INTEGRATED SAFEGUARDS DATA SHEET APPRAISAL STAGE Report No.: ISDSA10575 Public Disclosure Copy Date ISDS Prepared/Updated: 24-Sep-2014 Date ISDS Approved/Disclosed: 25-Jun-2014, 15-Oct-2014 I. BASIC INFORMATION 1. Basic Project Data Country: China Project ID: P133117 Project Name: Chongqing Small Towns Water Environment Management Project (P133117) Task Team Ji You Leader: Estimated 17-Apr-2014 Estimated 23-Dec-2014 Appraisal Date: Board Date: Managing Unit: GWADR Lending Investment Project Financing Instrument: Sector(s): General water, sanitation and flood protection sector (85%), Wastewater Collection and Transportation (15%) Theme(s): Water resource management (85%), Pollution management and environmental health (15%) Is this project processed under OP 8.50 (Emergency Recovery) or OP No 8.00 (Rapid Response to Crises and Emergencies)? Public Disclosure Copy Financing (In USD Million) Total Project Cost: 218.62 Total Bank Financing: 100.00 Financing Gap: 0.00 Financing Source Amount Borrower 118.62 International Bank for Reconstruction and Development 100.00 Total 218.62 Environmental A - Full Assessment Category: Is this a No Repeater project? 2. Project Development Objective(s) The project development objective is to reduce flood risks and improve wastewater infrastructure services in selected counties of Chongqing Municipality. 3. Project Description Page 1 of 12 The proposed project will include the following five components: Component 1: Flood management in Tongnan County. This component includes the construction of a Public Disclosure Copy 6.84 km river embankment with associated dike-top roads to raise the flood protection level for the new urban expansion area of Dafuba along the Fujiang River to 1 in 20 year floods. Component 2: Flood and wastewater management in Rongchang County. Structural measures under this component include the construction of a river embankment of 13.89 km along the Laixihe River upstream, along with associated dike-top roads, sewage/drainage pipe works (19 km), and improvement of one existing overflow dam in the project river. Construction of the river embankment would connect with flood protection works in the same county seat that was built under a previous Bank loan project (Chongqing Small Cities Infrastructure Improvement Project, CSCP). Component 3: Flood and wastewater management in Shizhu County. This component would include the construction of a 4.84 km long river embankment along the Longhe River, upstream and downstream of a flood protection project for the county seat funded by a previous Bank loan project (CSCP), along with associated 1.9 km of dike-top roads, 16.1 km of sewage/drainage pipes (including wastewater collection pipes in the old urban area), 5.74 ha of landscaping and improvement of four existing overflow dams in the project river. Component 4: Flood and wastewater management in Pengshui County. Structural measures under this component include construction of a river embankment of 4.69 km on the left side of the Wujiang River with associated dike-top road (4.76 km), which will raise the flood protection level of the county seat’s new urban area to 1 in 20 year floods. This component would also include civil works for sewage collection and drainage pipes (4.69 km). Each of the abovementioned components also includes non-structural measures tailored to the needs of each project county, including: (i) improvement of hydro-meteorological monitoring and information management system through establishing local computer networks with the required hardware and software, GIS database and basic supporting facilities (Rongchang, Shizhu and Pengshui); (ii) strengthening of flood warning, emergency response and management systems through provision of flood emergency response plans, management capacity-building and basic Public Disclosure Copy facilities at local levels of county, township and villages (Rongchang, Shizhu, Tongnan and Pengshui); (iii) flood risk mapping and dissemination, safety zoning, and public awareness raising (Rongchang, Shizhu, Tongnan and Pengshui); (iv) improved land use management planning for flood affected area (Tongnan); and (v) development of a GIS/MIS system for monitoring and O&M of drainage and wastewater network facilities (Shizhu). Component 5: Project Management and Project Implementation Support. Provision of project management and implementation support activities aimed at: (i) enhancing the design, supervision, and certification of works carried out under the Project; (ii) strengthening the capacity of the Project Implementing Entity at the municipal and county levels in the areas of Project management, procurement and contract management, accounting and financial management, and compliance with safeguards policies; and (iii) strengthening the capacity for operation and maintenance of urban flood and water environment management facilities at the county level through training and development of asset management plans. This component will also fund the incremental operation costs for Chongqing PMO. 4. Project location and salient physical characteristics relevant to the safeguard analysis (if known) Chongqing Municipality (CQM), with an area of 82,400 km2 and a total population of 33.3 million, has over 45% of its population living in rural areas (this rural population percentage is higher than those of the other three provincial level cities of Beijing, Shanghai, and Tianjin with rural population levels of 14%, 11% and 38% respectively). CQM has a total surplus rural labor estimated at over Page 2 of 12 8.45 million people. The strategic challenges of urban-rural disparity, regional disparity, and income disparity at the national level are mirrored in Chongqing. As a result, Chongqing was selected by the central government in 2007 as one of two pilot municipalities (the other being Chengdu Public Disclosure Copy Municipality) to promote urban-rural integration as part of the national strategies of Western Region Development, Urban-Rural Integration and Development prioritized in the country’s 11th and 12th Five-Year Plans (FYP). Chongqing municipality has an average annual rainfall of 1,025 mm, mostly concentrated in the flood season from June to September, and significant rivers such as the Wujiang and Fujiang flowing through the project counties. River flooding is a common challenge with a 1/10 flood protection level (10% annual occurrence/exceedance probability) at most county seats. Associated with economic and population growth, flood damage is increasing as exposure to river flooding rises. The response from CQM represented by the water resources bureaus at the municipal and county levels is to invest heavily into the flood management structures and introduce critical non-structural measures such as flood forecasting and early warning systems. Considering the expected impacts of climate change, the risk exists that the magnitude of extreme events will increase and further increase flood damage. Implementing non-structural measures will be important to enable populations to live with the increasing potential flood risk associated with climate change. Water pollution from increasing urban populations and intensifying industrial activities is also becoming a very important issue in many parts of the municipality including several of the project counties. The municipality as a whole, located upstream of the Three-Gorges reservoir, lacks sewage collection and treatment infrastructure and capacity. The government is currently working to narrow such gaps as priority investments with funding from different sources. Typically located in deep river valleys and built on scattered small pockets of scarce land available for urban construction, the growth and development of these county seats has been severely constrained by Chongqing’s disadvantageous mountainous topography, in particular in the two sub- regions of the northeast wing and southeast wing. Given their topographic and geological conditions, Public Disclosure Copy county seats in Chongqing are exposed to relatively high risks of events such as river flooding, land slides and soil erosion, and water pollution. Good progress has been made in recent years to reduce flooding risks, in particular in the existing built-up areas of these counties seats, through structural measures. However, flooding risks in the new residential and industrial areas or those currently under development in the county seats need to be fully managed before these county seats can perform their roles in Chongqing’s urbanization process in a safe and sustainable manner. While the current population has experience with previous flood events, the new residents will be unaware of the urban flood risk. Awareness raising and emergency preparedness will need to be reinforced. 5. Environmental and Social Safeguards Specialists Chongwu Sun (GENDR) Meixiang Zhou (GSURR) 6. Safeguard Policies Triggered? Explanation (Optional) Environmental Assessment OP/ Yes BP 4.01 Natural Habitats OP/BP 4.04 Yes Page 3 of 12 Forests OP/BP 4.36 No Public Disclosure Copy Pest Management OP 4.09 No Physical Cultural Resources OP/ Yes BP 4.11 Indigenous Peoples OP/BP 4.10 No Involuntary Resettlement OP/BP Yes 4.12 Safety of Dams OP/BP 4.37 Yes Projects on International No Waterways OP/BP 7.50 Projects in Disputed Areas OP/BP No 7.60 II. Key Safeguard Policy Issues and Their Management A. Summary of Key Safeguard Issues 1. Describe any safeguard issues and impacts associated with the proposed project. Identify and describe any potential large scale, significant and/or irreversible impacts: Environmental Safeguards: Environmental Assessment: The Bank policy OP 4.01 Environmental Assessment is triggered and Public Disclosure Copy the project has been classified as Category A, mainly because the location of some proposed sub- components could be environmentally sensitive (e.g., flood control and embankment in Pengshui County’s Wujiang River section, Tongnan County’s Fujiang River section and Shizhu County’s Longhe River section), though some impacts may be site-specific and few would be irreversible. An Environmental Impact Assessment (EIA) and an environmental management plan (EMP) were carried out to determine the key environmental impacts, the mitigation measures and environmental monitoring program and necessary institutional arrangement as well as capacity building development. The documents have been prepared on the basis of Chinese legal and policy framework for environmental protection, master plans and environmental plans as well as applicable Bank safeguard policies and Bank group’s Environment, Health and Safety Guidelines. Through preparation of safeguard documentation, there was no any potential large scale, significant and/or irreversible environmental impacts to be found. There would be some negative impacts during project construction, such as air-borne dust; noise from equipment and construction during nighttime; wastewater generated from the foundation pits, grouting and washing equipment; soil erosion during construction stage, and social impacts, such as traffic blocking and interruption, business impact to small shops along the streets, permanent and temporary land occupation during construction, etc. As a project activity, sediment dredging would be carried out in Shizhu County. The sampling and test were conducted and the results indicated that the quality of the sediments is within the applicable standard, and thus can be classified as non-toxic material. Page 4 of 12 The mitigation measures were proposed in the EIA and specifically detailed in the EMP to tackle and reduce the environmental issues. And the relevant clauses would be included in the bidding documents and the contracts to ensure implementation and enforcement. Public Disclosure Copy From proposed components, following environmental and social benefits are expected: improve key infrastructure, including river dyke/embankment and associated road, flood control facilities, wastewater collection and treatment and drainage systems in the selected project areas. The four project counties are located in mountainous region and listed into the poverty counties in Chongqing. Through the project the four counties will be benefited from improved capacity against the high risk of river flooding, thus reduced loss of assets and farmland due to flooding; improved opportunity for employment and increase of income; increased value of land; promoted development of women; and improved environment and aesthetics which may stimulate the tourism sector. In addition, the project will help improve the attraction of the project area that is expected to induce the immigration of people and investment to the project area. As a result the demand for environmental service such as wastewater collection and treatment will be created. This proposed project fits well into with the development plan for small towns and will help satisfy the growing demand for environmental service. As an important element, cumulative impact assessment was considered along with EA preparation. Based on the information collected and assessment made, the proposed project activities made small contribution in terms of pollutant discharge (through increased wastewater collection and treatment), but obvious positive impacts and benefits from environmental and social perspectives, as stated in above paragraph. In the PCN stage ISDS, safeguard policy of OP4.04 Natural Habitats was indicated as TBD. Through the EA process, screening and survey was conducted and it was noted that there are no significant natural habitats in the proposed project areas. However, the survey confirmed that Fujiang Naitonal Wetland Park is located in Tongnan County within the catchment area of Fujiang River. This park is established for demonstration of the construction of Wetland Park oriented for Public Disclosure Copy scientific research and education, and ecological tourism. Part of the proposed embankment in Tongnan will occupy the land in the Class II Area zoned for rational land use of the park. Therefore, the policy is triggered. The survey also indicated that there were no endangered species in the project areas. As part of the EA, the impacts were assessed and the mitigation measures are designed in the EMP. Based on detailed screenings and the survey conducted during EA process and consultation with local culture authorities, it is confirmed that this project will involve the Darong Bridge and Wanling Ancient Town in Rongchang County, which was listed into the Cultural Heritage Inventory protected at national level and municipal level respectively for their historic, architectural and aesthetical values; Xujiaba Site - a tribe site in the Shang and Zhou Dynasty and was classified into the Cultural Heritage Inventory protected at municipal level for its archaeological value and 4 family tombs in Pengshui County; and Dafo Temple that was classified into the Cultural Heritage Inventory protected at national level and 32 family tombs in Tongnan County. The proposed project will not be located in the core and control areas of above identified relics, and some proposed works of embankment would partially located in the buffer areas. As part of the EMP, mitigation measures were developed and included, including chance-find procedures. Dam Safety (OP 4.37). The project triggers the Safeguards Policy on Safety of Dams (OP4.37). Page 5 of 12 Although the project does not finance construction of new dams or rehabilitation of existing dams, some of the project financed infrastructures would rely on the proper operation of four existing upstream dams—Sankuaishi Dam in Tongnan County, Yutan Dam in Rongchang County, Public Disclosure Copy Wujiangpenshui Dam in Pengshui County and Tengziguo Dam in Shizhu County. Failure of those dams could cause extensive damage to or failure of the new Bank-funded structures. Those dams are from 7.8m to 116.5m by height, 20 million cubic meters to 1,460 cubic meters by reservoir capacities, they were built from 1976 to 2011. The PMO has hired one independent dam safety expert (DSE) to (a) inspect a nd evaluate the safety status of existing dams, their appurtenance, and performance history; (b) review and evaluate the owner’s operation and maintenance procedures; and (c) provide written reports of findings and recommendations for any remedial work or safety-related measures necessary to upgrade the existing dams to an acceptable standard of safety. The DSE has prepared a Dam Safety Review Report and sent to the Bank. The PMO would also assign special staff to assist the Bank team to ensure the project is implemented in line with the OP4.37. Dam safety plans and emergency preparedness plans have been prepared for the existing dams. During the implementation, the Borrower will prepare an Annual Dam Safety Action Plan and provide relevant dam safety information to the DSE the Bank and arrange field trips when necessary to review the safety status the relevant dams, and take dam safety measures recommended by the DSE to improve the safety status when necessary to ensure the safety of dams. Social safeguards: Involuntary resettlement: The Bank policy OP4.12 is triggered because the project needs to acquire land and demolish houses for construction of civil works under components 1 to 4 in each of the 4 project counties. Main civil works of the project consist of river embankment rehabilitation and improvement and associated dike-top roads, sewer and drainage pipes. Hence the project has significant land acquisition and resettlement impacts associated with related land acquisition and resettlement activities in 14 villages/communities in 5 townships/sub-districts of Public Disclosure Copy four project counties. In total, there will be 1,997.2mu mu of land will be acquired permanently for the Project, including 1,288.73 mu of rural collective land (including 703.42 mu of cultivated land), and 708.47 mu of state-owned riverbank flat land. Besides, there will be 584.95mu of land will be occupied temporarily, including 371.28 mu of cultivated land temporarily occupied for a couple of months up to two years for the construction period of project civil works. In addition, the project will cause demolition of about 23,352 m² houses and other types of ground structures which will affect 76 households, 3 enterprises, 2 shops and 10 breeding households in planting or husbandry business. Totally there will be 1493 households and 6258 people affected by such involuntary resettlement, which will include 46 vulnerable people from 15 households, and 244 persons from 59 households affected by both land acquisition and house demolition. To address involuntary resettlement issues and minimize negative impacts, a social assessment with wide consultation was carried out in project sites and a consolidated Resettlement Action Plan (RAP) and a separate RAP for each county subproject were prepared. Although most of the project involuntary resettlement impacts can be clearly scoped and investigated by appraisal, some impacts related to the installation of sewer pipe networks still cannot be determined prior to project appraisal. To address future possible and most likely temporary land acquisition, a Resettlement Policy Framework (RPF) was prepared. There was no linkage project identified in this project. The RAPs has set comprehensive mitigation measures, grievance redress mechanism, monitoring and evaluation, institutional arrangements, and capacity building. These documents were prepared in compliance with the Chinese legal and policy framework for land acquisition and Page 6 of 12 house demolition as well as the Bank safeguard OP 4.12 policy requirements. During PCN stage, the TT undertook screening for IPs based on the 4 criteria as indicated in OP 4.10 and confirmed that there were no IPs in the project area. During the project preparation, a Public Disclosure Copy social assessment was undertaken, including a social survey and analysis, broad consultation in project sites, and confirmed the absence of the IP in the project area. The task team came to a conclusion that the Bank Indigenous People policy (OP4.10) is not triggered. Specifically, there are only two groups of ethnic minorities-Tujia people in Shizhu County and Miao people in Pengshui County. It has been confirmed that these ethnic minorities do not have the characteristics of IP under the terms of the Bank OP4.10. Since most of the project areas in these two counties are in urban or peri-urban areas without distinct ethnic minority communities, and the Tujia and Miao people are fully integrated, both socially and economically, living scattered with the Han population in the area. The majority of these ethnic people have already been urbanized with urban-based livelihoods and well integrated with the surrounding communities in the past few decades. No distinctive Tujia or Miao customs or ethnic cultural characteristics exist anymore, and as a whole these two ethnic groups are not disadvantaged in comparison with local Han people. Nevertheless, based on the social assessment results, the needs and interest of the local people, including ethnic minorities, will be reflected in the project design and implementation. Through preparation of safeguard documentation, there was no any potential large scale, or significantly irreversible social impacts to be found. Possible negative impacts during project construction might result from land acquisition and house demolition, temporary traffic blocking and interruption, business impacts to small shops along the streets, etc. The mitigation measures were proposed in the SA and specifically detailed in the RAPs as well as the RPF to minimize such impacts and address other related social issues. They include different types of compensation of cash or property, social security schemes and livelihood restoration through skill training, employment assistance and provision of new business opportunities and facilities. And the relevant clauses of the social documents will be included in project operational manual, bidding documents and relevant contracts where applicable to ensure implementation and enforcement. Public Disclosure Copy 2. Describe any potential indirect and/or long term impacts due to anticipated future activities in the project area: As designed, the proposed project will improve key infrastructure for flood control and wastewater management in the project areas, including dyke/embankment, and increased/improved wastewater collection as well as drainage systems. 3. Describe any project alternatives (if relevant) considered to help avoid or minimize adverse impacts. Alternatives were considered during the project feasibility study and EIA preparation from major five aspects: 1) with and without project scenario; 2) options for alignment and type of embankment; 3) options for wastewater collection and treatment plan; 4) dredging method to be used in construction; and 5) options for disposal of dredged sediment materials; 6) options for the width and slope of dike-top roads, height and slope of river embankment, specific locations of paths and accessing roads to minimize land demand for project civil works, in total the project reduced the need for about 1,000 mu (i.e. 70 ha) land through optimizing technical design; 7) options of technical designs and specific civil work location and route to avoid demolishing large office buildings and concentrated residential houses in project sites, such as avoiding residential buildings in a site with 14 households in Rongchang component. The project design avoided the need for demolishing a few thousand square meters houses. Based on those, comprehensive comparisons were analyzed with consideration of technical, economic, as well as environmental and social factors, which helped to minimize the needs for additional house demolition and land Page 7 of 12 acquisition. 4. Describe measures taken by the borrower to address safeguard policy issues. Provide an assessment of borrower capacity to plan and implement the measures described. Public Disclosure Copy Environmental: The EA report, prepared by the client and their EA consultants, thoroughly addressed the potential environmental and social impacts envisaged for the project, and developed adequate measures in the EMP to avoid, minimize, mitigate and compensate the potential adverse impacts. As a Category A Project, an EA Summary has been prepared for distribution to Bank’s Board for review. The preparation of environmental safeguards documents followed the relevant national laws/regulations and guidelines, as well as Bank’s safeguards policies and environmental health and safety (EHS) guidelines. The major negative environmental impacts are expected short term mainly during project construction phase, including dust, noise, traffic interruption, etc. A stand-alone EMP has been prepared based on the findings of the EIA report. The EMP summarized the key environmental impacts and detailed the environmental management and supervision organizations/institutional arrangement and responsibilities, mitigation measures, training plan, monitoring plan, and budget estimates of EMP implementation. It includes sets of Environmental Codes of Practice (ECOPs) for contractors, which will be incorporated into bidding documents and contracts to ensure effective implementation. The EMP also included the mitigation measures to reduce and eliminate the impacts to natural habitats, e.g., wetland in Tongnan and to the relics in Tongnan and Rongchang. In addition, chance-find procedures have been included in the EMP. There were two ECOPs included in the EMP covering the design, construction and operational phases, i.e., generic environmental management in the construction phase and special environmental management during construction phase (related to the sensitive points). Please see the details in the EMP that was disclosed through Bank’s InfoShop. The contractors are requested Public Disclosure Copy to send the dredged sediments to the designated sites, such as landfill, for disposal. The PMO will carry out supervision and monitoring in implementation. The contractor is also requested to rehabilitate the land that is temporarily occupied for construction activities. The EMP also includes environmental monitoring programs for both construction and operation phases. The parameters to be monitored include noise, dust, and water quality. To ensure the strict and efficient implementation of the mitigation measures proposed, including environmental obligations during construction, a program of monitoring activities has been developed as part of the EMP. The project progress reports furnished by the PMO will include a section for EMP implementation and related environmental monitoring reports. Institutional arrangement also was determined in the EIA and EMP. Chongqing PMO will take overall responsibility to coordinate and oversee the EMP implementation, including management and supervision, training, and preparation of project progress report based on the reports and monitoring information from each project county, etc. Each county PMO will take respective responsibility for EMP implementation, including hiring qualified environmental expertise for environmental monitoring, supervising contractor to implement the mitigation measures, promoting good practice of environmental protection measures and technologies. With related mitigation measures and clauses to be incorporated in the bidding documents and contracts, contractors will have obligation and mandates to implement the EMP. Page 8 of 12 Social: The PMO has hired a professional consulting institute to conduct social assessment which Public Disclosure Copy included extensive survey and consultations through questionnaires, interviews and group discussions. A consolidated overall RAP with an RPF and separate subcomponent RAP were prepared to address involuntary resettlement issues through avoiding, minimizing, and compensating adverse impacts. The RAPs set comprehensive mitigation measures, compensation for affected people and enterprise, livelihood restoration for affected people, grievance redress mechanism, monitoring and evaluation, institutional arrangements, and capacity building. The social documents were prepared in compliance with the Chinese legal and policy framework for land acquisition and house demolition as well as the Bank safeguard OP 4.12 policy requirements. The project negative impacts could mainly result from land acquisition and house demolition, temporary traffic blocking and interruption, business impacts to small shops along the streets in project sites, and so on. The SA summarized the main positive and negative impacts of the project, analyzed major project stakeholders, embracing women, ethnic minority and other vulnerable groups, and came up with specific recommendations of mitigation measures for project implementation. The RAPs focused on mitigating negative impacts and development opportunities of project affected people and organizations due to land acquisition and house demolition. Detailed measures for compensation, livelihood restoration, grievance redress, monitoring and evaluation, procedures and budgets were all described in these documents. Institutional arrangements and capacity building: these were reflected in the project preparation process and set in the RAPs. The task team will continue to provide training and consultancy services for the project as required. Chongqing PMO is very much experienced in implementing the Bank financed projects. It has implemented many similar projects that have involved significant resettlement impacts, and Chongqing county level PMOs have good experiences in coordinating domestic project resettlement implementation and some have also implemented previous Bank supported projects with good records. Public Disclosure Copy Chongqing PMO will take overall responsibility to coordinate and oversee the RAPs implementation, including management and supervision, training and capacity building, and preparation of project progress report based on the reports and monitoring information from each project county, etc. Each county PMO will take respective responsibility for their own component RAP implementation, including hiring qualified social/resettlement experts for social and resettlement monitoring, supervising implementation of the mitigation measures together with related local authorizes and stakeholders, promoting good practice of resettlement and social development. Each PMO at Chongqing municipal and project county level will assign a dedicated social staff to coordinate social safeguards work, together with related local government departments in charge of local land requisition and house demotion. 5. Identify the key stakeholders and describe the mechanisms for consultation and disclosure on safeguard policies, with an emphasis on potentially affected people. Two rounds of public consultations were carried out during the EA process. The technique used for the public consultations include surveys using public opinion questionnaires, focused group discussions, public meetings with key stakeholders and interviews with some project affected persons. The issues raised during these consultations have been incorporated in the EIA and EMP. Page 9 of 12 Furthermore, feedbacks to the concerns and issues collected in public consultation have been provided to the concerned groups and documented in the EA. The EIA and EMP documents and other project related documents have been fully disclosed locally through websites (http://www. Public Disclosure Copy eiafans.com/forum.php) since March 8, 2014 and a notice was made on Chongqing Daily on March 9, 2014, the most popular local newspaper, as required by national and Bank's policies. The English language EIA and EMP have been disclosed through Bank’s InfoShop on March 29, 2014. During the project RAPs and social assessment preparation, intensive public consultations were carried out with local people in project areas through project information dissemination campaign and rounds of communication. Extensive surveys, interviews and meetings were conducted with about 20% of the affected people and all affected organizations and enterprises in each of the project counties by the PMOs with technical support of professional consulting institute. Information and alternative options about the project, plan of civil works and their initially proposed locations in selected project sites, main project sites were shared with the public and key stakeholders during consultation. Social issues identified by social assessment and public consultation were reflected in RAPs and SA report. These included where and how to optimize locations of project civil works so as to avoid or minimize needs for land acquisition and house demolition; issues of people’s safety in construction sites, and improvement of flood control emergency response system. Measures were incorporated in project design and the RAPs for project implementation. In particular, the social assessment exercise was intensively conducted by the SA team (consultants and PMOs) among the ethnic minority groups in Shizhu and Pengshui counties of the project. The SA found mainly two groups of ethnic minorities-Tujia people in Shizhu County and Miao people in Pengshui County. Since most of the project areas within the counties are in urban or peri-urban areas without distinct ethnic minority communities, and the Tujia and Miao people in the project areas are fully urbanized and integrated, both socially and economically, with the Han population in the area. These ethnic people are mostly urbanized and have urbanized livelihoods. Project information, impacts, determined locations were all shared with the ethnic people. Their needs and interest are reflected in the project design and will be incorporated in project implementation although no separate ethnic minority development plan is Public Disclosure Copy required. The SA report and RAPs were fully disclosed locally on 28 March, 2014 and the English versions of them were disclosed through the Bank Infoshop on April 3, 2014. B. Disclosure Requirements Environmental Assessment/Audit/Management Plan/Other Date of receipt by the Bank 26-Mar-2014 Date of submission to InfoShop 28-Mar-2014 For category A projects, date of distributing the Executive 03-Jun-2014 Summary of the EA to the Executive Directors "In country" Disclosure China 08-Mar-2014 Comments: Resettlement Action Plan/Framework/Policy Process Date of receipt by the Bank 25-Mar-2014 Date of submission to InfoShop 03-Apr-2014 Page 10 of 12 "In country" Disclosure China 27-Mar-2014 Comments: Public Disclosure Copy If the project triggers the Pest Management and/or Physical Cultural Resources policies, the respective issues are to be addressed and disclosed as part of the Environmental Assessment/ Audit/or EMP. If in-country disclosure of any of the above documents is not expected, please explain why: C. Compliance Monitoring Indicators at the Corporate Level OP/BP/GP 4.01 - Environment Assessment Does the project require a stand-alone EA (including EMP) Yes [ ] No [ ] NA [ ] report? OP/BP 4.04 - Natural Habitats Would the project result in any significant conversion or Yes [ ] No [ ] NA [ ] degradation of critical natural habitats? If the project would result in significant conversion or Yes [ ] No [ ] NA [ ] degradation of other (non-critical) natural habitats, does the project include mitigation measures acceptable to the Bank? OP/BP 4.11 - Physical Cultural Resources Does the EA include adequate measures related to cultural Yes [ ] No [ ] NA [ ] property? Does the credit/loan incorporate mechanisms to mitigate the Yes [ ] No [ ] NA [ ] potential adverse impacts on cultural property? OP/BP 4.12 - Involuntary Resettlement Public Disclosure Copy Has a resettlement plan/abbreviated plan/policy framework/ Yes [ ] No [ ] NA [ ] process framework (as appropriate) been prepared? If yes, then did the Regional unit responsible for safeguards or Yes [ ] No [ ] NA [ ] Practice Manager review the plan? OP/BP 4.37 - Safety of Dams Have dam safety plans been prepared? Yes [ ] No [ ] NA [ ] Have the TORs as well as composition for the independent Yes [ ] No [ ] NA [ ] Panel of Experts (POE) been reviewed and approved by the Bank? Has an Emergency Preparedness Plan (EPP) been prepared and Yes [ ] No [ ] NA [ ] arrangements been made for public awareness and training? The World Bank Policy on Disclosure of Information Have relevant safeguard policies documents been sent to the Yes [ ] No [ ] NA [ ] World Bank's Infoshop? Have relevant documents been disclosed in-country in a public Yes [ ] No [ ] NA [ ] place in a form and language that are understandable and accessible to project-affected groups and local NGOs? All Safeguard Policies Page 11 of 12 Have satisfactory calendar, budget and clear institutional Yes [ ] No [ ] NA [ ] responsibilities been prepared for the implementation of Public Disclosure Copy measures related to safeguard policies? Have costs related to safeguard policy measures been included Yes [ ] No [ ] NA [ ] in the project cost? Does the Monitoring and Evaluation system of the project Yes [ ] No [ ] NA [ ] include the monitoring of safeguard impacts and measures related to safeguard policies? Have satisfactory implementation arrangements been agreed Yes [ ] No [ ] NA [ ] with the borrower and the same been adequately reflected in the project legal documents? III. APPROVALS Task Team Leader: Name: Ji You Approved By Regional Safeguards Name: Peter Leonard (RSA) Date: 14-Oct-2014 Advisor: Sector Manager: Name: Ousmane Dione (SM) Date: 15-Oct-2014 Public Disclosure Copy Page 12 of 12