Preparation and Implementation of Environmental and Social Management Plan (ESMP)
Financiers should require Developers and Contractors to use the environmental and social impact assessment (ESIA) to prepare an objective and comprehensive environmental and social management plan (ESMP) for each project. The plans should be scaled to the potential impacts and risks, with higher-risk projects necessitating more robust implementation, monitoring, and enforcement mechanisms. During the pre-project planning phase, ESIA Consultants should set requirements for environmental and social management; propose mitigation measures; assign implementation and monitoring actions for these measures to the appropriate stakeholders; engage and inform stakeholders of updates and new information in an inclusive, gender-sensitive, and culturally appropriate manner; and present their recommendations and conclusions in the ESMP — either as a stand-alone document or an attachment to the ESIA report. After receiving draft and final versions of the ESMP, Developers should share the plan 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. Developers (and Contractors) should include individual mitigation and monitoring measures in the overall project design, the budget, and the implementation schedule, as well as agreements with Contractors (and Subcontractors).
Once projects enter the implementation and operations phases, Developers and Contractors should oversee environmental and social management undertaken by the staff of Developers, Contractors, and Subcontractors. Assigned staff should collaborate with other responsible stakeholders to implement mitigation and monitoring measures in accordance with the provisions, time frames, and requirements set out in the ESMP. As part of their oversight, Developers and Contractors should ensure that the necessary funds and resources are readily available. While it is critical to address adverse impacts, Developers, Contractors, and Subcontractors should also proactively enhance project benefits in consultation with Affected People, CSOs/NGOs, and other local stakeholders.
ESMPs enable Developers, Contractors, and Subcontractors to avoid, minimize, and offset or compensate for adverse impacts that could occur throughout the life cycle of each project. With support from both Financiers and the Host Country Government, these companies could offer equal or better living conditions to Affected People; provide reliable employment or viable livelihood opportunities; protect the health, safety, and well-being of workers and local communities; promote the conservation of natural and physical cultural resources; and use energy-efficient and sustainable development practices and technologies. While preparing ESMPs, ESIA Consultants should continuously solicit feedback from key stakeholders and make deliberate efforts to meet with vulnerable and disadvantaged groups and individuals. Developers and Contractors could also collaborate with Affected People, CSOs/NGOs, and Experts/Researchers on coordinating responsibilities and arrangements for specific mitigation and monitoring activities within ESMPs. The effectiveness of each mitigation activity should be revealed through regular Project Monitoring and Reporting. With a proper ESMP for their proposed projects, Developers and Contractors can ensure that their projects have the necessary management tools, resources, and funds to generate net positive impacts on people, the economy, and the environment.
For Overseas Projects:
The Chinese Government should:1
- Offer a consultative service concerning environmental risk prevention for overseas projects.
- Establish and maintain environmental information-sharing platforms to enhance advisory services and cooperation on environmental risk prevention.
- Reinforce cooperation on environmental emergencies and early warnings.
- Strengthen environmental management of overseas investment.
- Develop codes of conduct for the environmental performance of overseas investments by Developers and Contractors.2
- Provide guidance to Developers and Contractors on preventing environmental risks in accordance with host country requirements.
- Establish and improve environmental and social risk management (ESRM) policies and capabilities.3
- Commit to not funding any company whose environmental and social performance fails to comply with requirements.4
- The Export-Import Bank of China (China Exim Bank) formulates and publishes annual requirements for ESRM, which include consideration of resource conservation and environmental protection when allocating funds.5
- The Bank of China (Hong Kong) (BOCHK) incorporates climate-related risk management into procedures to identify, measure, monitor, report, control, and mitigate climate-related risks.6
- Review and reinforce Developers’ and Contractors’ as well as projects’ performance in energy saving and emission reduction, environmental protection, clean production, work safety, and social impacts.7
- Urge Developers and Contractors to strengthen ESRM. Include clauses requiring stronger risk management in contracts for higher-risk projects.8
- Ensure Developers and Contractors abide by environmental protection requirements in relevant laws and regulations.9
- For Category B Developers and Contractors, require the environmental and social risk management team at Financiers’ headquarters to supervise the development of risk management measures by relevant branches.10
Financiers, Developers, and Contractors should:
- Strictly follow host country laws and regulations on environmental and social management throughout the project life cycle.11
- Adopt international best practices if local laws and regulations are unavailable or insufficient.12
- Establish and improve overseas investment systems for risk monitoring, management, and control.13
- Incorporate environmental, social, and governance (ESG) risk factors into decision-making processes.14
- Adapt Chinese systems to host countries’ laws and regulations.15
- Disclose information about their risk management systems.16
- Develop comprehensive ESRM plans, with the help of independent third parties and competent authorities, during the pre-project planning phase.17
- Use ESIA results to formulate reasonable and effective mitigation measures for adverse impacts on the environment, as well as human rights, health, and conflict.18
- Provide information about mitigation measures to Affected People.19
- Prioritize avoiding and minimizing adverse impacts. If this is not possible, offset or compensate these impacts with benefits to the environment and society.20
- Implement ESRM plans during the project implementation and operations phases.21
Developers and Contractors should:
- Develop plans for responding to environmental accidents or emergencies and controlling pollution.22
- Submit a risk prevention and control report to the State-owned Assets Supervision and Administration Commission of the State Council (SASAC) as part of an investor review for each overseas project listed in the special supervision category of its negative list.23
- Work with SASAC to establish an investment information system for ongoing monitoring, analysis, and management of projects and their risks.
- Consider ecological damage, pollution, penalties, litigation, and environmental risks as part of due diligence before external mergers with and acquisitions of other companies.24
- Appoint staff to be responsible for ecological and environmental protection work.25
- Strengthen ecological and environmental protection training, seminars, capacity building, and cooperation.26
- Encourage Subcontractors and other stakeholders to avoid/mitigate indirect risks to sustainability.27
- Provide compensation, resettlement, and livelihood restoration support to Affected People in accordance with the ESMP.28
- Offer reliable employment opportunities to Affected People. Protect their rights as workers.29
- Protect the environment while implementing projects.30
- Manage, use, and develop natural resources in an efficient and sustainable manner.31
- Avoid damage to the local society. Restore the environment if damage occurs during construction.32
- Cooperate with host countries on pollution prevention and control, solid waste management, and improvement of the rural environment.33
- Use environmentally friendly technology, equipment, materials, and processes. Construct pollution prevention facilities in accordance with host countries' laws and regulations.34
- Adopt a green, low-carbon, and sustainable approach to improving operations, management, and maintenance of project offices, sites, facilities, and surrounding areas.35
- Safeguard ecosystems and biodiversity — including precious, rare, threatened, or endangered fauna and flora — as well as their habitats, other nationally and internationally recognized protected areas, and the environment, which ranges from the atmosphere to water, seas, land, minerals, forests, wildlife, natural and human remains, nature reserves, historic sites, scenic spots, and urban and rural areas.36
For Domestic Projects in China Only:
Developers and Contractors should:
- Work with Environmental Impact Assessment (EIA) Consultants to include mitigation measures in written EIA reports for planning.37
- Work with EIA Consultants to incorporate technical and economic information about protective environmental measures, as well as a monitoring proposal, into written EIA reports.38
With support from Developers and Contractors, ESIA Consultants should:
- Draw upon technical ESIAs to identify anticipated adverse environmental and social impacts and risks from each project.
- Set requirements for Developers, Contractors, and Subcontractors to ensure these adverse impacts are effectively addressed in a timely manner.
- Propose measures and actions to meet these requirements in accordance with the mitigation hierarchy.
- Eliminate, prevent, or avoid risks and adverse impacts.
- If avoidance is not possible, minimize or reduce risks and impacts to acceptable levels. Mitigate the remaining risk and impacts.
- If significant residual impacts remain, identify technical and/or financial options to compensate for or offset them.
- Proactively consider ways to enhance projects’ benefits, especially for Affected People.
- Place emphasis on eliminating or avoiding adverse impacts.
- If this is not possible, look to offset or reduce adverse impacts. Provide compensatory measures of the same nature and commensurate with projects’ residual impacts. Adopt the Polluter Pays principle.
- Consider the significance of residual impacts on the environment and people affected by the project in the long run, as well as the extent to which such impacts are considered reasonable in the context of each project.
- If it is determined that neither compensating for nor offsetting residual impacts would be technically or financially feasible, explain the rationale for this determination, including the options under consideration, in the ESIA and ESMP.
- Describe — with technical details — each mitigation measure that should be undertaken during the project implementation and operations phases, including:
- The risk or adverse impact(s) it addresses.
- The environmental and social impacts it causes, in combination with the existing project plans.
- The conditions of its implementation (e.g., ongoing or in case of emergencies).
- The necessary actions, designs, equipment, and procedures for implementation.
- Prepare new or updated maps, drawings, charts, diagrams, brochures, and/or technical documents that describe each mitigation measure.
- Collate up-to-date information about environmental and social impacts, potential alternatives, proposed mitigation measures, construction phases and time frames, initial concerns, the process for developing the ESMP, plans for stakeholder identification and consultation, and required land.
- Arrange for other appropriate Experts to assist in the explanation of scientific and technical information about environmental and social management.
- Work with Interpreters to translate written content into local language(s) and dialect(s) and, as needed, to communicate orally and visually.
- Submit current information about the design of the proposed project and the status of the ESMP 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 local 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 frame, potential impacts, stakeholder engagement plan, and the ESIA. 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) for Affected People to keep.
- Consult Affected People, CSOs/NGOs, the Media, and Researchers/Experts on the project design, project alternatives, proposed mitigation measures, and monitoring activities, among other issues, in the draft documents. Record their requests, feedback, concerns, and queries, as well as information about local values regarding culture and the environment, to consider internally, incorporate directly into the ESMP, 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 each project with one another and provide feedback before completing a draft ESMP.
- Identify appropriate implementation and monitoring objectives for mitigation measures and actions.
- Determine which stakeholder(s) are responsible for carrying out, supervising, enforcing, financing, and reporting on mitigation and monitoring measures, as well as responding to sudden events/emergencies and developing corrective actions.
- Use ESIAs to determine the presence, role, and capacity of Developers’, Contractors’, and Subcontractors’ staff, relevant agencies and ministries within the Host Country Government, Affected People, CSOs/NGOs, Researchers/Experts, and independent third-party stakeholders in implementing project components and their mitigation measures.
- Account for the experience and capacity of responsible stakeholders. Ensure that stakeholders directly responsible for activities relevant to the implementation of ESMPs are adequately qualified, trained, and equipped with the knowledge and skills necessary to perform their work.
- Recommend and support the establishment or expansion of mechanisms, departments, or parties, as well as the training of specific stakeholders by qualified and experienced Experts.
- Set requirements for continuously monitoring and reporting on projects to detect significant impacts that necessitate certain mitigation measures or trigger corrective actions through environmental and social action plans (ESAPs).
- Determine the specifics of each monitoring activity, including the methods, parameters, location(s), frequency, and detection limits of measurements.
- Develop an implementation schedule for mitigation and monitoring measures as part of plans throughout the project life cycle.
- Request funds from Financiers to cover activities laid out in the ESMP.
- Identify one-time and recurring costs needed to implement the ESMP. Determine adequate funding sources for these estimated costs.
- Determine which stakeholder(s) are responsible for carrying out, supervising, enforcing, financing, and reporting on mitigation and monitoring measures, as well as responding to sudden events/emergencies and developing corrective actions.
- Prepare ESMPs that cover:
- Proposed mitigation measures for environmental and social risks and impacts.
- Monitoring and reporting requirements, including third-party monitoring and periodicity of monitoring reports.
- Emergency response procedures.
- Health and safety (H&S) measures for the local communities.
- Related institutional or organizational arrangements.
- Provisions for Transparent and In-Depth Information Sharing and stakeholder engagement during project preparation and implementation.
- Provisions for the use of Grievance Mechanisms.
- Capacity development and training measures.
- The need to respond to changes in unforeseen circumstances or events, regulatory changes, and monitoring results.
- The process for adapting to, managing, and reporting on changes in projects or their circumstances.
- The adoption of chance find procedures for pre-approved management and conservation of materials that could be discovered during the project implementation phase.
- Implementation schedule and cost estimates, including time frames, phasing, coordination, and investment and recurrent costs for developing and implementing each ESMP (mitigation, monitoring, capacity building, land acquisition, resettlement, compensation, and special measures for Indigenous peoples).
- Performance indicators (a set of measurable outcomes and targets to be regularly monitored by Developers and Contractors and reviewed by Financiers), with disaggregation by gender and community as appropriate.
- Copies of the land acquisition and resettlement plan (LARP), livelihood restoration plan (LRP), and/or Indigenous peoples plan (IPP).
Developers (and Contractors) should:
- 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.
- Review new maps, drawings, charts, diagrams, brochures, draft and updated versions of the ESIA and ESMP, and other technical documents prepared by ESIA Consultants.
- Submit new, draft, and updated versions of these materials to Financiers and the ESIA Authority for their review and approval.
- Share new, 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, childcare support, and refreshments for each project-related meeting.
- Incorporate individual mitigation and monitoring measures from ESMPs into the design, budget, and implementation schedule during the pre-project planning phase.
- Incorporate provisions, time frames, and requirements for implementation, enforcement, and monitoring of ESMPs into contracts with Contractors (and Subcontractors).
- Assess the risks and impacts associated with Contractors’ (and Subcontractors’) contracts.
- Ensure Contractors (and Subcontractors) are legitimate, reliable enterprises with the knowledge and skills to perform project tasks in accordance with contractual commitments.
- Require Contractors (and Subcontractors) to fulfill commitments set forth in the ESMP and apply appropriate environmental and social management tools within contracts and other tender documents.
- Monitor the activities of Contractors (and Subcontractors) for compliance with contractual commitments.
- Provide training, either directly or through Contractors (and Subcontractors), to address specific measures and actions required by ESMPs, and support effective and continuous social and environmental performance.
- Communicate key social and environmental responsibilities within ESMPs to staff.
- Oversee and maintain the overall organizational structure to implement environmental and social management during the project implementation and operations phases.
- Ensure necessary staff, responsible stakeholders, funds, and other resources are available to continuously implement the ESMP in accordance with the predetermined schedule.
- Set out the ensuing ESMP requirements in project financing agreements and other documentation to be followed by Developers, Contractors, and Subcontractors:
- Implement project activities and operate projects in compliance with ESMPs.
- Undertake activities that strengthen their own capacities to implement ESMPs, especially when companies lack adequate capacity.
- Prepare periodic monitoring reports.
- Support the preparation of ESMPs.
- Conduct environmental and social diligence of all projects.
- Review information provided by Developers (and Contractors) related to environmental and social management.
- Request additional information to ensure due diligence is completed.
- Determine whether Developers (and Contractors) need to hire independent third-party Experts to assist with the preparation of the ESMP.
Developers, Contractors, and Subcontractors should:
- Not carry out project activities with adverse environmental or social risks or impacts, until project plans include provisions in the ESMP and conditions of approval from the ESIA Authority.
- Provide Adequate Compensation, Resettlement, and Livelihood Restoration Support to Affected People in accordance with the ESMP, LARP, LRP, and IPP.
- Ensure that these people have equal or better access to clean water, housing, childcare and schools, hospitals or health clinics, roads, a safe environment, productive land, forests, fisheries, and other natural resources.
- Offer reliable Local Employment opportunities to Affected People.
- Protect their rights as workers.
- Conserve natural and physical cultural resources.
- Avoid destroying or damaging these resources.
- Implement special programs to enhance conservation in projects affecting legally protected areas.
- Avoid implementing project activities in critical habitats, unless adverse impacts would not impair each habitat’s ability to function, the project would not threaten (critically) endangered species, or mitigation measures have been developed for less adverse impacts.
- Avoid significant land conversion loss and environmental degradation in projects affecting natural habitats, unless no alternatives are available, overall benefits significantly outweigh environmental costs, or these adverse impacts have been mitigated.
- Adopt a precautionary approach toward using, managing, and developing renewable natural resources.
- Use cleaner production processes, as well as practices and technologies to not only increase energy efficiency but also prevent, minimize, or control pollution from greenhouse gas (GHG) emissions, waste generation, and the release of hazardous materials.39
- Browse the websites of Financiers, Developers, Contractors, Subcontractors, and the Host Country Government for information about their own procedures or guidelines for the ESMP or related methods and tools to manage 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 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 ESMP (including workshops, forums, and/or focus group discussions).
- Offer alternatives on how projects should avoid or offset adverse environmental and social impacts and risks. Provide recommendations that stipulate how Developers, Contractors, and Subcontractors should protect specific trees/lakes/streams/land/houses/structures/assets/services that may be important to your culture, health, safety, livelihood, and/or quality of life. For projects with relatively minor impacts, consider potential measures to minimize traffic or different forms of air, water, or noise pollution from construction.
- Request access to new or improved resources, such as clean water, carbon-free electricity, and waste management, from Developers and/or the Host Country Government to compensate for adverse impacts.
- 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, the ESIA report, the ESMP, and other technical documents in your native language. Review these materials.
- Discuss possible alternatives and mitigation measures 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 ESMP 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 you are unable to directly contact the Financiers and/or the Host Country Government, reach out to a Community Leader or CSO/NGO for assistance.
- If the project’s ESMP 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, the ESIA report, the ESMP, 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 translations of these materials.
- While the ESMP is being implemented or after a draft plan 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 ESMPs, among other methods and tools to manage environmental and social impacts and risks.
- Review 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,” “Opinions on Green Credit Implementation,” and “Green Credit Guidelines,” 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,” “Guidelines of Sustainable Infrastructure for Chinese International Contractors,” and “Community Engagement Handbook 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 minimize ecological risks or strengthen environmental management, to the Chinese Ministry of Commerce (MOFCOM) and Ministry of Ecology and Environment (MEE) in a timely manner.
- Check whether the project is part of SASAC’s public negative list of central state-owned enterprises’ (CSOEs) overseas investment projects. For these projects, CSOEs need to submit risk prevention and control reports to SASAC for review.
- Submit queries/concerns/complaints about noncompliance with other policies, procedures, or guidelines to the appropriate actor.
Hiring ESIA Consultants to compare project alternatives, devise mitigation and monitoring measures, produce ESMPs, and engage key stakeholders in public meetings during the pre-project planning phase would:
- Advance high-quality development along the BRI. Prevent Financiers, Developers, Contractors, and the Host Country Government from moving forward with — and funding — projects with irreversible adverse environmental and social impacts.
- Abide by host country laws, regulations, and procedures on preparing comprehensive ESMPs.
- Enhance Developers’ and Contractors’ awareness of key stakeholders.
- Fully inform key stakeholders of the ESMP and other aspects of 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 mitigation of adverse environmental and social impacts and the enhancement of project benefits.
- Boost efficiency of the ESIA process by identifying potential mitigation measures from key stakeholders.
- Improve the overall quality of each ESMP and project. Ensure local and Indigenous knowledge, expertise, and practices inform project planning, decision-making, implementation, and operations.
- 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.
Preparing and maintaining the necessary staff, responsible stakeholders, funds, resources, and schedule to carry out ESMPs in a transparent and inclusive manner throughout the project life cycle would:
- Align Financiers’, Developers’, and Contractors’ practices for BRI projects with Chinese guidelines for managing environmental and social risks and Chinese regulations for undertaking overseas projects, as well as international best practices.
- Address critical gaps in compliance with host country laws, regulations, and procedures on how to fully implement ESMPs.
- Build trust, understanding, and capacity among local communities, host country stakeholders, and other third-party stakeholders.
- Ensure promises, commitments, and requirements on environmental and social management set in the pre-project planning phase are fulfilled.
- Drive people-oriented progress and further green development.
- Bolster Developers’ and Contractors’ annual company rankings or credit ratings for effectively managing ESG factors, while abiding by host country legislation and fulfilling other social responsibilities.
- Reduce the risk of protests, damage, or other forms of conflict.
- Curb significant commercial costs from delays caused by social upheaval.
- Asian Development Bank (ADB), “Safeguard Requirements 1: Environment,” in ADB Safeguard Policy Statement, p. 41-43, 2009, View the PDF.
- International Union for Conservation of Nature (IUCN), "Developing and Monitoring an Environmental and Social Management Plan (ESMP)," Guidance Note & Template, Environmental & Social Management System (ESMS), January 2019, View the PDF.
- United Nations Development Programme (UNDP), “Social and Environmental Assessment and Management: Annex 4: Indicative Outline of an Environmental and Social Management Plan (ESMP),” in Guidance Note: UNDP Social and Environmental Standards, p. 48-49, 2020, View the PDF.
- World Bank, “Assessment and Management of Environmental and Social Risks and Impacts,” in Environmental and Social Framework, p. 26-27, 2017, View the PDF.
- World Bank, “Environmental and Social Commitment Plan (ESCP), 2018, View the PDF.
- International Finance Corporation (IFC), “Good Practice Note: Managing Contractors’ Environmental and Social Performance,” 2017, View the Website.
- International Institute for Sustainable Development (IISD), “Step 3: Impact Assessment and Mitigation,” in The 7 Steps to an EIA, View the Website.
- The Regional Environmental Center for Central and Eastern Europe, “Impact Mitigation,” in EIA Training Resource Manual for South Eastern Europe, View the PDF.
- United Nations Environment Programme (UNEP), “Topic 7: Mitigation and Impact Management,” in Environmental Impact Assessment Training Resource Manual, Second Edition, 2002, View the PDF.
1 Ministry of Environmental Protection (MEP) (now Ministry of Ecology and Environment (MEE)) et al., "Guidance on Promoting Green Belt and Road," April 2017; MEP, “The Belt and Road Ecological and Environmental Cooperation Plan,” May 2017.
2 National Development and Reform Commission (NDRC) et al., “Opinions on Jointly Promoting Green Development of the Belt and Road,” 2022.
3 China Banking Regulatory Commission (CBRC) (now China Banking and Insurance Regulatory Commission (CBIRC)), "Key Performance Indicators of Green Credit Implementation," 2014; CBRC and China Insurance Regulatory Commission (CIRC), "Guidelines on Regulating the Banking Industry in Serving Enterprises’ Overseas Development and Strengthening Risk Control," January 2017; China Datang Corporation (CDT), “Regulation on Environmental Protection,” 2017; CBIRC and CIRC, "General Office of the China Banking Regulatory Commission Opinions on Green Credit Implementation," 2013.
4 CBRC, "Key Performance Indicators.”
5 The Export-Import Bank of China (China Exim Bank), “White Paper on Green Finance,” 2019; China Exim Bank, “Guidelines for Environmental and Social Impact Assessment for Project Loans of the China Export and Import Bank,” 2007.
6 Bank of China Hong Kong (BOCHK), “Sustainability Policy,” 2021.
7 CBIRC, "Opinions on Green Credit.”
8 People's Bank of China (PBOC) et al., “Guidelines for Establishing the Green Financial System,” August 2016; Ministry of Finance (MOF) et al., “Guiding Principles on Financing the Development of BRI,” May 2017; CBRC, "Key Performance Indicators.”
9 BOCHK, “Sustainability Policy;” China International Contractors Association (CHINCA), “Hierarchical Framework Standard (Industry Standard) for Foreign Contracted Engineering Enterprises (Trial),” April 2018; CBRC, "Key Performance Indicators."
10 CBRC, "Key Performance Indicators."
11 Sinohydro, “Occupational Health, Safety and Environmental Policy Statement,” 2013; CDT, “Regulation on Environmental;” State Forestry and Grassland Administration (SFGA) and Ministry of Commerce (MOFCOM), “Guide on Sustainable Overseas Forest Management and Utilization by Chinese Enterprises,” 2009; MEE, “Regulations on the Approval Procedures for Environmental Impact Assessment Reports (forms) of Construction Projects,” November 2020.
12 China Chamber of Commerce of Metals, Minerals & Chemicals Importers & Exporters (CCCMC), “Guidelines for Social Responsibility in Outbound Mining Investments,” 2017; MOFCOM and MEE, "New Guidelines for Green Development in Overseas Investment and Cooperation," July 2021.
13 State-owned Assets Supervision and Administration Commission of the State Council (SASAC), “Measures for the Supervision and Administration of Overseas Investment by Central Enterprises,” January 2017; CBRC and CIRC, "Notice of the China Banking Regulatory Commission on Issuing the Green Credit Guidelines," February 2012; CDT, “Regulation on Environmental;” CCCMC, “Outbound Mining Investments.”
14 Green Finance Committee (GFC) of China Society for Finance and Banking et al., “Environmental Risk Management Initiative for China’s Overseas Investment,” September 2017; Green Finance Initiative and GFC, “Green Investment Principles (GIP) for the Belt and Road,” 2018.
15 CCCMC, “Outbound Mining Investments.”
16 Responsible Cobalt Initiative (RCI) and Responsible Minerals Initiative (RMI), "Cobalt Refiner Supply Chain Due Diligence Standard (version 2.0)," 2021.
17 The following policy refers to risk management or prevention: MEP et al., "Promoting Green Belt;" MOFCOM, “Administrative Measures on Outbound Investment,” September 2014. The following policies mention the preparation and implementation of risk management plans: Green Finance Initiative and GFC, “Green Investment Principles;” CCCMC et al., “Guidance for Sustainable Natural Rubber,” 2017; CCCMC, “Chinese Due Diligence Guidelines for Responsible Mineral Supply Chains,” 2015; China Three Gorges Corporation (CTG), “Sustainable Development Policy,” 2017; Sinohydro, “Environmental Protection Policy Statement,” 2017.
18 The following laws and policies focus on mitigation measures for adverse environmental impacts: China Banking Association (CBA), “Corporate Social Responsibility Guidelines,” January 2009; CHINCA, “Draft Revisions to Guide on Social Responsibility for Chinese International Contractors,” July 2021; Standing Committee of the National People's Congress, “Environmental Impact Assessment Law of the People's Republic of China,” October 2002; Standing Committee of the National People's Congress, “Amendment to the Environmental Impact Assessment Law of the People's Republic of China,” July 2016; Standing Committee of the National People's Congress, “Environmental Protection Law of the People's Republic of China,” December 1989; State Council, “Regulation on Environmental Impact Assessment of Planning,” August 2009. The following guidelines focus on mitigation measures for adverse social impacts: CCCMC et al., “Sustainable Natural Rubber;” CCCMC, “Chinese Due Diligence.”
19 CCCMC, “Outbound Mining Investments.”
20 CHINCA, “Draft Revisions;” China-ASEAN Investment Cooperation Fund (CAF), “Social Responsibility and Environmental Protection Guidelines for Investments in the ASEAN Region,” 2014; CHINCA and Dagong Global Credit Rating, “Guidelines of Sustainable Infrastructure for Chinese International Contractors (SIG),” June 2017; CHINCA, “Community Engagement Handbook for Chinese International Contractors-北京商道纵横信息科技有限责任公司,” 2021; CCCMC, “Outbound Mining Investments.”
21 CCCMC et al., “Sustainable Natural Rubber;” MOFCOM and MEE, "New Guidelines;” MOFCOM and MEP, “Guidelines for Environmental Protection in Foreign Investment and Cooperation,” February 2013; GFC et al., “Environmental Risk Management;” CBRC, "Key Performance Indicators;” CDT, “Regulation on Environmental;” Sinohydro, “Occupational Health;” RCI and RMI, "Cobalt Refiner Supply.”
22 MOFCOM and MEE, “Guidelines for Ecological Environmental Protection in Foreign Investment Cooperation and Construction Projects,” January 2022; MOFCOM and MEE, “Guidelines for Environmental;” CHINCA, “Community Engagement Handbook;” CDT, “Regulation on Environmental;” CCCMC, “Outbound Mining Investments;” Standing Committee, “Environmental Protection Law.”
23 SASAC, “Supervision and Administration.”
24 MOFCOM and MEE, “Ecological Environmental Protection;” MOFCOM and MEE, “Guidelines for Environmental.”
25 MOFCOM and MEE, “Ecological Environmental Protection.”
26 Ibid; MOF et al., “Guiding Principles;” NDRC and National Energy Administration (NEA), “Vision and Actions on Energy Cooperation in Jointly Building Silk Road Economic Belt and 21st-Century Maritime Silk Road,” 2017; CBA, “Corporate Social Responsibility;” CDT, “Regulation on Project Safety, Health and Environment,” 2009.
27 CCCMC et al., “Sustainable Natural Rubber.”
28 CHINCA, “Draft Revisions;” CHINCA and Dagong Global Credit Rating, “Guidelines of Sustainable Infrastructure;” CCCMC et al., “Sustainable Natural Rubber;” CAF, “Investments in the ASEAN Region;” RCI and RMI, "Cobalt Refiner Supply."
29 CHINCA, “Draft Revisions;” CHINCA and Dagong Global Credit Rating, “Guidelines of Sustainable Infrastructure;” NDRC et al., “Code of Conduct for the Operation of Overseas Investments by Private Enterprises,” December 2017; CCCMC et al., “Sustainable Natural Rubber;” CCCMC, “Outbound Mining Investments.”
30 The following policies broadly reference environmental protection: NDRC and NEA, “Vision and Actions;” SASAC, "Guidelines to the State-owned Enterprises Directly Under the Central Government on Fulfilling Corporate Social Responsibilities," December 2007; NDRC, “Measures for the Administration of Overseas Investment of Enterprises,” December 2017; State Council, “Regulations on the Administration of Foreign Contracted Projects,” July 2017; MOFCOM et al., “Guideline for Promoting High-quality Development of Overseas Contracted Projects,” August 2019; MOF, “Guiding Principles;” State Development and Investment Corporation (SDIC), “Green Finance Framework,” April 2019; CHINCA, “Guide on Social Responsibility for Chinese International Contractors,” September 2012; CAF, “Investments in the ASEAN Region;” NDRC et al., “Jointly Promoting Green Development.”
31 The following policies and guidelines reference resource management as part of environmental protection: MOFCOM et al., “Circular to Regulate the Overseas Investment and Cooperation of Chinese Companies,” June 2008; State Council, “Nine Principles on Encouraging and Standardizing Outward Investment,” October 2006; State Council, “Guiding Opinion of the State Council on Encouraging and Standardizing Enterprises' Cooperation in Outbound Investment,” April 2007. The following policies and guidelines focus on the management, use, and development of natural resources: Sinohydro, “Occupational Health, Safety;” CCCMC, “Outbound Mining Investments;” MOFCOM et al., “Circular to Regulate;” CHINCA, “Draft Revisions;” SASAC, "Fulfilling Corporate Social Responsibilities."
32 CHINCA, “Community Engagement Handbook;” CDT, “Regulation on Project.”
33 CCCMC, “Outbound Mining Investments;” Standing Committee, “Environmental Protection Law.”
34 MOFCOM and MEE, “Guidelines for Environmental;” SASAC, "Fulfilling Corporate Social Responsibilities;" Standing Committee, “Environmental Protection Law.”
35 MEP, “Belt and Road Ecological;” CDT, “Regulation on Project.”
36 The following laws and policies specify environmental conservation, protection of biodiversity, and protected areas: CTG, “Sustainable Development Policy;” Sinohydro, “Environmental Protection Policy;” SFGA and MOFCOM, “Sustainable Overseas Forest Management;” CCCMC, “Outbound Mining Investments;” SFGA, “Guidelines for Sustainable Silviculture for Chinese Companies Overseas,” 2007; Standing Committee, “Environmental Protection Law.”
37 State Council, “Regulation on Environmental.”
38 Standing Committee, “Environmental Impact Assessment.”
39 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.