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03

Preparation and Implementation of Environmental and Social Impact Assessment (ESIA)

ຄຳອະທິບາຍ

Financiers should require Developers and Contractors to use the appropriate methods and tools to conduct an accurate, objective, and thorough environmental and social impact assessment (ESIA)1 for each proposed project. The level of assessment should be scaled to the potential impacts and risks, with higher-risk projects requiring more rigorous and expansive ESIAs. ESIA Consultants, who are Experts hired by Developers during Project Scoping, should identify and evaluate environmental and social impacts and risks; engage stakeholders in an inclusive, gender-sensitive, and culturally appropriate manner; and present their findings, recommendations, and conclusions in an ESIA report. After draft and final versions of the ESIA have been developed by ESIA Consultants, Developers and Contractors should share the report with Financiers and the Host Country Government, as well as key stakeholders, including Affected People, Civil Society Organizations (CSOs)/Nongovernmental Organizations (NGOs), the Media, and Researchers/Experts, for consideration, review, and approval.

ESIAs enable ESIA Consultants, among other stakeholders involved in BRI projects, to analyze the full range of direct, indirect, cumulative, and induced impacts on and risks to the local people, economy, and environment that could occur throughout the project life cycle. While preparing and implementing ESIAs, ESIA Consultants should continuously solicit feedback from key stakeholders and make deliberate efforts to discuss the project with vulnerable and disadvantaged groups and individuals. These assessments provide ESIA Consultants an opportunity to not only update and validate baseline data and assumptions but also to collect new data about potential impacts and risks. Access to all of the relevant information allows ESIA Consultants and other stakeholders to consider project alternatives and specific measures to avoid, minimize, and offset or compensate for adverse impacts and risks in preparation for the corresponding Environmental and Social Management Plan (ESMP). At the same time, ESIA Consultants could promote sustainable development — particularly by enhancing land use and natural resource management (NRM), collaborating with local communities, and empowering women, among other vulnerable and disadvantaged groups, with equal opportunities. With a complete ESIA document for their proposed projects, Developers and Contractors can make optimal and informed decisions about project type, design, location, scope, and size.

How Would It Work?

FOR OVERSEAS PROJECTS:

The Chinese Government should:2

  • Offer a consultative service concerning environmental risk assessment for overseas projects.
  • Establish and maintain environmental information-sharing platforms to enhance advisory services and cooperation on environmental risk assessment.
  • Provide guidance to Developers and Contractors on implementing environmental impact assessments (EIAs) in accordance with host country requirements.

 

Financiers should:

  • Prioritize training on ESIA procedures for Developers and Contractors.3
  • Ensure complete, thorough, and detailed due diligence in “credit granting.”4
    • Use projects’ sectors, as well as host country laws and regulations, to determine their own environmental and social due diligence responsibilities, which could cover:
      • Labor and working conditions.
      • Management of explosives and chemicals.
      • Prevention and control of pollution.
      • Health, safety, and security of communities.
      • Land acquisition and involuntary resettlement.
      • Conservation of biodiversity and sustainable management of natural resources.
      • Indigenous peoples.
      • Cultural heritage.
      • Supply chains.
      • Developers’ and Contractors’ environmental and social risk assessment and management system.
    • Strengthen due diligence and risk assessments on the economic, legal, political, and social environments.5
      • Conduct social impact assessments (SIAs) that include socio-economic impacts — specifically on labor, terms of employment, social security, health, land acquisition, and protection for migrants — and impacts on natural resources and the social environment.6
      • Conduct environmental due diligence for lending and other activities.7
    • Where necessary, consider seeking support from independent third parties and competent authorities.
      • Advocate for independent on-site investigations and audits of projects’ environmental impacts.8

Early on in the pre-project planning stage, Developers (and Contractors) should:

  • Review and strictly abide by host country laws and regulations on ESIAs.9
  • Hire independent third parties to assess their own due diligence practices. Assist other Developers, Contractors, or Subcontractors in improving their due diligence performance.10
  • Hire qualified ESIA Consultants to prepare an ESIA report that identifies and assesses each project’s environmental and social risks and impacts.11

With support from Developers (and Contractors), ESIA Consultants should:

  • Conduct ESIAs in accordance with Chinese and/or international best practices to address shortcomings in host country laws and regulations.12
    • Use baseline social and environmental data from project scoping.
    • Assess potential risks and impacts related to society, land tenure, the environment, and economic stability.13
      • Undertake a thorough EIA for each project.14 Determine the volume of pollution that each project could produce.15
      • Undertake a comprehensive SIA for each project.16 Identify projects’ direct and indirect impacts related to human rights, labor, employment, gender, health, and conflict.17
  • Coordinate public participation while preparing each ESIA report.18
    • Continuously inform and consult people and organizations within the scope of each ESIA. Consider informing and consulting people and organizations beyond the scope of the assessment.19
    • Listen to stakeholders' opinions and suggestions on projects’ impacts through forums and hearings.20

FOR DOMESTIC PROJECTS IN CHINA ONLY:

Developers (and Contractors) should:

  • Work with EIA Consultants to prepare written EIA reports for planning covering:21
    • Potential overall impacts on ecosystem.
    • Potential long-term impacts on the environment and human health.
    • The relationship between socio-economic benefits and environmental benefits.
    • The relationship between present and long-term interests.
    • Mitigation measures.
    • Conclusions on the feasibility of proposed plans.
  • Work with EIA Consultants to prepare written EIA reports covering:22
    • The existing environment.
    • An analysis, prediction, and assessment of potential environmental impacts.
    • Technical and economic information about protective environmental measures.
    • An economic-environmental cost-benefit analysis.
    • A monitoring proposal.
    • A concluding evaluation.

Financiers should:

  • Conduct environment and social due diligence for all projects.
  • Assist Developers (and Contractors) in selecting appropriate ESIA methods and tools to use for each project.
  • Consider project types and local contexts, as well as Developers’ (and Contractors’) capacities to plan, implement, and operate projects.
  • Review information provided by Developers (and Contractors) related to projects’ environmental and social risks and impacts.
  • Request additional information to complete due diligence.
  • Offer guidance to Developers and Contractors on how to develop appropriate mitigation measures.
  • Determine whether Developers and Contractors need to hire independent third-party Experts to assist in the ESIA process.

 

Developers and Contractors should:

  • Consult with Financiers on the appropriate ESIA methods and tools to use including, but not limited to:
    • ESIA.
    • Environmental and social audit.
    • Hazard assessment.
    • Risk assessment.
    • Cumulative impact assessment.
    • Social and conflict analysis.
    • Environmental and social management plan (ESMP).
    • Environmental and social management framework (ESMF).
    • Regional ESIA.
    • Sectoral ESIA.
    • Strategic environmental and social assessment (SESA).
    • Specialized documents such as the land acquisition and resettlement plan (LARP), livelihood restoration plan (LRP), Indigenous peoples plan (IPP), biodiversity action plan (BAP), and cultural heritage management plan (CHMP).
  • Account for local contexts, conditions, laws, policies, and regulations.
    • Ensure projects do not inadvertently compromise or have unintended consequences on collective rights, customary rights, subsidiary rights, women’s rights, Indigenous peoples’ rights, minorities’ rights, land titles, and other related issues.
  • Continue to collaborate with ESIA Consultants and Interpreters who were hired during project scoping.
    • ESIA Consultants should be qualified and experienced Experts with no conflicts of interest.
    • Interpreters should be well-versed in local dialect(s) and language(s), including minority and Indigenous languages.
  • Arrange a meeting to introduce Affected People, CSOs/NGOs, and other key stakeholders who were not part of project scoping meetings to ESIA Consultants and provide information about the project.
    • Notify key stakeholders of the meeting at least two weeks in advance by sending a formal letter, speaking on the community radio, posting a message on the community advertising board, and/or sharing a message at the village/town/city/district/provincial hall.
  • Review new maps, drawings, charts, diagrams, brochures, draft and updated versions of the ESIA, and other technical documents prepared by ESIA Consultants.
    • Submit draft and updated versions of these materials to Financiers and the ESIA Authority for their review and approval.
    • Share draft and updated versions of these materials with Contractors and Subcontractors for their reference.
  • Cover the costs of the venue, printed materials, transportation for attendees, and refreshments for each project-related meeting.

 

With support from and participation of Developers, Contractors, and National and/or Subnational Government Officials, ESIA Consultants should:

  • Determine the appropriate breadth, depth, and type of analysis for each project based on potential environmental and social risks and impacts. Use one or more of the following ESIA methods and tools: ESIA, environmental and social audit, hazard assessment, risk assessment, cumulative impact assessment, social and conflict analysis, ESMP, ESMF, regional ESIA, sectoral ESIA, SESA, LARP, LRP, IPP, BAP, and CHMP.
    • Use appropriate ESIA methods and tools for smaller subprojects.
    • Examine direct, indirect, cumulative, and induced environmental and social risks and impacts for higher-risk projects.
      • Follow host country laws and relevant guidance for lower-risk projects.
  • Prepare new or updated maps, drawings, charts, diagrams, brochures, and/or technical documents that describe each project.
    • Collate up-to-date information about potential alternatives, proposed mitigation measures, construction phases and time frames, initial concerns, the process for undertaking the ESIA, plans for stakeholder identification and consultation, an outline of potential environmental and social impacts (including cumulative impacts), and required land.
    • Arrange for other appropriate Experts to assist in the explanation of scientific and technical information.
    • Work with Interpreters to translate written content into the local language(s) and dialect(s).
    • For Indigenous communities that do not have written languages, Interpreters should communicate orally and visually.
    • Submit current information about the design of the proposed project and the status of the ESIA to Developers and Contractors, as well as national and subnational levels of the Host Country Government.
  • Organize a series of meetings (including interviews, workshops, forums, and/or focus group discussions) and conduct additional surveys, as needed, to engage Affected People, CSOs/NGOs, and other key stakeholders in accordance with the stakeholder engagement plan. See Stakeholder Participation and Consultation for more information about meaningful consultation.
    • Notify key stakeholders of meetings at least two weeks in advance by sending a formal letter, speaking on the community radio, posting a message on the community advertising board, or sharing a message at the village/town/city/district/provincial hall.
    • Arrange separate meetings for women, Indigenous peoples, minorities, and other vulnerable groups.
    • Share technical and relevant information including, but not limited to, the project design, time frames, potential impacts, stakeholder engagement plan, and ESIA terms of reference (ToR). See Disclosure of Draft and Final Versions of ESIA and ESMP for more details on how to publicly disseminate this information for stakeholder feedback.
    • Provide physical copies of new or updated project-related materials in local language(s) and dialect(s) for Affected People to keep.
    • Consult Affected People, CSOs/NGOs, the Media, and Researchers/Experts on the project design, baseline data collection, potential impacts (especially community, livelihood, environmental, and cultural issues that they would either be knowledgeable about and/or find important), and project alternatives, among other issues in the draft documents.
    • Record stakeholder feedback, concerns, and queries, as well as information about local values regarding culture and the environment, to consider internally, incorporate directly into the ESIA report, and address during future meetings for each project.
    • Maintain a list of attendees to include in the stakeholder engagement plan. Ask attendees for permission before taking photos.
    • Follow up with attendees on specific issues, when necessary.
  • Provide Affected People, CSOs/NGOs, the Media, and Researchers/Experts adequate time to discuss the project with one another and provide feedback directly or anonymously before completing a draft ESIA report.
  • Update the following draft content from ToR in the ESIA report to reflect changes to:
    • Project design, including a clear demarcation of the project area of influence.
    • Project description.
    • Environmental and social baseline data.
    • Identification and characterization of environmental and social risks and impacts.
  • Prepare an ESIA report that assesses direct, indirect, cumulative, and induced environmental and social risks and impacts of all phases of each proposed project.
    • Collect additional data to fill gaps and address uncertainties in environmental and social baseline information.
    • Gather new data and replace out-of-date data with current data.
      • Validate existing data with key stakeholders.
  • Draw upon scientific information, as well as local and Indigenous knowledge, expertise, and practices.
  • Capture the significance and scope of environmental risks and impacts, including:
    • Environmental risks and impacts defined by the World Bank Group’s “Environmental, Health, and Safety Guidelines (EHSGs).”23
    • Environmental risks and impacts related to community safety, including dam safety and safe use of pesticides and other materials.
    • Environmental risks and impacts related to climate change.
    • Transboundary or global environmental and social risks and impacts such as liquid waste, emissions, and increased use or contamination of waterways.
    • Threats to natural habitats and biodiversity, including endangered species or depleted migratory species.
    • Environmental and social risks and impacts related to ecosystem services and the use of natural, socio-economic, and physical cultural resources.
  • Capture the significance and scope of social risks and impacts, including:
    • Threats to human security through the escalation of personal, communal, or interstate conflict, crime, or violence.
    • Impacts on women’s formal and informal sources of livelihood, in addition to disproportionate impacts on the poor, children, youth, minorities, Indigenous peoples, people with disabilities, and other disadvantaged or vulnerable groups.
    • Distribution of development resources and project benefits — particularly among disadvantaged or vulnerable individuals and groups.
    • Adverse economic and social impacts related to land acquisition or restrictions on land use.
    • Risks or impacts associated with land or natural resource tenure and use, such as impacts on local land-use patterns and tenure arrangements, land access and availability, food security, and land values, or risks related to conflict or competition over land and natural resources.
    • Impacts on the health, safety, and well-being of workers and Affected People.
    • Risks to cultural heritage — especially for communities who either still use cultural resources or have used them within living memory.
  • Examine alternatives for each project with potentially significant adverse impacts that are diverse, irreversible, and/or unprecedented.
    • Identify ways to enhance benefits and mitigate adverse impacts within the ESIA report for each project.
    • Document the rationale for decisions on the project location, design, technology, and components. Conduct a cost-benefit analysis of design alternatives under consideration.
    • Consider the “no project” alternative.
  • Integrate all findings and recommendations from the ESIA into the project design.23
What Would You Be Able to Do?
  • Browse the websites of Financiers, Developers, Contractors, Subcontractors, and the Host Country Government for information about their own procedures or guidelines for ESIAs or other methods and tools to assess environmental and social impacts and risks.
    • If any of this information is unavailable, ask the appropriate actor to publicly disclose specific details in your native language. See Stakeholders to identify some of the available mode(s) of contact.
  • If you are unable to directly contact the Contractors and/or Subcontractors, reach out to the Financiers, Developers, and/or the Host Country Government for assistance.
    • If you are unable to directly contact the Financiers, Developers, and/or the Host Country Government, reach out to a Community Leader or CSO/NGO for assistance.
  • Attend project meetings related to the preparation and implementation of the ESIA.
    • Speak with ESIA Consultants about your needs, as well as land/houses/structures/assets/services that belong to you, your family, or your community.
    • Ask about future meetings, as well as separate meetings for women, Indigenous peoples, minorities, and other vulnerable groups.
    • Ask Financiers, Developers, Contractors, and the Host Country Government to reimburse transportation costs and cover other costs associated with attendance.
    • Maintain a record of your attendance and participation — on either paper or your phone.
    • Ask ESIA Consultants to provide physical and/or digital copies of draft and updated versions of maps, drawings, charts, diagrams, brochures, scoping study, stakeholder engagement plan, ESIA report, and other technical documents in your native language. Review these materials.
    • Discuss the proposed project’s potential direct, indirect, cumulative, and induced environmental and social risks and impacts, as well as possible alternatives, with other community members, CSOs/NGOs, and appropriate Experts both during and after the meeting.
    • Provide feedback directly or anonymously to Financiers, Developers, Contractors, the Host Country Government, and the ESIA Authority.
  • If you have not heard about the project’s ESIA meetings, browse the websites of Financiers and the Host Country Government for information about when and where future meetings will be held, as well as who ESIA Consultants are and how they can be contacted.
    • If any of this information is unavailable, ask Financiers and the officials from the Host Country Government to publicly disclose specific details in your native language.
  • If the project’s ESIA meetings have already been held, browse the websites of Financiers and the Host Country Government for digital copies of the draft and final versions of maps, drawings, charts, diagrams, brochures, scoping study, stakeholder engagement plan, ESIA report, and other technical documents, as well as public comments, in your native language.
    • Set aside time to discuss the materials with other community members, CSOs/NGOs, and appropriate Experts.
    • Provide feedback directly or anonymously to Financiers, Developers, Contractors, and the Host Country Government.
    • If any of this information is unavailable in your native language, ask Financiers, Developers, Contractors, and the Host Country Government for physical and/or digital copies of translated materials.
  • While the ESIA is being undertaken or after a draft report has been prepared, review Financiers’, Developers’, Contractors’, Subcontractors’, and the Host Country Government’s compliance with governmental, industry-specific, and internal policies, procedures, and guidelines for ESIAs, among other methods and tools to assess environmental and social impacts and risks.
    • Review Financiers’ compliance with China Banking and Insurance Regulatory Commission’s (CBIRC) “Key Performance Indicators (KPIs) of Green Credit Implementation” and “Guidelines on Regulating the Banking Industry in Serving Enterprises’ Overseas Development and Strengthening Risk Control,” as well as the China Banking Association’s (CBA) “Corporate Social Responsibility Guidelines.”  Submit concerns or complaints about Financiers’ noncompliance with KPIs or other guidelines to CBIRC or CBA.
    • Review China International Contractors Association’s (CHINCA) “Guide on Social Responsibility for Chinese International Contractors.” Submit concerns or complaints to CHINCA about Developers and Contractors that do not undertake proper EIAs, due diligence, and other processes to prevent risks during the pre-project planning phase.
    • Report major relevant situations or events, such as the failure to follow international practices when conducting environmental impact assessments (EIAs) and due diligence, to the Chinese Ministry of Commerce (MOFCOM) and Ministry of Ecology and Environment (MEE) in a timely manner.
    • Submit queries/concerns/complaints about noncompliance with other policies, procedures, or guidelines to the appropriate actor.
What Would It Accomplish or Prevent?

Hiring ESIA Consultants to conduct ESIAs, prepare the reports, and engage key stakeholders in public meetings during the pre-project planning phase would:

  • Provide a more accurate, complete, and current understanding of baseline conditions, as well as the magnitude of proposed projects’ environmental and social risks. Prevent Financiers, Developers, Contractors, and the Host Country Government from moving forward with — and funding — projects with irreversible adverse environmental and social impacts.
  • Align Financiers’, Developers’, and Contractors’ practices for BRI projects with Chinese laws on undertaking domestic EIAs and Chinese regulations on implementing assessments for overseas projects, as well as international best practices.
  • Address critical gaps in compliance with host country laws, regulations, and procedures on how to develop and conduct ESIAs.
  • Enhance Developers’ and Contractors’ awareness of key stakeholders.
  • Fully inform key stakeholders of project details relevant to the ESIA process.
  • Maintain regular contact between Developers, Contractors, ESIA Consultants, and the Host Country Government on the one hand and local communities, CSOs/NGOs, and other third-party stakeholders on the other. Build strong relationships based on inclusive dialogue and constructive feedback.
  • Increase transparency and accountability of project-related operations, especially surrounding the in-depth evaluation of environmental and social impacts and risks and the preparation of the ESIA report.
  • Build trust, understanding, and capacity among local communities, host country stakeholders, and other third-party stakeholders.
  • Increase the efficiency of the ESIA process by identifying indirect, direct, cumulative, and induced impacts from key stakeholders.
  • Improve the overall quality of each ESIA and project. Ensure local and Indigenous knowledge, expertise, and practices inform project planning and decision-making.
  • Drive people-oriented progress and further green development.
  • Bolster Developers’ and Contractors’ annual company rankings or credit ratings for effectively managing environmental, social, and governance (ESG) factors, while abiding by host country legislation and fulfilling other social responsibilities.
  • Reduce the risk of protests, damage, or other forms of conflict during the project implementation and operations phases.
  • Curb significant commercial costs from delays caused by social upheaval, especially during the project implementation and operations phases.
Resources
  • Asian Development Bank (ADB), “Outline of an Environmental Impact Assessment,” in Safeguard Policy Statement, p. 41-43, 2009, View the PDF.
  • Asian Development Bank (ADB), “Outline of an Indigenous Peoples Plan (That Includes a Social Impact Assessment (SIA)),” in Safeguard Policy Statement, p. 63-65, 2009, View the PDF.  
  • Asian Development Bank (ADB), “Outline of a Resettlement Plan (That Includes a Social Impact Assessment (SIA)), in Safeguard Policy Statement, p. 51-54, 2009, View the PDF
  • Asian Infrastructure Investment Bank (AIIB), “Elements and Process of an Environmental and Social Impact Assessment (ESIA),” in Environmental and Social Framework, p. 22, 43, 71-72, 2021, View the PDF
  • International Union for Conservation of Nature (IUCN), "Environmental and Social Impact Assessment (ESIA)," Guidance Note – ESMS Manual, Environmental & Social Management System (ESMS), March 15, 2020, View the PDF.
  • International Union for Conservation of Nature (IUCN), "Social Impact Assessment (SIA)," Guidance Note – ESMS Manual, Environmental & Social Management System (ESMS), May 2016, View the PDF.
  • World Bank, “Outline of an Environmental and Social Impact Assessment (ESIA) Report,” in Environmental and Social Framework, p. 25-26, 2017, View the PDF
  • United Nations Development Programme’s (UNDP), “Social and Environmental Assessment and Management: Annex 3: Indicative Outline of an Environmental and Social Impact Assessment (ESIA) Report,” in Guidance Note: UNDP Social and Environmental Standards, p. 46-47, November 2020, View the PDF
  • Asian Development Bank (ADB), “Environmental Assessment Guidelines,” View the PDF.
  • International Association for Impact Assessment (IAIA), “Social Impact Assessment: Guidance for assessing and managing the social impacts of projects,” View the PDF
  • International Institute for Sustainable Development (IISD), “Step 3: Impact Assessment and Mitigation,” in The 7 Steps to an EIA, View the Website
  • Inter-American Development Bank (IDB), “Social Impact Assessment: Integrating Social Issues in Development Projects,” May 2018, View the Website.
  • The Regional Environmental Center for Central and Eastern Europe, “Impact Analysis” and “Reporting,” in EIA Training Resource Manual for South Eastern Europe, View the PDF
  • United Nations Development Programme (UNDP), “Guidance Note: Social and Environmental Assessment and Management,” in UNDP Social and Environmental Standards, July 2022, View the PDF
  • United Nations Environment Programme (UNEP), “Topic 6: Impact Analysis,” in Environmental Impact Assessment Training Resource Manual, Second Edition, 2002, View the PDF.
  • United Nations Environment Programme (UNEP), “Topic 8: EIA Reporting,” in Environmental Impact Assessment Training Resource Manual, Second Edition, 2002, View the PDF.
  • United Nations Environment Programme (UNEP), “Topic 13: SIA,” in Environmental Impact Assessment Training Resource Manual, Second Edition, 2002, View the PDF
  • Christina Hill, Chris Madden, and Nina Collins, A Guide to Gender Impact Assessment for the Extractive Industries (Melbourne: Oxfam, 2017), View the PDF
  • Victoria Government of Australia Commission For Gender Equality, “Gender impact assessments,” View the Website.
  • World Bank, “Responsible Agricultural Investment (RAI),” in Knowledge Into Action Note Series, View the PDF
  • World Bank, “ESS1: Assessment and Management of Environmental and Social Risks and Impact,” Guidance Note for Borrowers, Environmental & Social Framework for IPF Operations, 2016, View the PDF.
  • Environmental Law Alliance Worldwide (ELAW), “Who Prepares EIA, Who Pays for EIA, EIA Contractor Qualifications, Conflict of Interest, Public Meetings, Public Input at Meeting, Criteria to Hold Public Meeting, Days for Public to Review Draft EIA, Public Comments on Draft EIA,” in EIA Complete Factors, View the Website.

1 This checklist uses the term ESIA to recommend the preparation and implementation of an in-depth evaluation of environmental and social impacts and risks for each proposed project. However, depending on the Financiers, Developers, Contractors, and the Host Country Government, an environmental impact assessment (EIA), initial environmental examination (IEE), or another ESIA-related method or tool could be employed to evaluate a project’s impacts and risks. In some cases, Indigenous peoples’ plans (IPPs) and land acquisition and resettlement plans (LARPs) may include an assessment of social impacts. It is also possible for projects to involve social impact assessments (SIAs) that are separate from EIAs, IPPs, LARPs, and other project documentation.

2 Ministry of Environmental Protection (MEP) (now Ministry of Ecology and Environment (MEE)) et al., “Guidance on Promoting Green Belt and Road,” 2017; MEP, “The Belt and Road Ecological and Environmental Cooperation Plan,” 2017.

3 China Banking Association (CBA), “Corporate Social Responsibility Guidelines,” 2009.

4 China Banking Regulatory Commission (CBRC) (now China Banking and Insurance Regulatory Commission (CBIRC)), “Key Performance Indicators of Green Credit Implementation,” June 2014.

5 CBRC and China Insurance Regulatory Commission (CIRC) (now CBIRC), “Guidelines on Regulating the Banking Industry in Serving Enterprises’ Overseas Development and Strengthening Risk Control,” 2017.

6 The Export-Import Bank of China (China Exim Bank), “Guidelines for Environmental and Social Impact Assessment for Project Loans of the China Export and Import Bank,” 2007.

7 Bank of China (Hong Kong) (BOCHK), “Sustainability Policy,” 2021.

8 CBA, “Corporate Social Responsibility.” 

9 Ministry of Commerce (MOFCOM) and MEE, “Guidelines for Ecological Environmental Protection in Foreign Investment Cooperation and Construction Projects,” 2022; MOFCOM and MEP, “Guidelines for Environmental Protection in Foreign Investment and Cooperation,” 2013.

10 Responsible Cobalt Initiative (RCI) and Responsible Minerals Initiative (RMI), “Cobalt Refiner Supply Chain Due Diligence Standard (version 2.0),” 2021.

11 China-ASEAN Investment Cooperation Fund (CAF), “Social Responsibility and Environmental Protection Guidelines for Investments in the ASEAN Region,” 2014; China Datang Corporation (CDT), “Regulation on Environmental Protection,” 2017.

12 The following guidelines and internal policies specify the importance of using Chinese and/or international best practices for ESIAs: MOFCOM and MEE, “New Guidelines for Green Development in Overseas Investment and Cooperation,” 2021; MOFCOM and MEE, “Ecological Environmental Protection;” National Development and Reform Commission (NDRC) et al., “Code of Conduct for the Operation of Overseas Investments by Private Enterprises,” 2017; Green Finance Committee (GFC) of China Society for Finance and Banking et al., “Environmental Risk Management Initiative for China’s Overseas Investment,” 2017; China Exim Bank, “Environmental and Social Impact Assessment;” China Chamber of Commerce of Metals, Minerals and Chemicals Importers and Exporters (CCCMC), “Guidance for Sustainable Natural Rubber,” 2017; CCCMC, “Guidelines for Social Responsibility in Outbound Mining Investments,” 2017. The following guidelines encourage Developers and Contractors to undertake ESIAs: China International Contractors Association (CHINCA), “Draft Revisions to Guide on Social Responsibility for Chinese International Contractors,” 2021; CHINCA, “Guide on Social Responsibility for Chinese International Contractors,” 2012; CHINCA and Dagong Global Credit Rating, “Guidelines of Sustainable Infrastructure for Chinese International Contractors (SIG),” 2017; Ministry of Finance (MOF) et al., “Guiding Principles on Financing the Development of BRI,” 2017; Green Finance Initiative and GFC, “Green Investment Principles (GIP) for the Belt and Road,” 2018; RCI and RMI, “Cobalt Refiner Supply.”

13 CCCMC, “Outbound Mining Investments.” The following internal company policies emphasize the need to identify and assess social and environmental impacts: China Three Gorges Corporation (CTG), “Sustainable Development Policy,” 2017; Sinohydro, “Environmental Protection Policy Statement,” 2017.

14 CCCMC, “Outbound Mining Investments.”

15 Standing Committee of the National People's Congress, “Environmental Protection Law of the People's Republic of China,” 1989.

16 RCI and RMI, “Cobalt Refiner Supply.”

17 CCCMC, “Outbound Mining Investments.”

18 MEE, “Measures for Public Participation in Environmental Impact Assessments,” 2018.

19 Ibid; MOFCOM and MEE, “New Guidelines.”

20 MOFCOM and MEE, “Ecological Environmental Protection.”

21 State Council, “Regulation on Environmental Impact Assessment of Planning,” 2009.

22 Standing Committee of the National People's Congress, “Environmental Impact Assessment Law of the People's Republic of China,” 2002; Standing Committee of the National People's Congress, “Amendment to the Environmental Impact Assessment Law of the People's Republic of China,” 2016.

23 International Best Practice is based on Asian Development Bank (ADB), "Safeguard Policy Statement," 2009; Asian Infrastructure Investment Bank (AIIB), "Environmental and Social Framework," 2021; World Bank, "Environmental and Social Framework," 2018; Mekong Partnership for the Environment, "Guidelines on Public Participation in Environmental Impact Assessment in the Mekong Region," First Edition, 2017.