facility malfunction

• Environmental facilities will be maintained regularly.

• Emergency response plans will be prepared.


Insufficient environmental management capacity

• Environmental management training will be conducted, and facility and staff setup will be developed.


EIA = environmental impact assessment, EMP = environmental management plan, GB = Guo Biao (national standards), JEPB = Jilin Environmental Protection Bureau, JPLG = Jilin project leading group, JPMO = Jilin project management office, JWRB = Jilin Water Resources Bureau, IA = implementing agency, IEM = independent environmental monitor (as part of the implementation consultancy), m = meter, MEPB = municipal environmental protection bureau, MWRB = municipal water resources bureau, O&M = operation and maintenance, OEE = on-site environmental engineer, PLG = project leading group, PPTA = project preparatory technical assistance, PRC = People’s Republic of China, RFP = request for proposal, SEIA = summary environmental impact assessment, SEPA = State Environmental Protection Administration, TOR = terms of reference, WWTP = wastewater treatment plant. Sources: Domestic EIA reports for the subprojects prepared by EIA institutes. C. Environmental Monitoring and Inspection

5. An environmental monitoring program is presented in Table A2.2. This program considers the scope of monitoring; environmental media; monitoring parameters, time, and frequency; and implementing and supervising agencies. The monitoring will follow the methodology provided in the national standard methods for monitoring pollutants. Other associated standards are national environmental quality standards and pollutant discharge and emission standards.

Appendix 233

6. Internal Monitoring and Inspection. During construction, IAs with supervision from the JPMO will recruit environmental supervision companies (ESCs) to conduct internal environmental monitoring and inspections and ensure that the environmental mitigation measures are being properly implemented. Inspections or audits will mainly cover construction activities, but will also review the affected environment. The inspections or audit activities will be conducted weekly. The activities and observations will be well documented, and the contractors and IAs will be informed of the outcomes. During operation, IAs and the operators will be responsible for internal monitoring and will report their findings to the JPMO, the JEPB, and the MEPBs. 7. Compliance Monitoring and Inspection. Local environmental monitoring centers under the MEPBs will be responsible for regular and random compliance monitoring and inspection before, during, and after construction, as well as in the event of emergencies. If abnormalities are found, the EPB will impose a fine and issue a notice of rectification with a specific deadline. 8. Environmental Acceptance Monitoring and Audit. Moreover, within 3 months after each subproject completion, or no later than 1 year, with permission from the responsible environmental authorities, environmental acceptance monitoring and audit reports will be (i) prepared by a qualified environmental institute in accordance with the State Environmental Protection Administration (SEPA) Management Guideline on Project Completion Environmental Audit (2001);1 (ii) reviewed for approval by environmental authorities who approved the same EIA; and (iii) finally submitted to the Asian Development Bank (ADB). 9. Independent Environmental Monitoring. An independent consultancy will be engaged through competitive bidding to advise on and supervise loan implementation. The consultancy will include an environmental safeguard specialist to conduct independent environmental monitoring. The results of the environmental monitoring will form part of the progress report that will be submitted to the ADB and the Executing Agency (EA) semiannually. 10. The environmental monitoring, including the environmental benefits monitoring, will be incorporated in the project performance management system (PPMS) indicators for the Project. The JPMO, with assistance from the IAs, will be responsible for analyzing and consolidating the data through their management information system. The PPMS will be designed to allow adequate flexibility to adopt remedial actions regarding project design, schedules, activities, and development impact. At the start of the Project, the JPMO, the IAs, and the consultants will develop comprehensive PPMS procedures for systematically generating data on inputs and outputs of the project components, and agree on environmental and related socioeconomic indicators to be used to measure project impact. The JPMO and the IAs will refine the PPMS framework, confirm achievable goals, firm up monitoring and recording arrangements, and establish systems and procedures no later than 6 months after the loan takes effect. 11. The monitoring results will be used to evaluate (i) the extent and severity of environmental impact compared with the predicted impact, (ii) the performance of the environmental protection measures or compliance with related rules and regulations, (iii) impact trends, and (iv) the overall effectiveness of the project EMP. The effectiveness of the mitigation measures and monitoring plans will be evaluated through a feedback reporting system. The measures required by the EMPs will be modified, if necessary. The JEPB, the MEPBs, and the


Appendix 234

JPMO will play critical roles in this feedback and adjustment mechanism, as shown in the chart at the end of this appendix. 12. Environmental monitoring costs included in Table A2.2 are to be included in the project contracts and counterpart budgets. Before implementing the monitoring plan, the responsible agencies will present a further detailed breakdown of the estimated budget. During project implementation, the costs can be adjusted on the basis of actual requirements.

Table A2.2: Environmental Monitoring Program (Jilin) Item Parameters Location Time and

Frequency Implementing

Agency Supervising

Agency A. Construction (Internal) 1. Surface Water



3 samples each time, at start of construction and quarterly thereafter

MEMC, OEE JPMO, IEM, MEPB, JEPB

2. Air TSP • 2 monitoring locations for each construction site

3 samples at each location each time, semiannually


3. Noise Leq (dB(A)) • 1 location at the border with settlements within 200 m of construction site

Twice (daytime and nighttime) each time, monthly during peak construction, quarterly otherwise



Removal of vegetation and exposed surface

• All sites Visual inspection weekly

OEE JPMO, MWRB, IEM

B. Environmental Audit upon Project Completion 1. Surface Water Quality





MEPB, JEPB

2. Air TSP, SO2, NH3, H2S, odor

• 2 locations at each WWTP

Once upon subproject completion, 3 samples per day


MEPB, JEPB

Appendix 235


Implementing Agency

SupervisingAgency

for 3 consecutive days at each location

3. Noise Leq (dB(A)) • Minimal 4 locations for each WSP and WWTP at boundary and sensitive receptors


2 samples for 1 day at each location


MEPB, JEPB

4. Effluent COD, BOD, SS, NH3-N, PO3−, oils, fecal coliform

• All WWTPs 3 samples for 3 days at each location


MEPB, JEPB


• All WWTPs 2 samples for 1 day, 1 time


MEPB, JEPB


Revegetation, landscaping

• All WSPs and WWTPs

Visual inspection Licensed environmental institutes

MEPB, JEPB

C. Operation 1. Effluent pH, SS, color,

COD, BOD, TN, TP, NH3-N, oils, fecal coliform

• Effluent outlets of all WWTPs

Mandatory online, real-time monitoring for all WWTPs (compliance) + daily (internal)

IA MEPB, JEPB

2. Surface Water

pH, conductivity, SS, NH3-N, TN, TP, BOD, COD, oils, fecal coliform

• Upstream and downstream of receiving rivers


IA, MEMC MEPB, JEPB, JPMO, IEM

3. Air TSP, SO2, NO2, NH3, H2S, odor

• 1 location for each plant

Semiannually, 3 samples per day (compliance) + daily (internal)

MEMC MEPB, JEPB, JPMO, IEM

4. Noise Leq (dB(A)) • 4 locations for each WSP and WWTP around boundary and sensitive receptors

Daytime and nighttime sampling twice a month, 2 samples each time


Appendix 236


Implementing Agency

SupervisingAgency



• Sludge workshop

Spot sample, twice a year (internal)


6. Leachate/ effluent from landfills

Heavy metals • Leachate treatment stations

• Effluent from WWTPs where leachate is treated



7. Ground-water

pH, SS, TN, TP, BOD, COD, metals (As, Cr, Cu, Cd, Hg, Pb, Ni, Zn), oils, cyanide, fecal coliform, groundwater level

• For WSP, 4 locations around the plant

• For WWTP, 2 monitoring wells, 1 upstream, 2 downstream

1 sample, quarterly (compliance) + daily (internal)



Vegetation, landscaping

• All plants Visual inspections, once a year

MEPC MEPB, JEPB, JPMO, IEM

As = arsenic, BOD = biochemical oxygen demand, Cd = cadmium, COD = chemical oxygen demand, Cr = chromium, Cu = copper, dB(A) = A-weighted decibel, H2S = hydrogen sulfide, Hg = mercury, IA = implementing agency, IEM = independent environmental monitor (as part of the implementation consultancy), JEPB = Jilin Environmental Protection Bureau, JPMO = Jilin project management office, Leq = equivalent continuous noise level, m = meter, MEMC = municipal environmental monitoring center, MEPB = municipal environmental protection bureau, MEPC = Ministry of Environmental Protection, MWRB = municipal water resources bureau, NH3 = ammonia, NH3-N = ammonia nitrogen, Ni = nickel, NO2 = nitrogen dioxide, OEE = on-site environmental engineer, Pb = lead, pH = measure of acidity and alkalinity, PO3− = phosphate , SS = suspended solids, SO2 = sulfur dioxide, TN = total nitrogen, TP = total phosphor, TSP = total suspended particulates, WSP = water supply plant, WWTP = wastewater treatment plant, Zn = zinc. Sources: Domestic EIA reports for the subprojects prepared by EIA institutes. D. Public Consultation

1. Public Consultation during Project Preparation

13. Various public consultations were conducted in the course of the preparation of the feasibility study reports and EIAs. During the feasibility study reports, the respective municipal governments were consulted to assist in site and process selections. During the EIAs and project preparatory technical assistance (PPTA), public consultations with various groups of stakeholders were conducted. The public consultations were held to assess the environmental impact of the proposed subprojects on nearby residents, to determine appropriate mitigation measures, as to thrash out resettlement issues. These activities were carried out in accordance

Appendix 237

with SEPA’s Interim Provisions of Public Consultations for Environmental Impact Assessment (2006),2 and ADB’s Environmental Assessment Guidelines (2003).

2. Future Public Consultation Plan

14. Future plans for public involvement during the design, construction, and operation phases were developed during the project preparation. These plans include public participation in (i) monitoring impact and mitigation measures during construction and operation, (ii) evaluating the environmental and economic benefits and social impacts and (iii) interviewing the public after the Project is completed. They include several types of consultations, e.g., site visits, workshops, investigation of specific issues, interviews, and public hearings (Table A2.3). 15. Public participation plans are part of the project implementation and management plan. The IAs are responsible for public participation during project implementation. The IAs will also establish an environmental management unit (EMU) to supervise implementation, engage in continuing public consultation, monitor progress, and respond to grievances. The staff at the offices will be well trained to handle crisis situations or conflicts with residents due to distress from environmental impact. The costs of the public participation activities during project construction are included in the project funding. The costs are estimated at CNY3,000 for each expert workshop, CNY20,000 for each public investigation on a particular issue, CNY10,000 for each resettlement survey, CNY5,000 for each public workshop, and CNY6,000 for each press conference. The costs of public participation activities during operation will be covered by the IAs. In addition, the established feedback mechanisms (see chart at the end of the appendix) will ensure timely feedback and measures to address concerns raised by communities affected by the Project.

Table A2.3: Public Consultation Program (Jilin) Organizer Approach/Frequency Subjects Participants 1. Project Preparation JPMO, IAs, design institutes, EIA institutes, resettlement plan institutes, JEPB

• EIA public opinion surveys: once for each subproject

• Expert panel review: once for each subproject

• Socioeconomic surveys and surveys of affected persons

• Public consultation meeting + questionnaire: once for overall Project

• Site visits: several times

Priority, design, environmental benefits and impact, social benefits and impact, mitigation measures, attitudes toward subproject, and suggestions

JPMO, IAs, design institutes, EIA institutes, JEPB, MEPBs, other provincial and municipal government stakeholders, community representatives

2. Construction JPMO, IAs, IEM • Public consultation and site

visits: at least once a year Adjustments needed in mitigation measures, construction impact, comments and suggestions

Residents within construction area

• Expert workshop or press conference: at least once

Comments and suggestions on

Experts from various sectors, media

2 SEPA. 2006. Interim Provisions of Public Consultations for Environmental Impact Assessment. Beijing.

Appendix 238

Organizer Approach/Frequency Subjects Participants mitigation measures, public opinions

• Public information session: at least once a year

Adjustments needed in mitigation measures, construction impact, comments and suggestions


• Survey on resettlement: as required in the resettlement plan

Comments and suggestions

People affected by land acquisition and resettlement

3. Test Operation JPMO, IAs, IEM • Questionnaire survey: at

least once during test operation

• Site visits: several, depending on results of project completion environmental audit

Comments and suggestions on impact of operations, public suggestions on corrective actions

Local residents and social sectors, EPBs

4. Operation PMO, IAs, IEM • Public opinion survey: once a

year in the first 5 years of operation

Effects of mitigation measures, impact of operation, comments and suggestions for corrective actions

Residents adjacent to plant

• Site visits: once every 6 months, by IEM and JPMO

Plant operating performance, informal interviews with local residents

Plant managers and workers, local residents adjacent to plant

• Public workshop: as needed, depending on results of public opinion survey and public complaints received

Public comments and suggestions on corrective measures


• Expert workshop or press conference: as needed, depending on public consultation and workshop

Expert comments and suggestions on corrective measures

Experts from residents, social sectors, media

EIA = environmental impact assessment, EPB = Environmental Protection Bureau, JEPB = Jilin Environmental Protection Bureau, JMPO = Jilin project management office, IA = implementing agency, IEM = independent environmental monitor, MEPB = municipal environmental protection bureau. Sources: Domestic EIA reports for the subprojects prepared by EIA institutes. E. Implementing Responsibility and Authorities

16. The Jilin provincial government is the EA and has established a project leading group (JPLG) headed by the vice governor of the province and a project management office (PMO or JPMO). The JPMO is colocated in the Jilin Provincial Development and Reform Commission (JDRC), and is headed by the deputy director general of the JDRC. The JPMO draws its members from the JDRC, the Jilin Provincial Finance Bureau, the JEPB, and the Jilin Provincial

Appendix 239

Construction Bureau. The JPMO will have overall responsibility delegated by the EA for supervising the implementation of mitigation measures and reporting to ADB. The subproject cities and counties have also established their own PMOs to coordinate and monitor the implementation of the subprojects. 17. The JPMO, the PMOs, the IAs, and the contractors will each nominate dedicated, trained, and qualified environment specialists to undertake environmental management activities and ensure effective EMP implementation. The independent environmental monitor (as part of the loan implementation consultancy engaged through international competitive bidding) will assist the EA, the JPMO, and the IAs in preparing semiannual EMP progress reports and carrying out training programs. Table A2.4 shows the environmental responsibilities in different phases of the Project. 18. EMC will be locally hired by the EA/IAs to supervise and inspect compliance with Chinese environmental laws and regulations. They will serve as internal monitoring and supervision agencies. The independent environmental monitor (IEM) will be recruited through international competitive bidding under the loan implementation consultancy. It will serve as the external and independent monitor, assisting the PMO with monitoring, supervision and reporting to ADB. IEM has the oversight role both on monitoring and mitigation activities, and is the one to send consolidated reports to ADB.

Table A2.4: Environmental Responsibility Matrix (Jilin) Phase Agencies Environmental Responsibilities Preparation Design institutes Review and select alternatives (technological, design, siting,

etc.)

EIA institutes Prepare EIAs and EMPs for subprojects, including public consultations

JEPB Review and approve individual EIAs including the EMPs

PPTA consultant Prepare SEIA, including public consultations

JPMO Coordinate and supervise EIAs, SEIA, and public consultations

JPG

Review and endorse SEIA, including the EMPs, for posting on ADB website

Design Design institutes Update the EMPs in cooperation with EIA institutes, and incorporate mitigation measures in engineering detailed designs and contracts

JPMO, IAs Review and approve environmental measures

Tendering and Contracting

JPMO, IAs, IEM

Incorporate EMP clauses in RFPs and contracts

Construction IAs Ensure implementation of mitigation measures, and public consultations

Contractors Implement mitigation measures

JPMO, JEBP, MEPB Advise on and supervise implementation of mitigation measures


Conduct internal monitoring and inspection, and public consultations

IEM Conduct independent monitoring (including public

Appendix 240

Phase Agencies Environmental Responsibilities consultations), and prepare periodic monitoring reports to ADB and JPG

MEMCs Conduct compliance monitoring

Test Operation IAs, MEMCs Conduct project completion environmental audit, including sampling and lab tests, and prepare project completion environmental audit report

JEPB, MEPBs Review and approve project completion environmental audit report, and order corrective actions if necessary

EMCs, IEM

Participate in environmental audit and prepare progress reports to ADB and EA

Operation IAs Ensure proper operation of subproject facilities according to design standards, and implementation of mitigation measures and public consultations


Conduct internal environmental monitoring and inspection, supervise implementation of EMPs, and conduct public consultations

IEM Conduct independent monitoring (including public consultations), and prepare periodic monitoring reports to ADB and JPG

MEMCs on behalf of JEPB, MEPBs

Conduct regular and unannounced environmental compliance monitoring and inspection

ADB = Asian Development Bank, EA = executing agency, EIA = environmental impact assessment, EMC = environmental management consultant, EMP = environmental management plan, JEPB = Jilin Environmental Protection Bureau, JMPO = Jilin project management office, JPG = Jilin provincial government, IA = implementing agency, IEM = independent environmental monitor, MEMC = municipal environmental monitoring center, MEPB = municipal environmental protection bureau, PPTA = project preparatory technical assistance, RFP = request for proposal, SEIA = summary environmental impact assessment. Sources: Domestic EIA reports for the subprojects prepared by EIA institutes. 19. The IAs will be largely responsible for environmental management and the implementation of mitigation measures. They will ensure that the EMPs are carried out and will engage design institutes and professional consultants to help with environmental management during project preparation, design, construction, and operation. The IAs will be responsible for arranging environmental monitoring reviews and responding to any adverse impact beyond that foreseen in the EIAs. The IAs will also attend to the environmental protection bureaus’ and ADB’s requests for mitigation measures. 20. Construction contractors will be responsible for implementing mitigation measures during construction, while the IAs will be responsible for implementing such measures during operation. 21. In accordance with the EMPs, the IAs will set up their own EMUs, which will generally require two employees each. The EMUs will be responsible for (i) implementing the EMPs and developing further implementation details; (ii) supervising contractors’ implementation of mitigation measures during construction; (iii) implementing training programs for contractors; (iv) incorporating environmental management, monitoring, and mitigation measures into construction and operation management plans; (v) developing and implementing internal routine environmental monitoring; and (vi) reporting on the performance of the EMPs to the JPMO and

Appendix 241

responsible agencies. The EMUs will be supported and supervised by the ESCs, the independent environmental monitor, the JEPB, and the MEPBs. 22. The JEPB and the MEPBs will ensure the compliance with the People’s Republic of China (PRC) and local environmental regulations through regular and random environmental compliance monitoring and inspection during construction and operation. The municipal environmental monitoring centers (MEMCs) will conduct the actual environmental compliance monitoring and inspection on the behalf of the JEPB and the MEPBs. On the basis of the environmental compliance monitoring and inspection, the JEPB and the MEPBs will impose fines and order corrective actions, if necessary. 23. Local governments will provide the IAs with financial and management authority to operate the project facilities. The IAs will be strengthened by environmental management training provided under the Project, as summarized in Table A2.5. They will incorporate environmental management activities into construction management plans. F. Institutional Strengthening and Training

24. An assessment undertaken during the PPTA indicates that the JPMO has adequate technical and institutional capacity for project implementation. However, the IAs have weak capacity in environmental management and monitoring. For proper implementation of the EMPs, it is necessary to strengthen the capacity of the IAs. The proposed training is shown in Table A2.5. 25. It is considered that the three-tier implementation arrangement—JPLG, JPMO, and IAs—provides a reasonable framework for project management and control. The definition of roles, responsibilities and relationships between the JPLG, the JPMO, the IAs, and other relevant agencies (e.g., the JEPB and the MEPBs) is adequate to ensure the effective implementation of the Project. 26. Environmental specialists in the JPMO, EPBs, the IAs, and the contractors will receive training in environmental management, environmental monitoring and supervision, mitigation planning, emergency response, environmental policy-making, and other environmental management techniques. Funding for this training will be included in the project budget and in the operation and maintenance budget in the operation phase. The institutional strengthening and training program will be implemented by the IEM and coordinated by the JPMO. Trainers will be supplied by the IEM and if necessary, retained through subcontracts. IEM will receive instruction on its activities by the PMO/EA and ADB staff.

Table A2.5: Institutional Strengthening and Training (Jilin) Activities Target Agencies/

Attendees Contents Timing

Strengthening Institutional Strengthening

JPMO, IAs, JEPB, MEPBs

• Definition of institutional arrangements for environmental management, monitoring, supervision

• Definition of positions and responsibilities

• Appointment and recruitment of personnel


Appendix 242


Contents Timing


• Recruitment and contracting of EMCs for internal environmental management consultancy and monitoring



• Recruiting and contracting an IEM for the overall Project, through international competitive bidding, for overseeing environmental management consultancy and conduct of independent external monitoring of environmental aspects of the project


Environmental Management Clauses and Protocols


• Development of environmental management clauses and incorporation of these clauses into construction and operating contracts

• Development and refinement of environmental monitoring protocols

• Development of environmental emergency response procedures


Monitoring Equipment


• Procurement of lab equipment for environmental monitoring for each WSP and WWTP


Training Environmental Laws, Regulations and Policies

JPMO, IAs, operators, contractors

• Environmental laws and regulations • Environmental policies and plans • Basic environmental management • Environmental emergency response


EMP Implementation

JPMO, EMCs, IAs, operators, contractors

• Project construction, management, and environmental protection responsibilities and duties

• Environmental protection tasks during project construction

• Key environmental protection considerations in project construction

• EMP improvement and corrective actions

Prior to and during project implementation

Environmental Technologies and Equipment

JPMO, IAs, operators and contractors

• Engineering technologies, pollution control equipment selection and procurement


Advanced Training on Water Supply, Wastewater Treatment

JPMO, IAs • Basics of theory and practice • International experiences and best

practices • Training will be carried out in the form

of an overseas study tour to countries with adequate experiences (e.g., Australia, Japan, Singapore, US and/or EU countries)

Prior to or at the beginning of project implementation

Appendix 243


Contents Timing

Community-Based Environmental and Hygiene Awareness Program

Selected community health workers and community members (Training-of-trainers approach will be used such that the trained health workers and community members will train other community members)

• Water savings • 3R’s (reduce, reuse, recycle) • Wastewater minimization • Solid waste minimization • Community, household and personal

hygiene

During project implementation

Environmental Facility Operation and Maintenance

IAs, environmental facility managers, operators, contractors

• Operation and maintenance of environmental facilities

• Safety operation regulations • Equipment management and

emergency response procedures


Environmental Monitoring, Inspection and Reporting

IAs, JEPB, MEPBs, EMCs, operators, contractors

• Monitoring and inspection methods, data collection and processing, interpretation of data, reporting system



IEM • Oversight role both on project monitoring and mitigation activities


Prior and during project implementation

EMC = environmental management consultant, EMP = environmental management plan, IA = implementing agency, IEM = independent environmental monitor, JEPB = Jilin Environmental Protection Bureau, JPMO = Jilin project management office, MEPB = municipal environmental protection bureau, WSP = water supply plant, WWTP = wastewater treatment plant. Sources: Domestic EIA reports for the subprojects prepared by EIA institutes. G. Reporting and Supervision

27. Internal Monitoring Reports. During the construction period, the results of the internal monitoring by ESCs contracted by the IAs or JPMO will be reflected in the weekly construction reports. The reports will summarize (i) environmental issues during construction; (ii) mitigation measures taken, if any; and (iii) consequences of the impact on the environment and the surrounding communities. 28. The contractors will be trained to take immediate action to remedy unexpected adverse impact or ineffective or inefficient mitigation measures, as required by the EMPs. The IAs will also respond to these reports to ensure that the contractors have taken appropriate and timely action. Additional measures may be taken, if needed, to ensure that all issues raised in the reports are appropriately addressed. 29. The results of the detailed internal environmental monitoring and mitigation actions for the construction phase will be submitted monthly to the IA, quarterly to the JPMO, and twice a year to the JEPB and the MEPBs. The JEPB and the MEPBs may request further environmental

Appendix 244

mitigation actions as they deem necessary, and may determine further mitigation measures for different stages, if necessary. 30. Compliance Monitoring Reports. MEMCs authorized by JEPB and MEPBs will be responsible for environmental compliance monitoring and inspection according to PRC environmental regulations, during construction and operation. The compliance monitoring reports will include: (i) project background, (ii) construction and operation activities, (iii) environmental conditions, (iv) measurements or samples taken during auditing and their locations, (v) analytical results, (vi) interpretation and implications of the monitoring results, (vii) determination of the compliance status with regard to applicable regulations and standards, and (viii) recommendations for improvement. These reports will be submitted to the JEPB and the MEPBs by the MEMCs, with a copy to the JPMO. 31. Project Completion Environmental Audit Reports. A project completion environmental audit report on the completion of each subproject will be prepared in accordance with the SEPA Management Guideline on Project Completion Environmental Audit (2001)3 within 3 months after completion. The report will focus on the project compliance with environmental performance standards when it is put into operation. The report will be sent to the environmental authorities for review and approval. If instances of noncompliance are found, the project will be asked to meet the requirements before the official start of the operation. 32. Independent Environmental Monitoring Reports. The EA and the JPMO have the responsibility to monitor and assess overall project activities under the project design and monitoring framework, and will be accountable to ADB for ensuring the effective implementation of the EMPs. The JPMO will be assisted by the independent environmental monitor, as part of the loan implementation consultancy recruited through international competitive bidding, to fulfill its responsibilities related to environmental supervision, monitoring, and reporting to ADB. The environmental monitoring reports will be submitted to ADB and the EA and JPMO twice a year. The reports will emphasize: (i) progress made in implementing the EMPs, (ii) implementation of mitigation measures, (iii) environmental compliance, (iv) institutional strengthening an training, (v) public consultations, and (vi) problems that have occurred and corrective actions taken. ADB may request further environmental mitigation actions as it deems necessary, and may determine further mitigation measures for different stages, if necessary. 33. The environmental reporting plan is presented in Table A2.6.

Table A2.6: Environmental Reporting Plan (Jilin) Reports From To Frequency Construction Phase

Internal monitoring report Contractors EMC, IA Monthly Internal Monitoring Internal monitoring report EMC JPMO, IA, IEM Quarterly



MEMC JEPB, MEPB According to PRC regulation

External Monitoring

External monitoring report IEM ADB, JPMO, IA Twice a year


Appendix 245

Reports From To Frequency Test Operation Project Completion Environmental Audit

Project completion environmental audit report

MEMC JEPB, MEPB, JPMO

Once within 3 months of project completion

Operation Phase Internal Monitoring

Internal monitoring report EMC JPMO, IA, IEM Quarterly for the first 3 years of operation



MEMC JEPB, MEPB According to PRC regulation

External Monitoring

External monitoring report IEM ADB, EA and JPMO, IA

Twice a year for the first 3 years of operation

ADB = Asian Development Bank, EMC = environmental management consultant, JEPB = Jilin Environmental Protection Bureau, JPMO = Jilin project management office, IA = implementing agency, IEM = independent environmental monitor, MEMC = municipal environmental monitoring center, MEPB = municipal environmental protection bureau, PRC = People’s Republic of China. Sources: Domestic EIA reports for the subprojects prepared by EIA institutes. H. Work Plan

34. Before construction, the JPMO and IAs will develop detailed responsibilities and requirements for contractors and will provide detailed cost estimates of mitigation measures and environmental monitoring in the construction contracts. The JPMO and the IAs also will detail the responsibilities of their environmental management offices and prepare their work schedules. 35. Before operation, the IAs as operators will develop detailed work plans for environmental management and monitoring during operation based on the EMPs. These work plans will be submitted to the JEPB and the MEPBs to help them supervise implementation. I. Cost Estimates for Environmental Management

36. The IAs, with help from the JPMO, will develop detailed plans for the procurement of equipment and materials, and for the civil works needed to implement the mitigation measures and monitoring plans. These plans will be incorporated into project contracts. Environmental factors will be considered in the procurement to ensure that it is environmentally responsive. 37. The cost estimates for the mitigation measures, environmental monitoring, public consultations, and capacity building are summarized in Table A2.7. The compliance monitoring costs will be borne by the JEPB and the MEPB as part of their enforcement functions. Internal monitoring costs will be borne by the contractors and the IAs. Independent monitoring costs will be covered by the loan implementation consultancy budget. Before implementing a monitoring plan, the responsible agencies will present a more detailed breakdown of the estimated budget. During project implementation, the budgets will be adjusted on the basis of actual requirements. Contractors will bear the costs of all mitigation measures during construction; these costs will be included in the tender and contract documents. The IAs will bear the costs related to mitigation measures during operation. Costs related to environmental supervision during construction and operation will be borne by the IAs. Capacity-building costs will be borne by the Project as a

Appendix 246

whole. The training costs during the operation phase will be included in the operation and maintenance budget.

Table A2.7: Cost Estimates for EMP (Jilin) Item Pre-operation

(CNY’000) Operation

(CNY’000/Year) Environmental Mitigation Wastewater Treatment Plants 5,850 1,350 Solid Waste Management 4,560 1,120 Internal Environmental Monitoring Procurement of Lab Equipment for IAs 1,560 312 Sampling + Testing 1,170 832 Public Consultations 650 130 Environmental Management Consultancy EIA + Environmental Management Consultancy 1,680 260 Independent Environmental Monitoring 338 0 Environmental Management Training 2,106 208 TOTAL 17,914 4,212 EIA = environmental impact assessment, EMP = environmental management plan, IA = implementing agency. Sources: Domestic EIA reports for the subprojects prepared by EIA institutes. J. Feedback and Adjustment Mechanism

38. From the inspection and monitoring reports, the environmental authorities will decide whether (i) further mitigation measures are required as corrective action, or (ii) the environmental management practices need some improvement. If the inspection uncovers substantial deviation from the EMP or changes in the Project or any subprojects that may cause substantial adverse environmental impact or increase the number of people affected, then JPMO should consult with the environmental authorities and ADB immediately and form an environmental assessment team to conduct additional environmental assessment and, if necessary, further public consultation. The revised EIA reports including the EMP should be submitted to the environmental authorities for approval, and finally reported to ADB. The revised EMP will be passed on to the contractor(s) and IAs for implementation.

Appendix 247

ADB = Asian Development Bank, DI = design institute, EMC = environmental management company, EMP = environmental management plan, IA = implementing agency, JEPB = Jilin Environmental Protection Bureau, JPLG = Jilin project leading group, JPMO = Jilin project management office, IEM = independent environmental monitor, MEMC = municipal environmental monitoring center, MEPB = municipal environmental protection bureau. Source: Consultations with Provincial EPB.

Reporting

Supervision

Documentation of EMP Implementation and Performance/Information Flow

Action

JPLG ADB

Contractors (During Construction)

MEMC

JPMO

Implementation of Mitigation Measures,

Monitoring Program, and Public Consultation Plan

JEPB/MEPB

Consultants (DIs/EMCs)

IEM

IAs (Operators)

Feedback and Adjustment Mechanism (Jilin)

Appendix 248

SUMMARY RESETTLEMENT PLAN

A. Introduction 1. The Songhua River Basin Water Pollution Control and Management Project comprises 33 water supply, wastewater management, solid waste management (SWM), and integrated river improvement subprojects in 11 counties or cities of Heilongjiang and 15 counties or cities of Jilin province. The construction of the Project will have significant land acquisition and resettlement impacts. The implementing agencies (IAs) with the support of the respective design institutes prepared five short resettlement plans, two due diligence reports, and six statements of land acquisition and resettlement (LAR)1 for the Heilongjiang component. Three full and 13 short resettlement plans (one of which had a due diligence report) were prepared for the subcomponents for Jilin component. The primary objective of the resettlement plans has been to ensure that the affected people improve their living standards or are at least not made worse off because of the Project. B. Land Acquisition and Resettlement Impacts 2. The construction of the Songhua River Basin Water Pollution Control and Management Project will affect 287 households or 1,523 persons by permanent land acquisition and 331 households or 1,067 persons by temporary land occupation. The residential and nonresidential houses of 68 households or 238 persons will be demolished. In total, 272.6 hectares (ha) of land will be affected permanently, 33% of which (90.2 ha) is cultivated land; 125.5 ha of rural collective and state land will be occupied temporarily; and 11,180.6 m2 of residential and nonresidential structures will be demolished. Table A9.1: Summary Land Acquisition and Resettlement Impacts Type of Impact Total Area

(ha/m2) Of which

Farmland (ha) Affected

Households (no.) Affected

Persons (no.) A. Heilongjiang Province Permanent Land Acquisition (ha) 68.0 27.5 41 149 Temporary Land Acquisition (ha) 54.7 7.9 162 529 House Demolition (m2) 2,035.6 0.0 14 51

Subtotal (A) 208 687 B. Jilin Province Permanent Land Acquisition (ha) 204.6 62.7 246 1,374 Temporary Land Acquisition (ha) 70.8 22.2 169 538 House Demolition (m2) 9,144.9 0.0 54 187

Subtotal (B) 458 2,065 Total (A + B) Permanent Land Acquisition (ha) 272.6 90.2 287 1,523 Temporary Land Acquisition (ha) 125.5 30.1 331 1,067 House Demolition (m2) 11,180.6 0.0 68 238 ha = hectare, m2 = square meter, no. = number. Source: Asian Development Bank. 3. For the Heilongjiang component, the subcomponents will affect 41 households or 149 persons by permanent land acquisition and 162 households or 529 persons by temporary land occupation. The demolition of residential structures will lead to the relocation of 14 households or 51 persons. In total, 68 ha of land will be affected permanently, 40.4% of which is cultivated land; 54.7 ha of rural and state land will be occupied temporarily; and 2,035.6 m2 of residential houses will be demolished. For the Jilin component, the construction of the proposed

1 Statements here refer to the subcomponents that involve state-owned land to be acquired. They do not include land

owned by village committees or farmers’ households that are affected.

subprojects will affect 246 households or 1,374 persons by permanent land acquisition and 169 households or 538 persons by temporary land occupation. Demolition of buildings, including two enterprises and two shops, will require the relocation of 54 households or 187 persons. Of the total affected persons, 10 households or 19 persons are from vulnerable groups. In total, 204.6 ha of land will be affected permanently, of which 30.6% is cultivated land; 70.8 ha of rural collective and state land will be occupied temporarily, including 31.5% of cultivated land; and 9,145 m2 of houses will be demolished. In addition, associated productive assets, ground attachments, and basic infrastructures and facilities will be affected as result of both the Heilongjiang and Jilin components. In order to avoid or minimize land acquisition and resettlement, there was close consultation with the local officials and village committees and street committees during the preliminary and final feasibility study, and during the preliminary design stages. C. Policy and Legal Framework 4. Compensation for permanent land loss is based on the Land Administration Law of the PRC (1998) and the State Council Decision to Deepen Reform and Strictly Enforce Land Administration (Document 28 dated in November 2004). Compensation for house demolition is based on the Provincial and Municipal Urban Housing Demolishment Administration Regulations. The resettlement plans comply with PRC laws and regulation of resettlement and ADB’s Involuntary Resettlement Policy (1995). Based on consultations with local governments and those affected, and general practice in relevant counties or cities, a set of compensation standards was adopted by the respective county or city project management offices (PMOs) and IAs. The resettlement principles established for the Project are (i) land acquisition and involuntary resettlement should be avoided or minimized where feasible by using alternative designs; (ii) compensation and entitlements are based on replacement value and must be sufficient to allow those affected to at least maintain their pre-project standard of living, with the prospect of improvement; (iii) the amount of land temporarily occupied and the period for disruption are to be kept to a minimum; (iv) all the people affected, legal and illegal, are to be taken into consideration and accounted for; (v) the per capita landholding after land acquisition should be sufficient to maintain previous livelihood standards; (vi) where land allocation per capita is not sufficient to maintain the previous livelihood standards, other income-generating activities will be provided for; (vii) a preferential policy will be provided to vulnerable groups with regard to compensation, payment of special fund, minimum living guarantee, and employment; (viii) all those affected will be adequately informed about eligibility, compensation rates and standards, livelihood and income restoration plans, and project timing; and (ix) close monitoring and timely actions will be carried out to identify and resolve any problems. D. Compensation, Income, and Livelihood Restoration Scheme 5. For land acquisition, land compensation will be paid in cash to the affected villages to be used for improving village infrastructure and farming conditions. A resettlement subsidy and standing crops will be paid to the affected persons. For residential houses and nonresidential (enterprises and shops) houses to be demolished, compensation will be paid to owners, including those without house certificates. The payment will be made in cash according to the appraised value of the property. Households that have to relocate will also receive a relocation allowance. Compensation for standing crops, auxiliaries, and other assets will also be paid directly to the affected persons. Income losses resulting from reduced production sales and wages caused by the Project will be compensated in cash. 6. The resettlement strategy encompasses (i) the replacement of housing, and (ii) the restoration of livelihoods and income. For people losing housing in rural areas, there are two resettlement options—to receive cash compensation or cash compensation plus provision of

house plot for house construction by themselves. Assistance will be provided to enable affected persons to construct new houses or find available housing close to their original homes, if that is their preference. The respective county or city PMOs, IAs and local governments will provide assistance for house construction and relocation during resettlement implementation. 7. The measures for economic rehabilitation include: (i) provision of employment opportunities during construction and operational phases; (ii) provision of basic social insurance to affected persons whose land is newly acquired; (iii) development of economic crops with higher economic value; (iv) promotion and development of new enterprises and self-employed secondary and tertiary businesses (e.g., auto accessory manufacturing plants, community services, hairdressing salons, dry-cleaning businesses, small-scale supermarkets, transportation, entertainment and catering services); and (v) provision of technical training to the affected persons to increase their skills. 8. The survey results indicate that nine households and 28 persons are vulnerable people affected by construction of four subprojects in Jilin Province. For these vulnerable people, the respective municipal PMOs and IAs will establish a special assistance one-time payment of CNY2,000 per capita for them to improve their living standards. In addition, the vulnerable households will be provided with additional assistance for their relocation and rehabilitation. The PMO and IA will supervise implementation to ensure these vulnerable persons receive adequate compensation, housing arrangements, special assistance payments and livelihood arrangements, and assistance to restore their living conditions and incomes. E. Information Disclosure, Participation, and Grievance Procedures 9. The people affected were notified about the key elements of the resettlement plan before ADB loan fact-finding. On various occasions during meetings, interviews, focus group discussions, public consultation workshops, and community consultation meetings, local representatives and affected persons have participated in the planning process and their concerns have been integrated into the resettlement plans. The resettlement information booklet for each subproject has been distributed to affected villages and households. The final resettlement plans have been provided to village offices and resident committees and posted on the ADB website on 28 July 2008. The project IAs will establish project resettlement units to supervise implementation, continuing public consultation, monitoring progress and responding to grievances. The grievance address procedures are well established and explanations are included in the resettlement information booklets. F. Institutional Arrangement and implementation Schedule 10. Each PMO will have at least one person and each IA will have at least two full-time staff responsible for land acquisition and resettlement. Staff from each subproject resettlement unit will take the lead in coordinating the planning, implementation, financing, and monitoring of land acquisition and resettlement. They will work closely with village officials, land resource bureaus and house demolition administration offices, and will be responsible for supervision and monitoring of resettlement (e.g., delivery of entitlements, selection of new housing sites, restoration of incomes, provision of replacement land and other economic measures). A training program will be organized for the resettlement officers. G. Budget 11. The total costs for the LAR are estimated at CNY238.1 million ($34 million), including a contingency. Of the total LAR costs, CNY46.0 million ($6.6 million) is for the Heilongjiang component and CNY192.1 million ($27.4 million) for the Jilin component. The estimated costs

include compensation for permanent land acquisition, temporary land occupation, demolition of residential houses and auxiliaries, relocation allowance, basic infrastructure and special facilities, land-related taxes, training, monitoring and evaluation, contingency and other costs. Resettlement implementation will precede construction schedules. Most resettlement activities will occur between February 2008 and December 2009. Resettlement implementation will be completed before subproject construction. Detailed measurement surveys will be conducted in each village, neighborhood, enterprise, and shop, and the compensation contracts will be negotiated and signed with village committees, households and enterprises. Based on these surveys, the resettlement plans will be updated and submitted to ADB for review and approval before commencement of construction activities if there are changes to the scope of the LAR or policies. H. Monitoring and Supervision 12. Internal and external monitoring of resettlement plan implementation will be conducted. Monitoring methodologies are specified in the resettlement plans. Internal supervision and monitoring will be done by each IA to ensure compliance with the provisions of the resettlement plan. The PMO and IAs have agreed to a set of supervision milestones with ADB, to ensure timely and effective implementation of resettlement activities. External monitoring and evaluation will be carried out by an independent agency under contract to the PMO of Heilongjiang and Jilin province. Monitoring and evaluation reports will be prepared every 6 months during implementation and annually for 2 years after the completion of resettlement. External monitoring reports will be forwarded directly to the PMOs, IAs, and ADB and will be uploaded on ADB website.

Appendix 4 1

DISBURSEMENT PROCEDURES

Reference: ADB’s Loan Disbursement Handbook dated January 2007 1. Procedures for withdrawal of loan proceeds are standardized to facilitate disbursements under most loans. Disbursement procedures consist of four major types, described as follows: A. DIRECT PAYMENT PROCEDURE 2. At the request of the Borrower, ADB pays a designated beneficiary from the loan funds (Section 7 of the Handbook). Narrative procedures are in Appendix 14 of the Handbook.

a. Requirements

• signed withdrawal application (form ADB-DRP/RMP in Appendix 5 of the Handbook)

• summary sheet (form ADB-DRP-SS in Appendix 8 of the Handbook) b. Supporting Documents

• contract or confirmed purchase order (PO) indicating amount and due date • for payment of goods: supplier’s invoice, bill of lading, or other similar

documents • for payment of services: consultant’s claim or invoice • for payment of civil works: claim or invoice from the contractor and a

summary of work progress certified by the project engineer and approved by the borrower’s authorized representative

B. COMMITMENT PROCEDURE 3. ADB irrevocably agrees to reimburse a commercial bank for payments made or to be made to a supplier against a letter of credit (Section 8 of the Handbook). Narrative procedures are in Appendix 20 of the Handbook. 4. ADB issues a Commitment Letter (CL) against a letter of credit (LC), and agrees to pay (on behalf of the Borrower and out of loan funds) the negotiating bank for the payments made or to be made to the supplier in accordance with the terms of LC.

a. Requirements • signed application for commitment letter (form ADB-CL in Appendix 6 of the

Handbook) • summary sheet (form in Appendix 9 of the Handbook)

b. Supporting Documents

• contract or confirmed PO • two signed copies of the LC against which ADB's CL is requested

5. Upon approval of the borrower's application for a CL, ADB issues a CL to the designated commercial bank (usually advising bank) as shown in Appendix 15 of the Handbook. A copy of ADB’s CL is also provided to the EA/PMO for information.

2 Appendix 15

6. In cases that the LC indicated separate advising bank and nominated commercial bank, ADB will issue the CL to the nominated commercial bank, with a copy provided to the advising bank. 7. No CL is issued if shipment or LC expiry date fall beyond the loan closing date. 8. Accepting the CL. The nominated commercial bank's first request for payment under the CL constitutes its acceptance of the terms and conditions of ADB's commitment. 9. Payment to Commercial Banks. ADB pays from the loan account after the receipt of the confirmation from the supplier’s nominated commercial bank (normally a negotiating bank) which has paid for or agreed to pay in accordance with the LC terms. 10. Requests for reimbursement from the nominated commercial bank are made in authenticated SWIFT or tested telex. The words “(i) LC terms have been fully complied with, (ii) documents were presented within the original expiry date or expiry date as extended, and (iii) discrepancies, if any, have been referred to and accepted by LC issuing bank” or the word “Condiment” must be written on the request for reimbursement. (Appendix 16 for ADB’s payment instructions to the advising or negotiating bank). 11. Amendments to the LC. The borrower requests ADB’s approval of amendments to the LC as soon as the LC amendment is obtained from the LC issuing bank (see Appendix 17). Copy of the signed amendment must be attached to the request. ADB communicates its approval to the nominated commercial bank and the borrower by the form shown in Appendix 18 or by authenticated SWIFT, tested telex, or a formal letter of approval. ADB can allow the borrower, in urgent cases, to send its application for approval to amend the LC by fax. The message is to include loan number, commitment letter number, LC number, and nature and reason for the amendment. Copy of the LC amendment should be attached to the application. The message must state that the amendment has been made by the LC issuing bank and that the application for approval of amendment of LC and a copy of the LC amendment are being airmailed to ADB. 12. Amendments Requiring ADB's Prior Approval. ADB’s prior approval is required for amendment to the LC involving changes such as: (i) extension of LC expiry date beyond the loan closing date of the loan account; (ii) change in the LC's value and currency; (iii) description or quantity of goods; (iv) country of origin; (v) beneficiary; and (vi) terms of payment. The nominated commercial bank(s) are to copy all proposed amendments to ADB for its information or approval. C. REIMBURSEMENT PROCEDURE 13. ADB pays from the loan account to the borrower’s account or, in some cases, to the project account for eligible expenditures which have been incurred and paid for by the borrower or EA out of its budget allocation or its own resources. Under this procedure, ADB’s payments are made only to the borrower or EA and not to a third party (e.g., supplier, contractor, etc.). This procedure normally requires submission of full supporting documentation. Narrative procedures are in Appendix 21 of the Handbook. a. Requirements

• signed withdrawal application (form ADB-DRP/RMP in Appendix 5 of the Handbook)

Appendix 4 3

• summary sheet (form ADB-DRP-SS in Appendix 8 of the Handbook) b. Supporting Documents (if supporting documents are written in local language,

there should be an English translation of important words/items in the documents, e.g. title of the document, name of the supplier/contractor, description of goods and services, amounts and dates) • contract or confirmed PO • copy of the invoice/bill/claim and delivery receipt • evidence of payment showing the amount paid; the date of receipt and the

payee 14. Simplified Documentation. Where full documentation is impractical, burdensome, voluminous, or costly, ADB may accept simplified documentation under SOE procedure, force account works, and simultaneous application for subloan approval and withdrawal procedure (details are provided in the Loan Disbursement Hanbook). 15. Conditions for Using the Procedure. The following must exist before the borrower may use the procedure.

• Impracticability of Full Documentation - The SOE procedure is used where it is impractical to require full documentation. This may apply to EA operating costs or expenditures related to contracts scattered over a wide area.

• Borrower’s Capability - The borrower must have sufficient administrative and accounting capabilities to prepare and maintain proper SOE records and make them readily available for examination.

• Audit Arrangements - The borrower must be capable of arranging for periodic or annual audits of SOE transactions as part of the project’s audit.

D. IMPREST FUND PROCEDURE 16. ADB makes and advance disbursement from the loan account to the imprest account to be used for ADB’s share of eligible expenditures (Section 10 of the Handbook). Narrative procedures are in Appendix 34 of the Handbook. Requirements

• signed withdrawal application (form ADB-IFP in Appendix 7 of the Handbook) • summary sheet (form ADB-IFP-EES in Appendix 29 of the Handbook) for initial

advance • summary sheet (form are in Appendix 8 of the Handbook) - for replenishment if full

documentation is required • summary sheet (form are in Appendix 22 to 25 of the Handbook) - for

replenishment if SOE is approved • imprest account reconciliation statement (form is in Appendix 30 of the Handbook)

– for replenishment • liquidation of advance (form is in Appendix 31 of the Handbook) - for replenishment

4 Appendix 15

17. Conditions for Using the Procedure. The following must exist before the borrower is allowed to use the procedure.

• Need for the Procedure - The borrower is to justify using the procedure, indicating the cash flow requirement for effective project implementation and need to make numerous payments for small expenditures.

• Borrower's Capability - The borrower must have sufficient administrative and accounting capabilities to establish adequate internal control, accounting, and auditing procedures to ensure efficient use of the Account and its operation.

• Audit Arrangements - The borrower must also have the capability to arrange for periodic and annual independent audits of the Account by auditors acceptable to ADB.

18. Comfort Letter. If the Account is maintained in a bank other than the Central Bank of the borrowing country (the bank), a comfort letter (Appendix 32 of the Handbook) is required to protect the interest of both the borrower and ADB. The letter confirms that the bank shall not assert any claim to set off, seize, or attaché amounts on deposit to the Account to satisfy amounts due to the bank by the borrower. The borrower must obtain prior ADB approval for any upward changes in the approved ceiling. Requests for changes are sent to ADB for approval by the Assistant Controller, CTLA and the sector division director concerned. 19. Ceiling of Advances. For project loans, total advances are not to exceed estimated ADB's share of eligible project expenditures to be financed through the imprest account for the next 6 months or 10 percent of the loan amount whichever is lower. 20. Liquidation/Replenishment. As eligible expenditures are incurred and paid from the Account, the borrower requests liquidation/replenishment of the Account by submitting a withdrawal application and the applicable summary sheet using the form in Appendix 8 if full documentation is required or Appendix 22 to 25 if SOE procedure is approved. The corresponding bank statement and reconciliation statement (Appendix 30) should also be submitted with the application. Withdrawal application must be prepared in the currency of the Account. 21. Recovery of Advances or Final Liquidation of the Account. Advances are to be gradually reduced within 1 year before the loan closing date or when the undisbursed balance of the loan, excluding outstanding commitments, is equal to twice the amount of advance, whichever comes first. This is to ensure that sufficient time is provided for the borrower to obtain supporting documentation for clearing the outstanding advances before the loan account is closed. The form to be used is in Appendix 31 of the Handbook. The borrower must promptly refund to ADB, in the currency of the Account, any balance of the advance not liquidated at the time of loan closing. E. INSTRUCTIONS FOR WITHDRAWALS 22. Before the first W/A is submitted to ADB, the name of the authorized representative(s) must be provided to ADB, through the Ministry of Finance, including the authenticated specimen signatures of the representative(s). 23. The W/A should be signed by the authorized representative(s), sequentially numbered and should not exceed five digits (00001, 00002, etc.)

Appendix 4 5

24. The W/A forms and summary sheets to be used vary for the different procedures. A separate W/A for each currency requested should be submitted. The Project may use any of the above disbursement procedures. The WA forms can be downloaded from LFIS website http://lfis.adb.org. 25. The W/A to be submitted to ADB must be the signed original copy to the attention of Ms. Oksana Nazmieva, Financial Control Specialist, CTL3 and copied to Director, EASS.

Appendix 5 1

Suggested Topics for Project Completion Reports to be Prepared by Borrower

I. PROJECT DESCRIPTION A. Objectives B. Components (or subprojects for sector and multiprojects) C. Implementation methods D. Description and justification of changes in components (or subproject appraisal criteria)

or implementation methods

II. PROJECT IMPLEMENTATION A. Compare original and actual implementation schedules. Indicate delays, length and causes of delays, and remedial action taken. B. Compare cost estimates made during appraisal and actual costs (foreign and local). Local currency costs incurred, appropriate exchange rates for their conversion into US dollars, and the foreign exchange costs financed by cofinanciers must be compiled correctly with reference to audited project accounts. Indicate factors that contributed to any significant overruns or underruns. C. State problems or difficulties in recruiting consultants, with reference to ADB procedures. Assess the consultant's work and the working relationship between the executing agency (EA) and the consultant. Use of a design and monitoring framework is strongly recommended. D. State problems or difficulties encountered in procuring goods and services (including civil works) with reference to ADB procedures. Assess the supplier's or contractor's performance under the contract. E. Give the extent of compliance of the borrower and EA with loan covenants, with reasons for noncompliance or delays in compliance and the remedial actions taken. F. State reasons for any delays in loan utilization. Evaluate the appropriateness of the disbursement methods used. Justify the reallocation of loan proceeds. G. State problems or difficulties with subproject appraisal. Evaluate the EA’s performance and capacity to appraise subprojects.

III. INITIAL OPERATIONS

A. Describe initial operations of the project and transitional problems encountered from project completion to initial operations. B. Describe measures taken to ensure continued smooth operation of the project relative to management, staffing, funding, and maintenance of project facilities. C. Analyze the prospects of the project benefits being realized.

IV. EVALUATION OF THE ASIAN DEVELOPMENT BANK’S PERFORMANCE

2 Appendix 15

A. Assess ADB's performance in supervising project implementation. Include comments on the adequacy of the consultants’ terms of reference and appropriateness of specifications in tender documents. Evaluate the effectiveness and timeliness of assistance extended by ADB to solve implementation problems. B. Comment on problems encountered with ADB's procedures. Note the measures taken to resolve these problems and suggest changes in procedures and requirements.

Appendix 6 1

PRO FORMA OF THE EXECUTING AGENCY’S PROJECT PROGRESS REPORT A. Introduction and Basic Data Provide the following:

• ADB loan number, project title, borrower, executing agency(ies), implementing agency(ies);

• total estimated project cost and financing plan; • status of project financing including availability of counterpart funds and

cofinancing; • dates of approval, signing, and effectiveness of ADB loan; • original and revised (if applicable) ADB loan closing date and elapsed loan period

based on original and revised (if applicable) loan closing dates; and • date of last ADB review mission.

B. Utilization of Funds (ADB Loan, Cofinancing, and Counterpart Funds) Provide the following:

• cumulative contract awards financed by the ADB loan, cofinancing, and counterpart funds (commitment of funds to date), and comparison with time-bound projections (targets);

• cumulative disbursements from the ADB loan, cofinancing, and counterpart funds (expenditure to date), and comparison with time-bound projections (targets); and

• reestimated costs to completion, need for reallocation within ADB loan categories, and whether an overall project cost overrun is likely.

C. Project Purpose Provide the following:

• status of project scope/implementation arrangements compared with those in the report and recommendation of the President (RRP), and whether major changes have occurred or will need to be made;

• an assessment of the likelihood that the immediate development objectives (project purpose) will be met in part or in full, and whether remedial measures are required based on the current project scope and implementation arrangements;

• an assessment of changes to the key assumptions and risks that affect attainment of the development objectives; and

• other project developments, including monitoring and reporting on environmental and social requirements that might adversely affect the project's viability or accomplishment of immediate objectives.

D. Implementation Progress Provide the following:

• assessment of project implementation arrangements such as establishment, staffing, and funding of the PMO;

• information relating to other aspects of the EA’s internal operations that may impact on the implementation arrangements or project progress;

2 Appendix 10

• progress or achievements in implementation since the last progress report; • assessment of the progress of each project component, such as,

- recruitment of consultants and their performance; - procurement of goods and works (from preparation of detailed designs and

bidding documents to contract awards); and - the performance of suppliers, manufacturers, and contractors for goods and

works contracts; • assessment of progress in implementing the overall project to date in comparison

with the original implementation schedule—quantifiable and monitorable target, (include simple charts such as bar or milestone to illustrate progress, a chart showing actual versus planned expenditure, S-curve graph showing the relationship between physical and financial performance, and actual progress in comparison with the original schedules and budgets (examples are shown in framework and guidelines in calculating the project progress); and

• an assessment of the validity of key assumptions and risks in achieving the quantifiable implementation targets.

E. Compliance with Covenants Provide the following:

• the borrower's compliance with policy loan covenants such as sector reform initiatives and EA reforms, and the reasons for any noncompliance or delay in compliance;

• the borrower’s and EA’s compliance with financial loan covenants including the EA’s financial management, and the provision of audited project accounts or audited agency financial statements; and

• the borrower’s and EA’s compliance with project-specific loan covenants associated with implementation, environment, and social dimensions.

F. Major Project Issues and Problems Summarize the major problems and issues affecting or likely to affect implementation progress, compliance with covenants, and achievement of immediate development objectives. Recommend actions to overcome these problems and issues (e.g., changes in scope, changes in implementation arrangements, and reallocation of loan proceeds).

Appendix 10 3

Framework and Guidelines in Calculating Project Progress A. Introduction 1. To ensure that all implementation activities are reflected in measuring implementation progress against the project implementation schedule, the term "physical completion” in the PPR has been changed to "project progress.” 2. Physical and precommencement activities are considered in calculating project implementation progress. These activities, which may include recruitment of consultants, capacity building, detailed design, preparation of bid and prequalification documents, etc., could constitute a significant proportion of overall implementation and therefore should be counted. 3. Each activity in the implementation schedule will be weighted according to its overall contribution (using time as a reference) to progress of project implementation. These weights will then be used to calculate the percentage of project progress along the entire time span of the project. This is to provide a holistic view of the pace of implementation. B. Framework for Compiling Activity List and Assigning Weights 4. As implementation activities and their corresponding weights will vary according to the type of project, sector, and country, sector divisions or RMs will be responsible for determining and including them in the project administration memorandum. The actual project implementation progress of these activities should be reported regularly through the EA’s quarterly project progress report. To ensure ADB-wide consistency, the following framework has been established; its application will be monitored through the PPR. a. Compilation of Activity List 5. Sector divisions or RMs concerned should identify major implementation activities and include them in the implementation schedule, which is attached as an appendix in the report and recommendation of the President (RRP). The implementation schedule should follow the critical path of the project’s major activities in project implementation taking account of various country, sector, and project constraints. b. Assignment of Weights 6. Corresponding weights for each activity should be assigned to ensure that “project progress" measures the percentage of achievement (nonfinancial except when the project has credit components) for all events during the entire duration of the implementation schedule. To avoid disproportionate assignment of weights, to the extent possible these should be evenly distributed along the implementation schedule. When activities are concurrent, avoid “double counting.” c. Computation of Project Progress 7. Once all activities are identified and corresponding weights assigned, project progress should be calculated using the following steps:

(i) Determine the actual percentage progress (nonfinancial) of each activity.

4 Appendix 10

(ii) Multiply these percentages by the assigned weight of each activity to arrive at the weighted progress.

(iii) Add up the resulting weighted progress of all activities to determine the project progress.

Page 3 of this Appendix provides an illustration of this calculation using a generic sample implementation schedule and this Appendix, page 4 a specific example in the education sector.

Implementation Schedule with Activities and Weights

Yr1 Yr2 Yr3 Yr4 Yr5

A

a

B

b

Cd

c

De f

E

A C

T I

V I T

I E

S

1. Sum of all weights should equal 100 percent (a+b+c+d+e+f+g = 100%)2. When calculating the percentage of “project progress,” all completed activities should be counted as accomplished, regardless of when they

were scheduled to be completed. For example, when calculating the percentage of “project progress” after year 3, if activity D is completed inyear 3 rather than in year 2, it should still be included in the computation.

3. Total weight of each activity is as follows: Activity A–a; Activity B–b; Activity C–c; Activity D–d; and Activity E–e + f +g4. Project progress of a project is the summation of the actual percentage of progress for each activity multiplied by the total weight of each

activity.

Appendix 15 5

Sample Implementation Schedule

Activities Year 1 Year 2 Year 3 Year 4(a)

AssignedWeight

(b)Actual

Progress

(a) x (b)WeightedProgress

Establish PIU 5% 100% 6%

Establish Accreditation Board, etc. 5% 0% 0%

Appoint Staff and Budget 4% 75% 3%

Adopt Architecture Plans 2% 100% 2%

Shortlist Consulting Firms 6% 100% 6%

Prepare Fellowship Program 6% 76% 4%

Prepare Civil Works Tendering 30% 0% 0%

Civil Works: Classrooms, Dorms, etc. 6% 0% 0%

Procurement of Furniture and Equipment 16% 10% 2%

Field Work of Consultants 7% 0% 0%

Provide Fellowships 6% 0% 0%

Conduct Study Tours 6% 0% 0%

Provide Curriculum Standards 6% 0% 0%Total Weight 100%

Imp. Progress 24%

(a) Assigned weight for each activity(b) Actual progress of each activity(a) x (b) weighted progress for each activityProject progress = sum of all weighted progress for each activity

Appendix 7

OUTLINE TERMS OF REFERENCE FOR CONSULTING SERVICES HEILONGJIANG PROVINCE A. Scope of Services 1. The consulting services will be procured from a consulting firm or consortium of firms as appropriate by the Heilongjiang Project Management Office (HPMO), on behalf of the Executive Agency (EA), and Project Implementation Agencies (IAs) respectively, using the ADB’s quality and cost based selection (QCBS) tendering and procurement procedures, based on ADB’s Guidelines on the Use of Consultants. 2. The assignment is an implementation consultancy funded as part of an Asian Development Bank loan to help implement Songhua River Basin Water Pollution Control and Management in Heilongjiang Province (the Project), including 4 water supply and 9 wastewater treatment subprojects. The Project will help proposed municipalities and counties or cities in Heilongjiang Province improve their water environments and achieve long-term sustainable development through investments in:

- Water supply; and, - Wastewater management.

3. The work of the Consultant will be to assist the implementation, commissioning and operational elements of the Project to be carried out in accordance with the policies and guidelines of the Asian Development Bank. The outline and more detailed terms of reference of the consultants are described in the following sections. 4. The Consultant is requested to make any comments on and suggestions for improvement to these Terms of Reference in the Technical Proposal. The financial implications, if any, of these suggestions should be clearly and definitely indicated in the financial proposal. The proposed specialists on schedule for the Project should not be replaced without permission from the HPMO. 5. Except otherwise approved by HPMO or IAs, the Consultant shall not disclose, provide, lend, or sell any of the documents, reports, drawings, data, contents of discussion, photos, video records, state of this project and discoveries to the third part or use them for other commercial purposes. 6. All the reports shall be approved by EA before the consultant submit them to ADB. The Consultant may be requested to provide Chinese translation of above-mentioned materials for convenient reference of EA and IAs. The short-listed consulting firms may consider the potential costs for such translation at its own discretion in the financial proposals. 7. The Consultant will have the role of a technical assistance provider and trainer. All proposed solutions must be fully practical and shall include developing a specific plan of action that defines in detail how the envisaged goals would be achieved, including but not limited to the identification of each component, the implementation costs and progress schedule, the assignment and partition of responsibilities, outline of training needs, technical transferring, if needed (cost estimation, specifications, etc.). Therefore, the assignment should include, from the outset, a strong consultative process and then proceed in a phased manner as proposed in the Proposal and agreed during the contract negotiation.

1

Appendix 7

B. General Tasks 8. The consulting services package is composed of two parts: a) project management; and b) institutional strengthening. Provision has been made for 25 person-months of international and 83 person-months of domestic consulting services to be funded under the loan, to support the HPMO and IAs in project implementation and capacity building over the five-year implementation period. 9. More specifically, the Consultant will:

(i) Advise and assist HPG/HPMO in developing and initiating appropriate project management practices and procedures for planning, monitoring and control of the Project.

(ii) Review and/or assist in the tender design, technical specifications, tender drawings and all other parts of the bidding documents to ensure that the documents are technically and contractually in accordance with ADB requirements and domestic polices and regulations for ICB, NCB or IS, and appropriate for international tendering, as required.

(iii) Advise as needed on the preparation of bidding documents in accordance with the recently updated ADB Procurement Guidelines (March 2006).

(iv) Drawing on international experience, assist the tendering company in preparation of the advertisement for pre-qualification of bidders, bidding documents, etc.

(v) Advise as needed on the short-listing of bidders, inviting tenders, evaluation of bids, including technical and financial aspects, award of contracts, negotiations with bidders, and preparation of procurement documentation required for ADB review and approval.

(vi) Review the preliminary design report, cost estimate and project implementation schedule to become familiar with the basic requirements of the project and to determine any anomalies prior to award of the construction contracts.

(vii) Assist EA and the IAs in contract negotiations for contracts controlled under ADB procurement procedures.

(viii) Advise the HPG/HPMO on coordinating and supervising the construction activities and ensuring that the work is carried out in accordance with the contract documents, and preparing progress reports and settling contract matters.

(ix) Advise and assist the HPG/HPMO and IAs with procurement, delivery, acceptance, storage and installation of equipment.

(x) Advise and assist the HPMO in keeping records of all correspondence between the HPMO, IAs, contractors, the Consultant, and the financial institutions.

(xi) Advise and assist the HPG/HPMO and IAs with updating the overall project disbursement schedule and physical target accomplishments.

(xii) Advise and assist the HPG/HPMO and IAs with preparing quarterly, semi-annual and annual progress reports and the completion report as well as special reports that may be required by ADB or the HPG.

(xiii) Advise and assist in project performance monitoring and evaluation during the implementation period, and propose corrective actions to deal with any problems that may occur.

(xiv) Advise and assist in the monitoring of environmental and social impacts, and financial commitments, and propose necessary mitigation measures.

(xv) Develop, and assist with the implementation of, an institutional strengthening program that will strengthen the planning, engineering, management, and financial capabilities of the HPMO and IAs by way of on-the-job and external training, and

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increase the public environment and hygiene education awareness in the Project areas.

(xvi) Hold three project coordination meetings with the Jilin PMO and their Loan implementing consultants to ensure that the Heilongjiang and Jilin subprojects are being implemented in accordance with the SRBPCMP.

C. Reporting Requirements 10. The Consultant will provide following reports:

(i) Within 1 month of the commencement of the consultancy, a brief inception report shall be prepared. This inception report will at its simplest confirm the Project is to be undertaken in accordance with the Consultant's technical proposal. If the Consultant intends to conduct the work in a different manner or to a different program than included in the technical proposal, this will be identified in the inception report. This will include an updated overall work plan, if appropriate. The copies of the inception report will be submitted in both English and Chinese (English version will be sent to ADB).

(ii) During the consultancy, the Consultant will prepare, in a format and reporting format acceptable to the Client, a quarterly progress report detailing both programmed and actual progress against the overall work plan. The reports will be submitted in both English and Chinese.

(iii) The Consultant will be responsible for preparing the following monitoring reports to ADB requirements: a) RPs, b) EMP, c) PPMS, d) financial report, e) semi-annual progress report, and f) Project assessment report after completion, and also assist the independent auditor to finish the audit report.

(iv) At the conclusion of the consultancy, the Consultant will submit a project completion report, which must identify how the Consultant has discharged the obligations under the consultancy and, for each company, the progress made, key outstanding issues, and a future development path.

D. Proposed Key Positions and Indicative Inputs 11. It is estimated that the consulting services will require nine international positions with a total of 25 person-months of inputs, and eight domestic positions with a total of 83 person-months of inputs. TORs for the proposed positions are described below. One expert can be proposed for two or more positions; in such case, a separate CV containing relevant expertise and experience for each proposed position shall be submitted. 12. When international and domestic experts are required for the same area of responsibility, the international expert will be responsible for providing inputs in key entry points to ensure the quality of services in the respective area, by developing the work plan in full partnership with the domestic expert, guiding the domestic expert to execute the work plan, and providing quality control over the final deliverable. The domestic expert will take primary responsibility for implementing the work plan. 13. The domestic experts should have a good command of English. The functional command of the Chinese language would be an advantage for international experts.

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Team Leader/Wastewater Treatment and Water Supply Specialist (International, 7.5 months) 14. The Team Leader will provide leadership to and coordinate all activities of the expert team of the Consultant. S/he must have at least 18 years of international working experience in similar projects and 10 years of management experience. At least 5 years of working experience in projects of similar nature in PRC will be preferably considered. S/he should have proven leadership skills in similar projects and have good skills and abilities to communicate with EA and IAs. Good command of English is a must, and working knowledge of the Chinese language is highly desirable. 15. For the purpose of the consulting services, the team leader will, based on the knowledge and the experience of previous projects, establish the implementation procedures and arrangements for the consulting services, take overall responsibility for the Consultant team performance, and provide overall leadership and guidance for the successful delivery of the consulting services. S/he will also assist the HPMO and IAs in communicating with ADB to ensure smooth project implementation, attend the meetings held by ADB missions for the Project. Specific tasks will include the following:

(i) Oversee and coordinate the inputs of the Consultant team to ensure that the consulting services are delivered in good quality, on schedule, and within budget;

(ii) Coordinate and supervise an overall implementation plan for the consulting services;

(iii) Develop detailed reporting formats for submission to the Asian Development Bank (ADB) and prepare the initial progress report. Train HPMO staff to prepare subsequent progress reports and advise as needed in the preparation of subsequent reports;

(iv) Liaise with the EA and ADB on progress of the Project and the consultancy; (v) Visit the project sites at regular intervals during project implementation; monitor the

progress and report to HPG/HPMO on critical activities; and, (vi) Identify issues of critical concern that may impede the implementation of the

Project, and work with the HPMO to formulate mitigation measures. Deputy Team Leader/Wastewater Treatment and Water Supply Specialist (Domestic, 32 months) 16. The Deputy Team Leader will work closely with the International Team Leader and will be responsible for ensuring that the overall work program is completed efficiently and effectively within the time concerned. S/he will have at least 15 years of working experience in similar projects or fields. S/he will report to the team leader and EA. The Deputy Team Leader will work for virtually the whole period of the Project and will assist in preparing project progress reports required by ADB, and developing annual work plans and budgets and coordinate with other experts. Specific tasks will include:

(i) Provide team leadership for the on-site delivery of the project implementation and capacity building support services;

(ii) Coordinate the Consultant inputs to ensure the successful delivery of the support services to project implementation and capacity building;

(iii) Liaison with the EA, PMO, IAs on all matters related to the support services for the implementation of the Project;

(iv) Visit the subproject sites, to inspect the construction procedures and to develop solutions to problems occurred in construction;

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(v) Work closely with the EA and IAs and assist in construction supervision and management including: construction methods; compliance with contract specifications; control over construction quality;

(vi) Any other tasks which may be assigned by EA or IAs, and EA may adjust the assignment according to the actual requirement.

Institutional Strengthening Specialist (International, 1 month)

(i) In consultation with the HPMO and municipality and county governments and relevant responsible agencies, review the existing organizational structures, and methods used for planning and for operation of water supply, wastewater management;

(ii) Identify the knowledge and skill gaps of the PMO and IAs for successfully implementing the Project;

(iii) Review IAs’ overall training programs and assist IAs in preparation of a training plan according to IAs’ capacity building needs;

(iv) Develop appropriate on-the-job training programs for the identified training requirements;

(v) Develop an implementation schedule for overseas trainings for the identified training areas;

(vi) Organize relevant IA staff for oversea trainings including program, itinerary, local transportation, board and room, etc., taking necessary measure to insure security of the client staff, and assisting to handle the entry visa while the client staff conducts investigation, research and training abroad.

Environmental Safeguard Specialist (International, 1.5 months; Domestic, 7 months) 17. The Environmental Safeguard Specialists shall have at least 10 years or working experience, including at least 5 years in similar assignments. They shall be jointly responsible for supervising the implementation of the EMP and for preparing the environmental monitoring reports. They shall understand very well both ADB requirements and Chinese national laws and regulations on project-related environmental issues. Specific tasks include:

(i) Review the Project environmental management plan (EMP) and develop detailed plans and procedures to implement it. Revise the EMPs as needed to account for changes in engineering design or to overcome any apparent deficiencies. Review the EMPs and implementation plans and procedures with the PMO and the IAs for all subprojects and ensure that these are fully understood by all. This task must be completed within the first 6 months of the contract;

(ii) Review environmental monitoring reports prepared by the IAs and construction contractors and confirm that reporting requirements and other EMP procedures are being followed. This review will be conducted on a semi-annual basis;

(iii) Conduct semi-annual inspections at Project construction sites to monitor the implementation of mitigation measures and the residual impacts of construction activity. This monitoring will serve to assess and confirm the findings of the routine ongoing environmental monitoring which is the responsibility of the PMO and the IAs. The cost of routine ongoing environmental monitoring is not included in the consulting services contract;

(iv) Confirm that agreed EMP mitigation measures are implemented. Determine whether the measures effectively minimize adverse environmental effects. Advise

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on modifications to mitigation measures where residual adverse impacts violate standards or are otherwise deemed to be unacceptable;

(v) Prepare inputs on environmental impacts to the first PPMS report. Train PMO staff to prepare subsequent inputs for the subsequent PPMS report;

(vi) Implement a public awareness program dealing with environmental protection. The program plans should identify a) the target areas and stakeholders, b) the need for and scope of the program, c) a program implementation schedule, and d) a program resource and funding strategy. Public information and promotion materials should be visual and easy to understand. The public awareness program should include a public complaints procedure. Planning for the public awareness program must be completed within the first 6 months of the contract and the program plan should be documented in a mission report;

(vii) Monitor implementation of the public awareness program on a semi-annual basis and advise the HPMO, as needed, on its implementation. The cost of program implementation is not included in the consulting services contract;

(viii) Review the operation and maintenance program for Project facilities to ensure environmental sustainability of the Project;

(ix) Assist with the development and implementation of environmental impact components of the PPMS. Develop implementation plans and procedures for water quality monitoring for the beneficiary rivers and groundwater aquifers in subproject site in consultation with the Heilongjiang Environmental Protection Bureaus; and,

(x) Develop formats for semi-annual EMP reports submitted to ADB and prepare the initial EMP report. Train HPMO staff to prepare subsequent EMP reports for ADB and advise, as needed, in the preparation of subsequent reports.

Social Safeguard/PPMS Specialists (International, 1.5 months; Domestic, 5 months) 18. The social safeguard/PPMS specialists shall have at least 10 years or working experience, including at least 5 years in similar assignments. They shall be jointly responsible for monitoring the progress of the implementation of the RPs, and for preparing the resettlement monitoring reports. They shall understand very well both ADB requirements and Chinese national regulations on the resettlement issue. They should also have substantial expertise and experience in the development and use of PPMS.

(i) Develop a monitoring protocol for the poverty and social dimensions of the Project based on key indicators such as: (i) proportion of poor and vulnerable persons finding work on project construction sites, (ii) sex disaggregated data on the construction workforce (numbers of workers, wages, etc.), (iii) implementation of health promotion programs relating to hygiene and water related disease, and (iv) work place health and safety at construction sites. This task must be completed within the first 6 months of the contract;

(ii) Conduct quarterly inspections to monitor the implementation of the poverty and social aspects of the Project. Confirm that agreed measures are implemented. Determine whether the measures effectively minimize adverse social effects. Advise on modifications to measures where residual adverse impacts violate standards or are otherwise deemed to be unacceptable;

(iii) Prepare mission reports to document the findings of social and poverty impact investigations;

(iv) Develop formats for semi-annual social and poverty impact monitoring reports submitted to ADB. Train PMO staff to prepare subsequent social and poverty

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monitoring reports to ADB and advise, as needed, in the preparation of subsequent reports;

(v) Assist with the development of health and social impact components of the PPMS. Health indicators should be indicative of the incidence of waterborne disease such as diarrhoea, dysentery, cholera, hepatitis A, typhoid, etc. Possible indicators include: (i) morbidity and mortality statistics, (ii) total estimated days of sickness and days of lost work time, (iii) numbers of visits to a health care service providers or agencies, and (iv) medical costs. Implementation plans and procedures for health monitoring will be developed in consultation with the local Health Bureaus and the local Centres for Disease Control. This task must be completed within the first 6 months of the contract;

(vi) Propose a public health and hygiene education and awareness program involving measures to sustain health benefits from municipal water and sanitation programs;

(vii) Review and monitor the progress in resettlement to ensure that implementation is in accordance with the Resettlement Plan (RP);

(viii) Assist the EA and IAs in conducting independent monitoring of the progress and effectiveness of RP implementation;

(ix) Evaluate the income restoration and post-resettlement conditions of the APs, AHs and host communities;

(x) Assess if the land acquisition and resettlement is implemented in accordance with the RP and if the goals and principles of the RP are achieved;

(xi) Recommend any measures to improve the implementation of the RP; (xii) Prepare the monitoring report which should include: (a) conclusion of investigation

and evaluation; (b) major existing and potential problems; (c) recommended mitigation or prevention measures which will be incorporated into a revised plan if necessary; and (d) assessment of previous follow-up actions;

(xiii) In consultation with the HPMO, develop a detailed framework for the Project PPMS, including overall system design; refinement of indicators, targets and goals; and design of report formats. Selected indicators should provide a practical and meaningful measure of key Project impacts and achievements. Specified targets and goals should be measurable and achievable. This task must be completed within the first 6 months of the contract;

(xiv) Implement the PPMS and produce the first PPMS report in consultation with the HPMO; and,

(xv) Train HPMO staff to use and update the PPMS and advise as needed in the preparation of periodic PPMS reports following the first report.

Financial Management Specialists (International, 3.5 months; Domestic, 11 months) 19. The financial management specialists shall have at least 10 years experience in the PRC in similar projects and assignments. They will work closely with the financial experts of EA and IAs. They will be jointly responsible for compiling and preparing the Project financial statements as required by ADB. They will also prepare the first annual work plans and budgets and monitor project expenditure. They will develop or introduce financial management software for this Project. They should be responsible for tutoring /training/assisting the financial staff from the EA and IAs, to ensure all those staff can manage/operate the loan disbursement according to the ADB procedure. Specific tasks are as follows:

(i) Review arrangements made by the HPMO and IAs for Project budgeting, accounting, internal control, financial reporting and auditing. Assure that these arrangements are adequate for purposes of the financial management of ADB loan

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funds. Recommend improvements as required to these systems. This task must be completed within the first 6 months of the contract;

(ii) Review the IA operation, maintenance and asset management programs and recommend improvements to these to help assure effective and sustainable service delivery;

(iii) Plan and implement training programs for HPMO and IAs’ accounting and finance staff dealing with: a) ADB procedures for disbursement, procurement, reporting and related matters; b) internal financial control including, among others, separation of functions, conflict of interest and other anti-corruption safeguards; c) management of foreign exchange funds; and d) management information system (MIS);

(iv) Training on ADB procedures will be provided by ADB. Training programs should be provided by suitably qualified specialists selected in consultation with the HPMO and ADB. Reimbursement of these trainers is not part of the consulting services contract;

(v) Review tariff levels and tariff adjustments and assess whether progress towards achievement of full cost recovery for water supply and wastewater treatment is consistent with agreed loan covenants; and,

(vi) Evaluate the year by year compliance with ADB loan covenants dealing with counterpart funds, tariff reform, financial management, and the financial performance of revenue generating IAs.

Procurement and Contracts Management Specialists (International, 2 months; Domestic, 12 months) 20. The Procurement and Contract Management Specialists shall have at least 10 years of working experience and 5 years of working experience in similar projects in PRC. They should have sound and sufficient experience in contract negotiation and controlling procurement processes. They will help the EA and IAs to prepare the bidding documents, draft contracts acceptable to the ADB, and provide practical procedures. Specific tasks are as follows:

(i) Review bidding documents, introduce document control and contract management systems;

(ii) Advise on the implementation of international competitive bidding (ICB) national competitive bidding (NCB) and international shopping (IS) contract procedures in accordance with the Bank's Guidelines on Procurement; Advise on the development of reporting procedures to the Bank, including those covering construction progress;

(iii) Advise on management control of construction supervision and construction quality; adherence to contract work programs and recovery of slippage; site health and safety procedures; record keeping systems to protect client interests in event of claims, etc.; and claims assessment and determination;

(iv) Develop monthly construction progress report; and (v) Any other tasks which might be assigned by EA or IAs.

Private Sector Participation Specialist (International, 3.0 months; National, 4 months) 21. The Private Sector Participation Specialist will have at least Master’s degree in the field of economics or business administration, social sciences, political sciences or a related discipline. S/he should have at 10 years of experience in advising governments on private sector development and participation and public-private participation in urban infrastructure

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development. S/he should have an in-depth understanding of state-of-the-art issues of private sector development and participation and public-private partnership in urban environmental infrastructure development, preferably in water supply, wastewater management and solid waste management. S/he will perform the following tasks:

(i) Review and summarize international experiences, including successes and

lessons learned, and international best practices in private sector participation and public-private sector partnerships in urban environmental infrastructure development, particularly water supply, wastewater management and solid waste management, including case studies of success and failure;

(ii) Review and summarize PRC national experiences, including successes and lessons learned, and national best practices in private sector participation and public-private sector partnerships in urban environmental infrastructure development, particularly water supply, wastewater management and solid waste management, with particular attention to those experiences and best practices in and/or relevant to northeastern PRC;

(iii) Based on the above analyses and consultations, draft an options paper on private sector participation and public-private sector partnerships under the Project;

(iv) The above activities should be conducted with a participatory approach, including consultations with the EA, IAs, government agencies and the private sector active in the northeastern PRC on issues of concerns, barriers, opportunities and challenges, views and expectations;

(v) Assist the EA in organizing a kickoff workshop for issues identification, and a concluding workshop to disseminate results of the study. The workshops should draw not only participation in northeastern PRC but also national agencies and expert institutions.

Public Environment and Hygiene Education Awareness Specialist (International, 3 months; Domestic, 3.5 months) 22. As Public Environment and Hygiene Education Awareness Specialist, S/he should have solid background in environment and community education, and be familiar with international funding projects. She must have at least 15 years of working experience. S/he should have good command of English and have good skill and ability to communicate with the EA and IAs. Specific tasks include:

(i) Assist the EA and IAs to design a public environment and hygiene education awareness program involving measures to sustain environmental and health benefits from municipal water and sanitation programs;

(ii) Consult with local environmental bureaus, health bureaus and other stakeholders, and community representatives for environmental protection and disease prevention and control;

(iii) Assist the EA and IAs to implement public awareness program dealing with environmental protection and pollution control at community level;

(iv) Assist the EA and IAs to implement hygiene education promotion program relating to hygiene and wate-related diseases;

(v) Document and monitor the intensity of activities under the current public awareness programs;

(vi) Advise and assist the EA and IAs to disseminate information and materials familiarize people living in the SRB area with issues related to water supply and sanitation; and,

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(vii) Monitor and evaluate the implementation of public environment and hygiene education program.

Water Supply Engineer (Domestic, 3.0 months) 23. As Water Supply Engineer, S/he should have solid technical background in water supply industry, and be familiar with international funding projects. S/he must have at least 10 years of working experience. S/he should have good command of English and have good skill and ability to communicate with the EA and IAs. Specific tasks include:

(i) Review the water supply-related feasibility study, design report, cost estimate, and project implementation schedule to become familiar with the basic requirements of the project;

(ii) Visit the project site at regular intervals during project implementation; monitor the progress and report to HPG/HPMO on critical activities, providing details of the progress, and recommendations regarding the water supply project. For the water supply subprojects with high leakage loss, propose mitigation measures and strategies for next 3-5 years;

(iii) Supervise the construction, equipment installation and the commissioning of the water supply works;

(iv) Review the contractor’s drawings and calculations; (v) Prepare, monitor and report on the progress, constraints of construction; (vi) Provide HPG/PMO with necessary interpretations of technical and commercial

issues that may arise from the contracts, in order to be aware of pending critical issues;

(vii) Review equipment suppliers/manufacturers’ drawings and calculations; and (viii) Review the maintenance and operation manuals prepared by the manufacturers

and ensure they are adequate for the intended purpose. Wastewater Treatment Engineer (International, 3 months; Domestic, 5 months) 24. As the Wastewater Treatment Engineer, S/he should have solid technical background in wastewater treatment industry, and be familiar with international funding projects. S/he must have at least 10 years of working experience. S/he should have good command of English and have good skill and ability to communicate with EA and IAs. S/he will perform the following tasks:

(i) Review the wastewater and effluent reuse related feasibility studies, design reports, cost estimates, and project implementation schedules to become familiar with the basic requirements of the projects;

(ii) Visit the project site at regular intervals during project implementation; monitor the progress and report to HPG/PMO on critical activities, providing details of the progress, and recommendations regarding the wastewater projects;

(iii) Supervise the construction, equipment installation and the commissioning of the wastewater treatment and effluent reuse works;

(iv) Review the contractor’s drawings and calculations; (v) Prepare, monitor and report on the progress, constraints of construction; (vi) Provide HPG/PMO with necessary interpretations of technical and commercial


(vii) Review equipment suppliers/manufacturers’ drawings and calculations; and

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(viii) Review the maintenance and operation manuals prepared by the manufacturers and ensure they are adequate for the intended purpose.

E. Indicative Inputs 25. It is estimated that the consulting services will require 9 international positions with a total of 25 person-months of inputs, and 8 domestic positions with a total of 83 person-months of inputs. The detailed estimates of consultancy resource requirements and the suggested schedule are presented in Table 1. 26. The inputs and schedule are indicative only. Responsibilities can be reassigned and positions can be combined to optimize the team profile. The consultancy services contract will be funded from the loan proceeds. The consulting services contract and project management are tentatively valued at $1.51 million (see Table 2).

Table 1: Indicative Positions and Schedule of Inputs Job Title and Area of Expertise Person - Months I. International Specialists Team Leader/Wastewater Treatment and Water Supply Specialist 7.5Institutional Specialist 1.0Environmental Safeguard Specialist 1.5Social Safeguard/PPMS Specialists 1.5Wastewater Treatment and Management Specialist 3.0Private Sector Participation Specialist 3.0Public Environment and Hygiene Education Awareness Specialist 2.0Financial Management Specialist 3.5Procurement and Contracts Management Specialists 2.0International subtotal 25.0II. National Specialists Deputy Team Leader/Wastewater Treatment and Water Supply Specialist 32.0Environmental Safeguard Specialist 7.0Social Safeguard/PPMS Specialists 5.0Private Sector Participation Specialist 4.0Public Environment and Hygiene Education Awareness Specialist 4.0Financial Management Specialists 11.0Procurement and Contracts Management Specialists 12.0Water Supply Specialist 3.0Wastewater Treatment Specialist 5.0National Subtotal 83.0TOTAL 108.0

Table 2: Indicative Budget Item Budget (USD) International Consultants 450,000National Consultants 413,200Office Expenses 250,000Training, workshops, seminars, etc. 300,000Contingency 100,000Total 1,513,200

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F. Facilities to Be Provided by the EA 27. To ensure the satisfactory provision of the consulting services, the EA will provide the Consultant with the following:

(i) Adequate office space (with basic furniture, an international telephone line and access (with basic furniture, an international telephone line and access to internet) for the Consultant’s exclusive use will be provided by the EA. The Consultant will be responsible for the charges for use of the telephone, fax and internet and other office expenditures, such as postage, etc. The Consultant can use the office equipment owned by the PMO, such as fax machines, printers and scanners, but the Consultant should pay for the consumables, such as papers and toners;

(ii) Local transport for the working of the Consultant but the charges will be borne by the Consultant;

(iii) Qualified bi-lingual counterpart personnel available to work full time, if required, with experts the Consultant provides. These counterparts to be based in the relevant PMO and IAs;

(iv) Assistance with visas, and residential and other permits required by the consulting team to enter PRC; and

(v) Access to all data, including documents, reports, accounts, drawings and maps, and permissions to enter works and offices, as appropriate and necessary to undertake the work.

JILIN PROVINCE A. Scope of Services 28. The consulting services will be procured from a consulting firm or consortium of firms as appropriate by the JPMO, on behalf of the EA, and IAs respectively, using the ADB’s quality and cost based selection (QCBS) tendering and procurement procedures, based on ADB’s Guidelines on the Use of Consultants. 29. The assignment is an implementation consultancy funded as part of an Asian Development Bank loan to help implement urban environmental improvement projects in 15 counties and cities of Jilin Province. The Project will help to improve the urban environments and achieve long-term sustainable development through investments in:

- Wastewater management; - Solid waste management; and, - Integrated river improvement.

30. The work of the Consultant will be to assist the implementation, commissioning and operational elements of the Project to be carried out in accordance with the policies and guidelines of the Asian Development Bank. The outline and more detailed terms of reference of the consultants are described in the following sections. 31. The Consultant is requested to make any comments on and suggestions for improvement to these Terms of Reference in the Technical Proposal. The financial implications, if any, of these suggestions should be clearly and definitely indicated in the financial proposal. The proposed specialists on schedule for the Project should not be replaced without permission from the JPMO.

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32. Except otherwise approved by JPMO or IAs, the Consultant shall not disclose, provide, lend, or sell any of the documents, reports, drawings, data, contents of discussion, photos, video records, state of this project and discoveries to the third part or use them for other commercial purposes. 33. All the reports shall be approved by EA before the consultant submit them to ADB. The Consultant may be requested to provide Chinese translation of above-mentioned materials for convenient reference of EA and IAs. The short-listed consulting firms may consider the potential costs for such translation at its own discretion in the financial proposals. 34. The Consultant will have the role of a technical assistance provider and trainer. All proposed solutions must be fully practical and shall include developing a specific plan of action that defines in detail how the envisaged goals would be achieved, including but not limited to the identification of each component, the implementation costs and progress schedule, the assignment and partition of responsibilities, outline of training needs, technical transferring, if needed (cost estimation, specifications, etc.). Therefore, the assignment should include, from the outset, a strong consultative process and then proceed in a phased manner as proposed in the Proposal and agreed during the contract negotiation. B. General Tasks 35. The consulting services package is composed of two parts: a) project management; and b) institutional strengthening. Provision has been made for 13 person-months of international and 71 person-months of domestic consulting services to be funded under the loan, to support the PMO and IAs in project implementation and capacity building over the five-year implementation period. 36. More specifically, the Consultant will:

(i) Advise and assist JPG/JPMO in developing and initiating appropriate project management practices and procedures for planning, monitoring and control of the Project;

(ii) Review and/or assist in the tender design, technical specifications, tender drawings and all other parts of the bidding documents to ensure that the documents are technically and contractually in accordance with ADB requirements for ICB, LCB or IS, and appropriate for international tendering, as required;

(iii) Advise as needed on the preparation of bidding documents in accordance with the recently updated ADB Procurement Guidelines (March 2006);

(iv) Drawing on international experience, assist the tendering company in preparation of the advertisement for pre-qualification of bidders, bidding documents, etc.;

(v) Advise as needed on the short-listing of bidders, inviting tenders, evaluation of bids, including technical and financial aspects, award of contracts, negotiations with bidders, and preparation of procurement documentation required for ADB review and approval;

(vi) Review the preliminary design report, cost estimate and project implementation schedule to become familiar with the basic requirements of the project and to determine any anomalies prior to award of the construction contracts;

(vii) Assist JPG/JPMO and IAs in contract negotiations for contracts controlled under ADB procurement procedures;

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(viii) Advise the JPG/JPMO and IAs on coordinating and supervising the construction activities and ensuring that the work is carried out in accordance with the contract documents, and preparing progress reports and settling contract matters;

(ix) Advise and assist the JPG/JPMO and IAs with procurement, delivery, acceptance, storage and installation of equipment;

(x) Advise and assist the JPMO in keeping records of all correspondence between the JPMO, IAs, contractors, the Consultant, and the financial institutions;

(xi) Advise and assist the JPG/JPMO, and IAs with updating the overall project disbursement schedule and physical target accomplishments;

(xii) Advise and assist the JPG/JPMO and IAs with preparing quarterly, semi-annual and annual progress reports and the completion report as well as special reports that may be required by ADB or the JPG;

(xiii) Advise and assist with project performance monitoring and evaluation during the implementation period, and propose corrective actions to deal with any problems that may occur;

(xiv) Advise and assist in the monitoring of environmental and social impacts, and financial commitments, and propose necessary mitigation measures; and

(xv) Develop, and assist with the implementation of, an institutional strengthening program that will strengthen the planning, engineering, management, and financial capabilities of the JPMO and IAs by way of on-the-job and external training.

(xvi) Hold three project coordination meetings with the Heilongjiang PMO and their Loan implementing consultants to ensure that the Heilongjiang and Jilin subprojects are being implemented in accordance with the SRBPCMP.

C. Reporting Requirements 37. The Consultant will provide following reports:

(i) Within 1 month of the commencement of the consultancy, a brief inception report shall be prepared. This inception report will at its simplest confirm the project is to be undertaken in accordance with the Consultant's technical proposal. If the Consultant intends to conduct the work in a different manner or to a different program than included in the technical proposal this will be identified in the inception report. This will include an updated overall work plan, if appropriate. The copies of the inception report will be submitted in both English and Chinese (English version will be sent to ADB);

(ii) During the consultancy the Consultant will prepare, in a format and reporting format acceptable to the Client, a quarterly progress report detailing both programmed and actual progress against the overall work plan. The reports will be submitted in both English and Chinese;

(iii) The Consultant will be responsible for preparing the following monitoring reports to ADB requirements: a) RPs, b) EMP, c) PPMS, d) financial report, e) semi-annual progress report, and f) project assessment report after completion, and also assist the independent auditor to finish the audit report; and

(iv) At the conclusion of the consultancy the Consultant will submit a project completion report, which must identify how the Consultant has discharged the obligations under the consultancy and, for each company, the progress made, key outstanding issues, and a future development path.

D. Proposed Key Positions and Indicative Inputs

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38. It is estimated that the consulting services will require 4 international positions with a total of 13 person-months of inputs, and 8 domestic positions with a total of 71 person-months of inputs for the project implementation. TORs for the proposed positions are described below. One expert can be proposed for two or more positions; in such case, a separate CV containing relevant expertise and experience for each proposed position shall be submitted. 39. When international and domestic experts are required for the same area of responsibility, the international expert will be responsible for providing inputs in key entry points to ensure the quality of services in the respective area, by developing the work plan in full partnership with the domestic expert, guiding the domestic expert to execute the work plan, and providing quality control over the final deliverable. The domestic expert will take primary responsibility for implementing the work plan. 40. The domestic experts should have a good command of English. The functional command of the Chinese language would be an advantage for international experts. Team Leader / Civil Engineer (International, 11 months) 41. The Team Leader / Civil Engineer will provide leadership to and coordinate all activities of the expert team of the Consultant. S/he must have at least 18 years of international working experience in similar projects and 10 years of management experience. At least 5 years of working experience in projects of similar nature in PRC will be preferably considered. She should have proven leadership skills in similar projects and have good skills and abilities to communicate with EA and IAs. Good command of English is a must, and working knowledge of the Chinese language is highly desirable. 42. For the purpose of the consulting services, the team leader will, based on the knowledge and the experience of previous projects, establish the implementation procedures and arrangements for the consulting services, take overall responsibility for the Consultant team performance, and provide overall leadership and guidance for the successful delivery of the consulting services. She will also assist the JPMO and IAs in communicating with ADB to ensure smooth project implementation, attend the meetings held by ADB missions for the Project. Specific tasks will include the following:

(i) Oversee and coordinate the inputs of the Consultant team to ensure that the consulting services are delivered in good quality, on schedule, and within budget;

(ii) Coordinate and supervise an overall implementation plan for the consulting services;

(iii) Develop detailed reporting formats for submission to ADB and prepare the initial progress report. Train JPMO staff to prepare subsequent progress reports and advise as needed in the preparation of subsequent reports;

(iv) Liaise with the EA and ADB on progress of the Project and the consultancy; (v) Visit the project sites at regular intervals during project implementation; monitor the

progress and report to JPG/JPMO on critical activities; and (vi) Identify issues of critical concern that may impede the implementation of the

Project, and work with the JPMO to formulate mitigation measures. Deputy Team Leader/Construction Supervision Specialist (Domestic, 30 months) 43. The Deputy Team Leader will work closely with the International Team Leader and will be responsible for ensuring that the overall work program is completed efficiently and effectively

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within the time concerned. She will have at least 15 years of working experience in similar projects or fields. She will report to the team leader and EA. The Deputy Team Leader will work for virtually the whole period of the Project and will assist in preparing project progress reports required by ADB, and developing annual work plans and budgets and coordinate with other experts. Specific tasks will include:

(i) Provide team leadership for the on-site delivery of the project implementation and capacity building support services;

(ii) Coordinate the Consultant inputs to ensure the successful delivery of the support services to project implementation and capacity building;

(iii) Liaison with the EA, PMO, IAs on all matters related to the support services for the implementation of the Project;

(iv) Visit the subproject sites, to inspect the construction procedures and to develop solutions to problems occurred in construction;

(v) Work closely with the EA and IAs and assist in construction supervision and management including: construction methods; compliance with contract specifications; control over construction quality; and

(vi) Any other tasks which may be assigned by EA or IAs, and EA may adjust the assignment according to the actual requirement.

Environmental Safeguard Specialist (International, 2.5 months; Domestic, 8 months) 44. The Environmental Safeguard Specialists shall have at least 10 years or working experience, including at least 5 years in similar assignments. They shall be jointly responsible for supervising the implementation of the EMP and for preparing the environmental monitoring reports. They shall understand very well both ADB requirements and Chinese national laws and regulations on project-related environmental issues. Specific tasks include:

(i) Review the Project EMPs and develop detailed plans and procedures to implement it. Revise the EMPs as needed to account for changes in engineering design or to overcome any apparent deficiencies. Review the EMPs and implementation plans and procedures with the PMOs and the IAs for all subprojects and ensure that these are fully understood by all. This task must be completed within the first 6 months of the contract;

(ii) Review environmental monitoring reports prepared by the IAs and construction contractors and confirm that reporting requirements and other EMP procedures are being followed. This review will be conducted on a semi-annual basis;

(iii) Conduct semi-annual inspections at Project construction sites to monitor the implementation of mitigation measures and the residual impacts of construction activity. This monitoring will serve to assess and confirm the findings of the routine ongoing environmental monitoring which is the responsibility of the PMO and the IAs. The cost of routine ongoing environmental monitoring is not included in the consulting services contract;

(iv) Confirm that agreed EMP mitigation measures are implemented. Determine whether the measures effectively minimize adverse environmental effects. Advise on modifications to mitigation measures where residual adverse impacts violate standards or are otherwise deemed to be unacceptable;

(v) Prepare inputs on environmental impacts to the first PPMS report. Train PMO staff to prepare subsequent inputs for the subsequent PPMS report;

(vi) Implement a public awareness program dealing with environmental protection. The program plans should identify: a) the target areas and stakeholders, b) the

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need for and scope of the program, c) a program implementation schedule, and d) a program resource and funding strategy. Public information and promotion materials should be visual and easy to understand. The public awareness program should include a public complaints procedure. Planning for the public awareness program must be completed within the first 6 months of the contract and the program plan should be documented in a mission report;

(vii) Monitor implementation of the public awareness program on a semi-annual basis and advise the JPMO, as needed, on its implementation. The cost of program implementation is not included in the consulting services contract;

(viii) Review the operation and maintenance program for Project facilities to ensure environmental sustainability of the Project;

(ix) Assist with the development and implementation of environmental impact components of the PPMS. Develop implementation plans and procedures for and water quality monitoring for SRB; and

(x) Develop formats for semi-annual EMP reports submitted to the ADB and prepare the initial EMP report. Train JPMO/HPMO staff to prepare subsequent EMP reports for ADB and advices, as needed, in the preparation of subsequent reports.

Social Safeguard/PPMS Specialists (International, 2.5 months; Domestic, 10 months) 45. The Social Safeguard/PPMS Specialists shall have at least 10 years or working experience, including at least 5 years in similar assignments. They shall be jointly responsible for monitor the progress of the implementation of the RPs, and for preparing the resettlement monitoring reports. They shall understand very well both ADB requirements and Chinese national regulations on the resettlement issue. They should also have substantial expertise and experience in the development and use of PPMS.

(i) Develop a monitoring protocol for the poverty and social dimensions of the Project based on key indicators such as (i) proportion of poor and vulnerable persons finding work on project construction sites, (ii) sex disaggregated data on the construction workforce (numbers of workers, wages, etc.), (iii) implementation of health promotion programs relating to hygiene and water related disease, and (iv) work place health and safety at construction sites. This task must be completed within the first 6 months of the contract;

(ii) Conduct quarterly inspections to monitor the implementation of the poverty and social aspects of the Project. Confirm that agreed measures are implemented. Determine whether the measures effectively minimize adverse social effects. Advise on modifications to measures where residual adverse impacts violate standards or are otherwise deemed to be unacceptable;

(iii) Prepare mission reports to document the findings of social and poverty impact investigations;

(iv) Develop formats for semi-annual social and poverty impact monitoring reports submitted to the ADB. Train JPMO staff to prepare subsequent social and poverty monitoring reports for the ADB and advice, as needed, in the preparation of subsequent reports;

(v) Assist with the development of health and social impact components of the PPMS. Health indicators should be indicative of the incidence of waterborne disease such as diarrhoea, dysentery, cholera, hepatitis A, typhoid, etc. Possible indicators include (i) morbidity and mortality statistics, (ii) total estimated days of sickness and days of lost work time, (iii) numbers of visits to a health care service providers or agencies; and (iv) medical costs. Implementation plans and procedures for health

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monitoring will be developed in SRB. This task must be completed within the first 6 months of the contract;

(vi) Propose a public health and hygiene education and awareness program involving measures to sustain health benefits from municipal water and sanitation programs;

(vii) Review and monitor the progress in resettlement to ensure that implementation is in accordance with the Resettlement Plan (RP);

(viii) Assist the EA and IAs in conducting independent monitoring of the progress and effectiveness of RP implementation;

(ix) Evaluate the income restoration and post-resettlement conditions of the APs, AHs and host communities;

(x) Assess if the land acquisition and resettlement is implemented in accordance with the RP and if the goals and principles of the RP are achieved;

(xi) Recommend any measures to improve the implementation of the RP; (xii) Prepare the monitoring report which should include: (a) conclusion of investigation

and evaluation; (b) major existing and potential problems; (c) recommended mitigation or prevention measures which will be incorporated into a revised plan if necessary; and (d) assessment of previous follow-up actions;

(xiii) In consultation with the JPMO, develop a detailed framework for the Project PPMS, including overall system design; refinement of indicators, targets and goals; and design of report formats. Selected indicators should provide a practical and meaningful measure of key Project impacts and achievements. Specified targets and goals should be measurable and achievable. This task must be completed within the first 6 months of the contract;

(xiv) Implement the PPMS and produce the first PPMS report in consultation with the JPMO; and

(xv) Train JPMO staff to use and update the PPMS and advise as needed in the preparation of periodic PPMS reports following the first report.

Financial Management Specialists (Domestic, 7 months) 46. The Financial Management Specialist shall have at least 10 years experience in the PRC in similar projects and assignments. They will work closely with the financial experts of EA and IAs. They will be jointly responsible for compiling and preparing the Project financial statements as required by ADB. They will also prepare the first annual work plans and budgets and monitor project expenditure. They will develop or introduce financial management software for this Project. They should be responsible for tutoring /training/assisting the financial staff from the EA and IAs, to ensure all those staff can manage/operate the loan disbursement according to the ADB procedure. Specific tasks are as follows

(i) Review arrangements made by the JPMO and IAs for Project budgeting, accounting, internal control, financial reporting and auditing. Assure that these arrangements are adequate for purposes of the financial management of ADB loan funds. Recommend improvements as required to these systems. This task must be completed within the first 6 months of the contract;

(ii) Review the PIA operation, maintenance and asset management programs and recommend improvements to these to help assure effective and sustainable service delivery;

(iii) Plan and implement training programs for JPMO and IAs’ accounting and finance staff dealing with: a) ADB procedures for disbursement, procurement, reporting and related matters; b) internal financial control including, among others, separation of functions, conflict of interest and other anti-corruption safeguards; c)

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management of foreign exchange funds; and d) management information system (MIS);

(iv) Training on ADB procedures will be provided by ADB. Training programs should be provided by suitably qualified specialists selected in consultation with the JPMO and ADB. Reimbursement of these trainers is not part of the consulting services contract;

(v) Review tariff levels and tariff adjustments and assess whether progress towards achievement of full cost recovery for water, wastewater, and solid waste services is consistent with agreed loan covenants; and

(vi) Evaluate the year by year compliance with ADB loan covenants dealing with counterpart funds, tariff reform, financial management, and the financial performance of revenue generating IAs.

Procurement and Contracts Management Specialists (International, 4 months; Domestic, 9 months) 47. The Procurement and Contract Management Specialists shall have at least 10 years of working experience and 5 years of working experience in similar projects in PRC. They should have sound and sufficient experience in contract negotiation and controlling procurement processes. They will help the EA and Ias to prepare the bidding documents, draft contracts acceptable to ADB, and provide practical procedures. Specific tasks are as follows:

(i) Review bidding documents, introduce document control and contract management systems;

(ii) Advise on the implementation of international competitive bidding (ICB), national competitive bidding (NCB) and international shopping contract procedures in accordance with the Bank's Guidelines on Procurement; Advise on the development of reporting procedures to the Bank, including those covering construction progress;

(iii) Advise on management control of construction supervision and construction quality; adherence to contract work programs and recovery of slippage; site health and safety procedures; record keeping systems to protect client interests in event of claims, etc.; and claims assessment and determination;

(iv) Develop monthly construction progress report; and (v) Any other tasks which might be assigned by EA or IAs.

Wastewater Treatment Engineer (Domestic, 4 months) 48. As the Wastewater Treatment Engineer, S/he should have solid technical background in wastewater treatment industry, and be familiar with international funding projects. S/he must have at least 10 years of working experience. S/he should have good command of English and have good skill and ability to communicate with EA and IAs. S/he will perform the following tasks:

(i) Review the wastewater-related feasibility studies, design reports, cost estimates, and project implementation schedules to become familiar with the basic requirements of the projects;

(ii) Visit the project site at regular intervals during project implementation; monitor the progress and report to JPG/JPMO on critical activities, providing details of the progress, and recommendations regarding the wastewater projects;

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(iii) Supervise the construction, equipment installation and commissioning of the wastewater treatment works;

(iv) Review the contractor’s drawings and calculations; (v) Prepare, monitor and report on the progress, constraints of construction; (vi) Provide JPG/JPMO with necessary interpretations of technical and commercial



and ensure they are adequate for the intended purpose. Solid Wastes Management Engineer (Domestic, 2 months) 49. As the Solid Waste Engineer, S/he should have solid technical background in solid waste management industry, and be familiar with international funding projects. S/he must have at least 10 years of working experience. S/he should have good command of English and have good skill and ability to communicate with EA and IAs. S/he will perform the following tasks:

(i) Review the solid waste-related feasibility study, design report, cost estimate, and project implementation schedule to become familiar with the basic requirements of the Project;

(ii) Visit the Project site at regular intervals during Project implementation; monitor the progress and report to JPG/PMO on critical activities, providing details of the progress, and recommendations regarding the solid waste management project;

(iii) Supervise the construction, equipment installation and commissioning of the solid waste management works;

(iv) Review the contractor’s drawings and calculations; (v) Prepare, monitor and report on the progress, constraints of construction; (vi) Provide JPG/JPMO with necessary interpretations of technical and commercial



and ensure they are adequate for the intended purpose. Membrane Technology Specialist (Domestic, 1 month) 50. The Membrane Technology Specialist should be adequately experienced in this field with at least 5 years of working experience in the use of membrane technology. The Engineer will review the design and technical specifications of the membrane technology for use in the solid waste management project to ensure the quality and correctness of designs and ensure the quality and the goal of the procurement and construction process. E. Indicative Inputs 51. It is estimated that the consulting services will require four international positions with a total of 20 person-months of inputs, and eight domestic positions with a total of 71 person-months of inputs. The detailed estimates of consultancy resource requirements and the suggested schedule are presented in Table 3.

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52. The inputs and schedule are indicative only. Responsibilities can be reassigned and positions can be combined to optimize the team profile. The consultancy services contract will be funded from the loan proceeds. The consulting services contract and project management are tentatively valued at $1.23 million for each province, and the preliminary budget is presented in Table 4.

Table 3: Indicative Positions and Schedule of Inputs

Job Title and Area of Expertise Person - Months I. International Specialists

Team Leader 11.0Environmental Safeguard Specialist 2.5Social Safeguard/PPMS Specialists 2.5

Procurement and Contracts Management Specialists 4.0International subtotal 20.0 II. National Specialists

Deputy Team Leader 30Environmental Safeguard Specialist 8Social Safeguard/PPMS Specialists 10Financial Management Specialists 7Procurement and Contracts Management Specialists 9Wastewater Treatment Engineer 4Solid Wastes Management Engineer 2Membrane Technology Specialist 1National Subtotal 71TOTAL 91

Table 4: Indicative Budget Item Budget (USD) International Consultants 325,000National Consultants 325,000Miscellaneous Expenses – Office Expenses 228,500Training 300,000Contingency 50,000Total 1,228,500 F. Facilities to Be Provided by the EA 53. To ensure the satisfactory provision of the consulting services, the EA will provide the Consultant with the following:

(i) Adequate office space (with basic furniture, an international telephone line and access to internet) for the Consultant’s exclusive use will be provided by the EA. The Consultant will be responsible for the charges for use of the telephone, fax and internet and other office expenditures, such as postage, etc. The Consultant can use the office equipment owned by the PMO, such as fax machines, printers and scanners, but the Consultant should pay for the consumables, such as papers and toners;

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(ii) Local transport for the working of the Consultant but the charges will be borne by the Consultant;

(iii) Qualified bi-lingual counterpart personnel available to work full time, if required, with experts the Consultant provides. These counterparts to be based in the relevant PMO and IAs;

(iv) Assistance with visas, and residential and other permits required by the consulting team to enter PRC; and

(v) Access to all data, including documents, reports, accounts, drawings and maps, and permissions to enter works and offices, as appropriate and necessary to undertake the work.

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